As filed with the Securities and Exchange Commission on August 16, 2013.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-07170
TCW Funds, Inc.
(Exact Name of Registrant as Specified in Charter)
865 South Figueroa Street, Los Angeles, CA 90017
(Address of Principal Executive Offices) (Zip Code)
Patrick W. Dennis, Assistant Secretary, 865 South Figueroa Street, Los Angeles, CA 900171
(Name and Address of Agent for Service)
Registrant’s Telephone Number, including Area Code: (213) 244-0000
Date of fiscal year end: October 31
Date of reporting period: July 1, 2012 - June 30, 2013
Registrant Name :
Fund Name : TCW Emerging Markets Income Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Conservative Allocation Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Global Moderate Allocation Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Global Flexible Allocation Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Emerging Markets Local Currency Income Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Enhanced Commodity Strategy Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Emerging Markets Multi-Asset Opportunities Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Registrant Name :
Fund Name : TCW Global Bond Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Page 1
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant | : |
Fund Name : TCW Concentrated Value Fund
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
2 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
3 | Elect Robert Ripp | Mgmt | For | For | For | |||||
4 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | 2012 Annual Report | Mgmt | For | For | For | |||||
7 | Statutory Financial Statements | Mgmt | For | For | For | |||||
8 | Consolidated Financial Statements | Mgmt | For | For | For | |||||
9 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Discharge of Board of Directors | Mgmt | For | For | For | |||||
11 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
12 | PricewaterhouseCoopers | Mgmt | For | For | For | |||||
13 | BDO AG, Zurich | Mgmt | For | For | For | |||||
14 | Amendment to the 2004 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Distribution Via Par Value Reduction | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Air Products and Chemicals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
APD | CUSIP 009158106 | 01/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect William Davis, III | Mgmt | For | For | For | |||||
2 | Elect W. Douglas Ford | Mgmt | For | For | For | |||||
3 | Elect Evert Henkes | Mgmt | For | For | For | |||||
4 | Elect Margaret McGlynn | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Page 2
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard J. Harshman | Mgmt | For | For | For | |||||
1.2 | Elect Carolyn Corvi | Mgmt | For | For | For | |||||
1.3 | Elect Barbara S. Jeremiah | Mgmt | For | For | For | |||||
1.4 | Elect John D. Turner | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Allergan, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGN | CUSIP 018490102 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
2 | Elect Michael R. Gallagher | Mgmt | For | For | For | |||||
3 | Elect Deborah Dunsire | Mgmt | For | For | For | |||||
4 | Elect Dawn E. Hudson | Mgmt | For | For | For | |||||
5 | Elect Trevor M. Jones | Mgmt | For | For | For | |||||
6 | Elect Louis J. Lavigne, Jr. | Mgmt | For | For | For | |||||
7 | Elect Peter J. McDonnell | Mgmt | For | For | For | |||||
8 | Elect Timothy D. Proctor | Mgmt | For | For | For | |||||
9 | Elect Russell T. Ray | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Right to Call a Special Meeting | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
14 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 3
Berkshire Hathaway Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRK.A | CUSIP 084670702 | 05/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Warren Buffett | Mgmt | For | For | For | |||||
1.2 | Elect Charles Munger | Mgmt | For | For | For | |||||
1.3 | Elect Howard Buffett | Mgmt | For | For | For | |||||
1.4 | Elect Stephen Burke | Mgmt | For | For | For | |||||
1.5 | Elect Susan Decker | Mgmt | For | For | For | |||||
1.6 | Elect William Gates III | Mgmt | For | For | For | |||||
1.7 | Elect David Gottesman | Mgmt | For | For | For | |||||
1.8 | Elect Charlotte Guyman | Mgmt | For | For | For | |||||
1.9 | Elect Donald Keough | Mgmt | For | For | For | |||||
1.10 | Elect Thomas Murphy | Mgmt | For | For | For | |||||
1.11 | Elect Ronald Olson | Mgmt | For | For | For | |||||
1.12 | Elect Walter Scott, Jr. | Mgmt | For | For | For | |||||
1.13 | Elect Meryl B. Witmer | Mgmt | For | For | For | |||||
2 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHoldr | Against | Against | For |
C.H. Robinson Worldwide, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CHRW | CUSIP 12541W209 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott P. Anderson | Mgmt | For | For | For | |||||
2 | Elect Mary J. Steele Guilfoile | Mgmt | For | For | For | |||||
3 | Elect Jodee A. Kozlak | Mgmt | For | For | For | |||||
4 | Elect ReBecca K. Roloff | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For |
Page 4
Citigroup Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C | CUSIP 172967424 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael L. Corbat | Mgmt | For | For | For | |||||
2 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
3 | Elect Robert L. Joss | Mgmt | For | For | For | |||||
4 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
5 | Elect Judith Rodin | Mgmt | For | For | For | |||||
6 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
7 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
8 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
9 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
10 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
11 | Elect Ernesto Zedillo | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2009 Stock Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For |
Page 5
CVS Caremark Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVS | CUSIP 126650100 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect C. David Brown II | Mgmt | For | For | For | |||||
2 | Elect David W. Dorman | Mgmt | For | For | For | |||||
3 | Elect Anne M. Finucane | Mgmt | For | For | For | |||||
4 | Elect Kristen E. Gibney Williams | Mgmt | For | For | For | |||||
5 | Elect Larry J. Merlo | Mgmt | For | For | For | |||||
6 | Elect Jean-Pierre Millon | Mgmt | For | For | For | |||||
7 | Elect Richard J. Swift | Mgmt | For | For | For | |||||
8 | Elect William C. Weldon | Mgmt | For | For | For | |||||
9 | Elect Tony L. White | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Amendment to the 2007 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
13 | Reduction of Voting Thresholds in the Fair Price Provision | Mgmt | For | Against | Against | |||||
14 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Danaher Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DHR | CUSIP 235851102 | 05/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Donald J. Ehrlich | Mgmt | For | For | For | |||||
2 | Elect Linda P. Hefner | Mgmt | For | For | For | |||||
3 | Elect Teri List-Stoll | Mgmt | For | For | For | |||||
4 | Elect Walter G. Lohr, Jr. | Mgmt | For | For | For | |||||
5 | Elect Steven M. Rales | Mgmt | For | For | For | |||||
6 | Elect John T. Schwieters | Mgmt | For | For | For | |||||
7 | Elect Alan G. Spoon | Mgmt | For | For | For | |||||
8 | Ratification of Auditor | Mgmt | For | For | For | |||||
9 | Amendment to the 2007 Stock Incentive Plan | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
12 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against |
Page 6
Delta Air Lines, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DAL | CUSIP 247361702 | 06/27/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Richard H. Anderson | Mgmt | For | For | For | |||||
2 | Elect Edward H. Bastian | Mgmt | For | For | For | |||||
3 | Elect Roy J. Bostock | Mgmt | For | For | For | |||||
4 | Elect John S. Brinzo | Mgmt | For | For | For | |||||
5 | Elect Daniel A. Carp | Mgmt | For | For | For | |||||
6 | Elect David G. DeWalt | Mgmt | For | For | For | |||||
7 | Elect William H. Easter III | Mgmt | For | For | For | |||||
8 | Elect Mickey P. Foret | Mgmt | For | For | For | |||||
9 | Elect Shirley C. Franklin | Mgmt | For | For | For | |||||
10 | Elect David R. Goode | Mgmt | For | For | For | |||||
11 | Elect George N. Mattson | Mgmt | For | For | For | |||||
12 | Elect Paula Rosput Reynolds | Mgmt | For | For | For | |||||
13 | Elect Kenneth C. Rogers | Mgmt | For | For | For | |||||
14 | Elect Kenneth B. Woodrow | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Ratification of Auditor | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For |
Ecolab Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ECL | CUSIP 278865100 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Douglas M. Baker, Jr. | Mgmt | For | For | For | |||||
2 | Elect Barbara J. Beck | Mgmt | For | For | For | |||||
3 | Elect Leslie S. Biller | Mgmt | For | For | For | |||||
4 | Elect Stephen I. Chazen | Mgmt | For | For | For | |||||
5 | Elect Jerry A. Grundhofer | Mgmt | For | For | For | |||||
6 | Elect Arthur J. Higgins | Mgmt | For | For | For | |||||
7 | Elect Joel W. Johnson | Mgmt | For | For | For | |||||
8 | Elect Michael Larson | Mgmt | For | For | For | |||||
9 | Elect Jerry W. Levin | Mgmt | For | For | For | |||||
10 | Elect Robert L. Lumpkins | Mgmt | For | For | For | |||||
11 | Elect Victoria J. Reich | Mgmt | For | For | For | |||||
12 | Elect Mary M. VanDeWeghe | Mgmt | For | For | For | |||||
13 | Elect John J. Zillmer | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Amendment to the 2010 Stock Incentive Plan | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Incorporation of Values in Political Spending | ShrHoldr | Against | Against | For |
Page 7
Exxon Mobil Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
XOM | CUSIP 30231G102 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael J. Boskin | Mgmt | For | For | For | |||||
1.2 | Elect Peter Brabeck-Letmathe | Mgmt | For | For | For | |||||
1.3 | Elect Ursula M. Burns | Mgmt | For | For | For | |||||
1.4 | Elect Larry R. Faulkner | Mgmt | For | For | For | |||||
1.5 | Elect Jay S. Fishman | Mgmt | For | For | For | |||||
1.6 | Elect Henrietta H. Fore | Mgmt | For | For | For | |||||
1.7 | Elect Kenneth C. Frazier | Mgmt | For | For | For | |||||
1.8 | Elect William W. George | Mgmt | For | For | For | |||||
1.9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||||
1.10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
1.11 | Elect Rex W. Tillerson | Mgmt | For | For | For | |||||
1.12 | Elect William C. Weldon | Mgmt | For | For | For | |||||
1.13 | Elect Edward E. Whitacre, Jr. | 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 | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Majority Vote in the Election of Directors | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Multiple Board Service | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Feasibility Study on Prohibition of Political Spending | ShrHoldr | Against | For | Against | |||||
9 | Shareholder Proposal Regarding Adopting Sexual Orientation and Gender Identity Anti-Bias Policy | ShrHoldr | Against | Against | For | |||||
10 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
11 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHoldr | Against | Against | For |
Page 8
Goldman Sachs Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GS | CUSIP 38141G104 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Lloyd C. Blankfein | Mgmt | For | For | For | |||||
2 | Elect M. Michele Burns | Mgmt | For | For | For | |||||
3 | Elect Gary D. Cohn | Mgmt | For | For | For | |||||
4 | Elect Claes Dahlback | Mgmt | For | For | For | |||||
5 | Elect William W. George | Mgmt | For | For | For | |||||
6 | Elect James A. Johnson | Mgmt | For | For | For | |||||
7 | Elect Lakshmi N. Mittal | Mgmt | For | For | For | |||||
8 | Elect Adebayo O. Ogunlesi | Mgmt | For | For | For | |||||
9 | Elect James J. Schiro | Mgmt | For | For | For | |||||
10 | Elect Debra L. Spar | Mgmt | For | For | For | |||||
11 | Elect Mark E. Tucker | Mgmt | For | For | For | |||||
12 | Elect David A. Viniar | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Formation of Human Rights Committee | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Sale of the Company | ShrHoldr | Against | Against | For |
Page 9
Halliburton Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAL | CUSIP 406216101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alan M. Bennett | Mgmt | For | For | For | |||||
2 | Elect James Boyd | Mgmt | For | For | For | |||||
3 | Elect Milton Carroll | Mgmt | For | For | For | |||||
4 | Elect Nance Dicciani | Mgmt | For | For | For | |||||
5 | Elect Murry Gerber | Mgmt | For | For | For | |||||
6 | Elect Jose Grubisich | Mgmt | For | For | For | |||||
7 | Elect Abdallah Jum’ah | Mgmt | For | For | For | |||||
8 | Elect David Lesar | Mgmt | For | For | For | |||||
9 | Elect Robert Malone | Mgmt | For | For | For | |||||
10 | Elect Landis Martin | Mgmt | For | For | For | |||||
11 | Elect Debra Reed | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to Company Stock and Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Review of Human Rights Policies | ShrHoldr | Against | Against | For |
Page 10
Honeywell International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HON | CUSIP 438516106 | 04/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gordon M. Bethune | Mgmt | For | For | For | |||||
2 | Elect Kevin Burke | Mgmt | For | For | For | |||||
3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
4 | Elect David M. Cote | Mgmt | For | For | For | |||||
5 | Elect D. Scott Davis | Mgmt | For | For | For | |||||
6 | Elect Linnet F. Deily | Mgmt | For | Against | Against | |||||
7 | Elect Judd Gregg | Mgmt | For | For | For | |||||
8 | Elect Lord Clive Hollick | Mgmt | For | For | For | |||||
9 | Elect Grace D. Lieblein | Mgmt | For | For | For | |||||
10 | Elect George Paz | Mgmt | For | For | For | |||||
11 | Elect Bradley T. Sheares | Mgmt | For | For | For | |||||
12 | Elect Robin L. Washington | 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 | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Page 11
Johnson & Johnson
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JNJ | CUSIP 478160104 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Sue Coleman | Mgmt | For | For | For | |||||
2 | Elect James G. Cullen | Mgmt | For | For | For | |||||
3 | Elect Ian E.L. Davis | Mgmt | For | For | For | |||||
4 | Elect Alex Gorsky | Mgmt | For | For | For | |||||
5 | Elect Michael M. E. Johns | Mgmt | For | For | For | |||||
6 | Elect Susan L. Lindquist | Mgmt | For | For | For | |||||
7 | Elect Anne M. Mulcahy | Mgmt | For | For | For | |||||
8 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
9 | Elect William D. Perez | Mgmt | For | For | For | |||||
10 | Elect Charles Prince | Mgmt | For | For | For | |||||
11 | Elect A. Eugene Washington | Mgmt | For | For | For | |||||
12 | Elect Ronald A. Williams | 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 Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Political Contributions and Corporate Values Report | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Page 12
JPMorgan Chase & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JPM | CUSIP 46625H100 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James A. Bell | Mgmt | For | For | For | |||||
2 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
3 | Elect Stephen B. Burke | Mgmt | For | For | For | |||||
4 | Elect David M. Cote | Mgmt | For | For | For | |||||
5 | Elect James S. Crown | Mgmt | For | For | For | |||||
6 | Elect James Dimon | Mgmt | For | For | For | |||||
7 | Elect Timothy P. Flynn | Mgmt | For | For | For | |||||
8 | Elect Ellen V. Futter | Mgmt | For | For | For | |||||
9 | Elect Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
11 | Elect William C. Weldon | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Allow Shareholders to Act by Written Consent | Mgmt | For | For | For | |||||
15 | Key Executive Performance Plan | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Genocide-Free Investing | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Life Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LIFE | CUSIP 53217V109 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect George F. Adam, Jr. | Mgmt | For | For | For | |||||
2 | Elect Raymond V. Dittamore | Mgmt | For | For | For | |||||
3 | Elect Donald W. Grimm | Mgmt | For | For | For | |||||
4 | Elect Craig J. Mundie | Mgmt | For | For | For | |||||
5 | Elect Ora H. Pescovitz | Mgmt | For | For | For | |||||
6 | Elect Per A. Peterson | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Page 13
McDonald’s Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCD | CUSIP 580135101 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Walter E. Massey | Mgmt | For | For | For | |||||
2 | Elect John W. Rogers, Jr. | Mgmt | For | For | For | |||||
3 | Elect Roger W. Stone | Mgmt | For | For | For | |||||
4 | Elect Miles D. White | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Report on Ratio Between CEO and Employee Pay | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Review of Human Rights Policies | ShrHoldr | Against | Against | For | |||||
10 | Shareholder Proposal Regarding Report on Childhood Obesity | ShrHoldr | Against | For | Against |
Mckesson Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCK | CUSIP 58155Q103 | 07/25/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andy Bryant | Mgmt | For | For | For | |||||
2 | Elect Wayne Budd | Mgmt | For | For | For | |||||
3 | Elect John Hammergren | Mgmt | For | For | For | |||||
4 | Elect Alton Irby III | Mgmt | For | For | For | |||||
5 | Elect M. Christine Jacobs | Mgmt | For | For | For | |||||
6 | Elect Marie Knowles | Mgmt | For | For | For | |||||
7 | Elect David Lawrence | Mgmt | For | For | For | |||||
8 | Elect Edward Mueller | Mgmt | For | For | For | |||||
9 | Elect Jane Shaw | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
13 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
14 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Page 14
Mondelez International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
2 | Elect Lewis W.K. Booth | Mgmt | For | For | For | |||||
3 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
4 | Elect Mark D. Ketchum | Mgmt | For | For | For | |||||
5 | Elect Jorge S. Mesquita | Mgmt | For | For | For | |||||
6 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
7 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
8 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
9 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
10 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
11 | Elect Jean-Francois M. L. van Boxmeer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Extended Producer Responsibility | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Gender Equality in the Supply Chain | ShrHoldr | Against | Against | For |
Page 15
National Oilwell Varco, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NOV | CUSIP 637071101 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Merrill A. Miller, Jr. | Mgmt | For | For | For | |||||
2 | Elect Greg L. Armstrong | Mgmt | For | For | For | |||||
3 | Elect Ben A. Guill | Mgmt | For | For | For | |||||
4 | Elect David D. Harrison | Mgmt | For | For | For | |||||
5 | Elect Roger L. Jarvis | Mgmt | For | For | For | |||||
6 | Elect Eric L. Mattson | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
10 | Approval of the Annual Cash Incentive Plan | Mgmt | For | For | For |
Occidental Petroleum Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OXY | CUSIP 674599105 | 05/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect E. Spencer Abraham | Mgmt | For | For | For | |||||
2 | Elect Howard Atkins | Mgmt | For | For | For | |||||
3 | Elect Stephen Chazen | Mgmt | For | For | For | |||||
4 | Elect Edward Djerejian | Mgmt | For | For | For | |||||
5 | Elect John Feick | Mgmt | For | For | For | |||||
6 | Elect Margaret Foran | Mgmt | For | For | For | |||||
7 | Elect Carlos Gutierrez | Mgmt | For | For | For | |||||
8 | Elect Ray Irani | Mgmt | For | For | For | |||||
9 | Elect Avedick Poladian | Mgmt | For | For | For | |||||
10 | Elect Aziz Syriani | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 16
Peabody Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BTU | CUSIP 704549104 | 04/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gregory H. Boyce | Mgmt | For | For | For | |||||
1.2 | Elect William A. Coley | Mgmt | For | For | For | |||||
1.3 | Elect William E. James | Mgmt | For | For | For | |||||
1.4 | Elect Robert B. Karn III | Mgmt | For | For | For | |||||
1.5 | Elect Henry E. Lentz | Mgmt | For | For | For | |||||
1.6 | Elect Robert A. Malone | Mgmt | For | For | For | |||||
1.7 | Elect William C. Rusnack | Mgmt | For | For | For | |||||
1.8 | Elect John F. Turner | Mgmt | For | For | For | |||||
1.9 | Elect Sandra A. Van Trease | Mgmt | For | For | For | |||||
1.10 | Elect Alan H. Washkowitz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Approval of Material Terms of 2008 Management Annual Incentive Compensation Plan | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
6 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 17
Praxair, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PX | CUSIP 74005P104 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Angel | Mgmt | For | For | For | |||||
2 | Elect Oscar Bernardes | Mgmt | For | For | For | |||||
3 | Elect Bret K. Clayton | Mgmt | For | For | For | |||||
4 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
5 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
7 | Elect Ira D. Hall | Mgmt | For | For | For | |||||
8 | Elect Raymond W. LeBoeuf | Mgmt | For | For | For | |||||
9 | Elect Larry D. McVay | Mgmt | For | For | For | |||||
10 | Elect Wayne T. Smith | Mgmt | For | For | For | |||||
11 | Elect Robert L. Wood | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Incorporation of Values in Political Spending | ShrHoldr | Against | Against | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Research In Motion Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RIM | CUSIP 760975102 | 07/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Timothy Dattels | Mgmt | For | For | For | |||||
1.2 | Elect Thorsten Heins | Mgmt | For | For | For | |||||
1.3 | Elect David Kerr | Mgmt | For | For | For | |||||
1.4 | Elect Claudia Kotchka | Mgmt | For | For | For | |||||
1.5 | Elect Mike Lazaridis | Mgmt | For | For | For | |||||
1.6 | Elect Roger Martin | Mgmt | For | For | For | |||||
1.7 | Elect John Richardson | Mgmt | For | For | For | |||||
1.8 | Elect Barbara Stymiest | Mgmt | For | For | For | |||||
1.9 | Elect V. Prem Watsa | Mgmt | For | For | For | |||||
1.10 | Elect John Wetmore | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 18
Schlumberger N.V. (Schlumberger Limited)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLB | CUSIP 806857108 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter L.S. Currie | Mgmt | For | For | For | |||||
2 | Elect Anthony Isaac | Mgmt | For | For | For | |||||
3 | Elect K.V. Kamath | Mgmt | For | For | For | |||||
4 | Elect Paal Kibsgaard | Mgmt | For | For | For | |||||
5 | Elect Nikolay Kudryavtsev | Mgmt | For | For | For | |||||
6 | Elect Adrian Lajous | Mgmt | For | For | For | |||||
7 | Elect Michael E. Marks | Mgmt | For | For | For | |||||
8 | Elect Lubna Olayan | Mgmt | For | For | For | |||||
9 | Elect Leo Rafael Reif | Mgmt | For | For | For | |||||
10 | Elect Tore I. Sandvold | Mgmt | For | For | For | |||||
11 | Elect Henri Seydoux | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Approval of Financial Statements/Dividends | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | 2013 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
16 | Amendment to the Discounted Stock Purchase Plan | Mgmt | For | For | For |
Sigma-Aldrich Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIAL | CUSIP 826552101 | 05/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Rebecca M. Bergman | Mgmt | For | For | For | |||||
2 | Elect George M. Church | Mgmt | For | For | For | |||||
3 | Elect Michael L Marberry | Mgmt | For | For | For | |||||
4 | Elect W. Lee McCollum | Mgmt | For | For | For | |||||
5 | Elect Avi M. Nash | Mgmt | For | For | For | |||||
6 | Elect Steven M. Paul | Mgmt | For | For | For | |||||
7 | Elect J. Pedro Reinhard | Mgmt | For | For | For | |||||
8 | Elect Rakesh Sachdev | Mgmt | For | For | For | |||||
9 | Elect D. Dean Spatz | Mgmt | For | For | For | |||||
10 | Elect Barrett A. Toan | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 19
Stanley Black & Decker, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SWK | CUSIP 854502101 | 04/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect George W. Buckley | Mgmt | For | For | For | |||||
1.2 | Elect Patrick D. Campbell | Mgmt | For | For | For | |||||
1.3 | Elect Carlos M. Cardoso | Mgmt | For | For | For | |||||
1.4 | Elect Robert B. Coutts | Mgmt | For | For | For | |||||
1.5 | Elect Benjamin H. Griswold, IV | Mgmt | For | For | For | |||||
1.6 | Elect John F. Lundgren | Mgmt | For | For | For | |||||
1.7 | Elect Anthony Luiso | Mgmt | For | For | For | |||||
1.8 | Elect Marianne M. Parrs | Mgmt | For | For | For | |||||
1.9 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
2 | 2013 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Edward C. Bernard | Mgmt | For | For | For | |||||
2 | Elect James T. Brady | Mgmt | For | For | For | |||||
3 | Elect Mary K. Bush | Mgmt | For | For | For | |||||
4 | Elect Donald B. Hebb, Jr. | Mgmt | For | For | For | |||||
5 | Elect Freeman A. Hrabowski, III | Mgmt | For | For | For | |||||
6 | Elect James A.C. Kennedy | Mgmt | For | For | For | |||||
7 | Elect Robert F. MacLellan | Mgmt | For | For | For | |||||
8 | Elect Brian C. Rogers | Mgmt | For | For | For | |||||
9 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
10 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
11 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 20
Target Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TGT | CUSIP 87612E106 | 06/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Roxanne S. Austin | Mgmt | For | For | For | |||||
2 | Elect Douglas M. Baker, Jr. | Mgmt | For | For | For | |||||
3 | Elect Henrique de Castro | Mgmt | For | For | For | |||||
4 | Elect Calvin Darden | Mgmt | For | For | For | |||||
5 | Elect Mary N. Dillon | Mgmt | For | For | For | |||||
6 | Elect James A. Johnson | Mgmt | For | For | For | |||||
7 | Elect Mary E. Minnick | Mgmt | For | For | For | |||||
8 | Elect Anne M. Mulcahy | Mgmt | For | For | For | |||||
9 | Elect Derica W. Rice | Mgmt | For | For | For | |||||
10 | Elect Gregg W. Steinhafel | Mgmt | For | For | For | |||||
11 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
12 | Elect Solomon D. Trujillo | 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 | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Report on Electronic Waste | ShrHoldr | Against | For | Against |
Thermo Fisher Scientific Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TMO | CUSIP 883556102 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect C. Martin Harris | Mgmt | For | For | For | |||||
2 | Elect Judy C. Lewent | Mgmt | For | For | For | |||||
3 | Elect Jim P. Manzi | Mgmt | For | For | For | |||||
4 | Elect Lars R. Sorenson | Mgmt | For | For | For | |||||
5 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
6 | Elect Marc N. Casper | Mgmt | For | For | For | |||||
7 | Elect Nelson J. Chai | Mgmt | For | For | For | |||||
8 | Elect Tyler Jacks | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
11 | 2013 Annual Incentive Award Plan | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 21
Transocean Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RIG | CUSIP H8817H100 | 05/17/2013 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Proxy Contest | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | N/A | TNA | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | N/A | TNA | N/A | |||||
3 | Payment of a Dividend in Principle | Mgmt | N/A | TNA | N/A | |||||
4 | Management Proposal Regarding Dividend of $2.24 Per Share | Mgmt | N/A | TNA | N/A | |||||
5 | Shareholder Proposal Regarding Dividend of $4.00 Per Share | Mgmt | N/A | TNA | N/A | |||||
6 | Authority to Issue Shares | Mgmt | N/A | TNA | N/A | |||||
7 | Shareholder Proposal Regarding Declassification of Board | Mgmt | N/A | TNA | N/A | |||||
8 | Elect Frederico Curado | Mgmt | N/A | TNA | N/A | |||||
9 | Elect Steven Newman | Mgmt | N/A | TNA | N/A | |||||
10 | Elect Thomas Cason | Mgmt | N/A | TNA | N/A | |||||
11 | Elect Robert Sprague | Mgmt | N/A | TNA | N/A | |||||
12 | Elect J. Michael Talbert | Mgmt | N/A | TNA | N/A | |||||
13 | Elect John Lipinski | Mgmt | N/A | TNA | N/A | |||||
14 | Elect Jose Maria Alapont | Mgmt | N/A | TNA | N/A | |||||
15 | Elect Samuel Merksamer | Mgmt | N/A | TNA | N/A | |||||
16 | Appointment of Auditor | Mgmt | N/A | TNA | N/A | |||||
17 | Advisory Vote on Executive Compensation | Mgmt | N/A | TNA | N/A |
Page 22
Transocean Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RIG | CUSIP H8817H100 | 05/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Proxy Contest | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Payment of a Dividend in Principle | Mgmt | For | For | For | |||||
4 | Management Proposal Regarding Dividend of $2.24 Per Share | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Dividend of $4.00 Per Share | Mgmt | N/A | Against | N/A | |||||
6 | Authority to Issue Shares | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Declassification of Board | Mgmt | N/A | For | N/A | |||||
8 | Elect Frederico Curado | Mgmt | For | For | For | |||||
9 | Elect Steven Newman | Mgmt | For | For | For | |||||
10 | Elect Thomas Cason | Mgmt | For | For | For | |||||
11 | Elect Robert Sprague | Mgmt | For | For | For | |||||
12 | Elect J. Michael Talbert | Mgmt | For | Against | Against | |||||
13 | Elect John Lipinski | Mgmt | Against | Against | For | |||||
14 | Elect Jose Maria Alapont | Mgmt | Against | Against | For | |||||
15 | Elect Samuel Merksamer | Mgmt | Against | For | Against | |||||
16 | Appointment of Auditor | Mgmt | For | For | For | |||||
17 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 23
Union Pacific Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNP | CUSIP 907818108 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andrew H. Card, Jr. | Mgmt | For | For | For | |||||
2 | Elect Erroll B. Davis, Jr. | Mgmt | For | For | For | |||||
3 | Elect Thomas J. Donohue | Mgmt | For | For | For | |||||
4 | Elect Archie W. Dunham | Mgmt | For | For | For | |||||
5 | Elect Judith Richards Hope | Mgmt | For | For | For | |||||
6 | Elect John J. Koraleski | Mgmt | For | For | For | |||||
7 | Elect Charles C. Krulak | Mgmt | For | For | For | |||||
8 | Elect Michael R. McCarthy | Mgmt | For | For | For | |||||
9 | Elect Michael W. McConnell | Mgmt | For | For | For | |||||
10 | Elect Thomas F. McLarty III | Mgmt | For | For | For | |||||
11 | Elect Steven R. Rogel | Mgmt | For | For | For | |||||
12 | Elect Jose H. Villarreal | Mgmt | For | For | For | |||||
13 | Elect James R. Young | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 24
Wells Fargo & Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WFC | CUSIP 949746101 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John D. Baker II | Mgmt | For | For | For | |||||
2 | Elect Elaine L. Chao | Mgmt | For | For | For | |||||
3 | Elect John S. Chen | Mgmt | For | For | For | |||||
4 | Elect Lloyd H. Dean | Mgmt | For | For | For | |||||
5 | Elect Susan E. Engel | Mgmt | For | For | For | |||||
6 | Elect Enrique Hernandez, Jr. | Mgmt | For | For | For | |||||
7 | Elect Donald M. James | Mgmt | For | For | For | |||||
8 | Elect Cynthia H. Milligan | Mgmt | For | For | For | |||||
9 | Elect Federico F. Pena | Mgmt | For | For | For | |||||
10 | Elect Howard V. Richardson | Mgmt | For | For | For | |||||
11 | Elect Judith M. Runstad | Mgmt | For | For | For | |||||
12 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
13 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
14 | Elect Susan G. Swenson | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Approve the Company’s Amended and Restated Long-Term Incentive Compensation Plan | Mgmt | For | For | For | |||||
17 | Ratification of Auditor | Mgmt | For | For | For | |||||
18 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Discriminitory Mortgage Servicing and Foreclosure Practices | ShrHoldr | Against | Against | For |
Page 25
Western Digital Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDC | CUSIP 958102105 | 11/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kathleen Cote | Mgmt | For | For | For | |||||
2 | Elect John Coyne | Mgmt | For | For | For | |||||
3 | Elect Henry DeNero | Mgmt | For | For | For | |||||
4 | Elect William Kimsey | Mgmt | For | For | For | |||||
5 | Elect Michael Lambert | Mgmt | For | For | For | |||||
6 | Elect Len Lauer | Mgmt | For | For | For | |||||
7 | Elect Matthew Massengill | Mgmt | For | For | For | |||||
8 | Elect Roger Moore | Mgmt | For | For | For | |||||
9 | Elect Kensuke Oka | Mgmt | For | For | For | |||||
10 | Elect Thomas Pardun | Mgmt | For | For | For | |||||
11 | Elect Arif Shakeel | Mgmt | For | For | For | |||||
12 | Elect Masahiro Yamamura | Mgmt | For | For | For | |||||
13 | Amendment to the 2004 Performance Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Ratification of Auditor | Mgmt | For | For | For |
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Core Fixed Income Fund
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V104 | 08/31/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gordon Davis | Mgmt | For | For | For | |||||
1.2 | Elect Nathan Leventhal | Mgmt | For | For | For | |||||
1.3 | Elect Benaree Wiley | Mgmt | For | For | For |
Page 26
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Dividend Focused Fund
ADT Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ADT | CUSIP 00101J106 | 03/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas J. Colligan | Mgmt | For | For | For | |||||
1.2 | Elect Timothy M. Donahue | Mgmt | For | For | For | |||||
1.3 | Elect Robert M. Dutkowsky | Mgmt | For | For | For | |||||
1.4 | Elect Bruce S. Gordon | Mgmt | For | For | For | |||||
1.5 | Elect Naren K. Gursahaney | Mgmt | For | For | For | |||||
1.6 | Elect Bridgette Heller | Mgmt | For | For | For | |||||
1.7 | Elect Kathleen W Hyle | Mgmt | For | For | For | |||||
1.8 | Elect Keith A. Meister | Mgmt | For | For | For | |||||
1.9 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
American Electric Power Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AEP | CUSIP 025537101 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Nicholas K. Akins | Mgmt | For | For | For | |||||
2 | Elect David J. Anderson | Mgmt | For | For | For | |||||
3 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For | |||||
4 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||||
5 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||||
6 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||||
7 | Elect Michael G. Morris | 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 Richard L. Sandor | Mgmt | For | For | For | |||||
13 | Elect Sara M. Tucker | Mgmt | For | For | For | |||||
14 | Elect John F. Turner | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 27
American Express Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AXP | CUSIP 025816109 | 04/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
1.2 | Elect Ursula M. Burns | Mgmt | For | For | For | |||||
1.3 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
1.4 | Elect Peter Chernin | Mgmt | For | For | For | |||||
1.5 | Elect Anne Lauvergeon | Mgmt | For | For | For | |||||
1.6 | Elect Theodore J. Leonsis | Mgmt | For | For | For | |||||
1.7 | Elect Richard C. Levin | Mgmt | For | For | For | |||||
1.8 | Elect Richard A. McGinn | Mgmt | For | For | For | |||||
1.9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||||
1.10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
1.11 | Elect Daniel L. Vasella | Mgmt | For | For | For | |||||
1.12 | Elect Robert D. Walter | Mgmt | For | For | For | |||||
1.13 | Elect Ronald A. Williams | 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 | ShrHoldr | Against | Against | For |
Page 28
Ameriprise Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMP | CUSIP 03076C106 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James M. Cracchiolo | Mgmt | For | For | For | |||||
2 | Elect Lon R. Greenberg | Mgmt | For | For | For | |||||
3 | Elect Warren D. Knowlton | Mgmt | For | For | For | |||||
4 | Elect W. Walker Lewis | Mgmt | For | For | For | |||||
5 | Elect Siri S. Marshall | Mgmt | For | For | For | |||||
6 | Elect Jeffrey Noddle | Mgmt | For | For | For | |||||
7 | Elect H. Jay Sarles | Mgmt | For | For | For | |||||
8 | Elect Robert F. Sharpe, Jr. | Mgmt | For | For | For | |||||
9 | Elect William H. Turner | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 29
AT&T Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
T | CUSIP 00206R102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Randall L. Stephenson | Mgmt | For | For | For | |||||
2 | Elect Gilbert F. Amelio | Mgmt | For | For | For | |||||
3 | Elect Reuben V. Anderson | Mgmt | For | For | For | |||||
4 | Elect James H. Blanchard | Mgmt | For | For | For | |||||
5 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
6 | Elect Scott T. Ford | Mgmt | For | For | For | |||||
7 | Elect James P. Kelly | Mgmt | For | For | For | |||||
8 | Elect Jon C. Madonna | Mgmt | For | For | For | |||||
9 | Elect Michael B. McCallister | Mgmt | For | For | For | |||||
10 | Elect John B. McCoy | Mgmt | For | For | For | |||||
11 | Elect Joyce M. Roche | Mgmt | For | For | For | |||||
12 | Elect Matthew K. Rose | Mgmt | For | For | For | |||||
13 | Elect Laura D’Andrea Tyson | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Amendment to the Stock Purchase and Deferral Plan | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Political Spending | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Lead Batteries | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Shareholder Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Avery Dennison Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVY | CUSIP 053611109 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Bradley A. Alford | Mgmt | For | For | For | |||||
2 | Elect Anthony K. Anderson | Mgmt | For | For | For | |||||
3 | Elect Rolf Borjesson | Mgmt | For | For | For | |||||
4 | Elect John T. Cardis | Mgmt | For | For | For | |||||
5 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
6 | Elect Dean A. Scarborough | Mgmt | For | For | For | |||||
7 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
8 | Elect Julia A. Stewart | Mgmt | For | For | For | |||||
9 | Elect Martha Sullivan | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For |
Page 30
Baker Hughes Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BHI | CUSIP 057224107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Larry D. Brady | Mgmt | For | For | For | |||||
1.2 | Elect Clarence P. Cazalot, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Martin S. Craighead | Mgmt | For | For | For | |||||
1.4 | Elect Lynn L. Elsenhans | Mgmt | For | For | For | |||||
1.5 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
1.6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
1.7 | Elect Pierre J. Jungels | Mgmt | For | For | For | |||||
1.8 | Elect James A. Lash | Mgmt | For | For | For | |||||
1.9 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
1.10 | Elect James W. Stewart | Mgmt | For | For | For | |||||
1.11 | Elect Charles L. Watson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Amendment to the 2002 Director and Officer Long-Term Incentive Plan | Mgmt | For | For | For |
CA, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CA | CUSIP 12673P105 | 08/01/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jens Alder | Mgmt | For | For | For | |||||
2 | Elect Raymond Bromark | Mgmt | For | For | For | |||||
3 | Elect Gary Fernandes | Mgmt | For | For | For | |||||
4 | Elect Rohit Kapoor | Mgmt | For | For | For | |||||
5 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
6 | Elect Christopher Lofgren | Mgmt | For | For | For | |||||
7 | Elect William McCracken | Mgmt | For | For | For | |||||
8 | Elect Richard Sulpizio | Mgmt | For | For | For | |||||
9 | Elect Laura Unger | Mgmt | For | For | For | |||||
10 | Elect Arthur Weinbach | Mgmt | For | For | For | |||||
11 | Elect Ron Zambonini | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2012 Non-Employee Director Compensation Plan | Mgmt | For | For | For |
Page 31
Campbell Soup Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPB | CUSIP 134429109 | 11/14/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edmund Carpenter | Mgmt | For | For | For | |||||
1.2 | Elect Paul Charron | Mgmt | For | For | For | |||||
1.3 | Elect Bennett Dorrance | Mgmt | For | For | For | |||||
1.4 | Elect Lawrence Karlson | Mgmt | For | For | For | |||||
1.5 | Elect Randall Larrimore | Mgmt | For | For | For | |||||
1.6 | Elect Mary Alice Malone | Mgmt | For | For | For | |||||
1.7 | Elect Sara Mathew | Mgmt | For | For | For | |||||
1.8 | Elect Denise Morrison | Mgmt | For | For | For | |||||
1.9 | Elect Charles Perrin | Mgmt | For | For | For | |||||
1.10 | Elect A. Barry Rand | Mgmt | For | For | For | |||||
1.11 | Elect Nick Shreiber | Mgmt | For | For | For | |||||
1.12 | Elect Tracey Travis | Mgmt | For | For | For | |||||
1.13 | Elect Archbold van Beuren | Mgmt | For | For | For | |||||
1.14 | Elect Les Vinney | Mgmt | For | For | For | |||||
1.15 | Elect Charlotte Weber | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 32
Chevron Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVX | CUSIP 166764100 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Linnet F. Deily | Mgmt | For | For | For | |||||
2 | Elect Robert E. Denham | Mgmt | For | For | For | |||||
3 | Elect Alice P. Gast | Mgmt | For | For | For | |||||
4 | Elect Enrique Hernandez, Jr. | Mgmt | For | For | For | |||||
5 | Elect George L. Kirkland | Mgmt | For | For | For | |||||
6 | Elect Charles W. Moorman, IV | Mgmt | For | For | For | |||||
7 | Elect Kevin W. Sharer | Mgmt | For | For | For | |||||
8 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
9 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
10 | Elect Carl Ware | Mgmt | For | For | For | |||||
11 | Elect John S. Watson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Offshore Drilling Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Report on Climate Change | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
19 | Shareholder Proposal Regarding Prohibition on Political Spending | ShrHoldr | Against | Against | For | |||||
20 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against | |||||
21 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
22 | Shareholder Proposal Regarding Environmental Expertise on Board | ShrHoldr | Against | Against | For | |||||
23 | Shareholder Proposal Regarding Country Selection Guidelines | ShrHoldr | Against | For | Against |
Page 33
Cisco Systems, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSCO | CUSIP 17275R102 | 11/15/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carol Bartz | Mgmt | For | For | For | |||||
2 | Elect Marc Benioff | Mgmt | For | For | For | |||||
3 | Elect M. Michele Burns | Mgmt | For | For | For | |||||
4 | Elect Michael Capellas | Mgmt | For | For | For | |||||
5 | Elect Larry Carter | Mgmt | For | For | For | |||||
6 | Elect John Chambers | Mgmt | For | For | For | |||||
7 | Elect Brian Halla | Mgmt | For | For | For | |||||
8 | Elect John Hennessy | Mgmt | For | For | For | |||||
9 | Elect Kristina Johnson | Mgmt | For | For | For | |||||
10 | Elect Richard Kovacevich | Mgmt | For | For | For | |||||
11 | Elect Roderick McGeary | Mgmt | For | For | For | |||||
12 | Elect Arun Sarin | Mgmt | For | For | For | |||||
13 | Elect Steven West | Mgmt | For | For | For | |||||
14 | Amendment to the Executive Incentive Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Ratification of Auditor | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Report on Conflict Minerals | ShrHoldr | Against | Against | For |
Citigroup Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C | CUSIP 172967424 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael L. Corbat | Mgmt | For | For | For | |||||
2 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
3 | Elect Robert L. Joss | Mgmt | For | For | For | |||||
4 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
5 | Elect Judith Rodin | Mgmt | For | For | For | |||||
6 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
7 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
8 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
9 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
10 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
11 | Elect Ernesto Zedillo | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2009 Stock Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For |
Page 34
Comcast Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMCSA | CUSIP 20030N101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kenneth J. Bacon | Mgmt | For | For | For | |||||
1.2 | Elect Sheldon M. Bonovitz | Mgmt | For | For | For | |||||
1.3 | Elect Joseph J. Collins | Mgmt | For | For | For | |||||
1.4 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
1.5 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||||
1.6 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||||
1.7 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||||
1.8 | Elect Brian L. Roberts | Mgmt | For | For | For | |||||
1.9 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||||
1.10 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||||
1.11 | Elect Judith Rodin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
4 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For |
Page 35
Dell Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DELL | CUSIP 24702R101 | 07/13/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James Breyer | Mgmt | For | For | For | |||||
2 | Elect Donald Carty | Mgmt | For | For | For | |||||
3 | Elect Janet Clark | Mgmt | For | For | For | |||||
4 | Elect Laura Conigliaro | Mgmt | For | For | For | |||||
5 | Elect Michael Dell | Mgmt | For | For | For | |||||
6 | Elect Kenneth Duberstein | Mgmt | For | For | For | |||||
7 | Elect William Gray, III | Mgmt | For | For | For | |||||
8 | Elect Gerard Kleisterlee | Mgmt | For | For | For | |||||
9 | Elect Klaus Luft | Mgmt | For | For | For | |||||
10 | Elect Alex Mandl | Mgmt | For | For | For | |||||
11 | Elect Shantanu Narayen | Mgmt | For | For | For | |||||
12 | Elect H. Ross Perot, Jr. | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2012 Long-Term Incentive Plan | Mgmt | For | For | For |
Devon Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DVN | CUSIP 25179M103 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert H. Henry | Mgmt | For | Withhold | Against | |||||
1.2 | Elect John A. Hill | Mgmt | For | For | For | |||||
1.3 | Elect Michael M. Kanovsky | Mgmt | For | For | For | |||||
1.4 | Elect Robert A. Mosbacher, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
1.6 | Elect Duane C. Radtke | Mgmt | For | For | For | |||||
1.7 | Elect Mary P. Ricciardello | Mgmt | For | For | For | |||||
1.8 | Elect John Richels | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
5 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 36
E.I. du Pont de Nemours and Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DD | CUSIP 263534109 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Lamberto Andreotti | Mgmt | For | For | For | |||||
2 | Elect Richard H. Brown | Mgmt | For | For | For | |||||
3 | Elect Robert A. Brown | Mgmt | For | For | For | |||||
4 | Elect Bertrand P. Collomb | Mgmt | For | For | For | |||||
5 | Elect Curtis J. Crawford | Mgmt | For | For | For | |||||
6 | Elect Alexander M. Cutler | Mgmt | For | For | For | |||||
7 | Elect Eleuthere I. Du Pont | Mgmt | For | For | For | |||||
8 | Elect Marillyn A. Hewson | Mgmt | For | For | For | |||||
9 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
10 | Elect Ellen J. Kullman | Mgmt | For | For | For | |||||
11 | Elect Lee M. Thomas | 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 Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Genetically Modified Organisms | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Report on Executive Compensation | ShrHoldr | Against | For | Against |
Page 37
Ensco plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESV | CUSIP G3157S106 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
3 | Elect Mary Francis | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
6 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
9 | Accounts and Reports | Mgmt | For | For | For | |||||
10 | Repeal of Classified Board | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For |
Gap Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPS | CUSIP 364760108 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adrian D.P. Bellamy | Mgmt | For | For | For | |||||
2 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
3 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
4 | Elect William S. Fisher | Mgmt | For | For | For | |||||
5 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
6 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
7 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
8 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
9 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
10 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 38
General Electric Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GE | CUSIP 369604103 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect W. Geoffrey Beattie | Mgmt | For | Against | Against | |||||
2 | Elect John J. Brennan | Mgmt | For | Against | Against | |||||
3 | Elect James I. Cash, Jr. | Mgmt | For | Against | Against | |||||
4 | Elect Francisco D’Souza | Mgmt | For | Against | Against | |||||
5 | Elect Marijn E. Dekkers | Mgmt | For | Against | Against | |||||
6 | Elect Ann M. Fudge | Mgmt | For | Against | Against | |||||
7 | Elect Susan Hockfield | Mgmt | For | Against | Against | |||||
8 | Elect Jeffrey R. Immelt | Mgmt | For | Against | Against | |||||
9 | Elect Andrea Jung | Mgmt | For | Against | Against | |||||
10 | Elect Robert W. Lane | Mgmt | For | Against | Against | |||||
11 | Elect Ralph S. Larsen | Mgmt | For | Against | Against | |||||
12 | Elect Rochelle B. Lazarus | Mgmt | For | Against | Against | |||||
13 | Elect James J. Mulva | Mgmt | For | Against | Against | |||||
14 | Elect Mary L. Schapiro | Mgmt | For | Against | Against | |||||
15 | Elect Robert J. Swieringa | Mgmt | For | Against | Against | |||||
16 | Elect James S. Tisch | Mgmt | For | Against | Against | |||||
17 | Elect Douglas A. Warner III | Mgmt | For | Against | Against | |||||
18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
19 | Ratification of Auditor | Mgmt | For | For | For | |||||
20 | Shareholder Proposal Regarding Cessation of All Stock Options and Bonuses | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Term Limits | ShrHoldr | Against | Against | For | |||||
22 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
23 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
24 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
25 | Shareholder Proposal Regarding Double Board Nominees | ShrHoldr | Against | Against | For |
Page 39
Honeywell International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HON | CUSIP 438516106 | 04/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gordon M. Bethune | Mgmt | For | For | For | |||||
2 | Elect Kevin Burke | Mgmt | For | For | For | |||||
3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
4 | Elect David M. Cote | Mgmt | For | For | For | |||||
5 | Elect D. Scott Davis | Mgmt | For | For | For | |||||
6 | Elect Linnet F. Deily | Mgmt | For | Against | Against | |||||
7 | Elect Judd Gregg | Mgmt | For | For | For | |||||
8 | Elect Lord Clive Hollick | Mgmt | For | For | For | |||||
9 | Elect Grace D. Lieblein | Mgmt | For | For | For | |||||
10 | Elect George Paz | Mgmt | For | For | For | |||||
11 | Elect Bradley T. Sheares | Mgmt | For | For | For | |||||
12 | Elect Robin L. Washington | 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 | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Page 40
Intel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTC | CUSIP 458140100 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
2 | Elect Andy D. Bryant | Mgmt | For | For | For | |||||
3 | Elect Susan L. Decker | Mgmt | For | For | For | |||||
4 | Elect John J. Donahoe | Mgmt | For | For | For | |||||
5 | Elect Reed E. Hundt | Mgmt | For | For | For | |||||
6 | Elect James D. Plummer | Mgmt | For | For | For | |||||
7 | Elect David S. Pottruck | Mgmt | For | For | For | |||||
8 | Elect Frank D. Yeary | Mgmt | For | For | For | |||||
9 | Elect David B. Yoffie | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Johnson & Johnson
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JNJ | CUSIP 478160104 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Sue Coleman | Mgmt | For | For | For | |||||
2 | Elect James G. Cullen | Mgmt | For | For | For | |||||
3 | Elect Ian E.L. Davis | Mgmt | For | For | For | |||||
4 | Elect Alex Gorsky | Mgmt | For | For | For | |||||
5 | Elect Michael M. E. Johns | Mgmt | For | For | For | |||||
6 | Elect Susan L. Lindquist | Mgmt | For | For | For | |||||
7 | Elect Anne M. Mulcahy | Mgmt | For | For | For | |||||
8 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
9 | Elect William D. Perez | Mgmt | For | For | For | |||||
10 | Elect Charles Prince | Mgmt | For | For | For | |||||
11 | Elect A. Eugene Washington | Mgmt | For | For | For | |||||
12 | Elect Ronald A. Williams | 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 Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Political Contributions and Corporate Values Report | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Page 41
JPMorgan Chase & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JPM | CUSIP 46625H100 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James A. Bell | Mgmt | For | For | For | |||||
2 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
3 | Elect Stephen B. Burke | Mgmt | For | For | For | |||||
4 | Elect David M. Cote | Mgmt | For | For | For | |||||
5 | Elect James S. Crown | Mgmt | For | For | For | |||||
6 | Elect James Dimon | Mgmt | For | For | For | |||||
7 | Elect Timothy P. Flynn | Mgmt | For | For | For | |||||
8 | Elect Ellen V. Futter | Mgmt | For | For | For | |||||
9 | Elect Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
11 | Elect William C. Weldon | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Allow Shareholders to Act by Written Consent | Mgmt | For | For | For | |||||
15 | Key Executive Performance Plan | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Genocide-Free Investing | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 42
Kimco Realty Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KIM | CUSIP 49446R109 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Milton Cooper | Mgmt | For | For | For | |||||
1.2 | Elect Philip E. Coviello | Mgmt | For | For | For | |||||
1.3 | Elect Richard G. Dooley | Mgmt | For | For | For | |||||
1.4 | Elect Joe Grills | Mgmt | For | For | For | |||||
1.5 | Elect David B. Henry | Mgmt | For | For | For | |||||
1.6 | Elect F. Patrick Hughes | Mgmt | For | For | For | |||||
1.7 | Elect Frank Lourenso | Mgmt | For | For | For | |||||
1.8 | Elect Colombe M. Nicholas | Mgmt | For | For | For | |||||
1.9 | Elect Richard Saltzman | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Koninklijke Philips Electronics N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PHIA | CUSIP 500472303 | 05/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Elect C.A. Poon | Mgmt | For | For | For | |||||
6 | Elect J.J. Schiro | Mgmt | For | For | For | |||||
7 | Elect J. van der Veer | Mgmt | For | For | For | |||||
8 | Long Term Incentive Plan | Mgmt | For | For | For | |||||
9 | Accelerate! Grant for the Management Board | Mgmt | For | For | For | |||||
10 | Amendments to Articles | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
12 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
14 | Authority to Cancel Shares | Mgmt | For | For | For |
Page 43
Kraft Foods Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KRFT | CUSIP 50076Q106 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Abelardo E. Bru | Mgmt | For | For | For | |||||
2 | Elect Jeanne P. Jackson | Mgmt | For | For | For | |||||
3 | Elect E. Follin Smith | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||||
6 | Reapproval of the 2012 Performance Incentive Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Genetically Modified Organisms | ShrHoldr | Against | Against | For |
Page 44
Lennar Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LEN | CUSIP 526057302 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irving Bolotin | Mgmt | For | For | For | |||||
1.2 | Elect Steven L. Gerard | Mgmt | For | For | For | |||||
1.3 | Elect Theron I. Gilliam | Mgmt | For | For | For | |||||
1.4 | Elect Sherrill W. Hudson | Mgmt | For | For | For | |||||
1.5 | Elect R. Kirk Landon | Mgmt | For | For | For | |||||
1.6 | Elect Sidney Lapidus | Mgmt | For | For | For | |||||
1.7 | Elect Stuart A. Miller | Mgmt | For | For | For | |||||
1.8 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Maxim Integrated Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MXIM | CUSIP 57772K101 | 11/14/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tunc Doluca | Mgmt | For | For | For | |||||
1.2 | Elect B. Kipling Hagopian | Mgmt | For | For | For | |||||
1.3 | Elect James Bergman | Mgmt | For | For | For | |||||
1.4 | Elect Joseph Bronson | Mgmt | For | For | For | |||||
1.5 | Elect Robert Grady | Mgmt | For | For | For | |||||
1.6 | Elect William Watkins | Mgmt | For | For | For | |||||
1.7 | Elect A.R. Frank Wazzan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2008 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 1996 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 45
MeadWestvaco Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MWV | CUSIP 583334107 | 04/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael E. Campbell | Mgmt | For | For | For | |||||
2 | Elect James G. Kaiser | Mgmt | For | For | For | |||||
3 | Elect Richard B. Kelson | Mgmt | For | For | For | |||||
4 | Elect James M. Kilts | Mgmt | For | For | For | |||||
5 | Elect Susan J. Kropf | Mgmt | For | For | For | |||||
6 | Elect Douglas S. Luke | Mgmt | For | For | For | |||||
7 | Elect John A. Luke, Jr. | Mgmt | For | For | For | |||||
8 | Elect Gracia C. Martore | Mgmt | For | For | For | |||||
9 | Elect Timothy H. Powers | Mgmt | For | For | For | |||||
10 | Elect Jane L. Warner | Mgmt | For | For | For | |||||
11 | Elect Alan D. Wilson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Performance Incentive Plan | Mgmt | For | For | For |
Medtronic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDT | CUSIP 585055106 | 08/23/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Victor Dzau | Mgmt | For | For | For | |||||
1.3 | Elect Omar Ishrak | Mgmt | For | For | For | |||||
1.4 | Elect Shirley Jackson | Mgmt | For | For | For | |||||
1.5 | Elect Michael Leavitt | Mgmt | For | For | For | |||||
1.6 | Elect James Lenehan | Mgmt | For | For | For | |||||
1.7 | Elect Denise O’Leary | Mgmt | For | For | For | |||||
1.8 | Elect Kendall Powell | Mgmt | For | For | For | |||||
1.9 | Elect Robert Pozen | Mgmt | For | For | For | |||||
1.10 | Elect Jack Schuler | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 46
Microchip Technology Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCHP | CUSIP 595017104 | 08/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Steve Sanghi | Mgmt | For | For | For | |||||
1.2 | Elect Albert Hugo-Martinez | Mgmt | For | For | For | |||||
1.3 | Elect L. B. Day | Mgmt | For | For | For | |||||
1.4 | Elect Matthew Chapman | Mgmt | For | For | For | |||||
1.5 | Elect Wade Meyercord | Mgmt | For | For | For | |||||
2 | Amendment to the 2004 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Conversion of Debt Instruments | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Mondelez International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
2 | Elect Lewis W.K. Booth | Mgmt | For | For | For | |||||
3 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
4 | Elect Mark D. Ketchum | Mgmt | For | For | For | |||||
5 | Elect Jorge S. Mesquita | Mgmt | For | For | For | |||||
6 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
7 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
8 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
9 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
10 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
11 | Elect Jean-Francois M. L. van Boxmeer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Extended Producer Responsibility | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Gender Equality in the Supply Chain | ShrHoldr | Against | Against | For |
Page 47
Nabors Industries Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NBR | CUSIP G6359F103 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James R. Crane | Mgmt | For | For | For | |||||
1.2 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
1.3 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
1.4 | Elect Howard Wolf | Mgmt | For | For | For | |||||
1.5 | Elect John Yearwood | Mgmt | For | For | For | |||||
2 | Ratification of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | 2013 Incentive Bonus Plan | Mgmt | For | For | For | |||||
4 | 2013 Stock Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
10 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 48
New York Community Bancorp, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NYCB | CUSIP 649445103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael J. Levine | Mgmt | For | For | For | |||||
2 | Elect John M. Tsimbinos | Mgmt | For | For | For | |||||
3 | Elect Ronald A Rosenfeld | Mgmt | For | For | For | |||||
4 | Elect Lawrence J. Savarese | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Packaging Corporation of America
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PKG | CUSIP 695156109 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Cheryl K. Beebe | Mgmt | For | For | For | |||||
2 | Elect Hasan Jameel | Mgmt | For | For | For | |||||
3 | Elect Mark W. Kowlzan | Mgmt | For | For | For | |||||
4 | Elect Robert C. Lyons | Mgmt | For | For | For | |||||
5 | Elect Samuel Mencoff | Mgmt | For | For | For | |||||
6 | Elect Roger B. Porter | Mgmt | For | For | For | |||||
7 | Elect Thomas S. Souleles | Mgmt | For | For | For | |||||
8 | Elect Paul T. Stecko | Mgmt | For | For | For | |||||
9 | Elect James D. Woodrum | Mgmt | For | For | For | |||||
10 | Amendment to the 1999 Long-Term Equity Incentive Plan | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 49
Pentair Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNR | CUSIP H6169Q108 | 04/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect T. Michael Glenn | Mgmt | For | For | For | |||||
2 | Elect David H. Y. Ho | Mgmt | For | For | For | |||||
3 | Elect Ronald L. Merriman | Mgmt | For | For | For | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Ratification of Board Acts | Mgmt | For | For | For | |||||
6 | Appointment of Statutory Auditor | Mgmt | For | For | For | |||||
7 | Appointment of Auditor | Mgmt | For | For | For | |||||
8 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
9 | Allocation of Net Loss | Mgmt | For | For | For | |||||
10 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Approval of Performance Goals and Related Matters under the 2012 Stock and Incentive Plan | Mgmt | For | Against | Against |
PepsiCo, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEP | CUSIP 713448108 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Shona L. Brown | Mgmt | For | For | For | |||||
2 | Elect George W. Buckley | Mgmt | For | For | For | |||||
3 | Elect Ian M. Cook | Mgmt | For | For | For | |||||
4 | Elect Dina Dublon | Mgmt | For | For | For | |||||
5 | Elect Victor J. Dzau | Mgmt | For | For | For | |||||
6 | Elect Ray L. Hunt | Mgmt | For | For | For | |||||
7 | Elect Alberto Ibarguen | Mgmt | For | For | For | |||||
8 | Elect Indra K. Nooyi | Mgmt | For | For | For | |||||
9 | Elect Sharon Percy Rockefeller | Mgmt | For | For | For | |||||
10 | Elect James J. Schiro | Mgmt | For | For | For | |||||
11 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
12 | Elect Daniel Vasella | Mgmt | For | For | For | |||||
13 | Elect Alberto Weisser | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 50
Pfizer Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFE | CUSIP 717081103 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Dennis A. Ausiello | Mgmt | For | For | For | |||||
2 | Elect M. Anthony Burns | Mgmt | For | For | For | |||||
3 | Elect W. Don Cornwell | Mgmt | For | For | For | |||||
4 | Elect Frances D. Fergusson | Mgmt | For | For | For | |||||
5 | Elect William H. Gray, III | Mgmt | For | For | For | |||||
6 | Elect Helen H. Hobbs | Mgmt | For | For | For | |||||
7 | Elect Constance J. Horner | Mgmt | For | For | For | |||||
8 | Elect James M. Kilts | Mgmt | For | For | For | |||||
9 | Elect George A. Lorch | Mgmt | For | For | For | |||||
10 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
11 | Elect Ian C. Read | Mgmt | For | For | For | |||||
12 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
13 | Elect Marc Tessier-Lavigne | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Regal Entertainment Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RGC | CUSIP 758766109 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas D. Bell, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect David H. Keyte | Mgmt | For | For | For | |||||
1.3 | Elect Amy E. Miles | Mgmt | For | For | For | |||||
1.4 | Elect Lee M. Thomas | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Annual Executive Incentive Program and 2002 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 51
Seagate Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STX | CUSIP G7945M107 | 10/24/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen Luczo | Mgmt | For | For | For | |||||
2 | Elect Frank Biondi, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael Cannon | Mgmt | For | For | For | |||||
4 | Elect Mei-Wei Cheng | Mgmt | For | For | For | |||||
5 | Elect William Coleman | Mgmt | For | For | For | |||||
6 | Elect Jay Geldmacher | Mgmt | For | For | For | |||||
7 | Elect Seh-Woong Jeong | Mgmt | For | For | For | |||||
8 | Elect Lydia Marshall | Mgmt | For | For | For | |||||
9 | Elect Kristen Onken | Mgmt | For | For | For | |||||
10 | Elect Chong Sup Park | Mgmt | For | For | For | |||||
11 | Elect Gregorio Reyes | Mgmt | For | For | For | |||||
12 | Elect Edward Zander | Mgmt | For | For | For | |||||
13 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
14 | Authority to Issue Treasury Shares | Mgmt | For | For | For | |||||
15 | Location of 2013 Annual Meeting | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Ratification of Auditor | Mgmt | For | For | For |
Page 52
SLM Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLM | CUSIP 78442P106 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ann Torre Bates | Mgmt | For | For | For | |||||
2 | Elect William M. Diefenderfer III | Mgmt | For | For | For | |||||
3 | Elect Diane Suitt Gilleland | Mgmt | For | For | For | |||||
4 | Elect Earl A. Goode | Mgmt | For | For | For | |||||
5 | Elect Ronald F. Hunt | Mgmt | For | For | For | |||||
6 | Elect Albert L. Lord | Mgmt | For | For | For | |||||
7 | Elect Barry A. Munitz | Mgmt | For | For | For | |||||
8 | Elect Howard H. Newman | Mgmt | For | For | For | |||||
9 | Elect Frank C. Puleo | Mgmt | For | For | For | |||||
10 | Elect Wolfgang Schoellkopf | Mgmt | For | For | For | |||||
11 | Elect Steven L. Shapiro | Mgmt | For | For | For | |||||
12 | Elect Anthony Terracciano | Mgmt | For | For | For | |||||
13 | Elect Barry Lawson Williams | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
State Street Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STT | CUSIP 857477103 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kennett F. Burnes | Mgmt | For | For | For | |||||
2 | Elect Peter Coym | Mgmt | For | For | For | |||||
3 | Elect Patrick de Saint-Aignan | Mgmt | For | For | For | |||||
4 | Elect Amelia C. Fawcett | Mgmt | For | For | For | |||||
5 | Elect Linda A. Hill | Mgmt | For | For | For | |||||
6 | Elect Joseph L. Hooley | Mgmt | For | For | For | |||||
7 | Elect Robert S. Kaplan | Mgmt | For | For | For | |||||
8 | Elect Richard P. Sergel | Mgmt | For | For | For | |||||
9 | Elect Ronald L. Skates | Mgmt | For | For | For | |||||
10 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
11 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 53
TE Connectivity Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEL | CUSIP H84989104 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Pierre R. Brondeau | Mgmt | For | For | For | |||||
2 | Elect Juergen W. Gromer | Mgmt | For | For | For | |||||
3 | Elect William A. Jeffrey | Mgmt | For | For | For | |||||
4 | Elect Thomas J. Lynch | Mgmt | For | For | For | |||||
5 | Elect Yong Nam | Mgmt | For | For | For | |||||
6 | Elect Daniel J. Phelan | Mgmt | For | For | For | |||||
7 | Elect Frederic M. Poses | Mgmt | For | For | For | |||||
8 | Elect Lawrence S. Smith | Mgmt | For | For | For | |||||
9 | Elect Paula A. Sneed | Mgmt | For | For | For | |||||
10 | Elect David P. Steiner | Mgmt | For | For | For | |||||
11 | Elect John C. Van Scoter | Mgmt | For | For | For | |||||
12 | 2012 Annual Report | Mgmt | For | For | For | |||||
13 | Statutory Financial Statements | Mgmt | For | For | For | |||||
14 | Consolidated Financial Statements | Mgmt | For | For | For | |||||
15 | Release Board of Directors and Executive Officers | Mgmt | For | For | For | |||||
16 | Deloitte & Touche | Mgmt | For | For | For | |||||
17 | Deloitte AG, Zurich | Mgmt | For | For | For | |||||
18 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
19 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
20 | Declaration of Dividend | Mgmt | For | For | For | |||||
21 | Renewal of Authorized Capital | Mgmt | For | For | For | |||||
22 | Reduction of Share Capital Under the Share Repurchase Program | Mgmt | For | For | For | |||||
23 | Right to Adjourn Meeting | Mgmt | For | For | For |
Page 54
TE Connectivity Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEL | CUSIP H84989104 | 07/25/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reallocation of Legal Reserves to Free Reserves | Mgmt | For | For | For | |||||
2 | Right to Adjourn Meeting | Mgmt | For | For | For |
Teleflex Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TFX | CUSIP 879369106 | 05/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Patricia C. Barron | Mgmt | For | For | For | |||||
2 | Elect W. Kim Foster | Mgmt | For | For | For | |||||
3 | Elect Jeffrey A. Graves | Mgmt | For | For | For | |||||
4 | Elect James W. Zug | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Textron Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TXT | CUSIP 883203101 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
2 | Elect Kathleen M. Bader | Mgmt | For | For | For | |||||
3 | Elect R. Kerry Clark | Mgmt | For | For | For | |||||
4 | Elect James T. Conway | Mgmt | For | For | For | |||||
5 | Elect Ivor J. Evans | Mgmt | For | For | For | |||||
6 | Elect Lawrence K. Fish | Mgmt | For | For | For | |||||
7 | Elect Paul E. Gagne | Mgmt | For | For | For | |||||
8 | Elect Dain M. Hancock | Mgmt | For | For | For | |||||
9 | Elect Charles D. Powell | Mgmt | For | For | For | |||||
10 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
11 | Elect James L. Ziemer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 55
The Allstate Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALL | CUSIP 020002101 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect F. Duane Ackerman | Mgmt | For | For | For | |||||
2 | Elect Robert D. Beyer | Mgmt | For | For | For | |||||
3 | Elect Kermit R. Crawford | Mgmt | For | For | For | |||||
4 | Elect Jack M. Greenberg | Mgmt | For | For | For | |||||
5 | Elect Herbert L. Henkel | Mgmt | For | For | For | |||||
6 | Elect Ronald T. LeMay | Mgmt | For | For | For | |||||
7 | Elect Andrea Redmond | Mgmt | For | For | For | |||||
8 | Elect H. John Riley, Jr. | Mgmt | For | For | For | |||||
9 | Elect John W. Rowe | Mgmt | For | For | For | |||||
10 | Elect Judith A. Sprieser | Mgmt | For | For | For | |||||
11 | Elect Mary Alice Taylor | Mgmt | For | For | For | |||||
12 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
The Home Depot, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HD | CUSIP 437076102 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect F. Duane Ackerman | Mgmt | For | For | For | |||||
2 | Elect Francis S. Blake | Mgmt | For | For | For | |||||
3 | Elect Ari Bousbib | Mgmt | For | For | For | |||||
4 | Elect Gregory D. Brenneman | Mgmt | For | For | For | |||||
5 | Elect J. Frank Brown | Mgmt | For | For | For | |||||
6 | Elect Albert P. Carey | Mgmt | For | For | For | |||||
7 | Elect Armando M. Codina | Mgmt | For | For | For | |||||
8 | Elect Bonnie G. Hill | Mgmt | For | For | For | |||||
9 | Elect Karen Katen | Mgmt | For | For | For | |||||
10 | Elect Mark Vadon | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Approval of the Material Terms under the Management Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Omnibus Stock Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Stormwater Management Policy | ShrHoldr | Against | Against | For |
Page 56
The Travelers Companies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TRV | CUSIP 89417E109 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alan L. Beller | Mgmt | For | For | For | |||||
2 | Elect John H. Dasburg | Mgmt | For | For | For | |||||
3 | Elect Janet M. Dolan | Mgmt | For | For | For | |||||
4 | Elect Kenneth M. Duberstein | Mgmt | For | For | For | |||||
5 | Elect Jay S. Fishman | Mgmt | For | For | For | |||||
6 | Elect Patricia L. Higgins | Mgmt | For | For | For | |||||
7 | Elect Thomas R. Hodgson | Mgmt | For | For | For | |||||
8 | Elect William J. Kane | Mgmt | For | For | For | |||||
9 | Elect Cleve L. Killingsworth, Jr. | Mgmt | For | For | For | |||||
10 | Elect Donald J. Shepard | Mgmt | For | For | For | |||||
11 | Elect Laurie J. Thomsen | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Authorization of Preferred Stock | Mgmt | For | Against | Against | |||||
15 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against |
Page 57
Thermo Fisher Scientific Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TMO | CUSIP 883556102 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect C. Martin Harris | Mgmt | For | For | For | |||||
2 | Elect Judy C. Lewent | Mgmt | For | For | For | |||||
3 | Elect Jim P. Manzi | Mgmt | For | For | For | |||||
4 | Elect Lars R. Sorenson | Mgmt | For | For | For | |||||
5 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
6 | Elect Marc N. Casper | Mgmt | For | For | For | |||||
7 | Elect Nelson J. Chai | Mgmt | For | For | For | |||||
8 | Elect Tyler Jacks | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
11 | 2013 Annual Incentive Award Plan | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Time Warner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TWX | CUSIP 887317303 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James L. Barksdale | Mgmt | For | For | For | |||||
2 | Elect William P. Barr | Mgmt | For | For | For | |||||
3 | Elect Jeffrey L. Bewkes | Mgmt | For | For | For | |||||
4 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
5 | Elect Robert C. Clark | Mgmt | For | For | For | |||||
6 | Elect Mathias Dopfner | Mgmt | For | For | For | |||||
7 | Elect Jessica P. Einhorn | Mgmt | For | For | For | |||||
8 | Elect Fred Hassan | Mgmt | For | For | For | |||||
9 | Elect Kenneth J. Novack | Mgmt | For | For | For | |||||
10 | Elect Paul D. Wachter | Mgmt | For | For | For | |||||
11 | Elect Deborah C. Wright | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2013 Stock Incentive Plan | Mgmt | For | For | For |
Page 58
Tyco International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYC | CUSIP H89128104 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Ratification of Board Acts | Mgmt | For | For | For | |||||
3.1 | Elect Edward D. Breen | Mgmt | For | For | For | |||||
3.2 | Elect Michael E. Daniels | Mgmt | For | For | For | |||||
3.3 | Elect Frank M. Drendel | Mgmt | For | For | For | |||||
3.4 | Elect Brian Duperreault | Mgmt | For | For | For | |||||
3.5 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
3.6 | Elect John A. Krol | Mgmt | For | For | For | |||||
3.7 | Elect George R. Oliver | Mgmt | For | For | For | |||||
3.8 | Elect Brendan R. O’Neill | Mgmt | For | For | For | |||||
3.9 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
3.10 | Elect R. David Yost | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Renewal of Authorized Share Capital | Mgmt | For | For | For | |||||
11 | Approval of a Reduction in Registered Share Capital | Mgmt | For | For | For |
Page 59
Tyco International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYC | CUSIP H89128104 | 09/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | The ADT Spin-off | Mgmt | For | For | For | |||||
2 | The Tyco Flow Control Spin-off | Mgmt | For | For | For | |||||
3.1 | Elect George Oliver | Mgmt | For | For | For | |||||
3.2 | Elect Frank Drendel | Mgmt | For | For | For | |||||
4 | Approval of Ordinary Cash Dividends | Mgmt | For | For | For | |||||
5 | 2012 Stock and Incentive Plan | Mgmt | For | For | For |
Valero Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VLO | CUSIP 91913Y100 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jerry D. Choate | Mgmt | For | For | For | |||||
2 | Elect Ruben M. Escobedo | Mgmt | For | For | For | |||||
3 | Elect William R. Klesse | Mgmt | For | For | For | |||||
4 | Elect Deborah P. Majoras | Mgmt | For | For | For | |||||
5 | Elect Bob Marbut | Mgmt | For | For | For | |||||
6 | Elect Donald L. Nickles | Mgmt | For | For | For | |||||
7 | Elect Phillip J. Pfeiffer | Mgmt | For | For | For | |||||
8 | Elect Robert A. Profusek | Mgmt | For | For | For | |||||
9 | Elect Susan K. Purcell | Mgmt | For | For | For | |||||
10 | Elect Stephen M. Waters | Mgmt | For | For | For | |||||
11 | Elect Randall J. Weisenburger | Mgmt | For | For | For | |||||
12 | Elect Rayford Wilkins Jr. | 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 Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 60
Windstream Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WIN | CUSIP 97381W104 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carol B. Armitage | Mgmt | For | For | For | |||||
2 | Elect Samuel E. Beall III | Mgmt | For | For | For | |||||
3 | Elect Dennis E. Foster | Mgmt | For | For | For | |||||
4 | Elect Francis X. Frantz | Mgmt | For | For | For | |||||
5 | Elect Jeffery R. Gardner | Mgmt | For | For | For | |||||
6 | Elect Jeffrey T. Hinson | Mgmt | For | For | For | |||||
7 | Elect Judy K. Jones | Mgmt | For | For | For | |||||
8 | Elect William A. Montgomery | Mgmt | For | For | For | |||||
9 | Elect Alan L. Wells | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
13 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against | |||||
14 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 61
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Emerging Markets Equities Fund
African Minerals Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMI | CINS G0114P100 | 08/02/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Board Size | Mgmt | For | For | For | |||||
5 | Elect Vasile (Frank) Timis | Mgmt | For | For | For | |||||
6 | Elect Gibril Bangura | Mgmt | For | For | For | |||||
7 | Elect Dermot Coughlan | Mgmt | For | For | For | |||||
8 | Elect Cui Jurong | Mgmt | For | For | For | |||||
9 | Amendments to Bye-Laws Regarding Share Interest Enquiries | Mgmt | For | Against | Against | |||||
10 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Anhui Conch Cement Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0914 | CINS Y01373102 | 08/21/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | China |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Conditions of the Issue | Mgmt | For | For | For | |||||
4 | Issue Amount | Mgmt | For | For | For | |||||
5 | Maturity | Mgmt | For | For | For | |||||
6 | Interest Rate | Mgmt | For | For | For | |||||
7 | Issue Price | Mgmt | For | For | For | |||||
8 | Use of Proceeds | Mgmt | For | For | For | |||||
9 | Target and Placing Arrangement | Mgmt | For | For | For | |||||
10 | Guarantee | Mgmt | For | For | For | |||||
11 | Validity Period | Mgmt | For | For | For | |||||
12 | Safeguarding Measures | Mgmt | For | For | For | |||||
13 | Authorization | Mgmt | For | For | For | |||||
14 | Amendments to Articles | Mgmt | For | For | For | |||||
15 | Amendments to Business Scope | Mgmt | For | For | For | |||||
16 | Authority to Give Guarantees | Mgmt | For | For | For | |||||
17 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 62
China Life Insurance Company Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2628 | CINS Y1477R204 | 07/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | China |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Elect YANG Mingsheng | Mgmt | For | For | For | |||||
4 | Elect WAN Feng | Mgmt | For | For | For | |||||
5 | Elect LIN Dairen | Mgmt | For | For | For | |||||
6 | Elect LIU Yingqi | Mgmt | For | For | For | |||||
7 | Elect MIAO Jianmin | Mgmt | For | For | For | |||||
8 | Elect ZHANG Xiangxian | Mgmt | For | For | For | |||||
9 | Elect WANG Sidong | Mgmt | For | For | For | |||||
10 | Elect SUN Changji | Mgmt | For | For | For | |||||
11 | Elect Bruce Moore | Mgmt | For | For | For | |||||
12 | Elect Anthony NEOH | Mgmt | For | For | For | |||||
13 | Elect XIA Zhihua as Supervisor | Mgmt | For | For | For | |||||
14 | Elect SHI Xiangming as Supervisor | Mgmt | For | For | For | |||||
15 | Elect TANG Jianbang | Mgmt | For | For | For | |||||
16 | Elect LUO Zhongmin as Supervisor | Mgmt | For | For | For |
China National Building Material Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3323 | CINS Y15045100 | 09/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | China |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Extension of Validity Period for A Share Issue | Mgmt | For | For | For | |||||
4 | Ratification of Board Acts | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
China National Building Material Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3323 | CINS Y15045100 | 09/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | China |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Extension of Validity Period for A Share Issue | Mgmt | For | For | For | |||||
4 | Ratification of Board Acts | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 63
Cnooc Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0883 | CUSIP 126132109 | 08/21/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | The Coalbed Methane Resources Exploration and Development Cooperation Agreement | Mgmt | N/A | For | N/A |
Eurasia Drilling Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EDCL | CINS 29843U202 | 09/28/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Martin Hansen | Mgmt | For | For | For | |||||
2 | Elect Maurice Dijols | Mgmt | For | For | For | |||||
3 | Elect Anatoly Kozyrev | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For |
SINA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SINA | CUSIP G81477104 | 08/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Yan Wang | Mgmt | For | For | For | |||||
2 | Elect Song-Yi Zhang | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Amendment to Articles Regarding Right to Call a Special Meeting | Mgmt | For | Against | Against |
Page 64
Singapore Airlines Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C6L | CINS Y7992P128 | 07/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Singapore |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Elect William FUNG Kwok Lun | Mgmt | For | For | For | |||||
5 | Elect Christina Ong | Mgmt | For | For | For | |||||
6 | Elect Helmut Panke | Mgmt | For | For | For | |||||
7 | Elect Jackson Tai | Mgmt | For | For | For | |||||
8 | Directors’ Fees | Mgmt | For | For | For | |||||
9 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | Authority to Grant Awards and Issue Shares under Employee Incentive Plans | Mgmt | For | Against | Against | |||||
12 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Singapore Airlines Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C6L | CINS Y7992P128 | 07/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Singapore |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
2 | Related Party Transactions | Mgmt | For | For | For |
Page 65
Singapore Telecommunications Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
Z74 | CINS Y79985209 | 07/27/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Singapore |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect CHUA Sock Koong | Mgmt | For | For | For | |||||
4 | Elect FANG Ai Lian | Mgmt | For | For | For | |||||
5 | Elect Kaikhushru Nargolwala | Mgmt | For | For | For | |||||
6 | Elect ONG Peng Tsin | Mgmt | For | For | For | |||||
7 | Elect Bobby CHIN Yoke Choong | Mgmt | For | For | For | |||||
8 | Directors’ Fees | Mgmt | For | For | For | |||||
9 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
12 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
13 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
14 | Authority to Grant Awards and Issue Shares under Equity Incentive Plan(s) | Mgmt | For | For | For | |||||
15 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Singapore Telecommunications Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
Z74 | CINS Y79985209 | 07/27/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Singapore |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
2 | Adoption of the SingTel Performance Share Plan 2012 | Mgmt | For | For | For | |||||
3 | Participation of CHUA Sock Koong in SingTel Performance Share Plan 2012 | Mgmt | For | For | For |
YPF SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YPFD | CUSIP 984245100 | 07/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Meeting Delegates | Mgmt | N/A | For | N/A | |||||
2 | Accounts and Reports | Mgmt | N/A | For | N/A | |||||
3 | Ratification of Board Acts | Mgmt | N/A | For | N/A | |||||
4 | Allocation of Profits | Mgmt | For | For | For | |||||
5 | Scrip Dividend | Mgmt | N/A | For | N/A | |||||
6 | Ratification of Directors’ Fees | Mgmt | N/A | For | N/A | |||||
7 | Ratification of Supervisory Council’s Fees | Mgmt | For | For | For | |||||
8 | Directors’ and Supervisory Council’s Fees | Mgmt | N/A | For | N/A | |||||
9 | Ratification of Auditor’s Fees | Mgmt | For | For | For | |||||
10 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 66
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Growth Equities Fund
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
2 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
3 | Elect Robert Ripp | Mgmt | For | For | For | |||||
4 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | 2012 Annual Report | Mgmt | For | For | For | |||||
7 | Statutory Financial Statements | Mgmt | For | For | For | |||||
8 | Consolidated Financial Statements | Mgmt | For | For | For | |||||
9 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Discharge of Board of Directors | Mgmt | For | For | For | |||||
11 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
12 | PricewaterhouseCoopers | Mgmt | For | For | For | |||||
13 | BDO AG, Zurich | Mgmt | For | For | For | |||||
14 | Amendment to the 2004 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Distribution Via Par Value Reduction | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 67
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard J. Harshman | Mgmt | For | For | For | |||||
1.2 | Elect Carolyn Corvi | Mgmt | For | For | For | |||||
1.3 | Elect Barbara S. Jeremiah | Mgmt | For | For | For | |||||
1.4 | Elect John D. Turner | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
AMETEK, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AME | CUSIP 031100100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ruby R. Chandy | Mgmt | For | For | For | |||||
1.2 | Elect Charles D. Klein | Mgmt | For | For | For | |||||
1.3 | Elect Steven W. Kohlhagen | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 68
ANSYS, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANSS | CUSIP 03662Q105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald W. Hovsepian | Mgmt | For | For | For | |||||
2 | Elect Michael Thurk | Mgmt | For | For | For | |||||
3 | Elect Barbara V. Scherer | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3.1 | Elect Annette Franqui | Mgmt | For | For | For | |||||
3.2 | Elect C. Hernandez-Artigas | Mgmt | For | For | For | |||||
3.3 | Elect A. Ramirez Magana | Mgmt | For | For | For |
Ariad Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARIA | CUSIP 04033A100 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Athanase Lavidas | Mgmt | For | For | For | |||||
1.2 | Elect Massimo Radaelli | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 69
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Sir John Buchanan | Mgmt | For | For | For | |||||
5 | Elect Warren A. East | Mgmt | For | For | For | |||||
6 | Elect Andy Green | Mgmt | For | For | For | |||||
7 | Elect Larry Hirst | Mgmt | For | For | For | |||||
8 | Elect Mike Muller | Mgmt | For | For | For | |||||
9 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
10 | Elect Janice Roberts | Mgmt | For | For | For | |||||
11 | Elect Philip Rowley | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Elect Simon Segars | Mgmt | For | For | For | |||||
14 | Appointment of Auditor | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Long Term Incentive Plan | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
19 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
20 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 70
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles D. Baker | Mgmt | For | For | For | |||||
1.2 | Elect Dev Ittycheria | Mgmt | For | For | For | |||||
1.3 | Elect John A. Kane | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2007 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Biomarin Pharmaceutical Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMRN | CUSIP 09061G101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jean-Jacques Bienaime | Mgmt | For | For | For | |||||
1.2 | Elect Michael Grey | Mgmt | For | For | For | |||||
1.3 | Elect Elaine J. Heron | Mgmt | For | For | For | |||||
1.4 | Elect Pierre Lapalme | Mgmt | For | For | For | |||||
1.5 | Elect V. Bryan Lawlis | Mgmt | For | For | For | |||||
1.6 | Elect Richard A. Meier | Mgmt | For | For | For | |||||
1.7 | Elect Alan J. Lewis | Mgmt | For | For | For | |||||
1.8 | Elect William D. Young | Mgmt | For | For | For | |||||
1.9 | Elect Kenneth M. Bate | Mgmt | For | For | For | |||||
2 | Amendment to the 2006 Share Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 71
BorgWarner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BWA | CUSIP 099724106 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jere A. Drummond | Mgmt | For | For | For | |||||
2 | Elect John R. McKernan, Jr. | Mgmt | For | For | For | |||||
3 | Elect Ernest J. Novak, Jr. | Mgmt | For | For | For | |||||
4 | Elect James R. Verrier | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | For | For | For |
CarMax, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMX | CUSIP 143130102 | 06/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald E. Blaylock | Mgmt | For | For | For | |||||
2 | Elect Rakesh Gangwal | Mgmt | For | For | For | |||||
3 | Elect Mitchell D. Steenrod | Mgmt | For | For | For | |||||
4 | Elect Thomas G. Stemberg | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Repeal of Classified Board | Mgmt | For | For | For | |||||
8 | Director & Officer Liability/Indemnification | Mgmt | For | For | For |
Page 72
Cavium Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CAVM | CUSIP 14964U108 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Syed Ali | Mgmt | For | For | For | |||||
1.2 | Elect Anthony S. Thornley | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas L. Gutshall | Mgmt | For | For | For | |||||
2 | Elect Cristina H. Kepner | Mgmt | For | For | For | |||||
3 | Elect David H. Persing | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cerner Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CERN | CUSIP 156782104 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gerald E. Bisbee, Jr. | Mgmt | For | For | For | |||||
2 | Elect Denis A. Cortese | Mgmt | For | For | For | |||||
3 | Elect Linda M. Dillman | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Repeal of Classified Board | Mgmt | For | For | For | |||||
7 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Page 73
Core Laboratories N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CLB | CUSIP N22717107 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect D. John Ogren | Mgmt | For | For | For | |||||
2 | Elect Lucia van Geuns | Mgmt | For | For | For | |||||
3 | Elect Charles L. Dunlap | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Authority to Cancel Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Common and Preference Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Elimination of Preemptive Rights | Mgmt | For | For | For |
Ctrip.com International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTRP | CUSIP 22943F100 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Misc. Article Amendments | Mgmt | For | For | For |
Cummins Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMI | CUSIP 231021106 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect N. Thomas Linebarger | Mgmt | For | For | For | |||||
2 | Elect William I. Miller | Mgmt | For | For | For | |||||
3 | Elect Alexis M. Herman | Mgmt | For | For | For | |||||
4 | Elect Georgia R. Nelson | Mgmt | For | For | For | |||||
5 | Elect Carl Ware | Mgmt | For | For | For | |||||
6 | Elect Robert K. Herdman | Mgmt | For | For | For | |||||
7 | Elect Robert J. Bernhard | Mgmt | For | For | For | |||||
8 | Elect Franklin R. Chang-Diaz | Mgmt | For | For | For | |||||
9 | Elect Stephen B. Dobbs | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 74
Dick’s Sporting Goods Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DKS | CUSIP 253393102 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Emanuel Chirico | Mgmt | For | For | For | |||||
1.2 | Elect Allen R. Weiss | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Discovery Communications Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DISCA | CUSIP 25470F104 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Paul A. Gould | Mgmt | For | For | For | |||||
1.2 | Elect John S. Hendricks | Mgmt | For | For | For | |||||
1.3 | Elect M. LaVoy Robison | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | 2013 Incentive Plan | Mgmt | For | For | For |
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Henry L. Aaron | Mgmt | For | For | For | |||||
2 | Elect Elaine J. Eisenman | Mgmt | For | For | For | |||||
3 | Elect Joanna T. Lau | Mgmt | For | For | For | |||||
4 | Elect Jay L. Schottenstein | Mgmt | For | For | For | |||||
5 | Elect James O’Donnell | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 75
Expeditors International Of Washington, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EXPD | CUSIP 302130109 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter J. Rose | Mgmt | For | For | For | |||||
2 | Elect Robert R. Wright | Mgmt | For | For | For | |||||
3 | Elect Mark A. Emmert | Mgmt | For | For | For | |||||
4 | Elect R. Jordan Gates | Mgmt | For | For | For | |||||
5 | Elect Dan P. Kourkoumelis | Mgmt | For | For | For | |||||
6 | Elect Michael J. Malone | Mgmt | For | For | For | |||||
7 | Elect John W. Meisenbach | Mgmt | For | For | For | |||||
8 | Elect Liane J. Pelletier | Mgmt | For | For | For | |||||
9 | Elect James L.K. Wang | Mgmt | For | For | For | |||||
10 | Elect Tay Yoshitani | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | 2013 Stock Option Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Fastenal Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FAST | CUSIP 311900104 | 04/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert A. Kierlin | Mgmt | For | For | For | |||||
2 | Elect Stephen M. Slaggie | Mgmt | For | For | For | |||||
3 | Elect Michael M. Gostomski | Mgmt | For | For | For | |||||
4 | Elect Willard D. Oberton | Mgmt | For | For | For | |||||
5 | Elect Michael J. Dolan | Mgmt | For | For | For | |||||
6 | Elect Reyne K. Wisecup | Mgmt | For | For | For | |||||
7 | Elect Hugh L. Miller | Mgmt | For | For | For | |||||
8 | Elect Michael J. Ancius | Mgmt | For | For | For | |||||
9 | Elect Scott A. Satterlee | Mgmt | For | For | For | |||||
10 | Elect Rita J. Heise | Mgmt | For | For | For | |||||
11 | Elect Darren R. Jackson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 76
Fresh Market Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TFM | CUSIP 35804H106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ray Berry | Mgmt | For | For | For | |||||
1.2 | Elect Jeffrey Naylor | Mgmt | For | For | For | |||||
1.3 | Elect Jane Thompson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Fusion-IO Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FIO | CUSIP 36112J107 | 11/06/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Forest Baskett | Mgmt | For | For | For | |||||
1.2 | Elect Dana Evan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Gildan Activewear Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GIL | CUSIP 375916103 | 02/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Glenn Chamandy | Mgmt | For | For | For | |||||
1.3 | Elect Russell Goodman | Mgmt | For | For | For | |||||
1.4 | Elect George Heller | Mgmt | For | For | For | |||||
1.5 | Elect Sheila O’Brien | Mgmt | For | For | For | |||||
1.6 | Elect Pierre Robitaille | Mgmt | For | For | For | |||||
1.7 | Elect James Scarborough | Mgmt | For | For | For | |||||
1.8 | Elect Richard Strubel | Mgmt | For | For | For | |||||
1.9 | Elect Gonzalo Valdes-Fauli | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 77
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jiren Liu | Mgmt | For | For | For | |||||
2 | Elect Edward Meyer | Mgmt | For | For | For | |||||
3 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
4 | Elect Hellene Runtagh | Mgmt | For | For | For | |||||
5 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
6 | Elect Gary Steel | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald Moller | Mgmt | For | For | For | |||||
1.2 | Elect David R. Walt | Mgmt | For | For | For | |||||
1.3 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Stock and Incentive Plan | Mgmt | For | For | For |
Intuitive Surgical, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ISRG | CUSIP 46120E602 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Amal M. Johnson | Mgmt | For | For | For | |||||
2 | Elect Eric H. Halvorson | Mgmt | For | For | For | |||||
3 | Elect Alan J. Levy | Mgmt | For | For | For | |||||
4 | Amendment to the 2010 Incentive Award Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Page 78
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Valentin P. Gapontsev | Mgmt | For | For | For | |||||
1.2 | Elect Eugene Shcherbakov | Mgmt | For | For | For | |||||
1.3 | Elect Igor Samartsev | Mgmt | For | For | For | |||||
1.4 | Elect Robert A. Blair | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Child | Mgmt | For | For | For | |||||
1.6 | Elect William F. Krupke | Mgmt | For | For | For | |||||
1.7 | Elect Henry E. Gauthier | Mgmt | For | For | For | |||||
1.8 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Ironwood Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IRWD | CUSIP 46333X108 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Marsha H. Fanucci | Mgmt | For | For | For | |||||
1.2 | Elect Terrance G. McGuire | Mgmt | For | For | For | |||||
1.3 | Elect Edward P. Ownes | Mgmt | For | For | For | |||||
1.4 | Elect Christopher T. Walsh | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael J. Moritz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 79
Lufkin Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LUFK | CUSIP 549764108 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John F. Glick | Mgmt | For | For | For | |||||
2 | Elect John D. Hofmeister | Mgmt | For | For | For | |||||
3 | Elect Amr Z. Selim | Mgmt | For | For | For | |||||
4 | Elect Thomas E. Wiener | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2013 Incentive Stock Compensation Plan | Mgmt | For | For | For |
Michael Kors Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KORS | CUSIP G60754101 | 08/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect M. Benedetto | Mgmt | For | For | For | |||||
2 | Elect Stephen Reitman | Mgmt | For | For | For | |||||
3 | Appointment of Auditor | Mgmt | For | For | For |
Monster Beverage Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MNST | CUSIP 611740101 | 06/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Rodney C. Sacks | Mgmt | For | For | For | |||||
1.2 | Elect Hilton H. Schlosberg | Mgmt | For | For | For | |||||
1.3 | Elect Norman C. Epstein | Mgmt | For | For | For | |||||
1.4 | Elect Benjamin M. Polk | Mgmt | For | For | For | |||||
1.5 | Elect Sydney Selati | Mgmt | For | For | For | |||||
1.6 | Elect Harold C. Taber, Jr. | Mgmt | For | For | For | |||||
1.7 | Elect Mark S. Vidergauz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 80
MSC Industrial Direct Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSM | CUSIP 553530106 | 01/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mitchell Jacobson | Mgmt | For | For | For | |||||
1.2 | Elect David Sandler | Mgmt | For | For | For | |||||
1.3 | Elect Jonathan Byrnes | Mgmt | For | For | For | |||||
1.4 | Elect Roger Fradin | Mgmt | For | For | For | |||||
1.5 | Elect Erik Gershwind | Mgmt | For | For | For | |||||
1.6 | Elect Louise Goeser | Mgmt | For | For | For | |||||
1.7 | Elect Denis Kelly | Mgmt | For | For | For | |||||
1.8 | Elect Philip Peller | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Paul B. Murphy Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Harris J. Pappas | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 81
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Donovan | Mgmt | For | For | For | |||||
2 | Elect Nir Zuk | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar Zurcher | Mgmt | For | For | For | |||||
2 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Rackspace Hosting, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RAX | CUSIP 750086100 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect A. Lanham Napier | Mgmt | For | For | For | |||||
2 | Elect George J. Still, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael Sam Gilliland | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 82
Rockwell Automation, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ROK | CUSIP 773903109 | 02/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Barry Johnson | Mgmt | For | For | For | |||||
1.2 | Elect William McCormick, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Keith Nosbusch | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Roper Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ROP | CUSIP 776696106 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David W. Devonshire | Mgmt | For | For | For | |||||
1.2 | Elect John F. Fort, III | Mgmt | For | For | For | |||||
1.3 | Elect Brian D. Jellison | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Repeal of Classified Board | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 03/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Page 83
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stratton Sclavos | Mgmt | For | For | For | |||||
2 | Elect Lawrence Tomlinson | Mgmt | For | For | For | |||||
3 | Elect Shirley Young | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
SINA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SINA | CUSIP G81477104 | 08/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Yan Wang | Mgmt | For | For | For | |||||
2 | Elect Song-Yi Zhang | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Amendment to Articles Regarding Right to Call a Special Meeting | Mgmt | For | Against | Against |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David M. Hornik | Mgmt | For | For | For | |||||
1.2 | Elect Thomas M. Neustaetter | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Page 84
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Edward C. Bernard | Mgmt | For | For | For | |||||
2 | Elect James T. Brady | Mgmt | For | For | For | |||||
3 | Elect Mary K. Bush | Mgmt | For | For | For | |||||
4 | Elect Donald B. Hebb, Jr. | Mgmt | For | For | For | |||||
5 | Elect Freeman A. Hrabowski, III | Mgmt | For | For | For | |||||
6 | Elect James A.C. Kennedy | Mgmt | For | For | For | |||||
7 | Elect Robert F. MacLellan | Mgmt | For | For | For | |||||
8 | Elect Brian C. Rogers | Mgmt | For | For | For | |||||
9 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
10 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
11 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Transdigm Group Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TDG | CUSIP 893641100 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mervin Dunn | Mgmt | For | For | For | |||||
1.2 | Elect Michael Graff | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | N/A | For | N/A |
Page 85
Ulta Salon, Cosmetics & Fragrance, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTA | CUSIP 90384S303 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles Heilbronn | Mgmt | For | For | For | |||||
1.2 | Elect Michael R. MacDonald | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Ultimate Software Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTI | CUSIP 90385D107 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott Scherr | Mgmt | For | For | For | |||||
2 | Elect Alois Leiter | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Under Armour, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UA | CUSIP 904311107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kevin A. Plank | Mgmt | For | For | For | |||||
1.2 | Elect Byron K. Adams, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Douglas E. Coltharp | Mgmt | For | For | For | |||||
1.4 | Elect Anthony W. Deering | Mgmt | For | For | For | |||||
1.5 | Elect Alvin B. Krongard | Mgmt | For | For | For | |||||
1.6 | Elect William R. McDermott | Mgmt | For | For | For | |||||
1.7 | Elect Eric T. Olson | Mgmt | For | For | For | |||||
1.8 | Elect Brenda Piper | Mgmt | For | For | For | |||||
1.9 | Elect Harvey L. Sanders | Mgmt | For | For | For | |||||
1.10 | Elect Thomas J. Sippel | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 86
Vertex Pharmaceuticals Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRTX | CUSIP 92532F100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Joshua S. Boger | Mgmt | For | For | For | |||||
1.2 | Elect Terrence C. Kearney | Mgmt | For | For | For | |||||
1.3 | Elect Yuchun Lee | Mgmt | For | For | For | |||||
1.4 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
2 | 2013 Stock and Option Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Workday Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDAY | CUSIP 98138H101 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael M. McNamara | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Re-Approval of Material Terms of the 2012 Equity Incentive Plan | Mgmt | For | For | For |
Page 87
Wynn Resorts, Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WYNN | CUSIP 983134107 | 05/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ray R. Irani | Mgmt | For | For | For | |||||
1.2 | Elect Alvin V. Shoemaker | Mgmt | For | For | For | |||||
1.3 | Elect D. Boone Wayson | Mgmt | For | For | For | |||||
1.4 | Elect Stephen A. Wynn | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Youku Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YOKU | CUSIP 98742U100 | 08/20/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Merger with Tudou | Mgmt | For | For | For | |||||
2 | Company Name Change | Mgmt | For | For | For | |||||
3 | Amendment to Class B Voting Rights | Mgmt | For | Against | Against | |||||
4 | Amendment to Class Vote Threshold | Mgmt | For | Against | Against | |||||
5 | Right to Adjourn Meeting | Mgmt | For | For | For |
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Growth Fund
7 Days Group Holdings Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SVN | CUSIP 81783J101 | 09/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For |
Page 88
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
2 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
3 | Elect Robert Ripp | Mgmt | For | For | For | |||||
4 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | 2012 Annual Report | Mgmt | For | For | For | |||||
7 | Statutory Financial Statements | Mgmt | For | For | For | |||||
8 | Consolidated Financial Statements | Mgmt | For | For | For | |||||
9 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Discharge of Board of Directors | Mgmt | For | For | For | |||||
11 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
12 | PricewaterhouseCoopers | Mgmt | For | For | For | |||||
13 | BDO AG, Zurich | Mgmt | For | For | For | |||||
14 | Amendment to the 2004 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Distribution Via Par Value Reduction | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 89
ADT Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ADT | CUSIP 00101J106 | 03/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas J. Colligan | Mgmt | For | For | For | |||||
1.2 | Elect Timothy M. Donahue | Mgmt | For | For | For | |||||
1.3 | Elect Robert M. Dutkowsky | Mgmt | For | For | For | |||||
1.4 | Elect Bruce S. Gordon | Mgmt | For | For | For | |||||
1.5 | Elect Naren K. Gursahaney | Mgmt | For | For | For | |||||
1.6 | Elect Bridgette Heller | Mgmt | For | For | For | |||||
1.7 | Elect Kathleen W Hyle | Mgmt | For | For | For | |||||
1.8 | Elect Keith A. Meister | Mgmt | For | For | For | |||||
1.9 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
AGCO Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGCO | CUSIP 001084102 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect P. George Benson | Mgmt | For | For | For | |||||
2 | Elect Wolfgang Deml | Mgmt | For | For | For | |||||
3 | Elect Luiz Fernando Furlan | Mgmt | For | For | For | |||||
4 | Elect George E. Minnich | Mgmt | For | For | For | |||||
5 | Elect Martin H. Richenhagen | Mgmt | For | For | For | |||||
6 | Elect Gerald L. Shaheen | Mgmt | For | For | For | |||||
7 | Elect Mallika Srinivasan | Mgmt | For | For | For | |||||
8 | Elect Hendrikus Visser | Mgmt | For | For | For | |||||
9 | Amendment to the Management Incentive Plan | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For |
Page 90
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard J. Harshman | Mgmt | For | For | For | |||||
1.2 | Elect Carolyn Corvi | Mgmt | For | For | For | |||||
1.3 | Elect Barbara S. Jeremiah | Mgmt | For | For | For | |||||
1.4 | Elect John D. Turner | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Allergan, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGN | CUSIP 018490102 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
2 | Elect Michael R. Gallagher | Mgmt | For | For | For | |||||
3 | Elect Deborah Dunsire | Mgmt | For | For | For | |||||
4 | Elect Dawn E. Hudson | Mgmt | For | For | For | |||||
5 | Elect Trevor M. Jones | Mgmt | For | For | For | |||||
6 | Elect Louis J. Lavigne, Jr. | Mgmt | For | For | For | |||||
7 | Elect Peter J. McDonnell | Mgmt | For | For | For | |||||
8 | Elect Timothy D. Proctor | Mgmt | For | For | For | |||||
9 | Elect Russell T. Ray | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Right to Call a Special Meeting | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
14 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 91
Amazon.com, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMZN | CUSIP 023135106 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jeffrey P. Bezos | Mgmt | For | For | For | |||||
2 | Elect Tom A. Alberg | Mgmt | For | For | For | |||||
3 | Elect John Seely Brown | Mgmt | For | For | For | |||||
4 | Elect William B. Gordon | Mgmt | For | For | For | |||||
5 | Elect Jamie S. Gorelick | Mgmt | For | For | For | |||||
6 | Elect Alain Monie | Mgmt | For | For | For | |||||
7 | Elect Jonathan Rubinstein | Mgmt | For | For | For | |||||
8 | Elect Thomas O. Ryder | Mgmt | For | For | For | |||||
9 | Elect Patricia Q. Stonesifer | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against |
AMC Networks Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMCX | CUSIP 00164V103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Neil M. Ashe | Mgmt | For | For | For | |||||
1.2 | Elect Alan D. Schwartz | Mgmt | For | For | For | |||||
1.3 | Elect Leonard Tow | Mgmt | For | For | For | |||||
1.4 | Elect Carl E. Vogel | Mgmt | For | For | For | |||||
1.5 | Elect Robert C. Wright | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
American Tower Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMT | CUSIP 03027X100 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Raymond P. Dolan | Mgmt | For | For | For | |||||
2 | Elect Ronald M. Dykes | Mgmt | For | For | For | |||||
3 | Elect Carolyn Katz | Mgmt | For | For | For | |||||
4 | Elect Gustavo Lara Cantu | Mgmt | For | For | For | |||||
5 | Elect JoAnn A. Reed | Mgmt | For | For | For | |||||
6 | Elect Pamela D.A. Reeve | Mgmt | For | For | For | |||||
7 | Elect David E. Sharbutt | Mgmt | For | For | For | |||||
8 | Elect James D. Taiclet, Jr. | Mgmt | For | For | For | |||||
9 | Elect Samme L. Thompson | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Right to Call a Special Meeting | Mgmt | For | For | For |
Page 92
ANSYS, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANSS | CUSIP 03662Q105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald W. Hovsepian | Mgmt | For | For | For | |||||
2 | Elect Michael Thurk | Mgmt | For | For | For | |||||
3 | Elect Barbara V. Scherer | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Apple Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AAPL | CUSIP 037833100 | 02/27/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William V. Campbell | Mgmt | For | For | For | |||||
1.2 | Elect Timothy D. Cook | Mgmt | For | For | For | |||||
1.3 | Elect Millard S. Drexler | Mgmt | For | For | For | |||||
1.4 | Elect Albert A. Gore, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect Robert A. Iger | Mgmt | For | For | For | |||||
1.6 | Elect Andrea Jung | Mgmt | For | For | For | |||||
1.7 | Elect Arthur D. Levinson | Mgmt | For | For | For | |||||
1.8 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
2 | Amendments to Articles of Incorporation | Mgmt | For | Against | Against | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Formation of Human Rights Committee | ShrHoldr | Against | Against | For |
Page 93
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3.1 | Elect Annette Franqui | Mgmt | For | For | For | |||||
3.2 | Elect C. Hernandez-Artigas | Mgmt | For | For | For | |||||
3.3 | Elect A. Ramirez Magana | Mgmt | For | For | For |
Ariad Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARIA | CUSIP 04033A100 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Athanase Lavidas | Mgmt | For | For | For | |||||
1.2 | Elect Massimo Radaelli | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 94
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Sir John Buchanan | Mgmt | For | For | For | |||||
5 | Elect Warren A. East | Mgmt | For | For | For | |||||
6 | Elect Andy Green | Mgmt | For | For | For | |||||
7 | Elect Larry Hirst | Mgmt | For | For | For | |||||
8 | Elect Mike Muller | Mgmt | For | For | For | |||||
9 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
10 | Elect Janice Roberts | Mgmt | For | For | For | |||||
11 | Elect Philip Rowley | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Elect Simon Segars | Mgmt | For | For | For | |||||
14 | Appointment of Auditor | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Long Term Incentive Plan | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
19 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
20 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Aruba Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARUN | CUSIP 043176106 | 11/29/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dominic Orr | Mgmt | For | For | For | |||||
1.2 | Elect Keerti Melkote | Mgmt | For | For | For | |||||
1.3 | Elect Bernard Guidon | Mgmt | For | For | For | |||||
1.4 | Elect Emmanuel Hernandez | Mgmt | For | For | For | |||||
1.5 | Elect Michael Kourey | Mgmt | For | For | For | |||||
1.6 | Elect Willem Roelandts | Mgmt | For | For | For | |||||
1.7 | Elect Juergen Rottler | Mgmt | For | For | For | |||||
1.8 | Elect Daniel Warmenhoven | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 95
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles D. Baker | Mgmt | For | For | For | |||||
1.2 | Elect Dev Ittycheria | Mgmt | For | For | For | |||||
1.3 | Elect John A. Kane | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2007 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Avago Technologies Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVGO | CUSIP Y0486S104 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Hock E. Tan | Mgmt | For | For | For | |||||
2 | Elect John T. Dickson | Mgmt | For | For | For | |||||
3 | Elect James V. Diller, Sr. | Mgmt | For | For | For | |||||
4 | Elect Kenneth Y. Hao | Mgmt | For | For | For | |||||
5 | Elect John HSUAN Min-Chih | Mgmt | For | For | For | |||||
6 | Elect Justine Lien | Mgmt | For | For | For | |||||
7 | Elect Donald Macleod | Mgmt | For | For | For | |||||
8 | Ratification of Auditor | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Repurchase Shares | Mgmt | For | For | For |
Page 96
Biomarin Pharmaceutical Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMRN | CUSIP 09061G101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jean-Jacques Bienaime | Mgmt | For | For | For | |||||
1.2 | Elect Michael Grey | Mgmt | For | For | For | |||||
1.3 | Elect Elaine J. Heron | Mgmt | For | For | For | |||||
1.4 | Elect Pierre Lapalme | Mgmt | For | For | For | |||||
1.5 | Elect V. Bryan Lawlis | Mgmt | For | For | For | |||||
1.6 | Elect Richard A. Meier | Mgmt | For | For | For | |||||
1.7 | Elect Alan J. Lewis | Mgmt | For | For | For | |||||
1.8 | Elect William D. Young | Mgmt | For | For | For | |||||
1.9 | Elect Kenneth M. Bate | Mgmt | For | For | For | |||||
2 | Amendment to the 2006 Share Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
BJ’s Restaurants, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BJRI | CUSIP 09180C106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald W. Deitchle | Mgmt | For | For | For | |||||
1.2 | Elect James A. Dal Pozzo | Mgmt | For | For | For | |||||
1.3 | Elect J. Roger King | Mgmt | For | For | For | |||||
1.4 | Elect Larry D. Bouts | Mgmt | For | For | For | |||||
1.5 | Elect John F. Grundhofer | Mgmt | For | For | For | |||||
1.6 | Elect Peter A. Bassi | Mgmt | For | For | For | |||||
1.7 | Elect William L. Hyde, Jr. | Mgmt | For | For | For | |||||
1.8 | Elect Lea Anne S. Ottinger | Mgmt | For | For | For | |||||
1.9 | Elect Henry Gomez | Mgmt | For | For | For | |||||
1.10 | Elect Gregory A. Trojan | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 97
BorgWarner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BWA | CUSIP 099724106 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jere A. Drummond | Mgmt | For | For | For | |||||
2 | Elect John R. McKernan, Jr. | Mgmt | For | For | For | |||||
3 | Elect Ernest J. Novak, Jr. | Mgmt | For | For | For | |||||
4 | Elect James R. Verrier | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | For | For | For |
Broadcom Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRCM | CUSIP 111320107 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Finocchio, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Nancy H. Handel | Mgmt | For | For | For | |||||
1.3 | Elect Eddy W. Hartenstein | Mgmt | For | For | For | |||||
1.4 | Elect Maria Klawe | Mgmt | For | For | For | |||||
1.5 | Elect John E. Major | Mgmt | For | For | For | |||||
1.6 | Elect Scott A. McGregor | Mgmt | For | For | For | |||||
1.7 | Elect William T. Morrow | Mgmt | For | For | For | |||||
1.8 | Elect Henry Samueli | Mgmt | For | For | For | |||||
1.9 | Elect Robert E. Switz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
CarMax, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMX | CUSIP 143130102 | 06/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald E. Blaylock | Mgmt | For | For | For | |||||
2 | Elect Rakesh Gangwal | Mgmt | For | For | For | |||||
3 | Elect Mitchell D. Steenrod | Mgmt | For | For | For | |||||
4 | Elect Thomas G. Stemberg | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Repeal of Classified Board | Mgmt | For | For | For | |||||
8 | Director & Officer Liability/Indemnification | Mgmt | For | For | For |
Page 98
Cavium Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CAVM | CUSIP 14964U108 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Syed Ali | Mgmt | For | For | For | |||||
1.2 | Elect Anthony S. Thornley | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas L. Gutshall | Mgmt | For | For | For | |||||
2 | Elect Cristina H. Kepner | Mgmt | For | For | For | |||||
3 | Elect David H. Persing | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cerner Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CERN | CUSIP 156782104 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gerald E. Bisbee, Jr. | Mgmt | For | For | For | |||||
2 | Elect Denis A. Cortese | Mgmt | For | For | For | |||||
3 | Elect Linda M. Dillman | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Repeal of Classified Board | Mgmt | For | For | For | |||||
7 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Page 99
Charles Schwab Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SCHW | CUSIP 808513105 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen A. Ellis | Mgmt | For | For | For | |||||
2 | Elect Arun Sarin | Mgmt | For | For | For | |||||
3 | Elect Charles R. Schwab | Mgmt | For | For | For | |||||
4 | Elect Paula A. Sneed | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against | |||||
9 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Chart Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GTLS | CUSIP 16115Q308 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Samuel F. Thomas | Mgmt | For | For | For | |||||
1.2 | Elect W. Douglas Brown | Mgmt | For | For | For | |||||
1.3 | Elect Richard E. Goodrich | Mgmt | For | For | For | |||||
1.4 | Elect Steven W. Krablin | Mgmt | For | For | For | |||||
1.5 | Elect Michael W. Press | Mgmt | For | For | For | |||||
1.6 | Elect James M. Tidwell | Mgmt | For | For | For | |||||
1.7 | Elect Thomas L. Williams | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 100
Cognex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CGNX | CUSIP 192422103 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Shillman | Mgmt | For | For | For | |||||
1.2 | Elect Anthony Sun | Mgmt | For | For | For | |||||
1.3 | Elect Robert J. Willett | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Cognizant Technology Solutions Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTSH | CUSIP 192446102 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Maureen Breakiron-Evans | Mgmt | For | For | For | |||||
2 | Elect John E. Klein | Mgmt | For | For | For | |||||
3 | Elect Lakshmi Narayanan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | Amendment to the 2004 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 101
Core Laboratories N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CLB | CUSIP N22717107 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect D. John Ogren | Mgmt | For | For | For | |||||
2 | Elect Lucia van Geuns | Mgmt | For | For | For | |||||
3 | Elect Charles L. Dunlap | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Authority to Cancel Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Common and Preference Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Elimination of Preemptive Rights | Mgmt | For | For | For |
Costco Wholesale Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
COST | CUSIP 22160K105 | 01/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Benjamin Carson, Sr. | Mgmt | For | For | For | |||||
1.2 | Elect William Gates | Mgmt | For | For | For | |||||
1.3 | Elect Hamilton James | Mgmt | For | For | For | |||||
1.4 | Elect W. Craig Jelinek | Mgmt | For | For | For | |||||
1.5 | Elect Jill Ruckelshaus | 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 Declassification of the Board | ShrHoldr | Against | For | Against |
Page 102
Ctrip.com International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTRP | CUSIP 22943F100 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Misc. Article Amendments | Mgmt | For | For | For |
CVS Caremark Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVS | CUSIP 126650100 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect C. David Brown II | Mgmt | For | For | For | |||||
2 | Elect David W. Dorman | Mgmt | For | For | For | |||||
3 | Elect Anne M. Finucane | Mgmt | For | For | For | |||||
4 | Elect Kristen E. Gibney Williams | Mgmt | For | For | For | |||||
5 | Elect Larry J. Merlo | Mgmt | For | For | For | |||||
6 | Elect Jean-Pierre Millon | Mgmt | For | For | For | |||||
7 | Elect Richard J. Swift | Mgmt | For | For | For | |||||
8 | Elect William C. Weldon | Mgmt | For | For | For | |||||
9 | Elect Tony L. White | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Amendment to the 2007 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
13 | Reduction of Voting Thresholds in the Fair Price Provision | Mgmt | For | Against | Against | |||||
14 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 103
Denbury Resources Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DNR | CUSIP 247916208 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Wieland F. Wettstein | Mgmt | For | For | For | |||||
1.2 | Elect Michael L. Beatty | Mgmt | For | For | For | |||||
1.3 | Elect Michael B. Decker | Mgmt | For | For | For | |||||
1.4 | Elect Ronald G. Greene | Mgmt | For | For | For | |||||
1.5 | Elect Gregory L. McMichael | Mgmt | For | For | For | |||||
1.6 | Elect Kevin O. Meyers | Mgmt | For | For | For | |||||
1.7 | Elect Phil Rykhoek | Mgmt | For | For | For | |||||
1.8 | Elect Randy Stein | Mgmt | For | For | For | |||||
1.9 | Elect Laura A. Sugg | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2004 Omnibus Stock and Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Endologix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELGX | CUSIP 29266S106 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gregory D. Waller | Mgmt | For | For | For | |||||
1.2 | Elect Thomas C. Wilder, III | Mgmt | For | For | For | |||||
1.3 | Elect Thomas F. Zenty III | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2006 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2006 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 104
Equinix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EQIX Meeting Type Annual | CUSIP 29444U502 | 06/05/2013 Country of Trade United States | Voted |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tom Bartlett | Mgmt | For | For | For | |||||
1.2 | Elect Gary F. Hromadko | Mgmt | For | For | For | |||||
1.3 | Elect Scott G. Kriens | Mgmt | For | For | For | |||||
1.4 | Elect William Luby | Mgmt | For | For | For | |||||
1.5 | Elect Irving F. Lyons III | Mgmt | For | For | For | |||||
1.6 | Elect Christopher B. Paisley | Mgmt | For | For | For | |||||
1.7 | Elect Stephen M. Smith | Mgmt | For | For | For | |||||
1.8 | Elect Peter F. Van Camp | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Allow Shareholders to Act by Written Consent | Mgmt | For | For | For |
Fastenal Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FAST Meeting Type Annual | CUSIP 311900104 | 04/16/2013 Country of Trade United States | Voted |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert A. Kierlin | Mgmt | For | For | For | |||||
2 | Elect Stephen M. Slaggie | Mgmt | For | For | For | |||||
3 | Elect Michael M. Gostomski | Mgmt | For | For | For | |||||
4 | Elect Willard D. Oberton | Mgmt | For | For | For | |||||
5 | Elect Michael J. Dolan | Mgmt | For | For | For | |||||
6 | Elect Reyne K. Wisecup | Mgmt | For | For | For | |||||
7 | Elect Hugh L. Miller | Mgmt | For | For | For | |||||
8 | Elect Michael J. Ancius | Mgmt | For | For | For | |||||
9 | Elect Scott A. Satterlee | Mgmt | For | For | For | |||||
10 | Elect Rita J. Heise | Mgmt | For | For | For | |||||
11 | Elect Darren R. Jackson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 105
FMC Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FTI | CUSIP 30249U101 | 05/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Eleazar de Carvalho Filho | Mgmt | For | For | For | |||||
2 | Elect Claire S. Farley | Mgmt | For | For | For | |||||
3 | Elect Joseph H. Netherland | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Amendment to the Incentive Compensation and Stock Plan | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Forum Energy Technologies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FET | CUSIP 34984V100 | 05/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
1.2 | Elect David C. Baldwin | Mgmt | For | For | For | |||||
1.3 | Elect Franklin Myers | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||||
4 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 106
Fresh Market Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TFM | CUSIP 35804H106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ray Berry | Mgmt | For | For | For | |||||
1.2 | Elect Jeffrey Naylor | Mgmt | For | For | For | |||||
1.3 | Elect Jane Thompson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Fusion-IO Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FIO | CUSIP 36112J107 | 11/06/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Forest Baskett | Mgmt | For | For | For | |||||
1.2 | Elect Dana Evan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Genesee & Wyoming Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GWR | CUSIP 371559105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard H. Bott | Mgmt | For | For | For | |||||
1.2 | Elect Oivind Lorentzen III | Mgmt | For | For | For | |||||
1.3 | Elect Philip J. Ringo | Mgmt | For | For | For | |||||
1.4 | Elect Mark A. Scudder | Mgmt | For | For | For | |||||
1.5 | Elect Gregory S. Ledford | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 107
Gildan Activewear Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GIL | CUSIP 375916103 | 02/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Glenn Chamandy | Mgmt | For | For | For | |||||
1.3 | Elect Russell Goodman | Mgmt | For | For | For | |||||
1.4 | Elect George Heller | Mgmt | For | For | For | |||||
1.5 | Elect Sheila O’Brien | Mgmt | For | For | For | |||||
1.6 | Elect Pierre Robitaille | Mgmt | For | For | For | |||||
1.7 | Elect James Scarborough | Mgmt | For | For | For | |||||
1.8 | Elect Richard Strubel | Mgmt | For | For | For | |||||
1.9 | Elect Gonzalo Valdes-Fauli | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Google Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GOOG | CUSIP 38259P508 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Larry Page | Mgmt | For | For | For | |||||
1.2 | Elect Sergey Brin | Mgmt | For | For | For | |||||
1.3 | Elect Eric E. Schmidt | Mgmt | For | For | For | |||||
1.4 | Elect L. John Doerr | Mgmt | For | For | For | |||||
1.5 | Elect Diane B. Greene | Mgmt | For | For | For | |||||
1.6 | Elect John L. Hennessy | Mgmt | For | For | For | |||||
1.7 | Elect Ann Mather | Mgmt | For | For | For | |||||
1.8 | Elect Paul S. Otellini | Mgmt | For | For | For | |||||
1.9 | Elect K. Ram Shriram | Mgmt | For | For | For | |||||
1.10 | Elect Shirley M. Tilghman | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Shareholder Proposal Regarding Lead Batteries | ShrHoldr | Against | For | Against | |||||
4 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding CEO Succession Planning | ShrHoldr | Against | Against | For |
Page 108
Gulfport Energy Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPOR | CUSIP 402635304 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald Dillingham | Mgmt | For | For | For | |||||
1.2 | Elect Craig Groeschel | Mgmt | For | For | For | |||||
1.3 | Elect David L. Houston | Mgmt | For | For | For | |||||
1.4 | Elect James D. Palm | Mgmt | For | For | For | |||||
1.5 | Elect Scott E. Streller | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Amendment to the 2005 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Halliburton Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAL | CUSIP 406216101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alan M. Bennett | Mgmt | For | For | For | |||||
2 | Elect James Boyd | Mgmt | For | For | For | |||||
3 | Elect Milton Carroll | Mgmt | For | For | For | |||||
4 | Elect Nance Dicciani | Mgmt | For | For | For | |||||
5 | Elect Murry Gerber | Mgmt | For | For | For | |||||
6 | Elect Jose Grubisich | Mgmt | For | For | For | |||||
7 | Elect Abdallah Jum’ah | Mgmt | For | For | For | |||||
8 | Elect David Lesar | Mgmt | For | For | For | |||||
9 | Elect Robert Malone | Mgmt | For | For | For | |||||
10 | Elect Landis Martin | Mgmt | For | For | For | |||||
11 | Elect Debra Reed | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to Company Stock and Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Review of Human Rights Policies | ShrHoldr | Against | Against | For |
Page 109
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jiren Liu | Mgmt | For | For | For | |||||
2 | Elect Edward Meyer | Mgmt | For | For | For | |||||
3 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
4 | Elect Hellene Runtagh | Mgmt | For | For | For | |||||
5 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
6 | Elect Gary Steel | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Hexcel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HXL | CUSIP 428291108 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David E. Berges | Mgmt | For | For | For | |||||
2 | Elect Joel S. Beckman | Mgmt | For | For | For | |||||
3 | Elect Lynn Brubaker | Mgmt | For | For | For | |||||
4 | Elect Jeffrey C. Campbell | Mgmt | For | For | For | |||||
5 | Elect Sandra L. Derickson | Mgmt | For | For | For | |||||
6 | Elect W. Kim Foster | Mgmt | For | For | For | |||||
7 | Elect Thomas A. Gendron | Mgmt | For | For | For | |||||
8 | Elect Jeffrey A. Graves | Mgmt | For | For | For | |||||
9 | Elect David C. Hill | Mgmt | For | For | For | |||||
10 | Elect David L. Pugh | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | 2013 Incentive Stock Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 110
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald Moller | Mgmt | For | For | For | |||||
1.2 | Elect David R. Walt | Mgmt | For | For | For | |||||
1.3 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Stock and Incentive Plan | Mgmt | For | For | For |
Infoblox Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BLOX | CUSIP 45672H104 | 12/19/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Laura Conigliaro | Mgmt | For | For | For | |||||
1.2 | Elect Fred Gerson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Intuitive Surgical, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ISRG | CUSIP 46120E602 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Amal M. Johnson | Mgmt | For | For | For | |||||
2 | Elect Eric H. Halvorson | Mgmt | For | For | For | |||||
3 | Elect Alan J. Levy | Mgmt | For | For | For | |||||
4 | Amendment to the 2010 Incentive Award Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Page 111
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Valentin P. Gapontsev | Mgmt | For | For | For | |||||
1.2 | Elect Eugene Shcherbakov | Mgmt | For | For | For | |||||
1.3 | Elect Igor Samartsev | Mgmt | For | For | For | |||||
1.4 | Elect Robert A. Blair | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Child | Mgmt | For | For | For | |||||
1.6 | Elect William F. Krupke | Mgmt | For | For | For | |||||
1.7 | Elect Henry E. Gauthier | Mgmt | For | For | For | |||||
1.8 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Ironwood Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IRWD | CUSIP 46333X108 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Marsha H. Fanucci | Mgmt | For | For | For | |||||
1.2 | Elect Terrance G. McGuire | Mgmt | For | For | For | |||||
1.3 | Elect Edward P. Ownes | Mgmt | For | For | For | |||||
1.4 | Elect Christopher T. Walsh | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
J.B. Hunt Transport Services, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JBHT | CUSIP 445658107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Douglas G. Duncan | Mgmt | For | For | For | |||||
2 | Elect Francesca M. Edwardson | Mgmt | For | For | For | |||||
3 | Elect Wayne Garrison | Mgmt | For | For | For | |||||
4 | Elect Sharilyn S. Gasaway | Mgmt | For | For | For | |||||
5 | Elect Gary C. George | Mgmt | For | For | For | |||||
6 | Elect Bryan Hunt | Mgmt | For | For | For | |||||
7 | Elect Coleman H. Peterson | Mgmt | For | For | For | |||||
8 | Elect John N. Roberts III | Mgmt | For | For | For | |||||
9 | Elect James L. Robo | Mgmt | For | For | For | |||||
10 | Elect Kirk Thompson | Mgmt | For | For | For | |||||
11 | Elect John A. White | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 112
Kansas City Southern
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KSU | CUSIP 485170302 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Terrence P. Dunn | Mgmt | For | For | For | |||||
1.2 | Elect Antonio O. Garza, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect David L. Starling | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Approve the Material Terms of the Performance Measures under the 2008 Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Life Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LIFE | CUSIP 53217V109 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect George F. Adam, Jr. | Mgmt | For | For | For | |||||
2 | Elect Raymond V. Dittamore | Mgmt | For | For | For | |||||
3 | Elect Donald W. Grimm | Mgmt | For | For | For | |||||
4 | Elect Craig J. Mundie | Mgmt | For | For | For | |||||
5 | Elect Ora H. Pescovitz | Mgmt | For | For | For | |||||
6 | Elect Per A. Peterson | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Page 113
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael J. Moritz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Lufkin Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LUFK | CUSIP 549764108 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John F. Glick | Mgmt | For | For | For | |||||
2 | Elect John D. Hofmeister | Mgmt | For | For | For | |||||
3 | Elect Amr Z. Selim | Mgmt | For | For | For | |||||
4 | Elect Thomas E. Wiener | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2013 Incentive Stock Compensation Plan | Mgmt | For | For | For |
Mead Johnson Nutrition Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MJN | CUSIP 582839106 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven M. Altschuler | Mgmt | For | For | For | |||||
2 | Elect Howard B. Bernick | Mgmt | For | For | For | |||||
3 | Elect Kimberly A. Casiano | Mgmt | For | For | For | |||||
4 | Elect Anna C. Catalano | Mgmt | For | For | For | |||||
5 | Elect Celeste A. Clark | Mgmt | For | For | For | |||||
6 | Elect James M. Cornelius | Mgmt | For | For | For | |||||
7 | Elect Stephen W. Golsby | Mgmt | For | For | For | |||||
8 | Elect Peter K. Jakobsen | Mgmt | For | For | For | |||||
9 | Elect Peter G. Ratcliffe | Mgmt | For | For | For | |||||
10 | Elect Elliott Sigal | Mgmt | For | For | For | |||||
11 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 114
Michael Kors Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KORS | CUSIP G60754101 | 08/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect M. Benedetto | Mgmt | For | For | For | |||||
2 | Elect Stephen Reitman | Mgmt | For | For | For | |||||
3 | Appointment of Auditor | Mgmt | For | For | For |
MicroStrategy Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSTR | CUSIP 594972408 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael J. Saylor | Mgmt | For | For | For | |||||
1.2 | Elect Sanju K. Bansal | Mgmt | For | For | For | |||||
1.3 | Elect Matthew W. Calkins | Mgmt | For | For | For | |||||
1.4 | Elect Robert H. Epstein | Mgmt | For | For | For | |||||
1.5 | Elect David W. LaRue | Mgmt | For | For | For | |||||
1.6 | Elect Jarrod M. Patten | Mgmt | For | For | For | |||||
1.7 | Elect Carl J. Rickertsen | Mgmt | For | For | For | |||||
1.8 | Elect Thomas P. Spahr | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 115
Mondelez International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
2 | Elect Lewis W.K. Booth | Mgmt | For | For | For | |||||
3 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
4 | Elect Mark D. Ketchum | Mgmt | For | For | For | |||||
5 | Elect Jorge S. Mesquita | Mgmt | For | For | For | |||||
6 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
7 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
8 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
9 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
10 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
11 | Elect Jean-Francois M. L. van Boxmeer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Extended Producer Responsibility | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Gender Equality in the Supply Chain | ShrHoldr | Against | Against | For |
MSC Industrial Direct Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSM | CUSIP 553530106 | 01/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mitchell Jacobson | Mgmt | For | For | For | |||||
1.2 | Elect David Sandler | Mgmt | For | For | For | |||||
1.3 | Elect Jonathan Byrnes | Mgmt | For | For | For | |||||
1.4 | Elect Roger Fradin | Mgmt | For | For | For | |||||
1.5 | Elect Erik Gershwind | Mgmt | For | For | For | |||||
1.6 | Elect Louise Goeser | Mgmt | For | For | For | |||||
1.7 | Elect Denis Kelly | Mgmt | For | For | For | |||||
1.8 | Elect Philip Peller | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 116
National Oilwell Varco, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NOV | CUSIP 637071101 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Merrill A. Miller, Jr. | Mgmt | For | For | For | |||||
2 | Elect Greg L. Armstrong | Mgmt | For | For | For | |||||
3 | Elect Ben A. Guill | Mgmt | For | For | For | |||||
4 | Elect David D. Harrison | Mgmt | For | For | For | |||||
5 | Elect Roger L. Jarvis | Mgmt | For | For | For | |||||
6 | Elect Eric L. Mattson | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
10 | Approval of the Annual Cash Incentive Plan | Mgmt | For | For | For |
Occidental Petroleum Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OXY | CUSIP 674599105 | 05/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect E. Spencer Abraham | Mgmt | For | For | For | |||||
2 | Elect Howard Atkins | Mgmt | For | For | For | |||||
3 | Elect Stephen Chazen | Mgmt | For | For | For | |||||
4 | Elect Edward Djerejian | Mgmt | For | Against | Against | |||||
5 | Elect John Feick | Mgmt | For | For | For | |||||
6 | Elect Margaret Foran | Mgmt | For | For | For | |||||
7 | Elect Carlos Gutierrez | Mgmt | For | For | For | |||||
8 | Elect Ray Irani | Mgmt | For | Against | Against | |||||
9 | Elect Avedick Poladian | Mgmt | For | For | For | |||||
10 | Elect Aziz Syriani | Mgmt | For | Against | Against | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 117
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Paul B. Murphy Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Harris J. Pappas | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Donovan | Mgmt | For | For | For | |||||
2 | Elect Nir Zuk | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Peet’s Coffee & Tea, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEET | CUSIP 705560100 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Merger | Mgmt | For | For | For | |||||
2 | Advisory Vote on Golden Parachutes | Mgmt | For | For | For | |||||
3 | Right to Adjourn Meeting | Mgmt | For | For | For |
Page 118
Pharmacyclics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCYC | CUSIP 716933106 | 11/09/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert Booth | Mgmt | For | For | For | |||||
1.2 | Elect Kenneth Clark | Mgmt | For | For | For | |||||
1.3 | Elect Robert Duggan | Mgmt | For | For | For | |||||
1.4 | Elect Eric Halvorson | Mgmt | For | For | For | |||||
1.5 | Elect Minesh Mehta | Mgmt | For | For | For | |||||
1.6 | Elect David Smith | Mgmt | For | For | For | |||||
1.7 | Elect Richard van den Broek | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Praxair, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PX | CUSIP 74005P104 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Angel | Mgmt | For | For | For | |||||
2 | Elect Oscar Bernardes | Mgmt | For | For | For | |||||
3 | Elect Bret K. Clayton | Mgmt | For | For | For | |||||
4 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
5 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
7 | Elect Ira D. Hall | Mgmt | For | For | For | |||||
8 | Elect Raymond W. LeBoeuf | Mgmt | For | For | For | |||||
9 | Elect Larry D. McVay | Mgmt | For | For | For | |||||
10 | Elect Wayne T. Smith | Mgmt | For | For | For | |||||
11 | Elect Robert L. Wood | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Incorporation of Values in Political Spending | ShrHoldr | Against | Against | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Precision Castparts Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCP | CUSIP 740189105 | 08/14/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mark Donegan | Mgmt | For | For | For | |||||
1.2 | Elect Vernon Oechsle | Mgmt | For | For | For | |||||
1.3 | Elect Rick Schmidt | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the Executive Performance Incentive Plan | Mgmt | For | For | For |
Page 119
priceline.com Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCLN | CUSIP 741503403 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tim Armstrong | Mgmt | For | For | For | |||||
1.2 | Elect Howard W. Barker, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Jeffrey H. Boyd | Mgmt | For | For | For | |||||
1.4 | Elect Jan L. Docter | Mgmt | For | For | For | |||||
1.5 | Elect Jeffrey E. Epstein | Mgmt | For | For | For | |||||
1.6 | Elect James M. Guyette | Mgmt | For | For | For | |||||
1.7 | Elect Nancy B. Peretsman | Mgmt | For | For | For | |||||
1.8 | Elect Thomas E. Rothman | Mgmt | For | For | For | |||||
1.9 | Elect Craig W. Rydin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 1999 Omnibus Plan | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar Zurcher | Mgmt | For | For | For | |||||
2 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Page 120
QUALCOMM Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QCOM | CUSIP 747525103 | 03/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Barbara T. Alexander | Mgmt | For | For | For | |||||
2 | Elect Donald G. Cruickshank | Mgmt | For | For | For | |||||
3 | Elect Raymond V. Dittamore | Mgmt | For | For | For | |||||
4 | Elect Susan Hockfield | Mgmt | For | For | For | |||||
5 | Elect Thomas W. Horton | Mgmt | For | For | For | |||||
6 | Elect Paul E. Jacobs | Mgmt | For | For | For | |||||
7 | Elect Sherry Lansing | Mgmt | For | For | For | |||||
8 | Elect Duane A. Nelles | Mgmt | For | For | For | |||||
9 | Elect Francisco Ros | Mgmt | For | For | For | |||||
10 | Elect Brent Scowcroft | Mgmt | For | For | For | |||||
11 | Elect Marc I. Stern | Mgmt | For | For | For | |||||
12 | Amendment to the 2006 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Rackspace Hosting, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RAX | CUSIP 750086100 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect A. Lanham Napier | Mgmt | For | For | For | |||||
2 | Elect George J. Still, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael Sam Gilliland | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 121
Roper Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ROP | CUSIP 776696106 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David W. Devonshire | Mgmt | For | For | For | |||||
1.2 | Elect John F. Fort, III | Mgmt | For | For | For | |||||
1.3 | Elect Brian D. Jellison | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Repeal of Classified Board | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 03/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Increase of Authorized Common Stock | Mgmt | For | For | For |
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stratton Sclavos | Mgmt | For | For | For | |||||
2 | Elect Lawrence Tomlinson | Mgmt | For | For | For | |||||
3 | Elect Shirley Young | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 122
Schlumberger N.V. (Schlumberger Limited)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLB | CUSIP 806857108 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter L.S. Currie | Mgmt | For | For | For | |||||
2 | Elect Anthony Isaac | Mgmt | For | For | For | |||||
3 | Elect K.V. Kamath | Mgmt | For | For | For | |||||
4 | Elect Paal Kibsgaard | Mgmt | For | For | For | |||||
5 | Elect Nikolay Kudryavtsev | Mgmt | For | For | For | |||||
6 | Elect Adrian Lajous | Mgmt | For | For | For | |||||
7 | Elect Michael E. Marks | Mgmt | For | For | For | |||||
8 | Elect Lubna Olayan | Mgmt | For | For | For | |||||
9 | Elect Leo Rafael Reif | Mgmt | For | For | For | |||||
10 | Elect Tore I. Sandvold | Mgmt | For | For | For | |||||
11 | Elect Henri Seydoux | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Approval of Financial Statements/Dividends | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | 2013 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
16 | Amendment to the Discounted Stock Purchase Plan | Mgmt | For | For | For |
Silver Wheaton Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLW | CUSIP 828336107 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lawrence I. Bell | Mgmt | For | For | For | |||||
1.2 | Elect George L. Brack | Mgmt | For | For | For | |||||
1.3 | Elect John A. Brough | Mgmt | For | For | For | |||||
1.4 | Elect R. Peter Gillin | Mgmt | For | For | For | |||||
1.5 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.6 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.7 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.8 | Elect Randy V.J. Smallwood | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 123
SINA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SINA | CUSIP G81477104 | 08/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Yan Wang | Mgmt | For | For | For | |||||
2 | Elect Song-Yi Zhang | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Amendment to Articles Regarding Right to Call a Special Meeting | Mgmt | For | Against | Against |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David M. Hornik | Mgmt | For | For | For | |||||
1.2 | Elect Thomas M. Neustaetter | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Starbucks Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBUX | CUSIP 855244109 | 03/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Howard Schultz | Mgmt | For | For | For | |||||
2 | Elect William W. Bradley | Mgmt | For | For | For | |||||
3 | Elect Robert M. Gates | Mgmt | For | For | For | |||||
4 | Elect Mellody Hobson | Mgmt | For | For | For | |||||
5 | Elect Kevin R. Johnson | Mgmt | For | For | For | |||||
6 | Elect Olden Lee | Mgmt | For | For | For | |||||
7 | Elect Joshua C. Ramo | Mgmt | For | For | For | |||||
8 | Elect James G. Shennan, Jr. | Mgmt | For | For | For | |||||
9 | Elect Clara Shih | Mgmt | For | For | For | |||||
10 | Elect Javier G. Teruel | Mgmt | For | For | For | |||||
11 | Elect Myron E. Ullman III | Mgmt | For | For | For | |||||
12 | Elect Craig E. Weatherup | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Long-Term Equity Incentive Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Prohibition on Political Spending | ShrHoldr | Against | Against | For |
Page 124
Starwood Hotels & Resorts Worldwide, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOT | CUSIP 85590A401 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Frits van Paasschen | Mgmt | For | For | For | |||||
1.2 | Elect Bruce W. Duncan | Mgmt | For | For | For | |||||
1.3 | Elect Adam M. Aron | Mgmt | For | For | For | |||||
1.4 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
1.5 | Elect Thomas E. Clarke | Mgmt | For | For | For | |||||
1.6 | Elect Clayton C. Daley, Jr. | Mgmt | For | For | For | |||||
1.7 | Elect Lizanne Galbreath | Mgmt | For | For | For | |||||
1.8 | Elect Eric Hippeau | Mgmt | For | For | For | |||||
1.9 | Elect Aylwin B. Lewis | Mgmt | For | For | For | |||||
1.10 | Elect Stephen R. Quazzo | Mgmt | For | For | For | |||||
1.11 | Elect Thomas O. Ryder | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | 2013 Long-Term Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 125
Stifel Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SF | CUSIP 860630102 | 06/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael W. Brown | Mgmt | For | For | For | |||||
1.2 | Elect John P. Dubinsky | Mgmt | For | For | For | |||||
1.3 | Elect Robert E. Grady | Mgmt | For | For | For | |||||
1.4 | Elect Thomas B. Michaud | Mgmt | For | For | For | |||||
1.5 | Elect James M. Oates | Mgmt | For | For | For | |||||
1.6 | Elect Ben A. Plotkin | Mgmt | For | For | For | |||||
1.7 | Elect Michael J. Zimmerman | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
SVB Financial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIVB | CUSIP 78486Q101 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Greg W. Becker | Mgmt | For | For | For | |||||
1.2 | Elect Eric A. Benhamou | Mgmt | For | For | For | |||||
1.3 | Elect David M. Clapper | Mgmt | For | For | For | |||||
1.4 | Elect Roger F. Dunbar | Mgmt | For | For | For | |||||
1.5 | Elect Joel P. Friedman | Mgmt | For | For | For | |||||
1.6 | Elect C. Richard Kramlich | Mgmt | For | For | For | |||||
1.7 | Elect Lata Krishnan | Mgmt | For | For | For | |||||
1.8 | Elect Jeffrey N. Maggioncalda | Mgmt | For | For | For | |||||
1.9 | Elect Kate Mitchell | Mgmt | For | For | For | |||||
1.10 | Elect John F. Robinson | Mgmt | For | For | For | |||||
1.11 | Elect Garen K. Staglin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 126
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Edward C. Bernard | Mgmt | For | For | For | |||||
2 | Elect James T. Brady | Mgmt | For | For | For | |||||
3 | Elect Mary K. Bush | Mgmt | For | For | For | |||||
4 | Elect Donald B. Hebb, Jr. | Mgmt | For | For | For | |||||
5 | Elect Freeman A. Hrabowski, III | Mgmt | For | For | For | |||||
6 | Elect James A.C. Kennedy | Mgmt | For | For | For | |||||
7 | Elect Robert F. MacLellan | Mgmt | For | For | For | |||||
8 | Elect Brian C. Rogers | Mgmt | For | For | For | |||||
9 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
10 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
11 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Target Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TGT | CUSIP 87612E106 | 06/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Roxanne S. Austin | Mgmt | For | For | For | |||||
2 | Elect Douglas M. Baker, Jr. | Mgmt | For | For | For | |||||
3 | Elect Henrique de Castro | Mgmt | For | For | For | |||||
4 | Elect Calvin Darden | Mgmt | For | For | For | |||||
5 | Elect Mary N. Dillon | Mgmt | For | For | For | |||||
6 | Elect James A. Johnson | Mgmt | For | For | For | |||||
7 | Elect Mary E. Minnick | Mgmt | For | For | For | |||||
8 | Elect Anne M. Mulcahy | Mgmt | For | For | For | |||||
9 | Elect Derica W. Rice | Mgmt | For | For | For | |||||
10 | Elect Gregg W. Steinhafel | Mgmt | For | For | For | |||||
11 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
12 | Elect Solomon D. Trujillo | 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 | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Report on Electronic Waste | ShrHoldr | Against | For | Against |
Page 127
The Coca-Cola Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KO | CUSIP 191216100 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Herbert A. Allen | Mgmt | For | For | For | |||||
2 | Elect Ronald W. Allen | Mgmt | For | For | For | |||||
3 | Elect Howard G. Buffett | Mgmt | For | For | For | |||||
4 | Elect Richard M. Daley | Mgmt | For | For | For | |||||
5 | Elect Barry Diller | Mgmt | For | For | For | |||||
6 | Elect Helene D. Gayle | Mgmt | For | For | For | |||||
7 | Elect Evan G. Greenberg | Mgmt | For | For | For | |||||
8 | Elect Alexis M. Herman | Mgmt | For | For | For | |||||
9 | Elect Muhtar Kent | Mgmt | For | For | For | |||||
10 | Elect Robert A. Kotick | Mgmt | For | For | For | |||||
11 | Elect Maria Elena Lagomasino | Mgmt | For | For | For | |||||
12 | Elect Donald F. McHenry | Mgmt | For | For | For | |||||
13 | Elect Sam Nunn | Mgmt | For | For | For | |||||
14 | Elect James D. Robinson III | Mgmt | For | For | For | |||||
15 | Elect Peter V. Ueberroth | Mgmt | For | For | For | |||||
16 | Elect Jacob Wallenberg | Mgmt | For | For | For | |||||
17 | Ratification of Auditor | Mgmt | For | For | For | |||||
18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
19 | Amendment to By-Laws Regarding the Right to Call Special Meetings | Mgmt | For | For | For | |||||
20 | Shareholder Proposal Regarding Formation of a Human Rights Committee | ShrHoldr | Against | Against | For |
Page 128
The Coca-Cola Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KO | CUSIP 191216100 | 07/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Approval of Stock Split | Mgmt | For | For | For |
The Estee Lauder Companies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EL | CUSIP 518439104 | 11/09/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Rose Marie Bravo | Mgmt | For | For | For | |||||
1.2 | Elect Paul Fribourg | Mgmt | For | For | For | |||||
1.3 | Elect Mellody Hobson | Mgmt | For | For | For | |||||
1.4 | Elect Irvine Hockaday, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect Barry Sternlicht | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Transdigm Group Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TDG | CUSIP 893641100 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mervin Dunn | Mgmt | For | For | For | |||||
1.2 | Elect Michael Graff | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | N/A | For | N/A |
Page 129
Ulta Salon, Cosmetics & Fragrance, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTA | CUSIP 90384S303 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles Heilbronn | Mgmt | For | For | For | |||||
1.2 | Elect Michael R. MacDonald | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Ultimate Software Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTI | CUSIP 90385D107 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott Scherr | Mgmt | For | For | For | |||||
2 | Elect Alois Leiter | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Under Armour, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UA | CUSIP 904311107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kevin A. Plank | Mgmt | For | For | For | |||||
1.2 | Elect Byron K. Adams, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Douglas E. Coltharp | Mgmt | For | For | For | |||||
1.4 | Elect Anthony W. Deering | Mgmt | For | For | For | |||||
1.5 | Elect Alvin B. Krongard | Mgmt | For | For | For | |||||
1.6 | Elect William R. McDermott | Mgmt | For | For | For | |||||
1.7 | Elect Eric T. Olson | Mgmt | For | For | For | |||||
1.8 | Elect Brenda Piper | Mgmt | For | For | For | |||||
1.9 | Elect Harvey L. Sanders | Mgmt | For | For | For | |||||
1.10 | Elect Thomas J. Sippel | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 130
Union Pacific Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNP | CUSIP 907818108 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andrew H. Card, Jr. | Mgmt | For | For | For | |||||
2 | Elect Erroll B. Davis, Jr. | Mgmt | For | For | For | |||||
3 | Elect Thomas J. Donohue | Mgmt | For | For | For | |||||
4 | Elect Archie W. Dunham | Mgmt | For | For | For | |||||
5 | Elect Judith Richards Hope | Mgmt | For | For | For | |||||
6 | Elect John J. Koraleski | Mgmt | For | For | For | |||||
7 | Elect Charles C. Krulak | Mgmt | For | For | For | |||||
8 | Elect Michael R. McCarthy | Mgmt | For | For | For | |||||
9 | Elect Michael W. McConnell | Mgmt | For | For | For | |||||
10 | Elect Thomas F. McLarty III | Mgmt | For | For | For | |||||
11 | Elect Steven R. Rogel | Mgmt | For | For | For | |||||
12 | Elect Jose H. Villarreal | Mgmt | For | For | For | |||||
13 | Elect James R. Young | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 131
United Natural Foods, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNFI | CUSIP 911163103 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter Roy | Mgmt | For | For | For | |||||
2 | Elect Richard Schnieders | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | 2012 Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Universal Display Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANL | CUSIP 91347P105 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven V. Abramson | Mgmt | For | For | For | |||||
2 | Elect Leonard Becker | Mgmt | For | For | For | |||||
3 | Elect Elizabeth H. Gemmill | Mgmt | For | For | For | |||||
4 | Elect C. Keith Hartley | Mgmt | For | For | For | |||||
5 | Elect Lawrence Lacerte | Mgmt | For | For | For | |||||
6 | Elect Sidney D. Rosenblatt | Mgmt | For | For | For | |||||
7 | Elect Sherwin I. Seligsohn | Mgmt | For | For | For | |||||
8 | Approval of the Annual Incentive Plan | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | Against | Against |
Page 132
Verisk Analytics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRSK | CUSIP 92345Y106 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John F. Lehman, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Andrew G. Mills | Mgmt | For | For | For | |||||
1.3 | Elect Constantine P. Iordanou | Mgmt | For | For | For | |||||
1.4 | Elect Scott G. Stephenson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
4 | Executive Officer Annual Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Vertex Pharmaceuticals Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRTX | CUSIP 92532F100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Joshua S. Boger | Mgmt | For | For | For | |||||
1.2 | Elect Terrence C. Kearney | Mgmt | For | For | For | |||||
1.3 | Elect Yuchun Lee | Mgmt | For | For | For | |||||
1.4 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
2 | 2013 Stock and Option Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 133
Visa Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
V | CUSIP 92826C839 | 01/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gary Coughlan | Mgmt | For | For | For | |||||
2 | Elect Mary Cranston | Mgmt | For | For | For | |||||
3 | Elect Francisco Javier Fernandez Carbajal | Mgmt | For | For | For | |||||
4 | Elect Robert Matschullat | Mgmt | For | For | For | |||||
5 | Elect Cathy Minehan | Mgmt | For | For | For | |||||
6 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
7 | Elect David Pang | Mgmt | For | For | For | |||||
8 | Elect Joseph Saunders | Mgmt | For | For | For | |||||
9 | Elect Charles Scharf | Mgmt | For | For | For | |||||
10 | Elect William Shanahan | Mgmt | For | For | For | |||||
11 | Elect John Swainson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Lobbying Expenditures | ShrHoldr | Against | For | Against |
VMware, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VMW | CUSIP 928563402 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2007 Equity And Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2007 Employee Stock Purchase Plan | Mgmt | For | For | For |
Westinghouse Air Brake Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WAB | CUSIP 929740108 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Brooks | Mgmt | For | For | For | |||||
1.2 | Elect William E. Kassling | Mgmt | For | For | For | |||||
1.3 | Elect Albert J. Neupaver | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 134
Whiting Petroleum Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WLL | CUSIP 966387102 | 05/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas L. Aller | Mgmt | For | For | For | |||||
1.2 | Elect Michael B Walen | Mgmt | For | For | For | |||||
2 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Workday Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDAY | CUSIP 98138H101 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael M. McNamara | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Re-Approval of Material Terms of the 2012 Equity Incentive Plan | Mgmt | For | For | For |
Page 135
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW High Yield Bond Fund
Dynegy Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DYN | CUSIP 26817R108 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Hillary E. Ackermann | Mgmt | For | For | For | |||||
1.2 | Elect Paul M. Barbas | Mgmt | For | For | For | |||||
1.3 | Elect Robert C. Flexon | Mgmt | For | For | For | |||||
1.4 | Elect Richard Lee Kuersteiner | Mgmt | For | For | For | |||||
1.5 | Elect Jeffrey S. Stein | Mgmt | For | For | For | |||||
1.6 | Elect John R. Sult | Mgmt | For | For | For | |||||
1.7 | Elect Pat Wood, III | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW International Growth Fund
Acom Co Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J00105106 | 06/25/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Shigeyoshi Kinoshita | Mgmt | For | For | For | |||||
2 | Elect Toshiaki Kajiura | Mgmt | For | For | For | |||||
3 | Elect Satoru Tomimatsu | Mgmt | For | For | For | |||||
4 | Elect Kiyoshi Tachiki | Mgmt | For | For | For | |||||
5 | Elect Tatsuo Taki | Mgmt | For | For | For | |||||
6 | Elect Izuo Fukumoto | Mgmt | For | For | For | |||||
7 | Elect Tadachiyo Osada | Mgmt | For | For | For |
Page 136
AKR Corporindo Tbk
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y71161163 | 05/14/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Modification of the Management Stock Option Plan (MSOP) | Mgmt | For | For | For | |||||
6 | Implementation of the Management Stock Option Plan (MSOP) | Mgmt | For | For | For |
Alpha Eurobank
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS X1687N119 | 06/29/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Greece |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Accounts and Reports; Allocation of Losses/Dividends | Mgmt | For | For | For | |||||
3 | Ratification of Directors’ and Auditor’s Acts | Mgmt | For | For | For | |||||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
5 | Directors’ Fees | Mgmt | For | For | For | |||||
6 | Ratification of Directors’ and Auditor’s Acts, Authorization of Legal Formalities Regarding Merger | Mgmt | For | For | For | |||||
7 | Board Transactions | Mgmt | For | For | For |
Page 137
Ara Asset Management Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G04512102 | 04/26/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect LIM How Teck | Mgmt | For | For | For | |||||
4 | Elect Moses CHENG Mo Chi | Mgmt | For | For | For | |||||
5 | Elect Colin Stevens Russel | Mgmt | For | For | For | |||||
6 | Directors’ Fees | Mgmt | For | For | For | |||||
7 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
8 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
14 | Amendments to Articles | Mgmt | For | For | For | |||||
15 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Astellas Pharma Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J03393105 | 06/19/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Masafumi Nogimori | Mgmt | For | For | For | |||||
4 | Elect Yoshihiko Hatanaka | Mgmt | For | For | For | |||||
5 | Elect Yoshiroh Miyokawa | Mgmt | For | For | For | |||||
6 | Elect Kanoko Ohishi | Mgmt | For | For | For | |||||
7 | Elect Naoki Aikawa | Mgmt | For | For | For | |||||
8 | Elect Yutaka Kase | Mgmt | For | For | For | |||||
9 | Elect Hironobu Yasuda | Mgmt | For | For | For | |||||
10 | Elect Goh Ohtani as Statutory Auditor | Mgmt | For | For | For | |||||
11 | Bonus | Mgmt | For | For | For | |||||
12 | Equity Compensation Plan | Mgmt | For | For | For |
Page 138
B2gold Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BGLPF | CUSIP 11777Q209 | 06/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Clive T. Johnson | Mgmt | For | For | For | |||||
2.2 | Elect Robert Cross | Mgmt | For | For | For | |||||
2.3 | Elect Robert Gayton | Mgmt | For | For | For | |||||
2.4 | Elect Barry D. Rayment | Mgmt | For | For | For | |||||
2.5 | Elect Jerry R. Korpan | Mgmt | For | For | For | |||||
2.6 | Elect John W. Ivany | Mgmt | For | For | For | |||||
2.7 | Elect Bongani Mtshisi | Mgmt | For | For | For | |||||
2.8 | Elect Michael Carrick | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Banco Espirito Santo, S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS X0346X153 | 03/27/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Portugal |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Election of the Vice Chairman of Board of General Meeting | Mgmt | For | For | For | |||||
3 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits | Mgmt | For | For | For | |||||
6 | Ratification of Board and Audit Committee Acts | Mgmt | For | For | For | |||||
7 | Remuneration Report | Mgmt | For | For | For | |||||
8 | Ratification of the Co-Option of Xavier Musca | Mgmt | For | For | For | |||||
9 | Authority for Company and Subsidiaries to Trade in Company Stock and Bonds | Mgmt | For | For | For | |||||
10 | Authorization to Exercise Competing Activities | Mgmt | For | For | For | |||||
11 | Executive Directors’ Pensions | Mgmt | For | For | For | |||||
12 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 139
Bank Negara
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y74568166 | 03/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Directors’ and Commissioners’ Fees | Mgmt | For | For | For | |||||
5 | Change in the Composition of the Board of Directors | Mgmt | For | For | For | |||||
6 | Determination of Write-off Limit | Mgmt | For | For | For | |||||
7 | Amendments to Articles | Mgmt | For | For | For | |||||
8 | Implement Regulation of the Minister of State Owned Enterprises | Mgmt | For | For | For |
Banro Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BAA | CUSIP 066800103 | 06/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John A. Clarke | Mgmt | For | For | For | |||||
1.2 | Elect Maurice J. Colson | Mgmt | For | For | For | |||||
1.3 | Elect Peter N. Cowley | Mgmt | For | For | For | |||||
1.4 | Elect Peter V. Gundy | Mgmt | For | For | For | |||||
1.5 | Elect Arnold T. Kondrat | Mgmt | For | For | For | |||||
1.6 | Elect Richard J. Lachcik | Mgmt | For | For | For | |||||
1.7 | Elect Bernard R. van Rooyen | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Advance Notice | Mgmt | For | For | For |
Page 140
Central Pattana Public Co. Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y1242U219 | 01/18/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Thailand |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Meeting Minutes | Mgmt | For | For | For | |||||
3 | Land Lease Agreement | Mgmt | For | For | For | |||||
4 | Amendments to Number of Directors with Binding Signatures | Mgmt | For | For | For | |||||
5 | Amendments to Articles | Mgmt | For | For | For | |||||
6 | Transaction of Other Business | Mgmt | For | Against | Against |
Chailease Holding Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G20288109 | 05/30/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Capitalization of Profits and Issuance of New Shares | Mgmt | For | For | For | |||||
9 | Amendments to Procedural Rules: Shareholder Meetings | Mgmt | For | For | For | |||||
10 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
11 | Amendments to Procedural Rule: Derivatives Trading | Mgmt | For | For | For | |||||
12 | Amendments to Procedural Rule: Capital Loans | Mgmt | For | For | For | |||||
13 | Amendments to Procedural Rule: Endorsements and Guarantees | Mgmt | For | For | For | |||||
14 | Non-Compete Restrictions for Directors | Mgmt | For | Against | Against | |||||
15 | Extraordinary motions | Mgmt | For | Against | Against |
Page 141
Cielo S.A
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS P2859E100 | 04/26/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Capitalization of Reserves for Bonus Share Issue | Mgmt | For | For | For | |||||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Cielo S.A
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS P2859E100 | 04/26/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends; Capital Expenditure Budget | Mgmt | For | For | For | |||||
6 | Elect Supervisory Council; Remuneration Policy | Mgmt | For | Against | Against |
Page 142
Daiwa Securities Group Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J11718111 | 06/26/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Shigeharu Suzuki | Mgmt | For | For | For | |||||
3 | Elect Takashi Hibino | Mgmt | For | For | For | |||||
4 | Elect Nobuyuki Iwamoto | Mgmt | For | For | For | |||||
5 | Elect Akio Takahashi | Mgmt | For | For | For | |||||
6 | Elect Yoriyuki Kusaki | Mgmt | For | For | For | |||||
7 | Elect Ryuji Yasuda | Mgmt | For | For | For | |||||
8 | Elect Nobuko Matsubara | Mgmt | For | For | For | |||||
9 | Elect Keiichi Tadaki | Mgmt | For | For | For | |||||
10 | Elect Kensuke Itoh | Mgmt | For | For | For | |||||
11 | Elect Saburoh Jifuku | Mgmt | For | For | For | |||||
12 | Elect Masaru Shirataki | Mgmt | For | For | For | |||||
13 | Elect Hiroki Tsuda | Mgmt | For | For | For | |||||
14 | Equity Compensation Plan | Mgmt | For | For | For |
ENN Energy Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G3066L101 | 05/21/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 ZHANG Gang | Mgmt | For | For | For | |||||
6 | Elect HAN Jishen | Mgmt | For | For | For | |||||
7 | Elect LIM Haw Kuang | Mgmt | For | For | For | |||||
8 | Elect ZHAO Baoju | Mgmt | For | For | For | |||||
9 | Elect JIN Yongsheng | Mgmt | For | For | For | |||||
10 | Elect CHEUNG Yip Sang | Mgmt | For | For | For | |||||
11 | Elect ZHAO Shengli | Mgmt | For | For | For | |||||
12 | Elect WANG Dongzhi | Mgmt | For | For | For | |||||
13 | Directors’ Fees | Mgmt | For | For | For | |||||
14 | Appointment of Auditor and Authority to Set Fees | 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 Issue Repurchased Shares | Mgmt | For | For | For | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 143
Franco-Nevada Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FNV | CUSIP 351858105 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Pierre Lassonde | Mgmt | For | For | For | |||||
1.2 | Elect David Harquail | Mgmt | For | For | For | |||||
1.3 | Elect Derek W. Evans | Mgmt | For | For | For | |||||
1.4 | Elect Graham Farquharson | Mgmt | For | For | For | |||||
1.5 | Elect Louis P. Gignac | Mgmt | For | For | For | |||||
1.6 | Elect Randall Oliphant | Mgmt | For | For | For | |||||
1.7 | Elect David R. Peterson | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Vote on executive Compensation | Mgmt | For | For | For |
Fresnillo Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G371E2108 | 05/02/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Alberto Bailleres Gonzalez | Mgmt | For | For | For | |||||
5 | Elect Lord Cairns | Mgmt | For | For | For | |||||
6 | Elect Francisco Javier Fernandez Carbajal | Mgmt | For | For | For | |||||
7 | Elect Fernando Ruiz Sahagun | Mgmt | For | For | For | |||||
8 | Elect Fernando Solana Morales | Mgmt | For | For | For | |||||
9 | Elect Guy Wilson | Mgmt | For | For | For | |||||
10 | Elect Juan Bordes Aznar | Mgmt | For | For | For | |||||
11 | Elect Arturo Fernandez Perez | Mgmt | For | For | For | |||||
12 | Elect Rafael MacGregor Anciola | Mgmt | For | For | For | |||||
13 | Elect Jaime Lomelin | Mgmt | For | For | For | |||||
14 | Elect Maria Asuncion Aramburuzabala Larregui | Mgmt | For | For | For | |||||
15 | Elect Alejandro Bailleres Gual | Mgmt | For | For | For | |||||
16 | Appointment of Auditor | Mgmt | For | For | For | |||||
17 | Authority to Set Auditor’s Fees | 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 | For | For |
Page 144
Genel Energy Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G3791G104 | 04/22/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Jersey |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Rodney F. Chase | Mgmt | For | For | For | |||||
4 | Elect Anthony B. Hayward | Mgmt | For | For | For | |||||
5 | Elect Julian Metherell | Mgmt | For | For | For | |||||
6 | Elect Sir Graham Hearne | Mgmt | For | For | For | |||||
7 | Elect James William Leng | Mgmt | For | For | For | |||||
8 | Elect Mehmet Ogutcu | Mgmt | For | For | For | |||||
9 | Elect Mark Parris | Mgmt | For | For | For | |||||
10 | Elect George Rose | Mgmt | For | For | For | |||||
11 | Elect Nathaniel P. Rothschild | Mgmt | For | For | For | |||||
12 | Elect Gulsun Nazli Karamehmet Williams | Mgmt | For | For | For | |||||
13 | Elect Murat Yazici | Mgmt | For | For | For | |||||
14 | Elect Chakib Sbiti | Mgmt | For | For | For | |||||
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 | Waiver of Mandatory Takeover Requirement | Mgmt | For | For | For | |||||
19 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
20 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Page 145
Glencore Xstrata plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G39420107 | 05/16/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Jersey |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Ivan Glasenberg | Mgmt | For | For | For | |||||
4 | Elect Anthony B. Hayward | Mgmt | For | For | For | |||||
5 | Elect Leonhard Fischer | Mgmt | For | For | For | |||||
6 | Elect William E. Macaulay | Mgmt | For | For | For | |||||
7 | Elect John R.H. Bond | Mgmt | For | For | For | |||||
8 | Elect Sir Steve Robson | Mgmt | For | For | For | |||||
9 | Elect Ian C. Strachan | Mgmt | For | For | For | |||||
10 | Elect Con Fauconnier | Mgmt | For | For | For | |||||
11 | Elect Peter Hooley | Mgmt | For | For | For | |||||
12 | Elect Simon Murray | Mgmt | For | For | For | |||||
13 | Elect Steven Kalmin | Mgmt | For | For | For | |||||
14 | Elect Peter R. Coates | Mgmt | For | For | For | |||||
15 | Elect LI Ning | Mgmt | For | For | For | |||||
16 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
17 | Appointment of Auditor | Mgmt | For | For | For | |||||
18 | Authority to Set Auditor’s Fees | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
23 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 146
Global Logistic Properties
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y27187106 | 12/03/2012 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Singapore |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Sale of Properties to Real Estate Investment Trust in Japan | Mgmt | For | For | For |
Greentown China Holdings Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G4100M105 | 06/17/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 GUO Jiafeng | Mgmt | For | For | For | |||||
6 | Elect JIANG Wei | Mgmt | For | For | For | |||||
7 | Elect KE Huanzhang | Mgmt | For | For | For | |||||
8 | Elect Michael SZE Tsai Ping | Mgmt | For | For | For | |||||
9 | Elect JIA Shenghua | 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 Repurchase Shares | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | Against | Against | |||||
14 | Authority to Issue Repurchased Shares | Mgmt | For | Against | Against |
Page 147
Growthpoint Properties Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS S3373CAA4 | 06/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | South Africa |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Special: Approve Delinking of Shares and Debentures | Mgmt | For | For | For | |||||
2 | Special: Approve Capitalisation of Debentures | Mgmt | For | For | For | |||||
3 | Special: Approve Termination of Debenture Trust Deed and Cancellation of Debentures | Mgmt | For | For | For | |||||
4 | Special: Approve Conversion of Ordinary Par Value Shares | Mgmt | For | For | For | |||||
5 | Special: Approve Increase in Authorised Capital | Mgmt | For | For | For | |||||
6 | Special: Adopt Memorandum of Incorporation | Mgmt | For | For | For | |||||
7 | Ordinary: Authorize Legal Formalities | Mgmt | For | For | For | |||||
8 | Ordinary: General Authority to Issue Shares | Mgmt | For | For | For | |||||
9 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
10 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 148
Growthpoint Properties Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS S3373CAA4 | 06/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | South Africa |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendment to Debenture Trust Deed | Mgmt | For | For | For | |||||
2 | Approve Delinking of Shares and Debentures | Mgmt | For | For | For | |||||
3 | Approve Capitalisation of Debentures | Mgmt | For | For | For | |||||
4 | Approve Termination of Debenture Trust Deed and Cancellation of Debentures | Mgmt | For | For | For | |||||
5 | Authorisation of Legal Formalities | Mgmt | For | For | For | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
H2O Retailing Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J2358J102 | 06/21/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Shunichi Sugioka | Mgmt | For | For | For | |||||
3 | Elect Jun Wakabayashi | Mgmt | For | For | For | |||||
4 | Elect Naoya Araki | Mgmt | For | For | For | |||||
5 | Elect Yohsaku Fuji | Mgmt | For | For | For | |||||
6 | Elect Kazuo Sumi | Mgmt | For | For | For | |||||
7 | Elect Kazutoshi Senno | Mgmt | For | For | For | |||||
8 | Elect Keiji Uchiyama | Mgmt | For | For | For | |||||
9 | Elect Tadatsugu Mori | Mgmt | For | For | For | |||||
10 | Elect Katsuhiro Hayashi | Mgmt | For | For | For | |||||
11 | Elect Hideyuki Takai as Statutory Auditor | Mgmt | For | For | For | |||||
12 | Bonus | Mgmt | For | For | For |
Page 149
Hargreaves Lansdown Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G43940108 | 11/23/2012 | Take No Action | ||||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
2 | Directors’ Remuneration Report | Mgmt | For | TNA | N/A | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | TNA | N/A | |||||
4 | Elect Michael Evans | Mgmt | For | TNA | N/A | |||||
5 | Elect Ian Gorham | Mgmt | For | TNA | N/A | |||||
6 | Elect Tracey Taylor | Mgmt | For | TNA | N/A | |||||
7 | Elect Peter Hargreaves | Mgmt | For | TNA | N/A | |||||
8 | Elect Jonathan Bloomer | Mgmt | For | TNA | N/A | |||||
9 | Elect Chris Barling | Mgmt | For | TNA | N/A | |||||
10 | Elect Stephen Robertson | Mgmt | For | TNA | N/A | |||||
11 | Elect Dharmash Mistry | Mgmt | For | TNA | N/A | |||||
12 | Authority to Repurchase Shares | Mgmt | For | TNA | N/A | |||||
13 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | TNA | N/A | |||||
14 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | TNA | N/A | |||||
15 | Share Option Plan | Mgmt | For | TNA | N/A |
Heritage Oil Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G4509M102 | 12/12/2012 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Jersey |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Divestiture | Mgmt | For | For | For | |||||
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 |
Hikari Tsushin Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J1949F108 | 06/21/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Reduce Capital Reserve | Mgmt | For | For | For | |||||
2 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect Yasumitsu Shigeta | Mgmt | For | Against | Against | |||||
4 | Elect Takeshi Tamamura | Mgmt | For | For | For | |||||
5 | Elect Hideaki Wada | Mgmt | For | For | For | |||||
6 | Elect Koh Gidoh | Mgmt | For | For | For | |||||
7 | Elect Yoshitaka Nishijima | Mgmt | For | For | For | |||||
8 | Elect Minoru Tanaka | Mgmt | For | For | For | |||||
9 | Elect Ichiroh Takano | Mgmt | For | For | For |
Page 150
Hulic Co Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J23594112 | 03/22/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Hajime Kobayashi as Director | Mgmt | For | For | For |
Indo Tambangraya Megah Tbk, PT
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y71244100 | 03/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Annual Report | Mgmt | For | For | For | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
5 | Directors’ and Commissioners’ Fees | Mgmt | For | For | For | |||||
6 | Election of Directors and Commissioners (Slate) | Mgmt | For | For | For | |||||
7 | Report on the Use of Proceeds from the Initial Public Offering | Mgmt | For | For | For |
Page 151
International Container Terminal Services Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y41157101 | 04/18/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Philippines |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Call to Order | Mgmt | For | For | For | |||||
3 | Determination of Quorum | Mgmt | For | For | For | |||||
4 | Approve Minutes | Mgmt | For | For | For | |||||
5 | Chairman’s Report | Mgmt | For | For | For | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Ratification of Board Acts | Mgmt | For | For | For | |||||
8 | Elect Enrique K. Razon, Jr. | Mgmt | For | For | For | |||||
9 | Elect Jon Ramon Aboitiz | Mgmt | For | For | For | |||||
10 | Elect Octavio Victor R. Espiritu | Mgmt | For | For | For | |||||
11 | Elect Joseph R. Higdon | Mgmt | For | For | For | |||||
12 | Elect Jose C. Ibazeta | Mgmt | For | For | For | |||||
13 | Elect Stephen A. Paradies | Mgmt | For | For | For | |||||
14 | Elect Andres Soriano III | Mgmt | For | For | For | |||||
15 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
16 | Transaction of Other Business | Mgmt | For | Against | Against | |||||
17 | Adjournment | Mgmt | For | For | For | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
19 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Jafco Co. Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J25832106 | 06/18/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Shinichi Fuki | Mgmt | For | For | For | |||||
3 | Elect Hiroshi Yamada | Mgmt | For | For | For | |||||
4 | Elect Yoshimitsu Ohura | Mgmt | For | For | For | |||||
5 | Elect Yoshiyuki Shibusawa | Mgmt | For | For | For | |||||
6 | Elect Tsunenori Kanoh | Mgmt | For | For | For | |||||
7 | Elect Takashi Iida | Mgmt | For | For | For | |||||
8 | Elect Nobuyuki Hata | Mgmt | For | For | For |
Page 152
Japan Exchange Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J2740B106 | 06/18/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Masakazu Hayashi | Mgmt | For | For | For | |||||
3 | Elect Atsushi Saitoh | Mgmt | For | For | For | |||||
4 | Elect Michio Yoneda | Mgmt | For | For | For | |||||
5 | Elect Akira Kiyota | Mgmt | For | For | For | |||||
6 | Elect Hiromi Yamaji | Mgmt | For | For | For | |||||
7 | Elect Tsutomu Okuda | Mgmt | For | For | For | |||||
8 | Elect Yuko Kawamoto | Mgmt | For | For | For | |||||
9 | Elect Hideaki Kubori | Mgmt | For | For | For | |||||
10 | Elect Hiroyuki Nakatsukasa | Mgmt | For | For | For | |||||
11 | Elect Masayuki Hirose | Mgmt | For | For | For | |||||
12 | Elect Katsuhiko Honda | Mgmt | For | For | For | |||||
13 | Elect Kunihiro Matsuo | Mgmt | For | For | For | |||||
14 | Elect Shigeru Morimoto | Mgmt | For | For | For | |||||
15 | Elect Charles D. Lake | Mgmt | For | For | For |
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y4459Q103 | 06/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ajit Gunewardene | Mgmt | For | For | For | |||||
2 | Elect Indrajit Coomaraswamy | Mgmt | For | For | For | |||||
3 | Elect Ashroff Omar | Mgmt | For | For | For | |||||
4 | Elect Tarun Das | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 153
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y4459Q103 | 06/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Employee Share Option Plan | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
KaKaKu.com, Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J29258100 | 06/25/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Kaoru Hayashi | Mgmt | For | For | For | |||||
4 | Elect Minoru Tanaka | Mgmt | For | For | For | |||||
5 | Elect Shohnosuke Hata | Mgmt | For | For | For | |||||
6 | Elect Taizoh Ieuji | Mgmt | For | For | For | |||||
7 | Elect Kenji Fujiwara | Mgmt | For | For | For | |||||
8 | Elect Hajime Uemura | Mgmt | For | For | For | |||||
9 | Elect Shingo Yuki | Mgmt | For | For | For | |||||
10 | Elect Atsuhiro Murakami | Mgmt | For | For | For | |||||
11 | Elect Ohki Matsumoto | Mgmt | For | For | For | |||||
12 | Elect Yoshiharu Hayakawa | Mgmt | For | For | For | |||||
13 | Elect Ryuhei Akiyama | Mgmt | For | For | For | |||||
14 | Elect Shinichi Sejimo as Statutory Auditor | Mgmt | For | For | For | |||||
15 | Elect Tetsuo Itoh as Alternate Statutory Auditor | Mgmt | For | For | For |
Kangwon Land, Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y4581L105 | 03/21/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Korea, Republic of |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Directors’ Fees | Mgmt | For | For | For |
Page 154
Kenmare Resources Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G52332106 | 05/29/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Ireland |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Sofia Bianchi | Mgmt | For | For | For | |||||
4 | Elect Michael Carvill | Mgmt | For | For | For | |||||
5 | Elect Jacob Deysel | Mgmt | For | For | For | |||||
6 | Elect Terence Fitzpatrick | Mgmt | For | For | For | |||||
7 | Elect Elizabeth Headon | Mgmt | For | For | For | |||||
8 | Elect Justin Loasby | Mgmt | For | For | For | |||||
9 | Elect Anthony C. Lowrie | Mgmt | For | For | For | |||||
10 | Elect Tony McCluskey | Mgmt | For | For | For | |||||
11 | Elect Steven McTiernan | Mgmt | For | For | For | |||||
12 | Elect Gabriel Smith | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Directors’ Fees | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Kroton Educacional S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS P6115V129 | 03/05/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Stock Split | Mgmt | For | For | For | |||||
4 | Consolidation of Articles Pursuant to Changes in Share Capital | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 155
Kroton Educacional S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS P6115V111 | 11/30/2012 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Adhesion to Novo Mercado | Mgmt | For | For | For | |||||
3 | Conversion of Preferred Shares to Common Shares | Mgmt | For | For | For | |||||
4 | Reverse Stock Split | Mgmt | For | For | For | |||||
5 | Cancellation of Certificate of Deposit Units | Mgmt | For | For | For | |||||
6 | Amendments to Articles Regarding Novo Mercado Regulations | Mgmt | For | For | For | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
8 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
London Stock Exchange Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G5689U103 | 03/27/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote��Cast | For/Against Mgmt | |||||
1 | Acquisition and Participation in Rights Offering | Mgmt | For | For | For |
Lungyen Life Service Co. Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y5379T101 | 06/04/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Taiwan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
7 | Accounts and Reports | Mgmt | For | For | For | |||||
8 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
9 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
10 | Amendments to Procedural Rules: Endorsements and Guarantees | Mgmt | For | For | For | |||||
11 | Amendments to Procedural Rules: Capital loans | Mgmt | For | For | For | |||||
12 | Elect LIU Weilung | Mgmt | For | For | For | |||||
13 | Elect Ichiro Akira | Mgmt | For | For | For | |||||
14 | Non-Compete Restrictions for Directors | Mgmt | For | For | For | |||||
15 | Extraordinary Motions | Mgmt | For | Against | Against |
Page 156
Methanex Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MEOH | CUSIP 59151K108 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bruce Aitken | Mgmt | For | For | For | |||||
1.2 | Elect Howard Balloch | Mgmt | For | For | For | |||||
1.3 | Elect Phillip Cook | Mgmt | For | For | For | |||||
1.4 | Elect John Floren | Mgmt | For | For | For | |||||
1.5 | Elect Thomas Hamilton | Mgmt | For | For | For | |||||
1.6 | Elect Robert Kostelnik | Mgmt | For | For | For | |||||
1.7 | Elect Douglas Mahaffy | Mgmt | For | For | For | |||||
1.8 | Elect A. Terence Poole | Mgmt | For | For | For | |||||
1.9 | Elect John Reid | Mgmt | For | For | For | |||||
1.10 | Elect Janice Rennie | Mgmt | For | For | For | |||||
1.11 | Elect Monica Sloan | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 157
Moneysupermarket.Com Group Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G6258H101 | 04/17/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Gerald Corbett | Mgmt | For | For | For | |||||
5 | Elect Simon Nixon | Mgmt | For | For | For | |||||
6 | Elect Peter Plumb | Mgmt | For | For | For | |||||
7 | Elect Paul Doughty | Mgmt | For | For | For | |||||
8 | Elect Graham Donoghue | Mgmt | For | For | For | |||||
9 | Elect Michael Wemms | Mgmt | For | For | For | |||||
10 | Elect Robert Rowley | Mgmt | For | For | For | |||||
11 | Elect Bruce Carnegie-Brown | 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 | Authorisation of Political Donations | Mgmt | For | For | For | |||||
18 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Nagacorp Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G6382M109 | 05/24/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 CHEN Lip Keong | Mgmt | For | For | For | |||||
6 | Elect Abdul Kadir bin Sheikh Fadzir | Mgmt | For | For | For | |||||
7 | Elect LIM Mun Kee | Mgmt | For | For | For | |||||
8 | Directors’ Fees | Mgmt | For | For | For | |||||
9 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
12 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Page 158
Naver Co Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y6347M103 | 06/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Korea, Republic of |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Spin-off | Mgmt | For | For | For | |||||
2 | Amendments to Articles | Mgmt | For | For | For |
New Gold Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NGD | CUSIP 644535106 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect David Emerson | Mgmt | For | For | For | |||||
2.2 | Elect James Estey | Mgmt | For | For | For | |||||
2.3 | Elect Robert Gallagher | Mgmt | For | For | For | |||||
2.4 | Elect Vahan Kololian | Mgmt | For | For | For | |||||
2.5 | Elect Martyn Konig | Mgmt | For | For | For | |||||
2.6 | Elect Pierre Lassonde | Mgmt | For | For | For | |||||
2.7 | Elect Randall Oliphant | Mgmt | For | For | For | |||||
2.8 | Elect Raymond W. Threlkeld | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 159
NTT Urban Development Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J5940Z104 | 06/18/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Elect Kanya Shiokawa | Mgmt | For | For | For | |||||
5 | Elect Akira Komatsu | Mgmt | For | For | For | |||||
6 | Elect Hiroshi Ikegawa | Mgmt | For | For | For | |||||
7 | Elect Takashi Hiroi | Mgmt | For | For | For |
OHL Mexico SAB
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS P7356Z100 | 04/29/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Statutory Reports | Mgmt | For | For | For | |||||
2 | Report of the CEO; Report of the Board; Auditor’s Report; Report on Tax Compliance | Mgmt | For | For | For | |||||
3 | Financial Statements; Report on Board Activities; Report on Accounting Practices | Mgmt | For | For | For | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Allocation of Profits/Dividends; Authority to Repurchase Shares | Mgmt | For | For | For | |||||
6 | Election of Directors; Election of Board Committee Chairmen; Fees | Mgmt | For | For | For | |||||
7 | Election of Meeting Delegates | Mgmt | For | For | For |
Page 160
Optimal Payments Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G6770D109 | 05/22/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | ISLE OF MAN |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Ian Francis | Mgmt | For | For | For | |||||
4 | Elect Joel Leonoff | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
7 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
8 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Playtech
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G7132V100 | 05/08/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | ISLE OF MAN |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Elect Andrew Thomas | Mgmt | For | For | For | |||||
6 | Elect Ron Hoffman | Mgmt | For | For | For | |||||
7 | Elect Roger Withers | Mgmt | For | For | For | |||||
8 | Elect Alan Jackson | Mgmt | For | For | For | |||||
9 | Elect Moran Weizer | Mgmt | For | For | For | |||||
10 | Change of Company Name | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
12 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 161
Public Bank Bhd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y71497104 | 03/18/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Malaysia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Elect Haji Abdul Aziz bin Omar | Mgmt | For | For | For | |||||
3 | Elect LAI Wai Keen | Mgmt | For | For | For | |||||
4 | Elect TEH Hong Piow | Mgmt | For | For | For | |||||
5 | Elect THONG Yaw Hong | Mgmt | For | For | For | |||||
6 | Elect TAY Ah Lek | Mgmt | For | For | For | |||||
7 | Elect LEE Kong Lam | Mgmt | For | For | For | |||||
8 | Elect YEOH Chin Kee | Mgmt | For | For | For | |||||
9 | Elect LAI Wan | 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 | Amendments to Articles | Mgmt | For | For | For |
Randgold Resources
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G73740113 | 04/29/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Jersey |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Philippe Lietard | Mgmt | For | For | For | |||||
5 | Elect D. Mark Bristow | Mgmt | For | For | For | |||||
6 | Elect Norborne P. Cole, Jr. | Mgmt | For | For | For | |||||
7 | Elect Christopher Coleman | Mgmt | For | For | For | |||||
8 | Elect Kadri Dagdelen | Mgmt | For | For | For | |||||
9 | Elect Jeanine Mabunda Lioko | Mgmt | For | For | For | |||||
10 | Elect Graham Shuttleworth | Mgmt | For | For | For | |||||
11 | Elect Andrew Quinn | Mgmt | For | For | For | |||||
12 | Elect Karl Voltaire | Mgmt | For | For | For | |||||
13 | Appointment of Auditor | Mgmt | For | For | For | |||||
14 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
16 | Directors’ Fees | Mgmt | For | For | For | |||||
17 | Equity Grant (Mark Bristow) | Mgmt | For | For | For | |||||
18 | Directors’ Fees | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 162
Rational AG
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS D6349P107 | 05/08/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Germany |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
7 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
8 | Appointment of Auditor | Mgmt | For | For | For | |||||
9 | Profit-and-Loss Transfer Agreement with RATIONAL Montage GmbH | Mgmt | For | For | For | |||||
10 | Profit-and-Loss Transfer Agreement with LechMetall GmbH | Mgmt | For | For | For | |||||
11 | Amendments to Articles | Mgmt | For | For | For | |||||
12 | Amendments to Articles | Mgmt | For | For | For | |||||
13 | Amendments to Articles | Mgmt | For | For | For |
Page 163
Resona Holdings, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J6448E106 | 06/21/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Amendments to Articles Regarding Public Funds Full Repayment Plan | Mgmt | For | For | For | |||||
3 | Authority to Reduce Other Earned Surplus, Stated Capital and Capital Reserves | Mgmt | For | For | For | |||||
4 | Amendments to Articles | Mgmt | For | For | For | |||||
5 | Elect Kazuhiro Higashi | Mgmt | For | For | For | |||||
6 | Elect Toshiki Hara | Mgmt | For | For | For | |||||
7 | Elect Tetsuya Kan | Mgmt | For | For | For | |||||
8 | Elect Kaoru Isono | Mgmt | For | For | For | |||||
9 | Elect Tsutomu Okuda | Mgmt | For | For | For | |||||
10 | Elect Shuhsai Nagai | Mgmt | For | For | For | |||||
11 | Elect Emi Ohsono | Mgmt | For | For | For | |||||
12 | Elect Toshio Arima | Mgmt | For | For | For | |||||
13 | Elect Yohko Sanuki | Mgmt | For | For | For | |||||
14 | Elect Mitsudo Urano | Mgmt | For | For | For | |||||
15 | Amendments to Articles Regarding Public Funds Full Repayment Plan | Mgmt | For | For | For |
Rotork plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G76717126 | 04/26/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Ian G. King | Mgmt | For | For | For | |||||
4 | Elect Peter I. France | Mgmt | For | For | For | |||||
5 | Elect Jonathan M. Davis | Mgmt | For | For | For | |||||
6 | Elect Robert H. Arnold | Mgmt | For | For | For | |||||
7 | Elect Graham M. Ogden | Mgmt | For | For | For | |||||
8 | Elect John E. Nicholas | Mgmt | For | For | For | |||||
9 | Elect Roger C. Lockwood | Mgmt | For | For | For | |||||
10 | Elect Gary Bullard | Mgmt | For | For | For | |||||
11 | Elect Sally James | Mgmt | For | For | For | |||||
12 | Appointment of Auditor | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Repurchase Ordinary Shares | Mgmt | For | For | For | |||||
18 | Authority to Repurchase Preference Shares | Mgmt | For | For | For | |||||
19 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against | |||||
20 | Sharesave Scheme Renewal | Mgmt | For | For | For |
Page 164
Samsonite International S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS L80308106 | 06/06/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Luxembourg |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Results | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Elect Timothy C Parker | Mgmt | For | For | For | |||||
7 | Elect Kyle F Gendreau | Mgmt | For | For | For | |||||
8 | Elect Bruce H McLain | Mgmt | For | For | For | |||||
9 | Elect Paul K Etchells | Mgmt | For | For | For | |||||
10 | Elect Ying Yeh | Mgmt | For | For | For | |||||
11 | Appointment of Approved Statutory Auditor | Mgmt | For | For | For | |||||
12 | Appointment of External Auditor | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
14 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
15 | Authority to Issue Repurchased Shares | Mgmt | For | For | For | |||||
16 | Grant of Discharge for Directors and Auditors for Exercise of Their Mandates | Mgmt | For | For | For | |||||
17 | Directors’ Fees | Mgmt | For | For | For | |||||
18 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
19 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 165
Sandfire Resources
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Q82191109 | 11/27/2012 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Re-elect Derek La Ferla | Mgmt | For | For | For | |||||
4 | Elect Soocheol Shin | Mgmt | For | For | For |
Sands China Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G7800X107 | 05/31/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 TOH Hup Hock | Mgmt | For | For | For | |||||
6 | Elect Michael Alan Leven | Mgmt | For | For | For | |||||
7 | Elect Jeffrey H. Schwartz | Mgmt | For | For | For | |||||
8 | Elect David M. Turnbull | Mgmt | For | For | For | |||||
9 | Elect Victor Patrick Hoog Antink | Mgmt | For | For | For | |||||
10 | Elect Steven Zygmunt Strasser | Mgmt | For | For | For | |||||
11 | Directors’ Fees | Mgmt | For | For | For | |||||
12 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
15 | Authority to Issue Repurchased Shares | Mgmt | For | For | For | |||||
16 | Amendments to Articles - Change in Company Name | Mgmt | For | For | For | |||||
17 | Amendments to Articles | Mgmt | For | For | For | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 166
Sap AG
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SAP | CUSIP 803054204 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
3 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
4 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For |
Shenzhou International Group Hldgs
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G8087W101 | 05/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 MA Jianrong | Mgmt | For | For | For | |||||
6 | Elect MA Renhe | Mgmt | For | For | For | |||||
7 | Elect ZHENG Miaohui | Mgmt | For | For | For | |||||
8 | Elect QIU Weiguo | Mgmt | For | For | For | |||||
9 | Directors’ Fees | Mgmt | For | For | For | |||||
10 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | Against | Against | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Authority to Issue Repurchased Shares | Mgmt | For | Against | Against | |||||
14 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 167
Shimano Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J72262108 | 03/28/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Keiji Kakutani | Mgmt | For | For | For | |||||
4 | Elect Shinji Wada | Mgmt | For | For | For | |||||
5 | Elect Satoshi Yuasa | Mgmt | For | For | For | |||||
6 | Elect CHIA Chin Seng | Mgmt | For | For | For | |||||
7 | Elect Kazuo Ichijoh | Mgmt | For | For | For |
Shinsei Bank, Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J7385L103 | 06/19/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Shigeki Tohma | Mgmt | For | For | For | |||||
3 | Elect Yukio Nakamura | Mgmt | For | For | For | |||||
4 | Elect J. Christopher Flowers | Mgmt | For | For | For | |||||
5 | Elect Ernest M. Higa | Mgmt | For | For | For | |||||
6 | Elect Shigeru Kani | Mgmt | For | For | For | |||||
7 | Elect Jun Makihara | Mgmt | For | For | For |
Page 168
Silver Wheaton Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLW | CUSIP 828336107 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lawrence I. Bell | Mgmt | For | For | For | |||||
1.2 | Elect George L. Brack | Mgmt | For | For | For | |||||
1.3 | Elect John A. Brough | Mgmt | For | For | For | |||||
1.4 | Elect R. Peter Gillin | Mgmt | For | For | For | |||||
1.5 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.6 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.7 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.8 | Elect Randy V.J. Smallwood | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Start Today Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J7665M102 | 06/27/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Elect Yusaku Maezawa | Mgmt | For | For | For | |||||
3 | Elect Kohji Yanagisawa | Mgmt | For | For | For | |||||
4 | Elect Akiko Ohishi | Mgmt | For | For | For | |||||
5 | Elect Takanobu Mutoh | Mgmt | For | For | For | |||||
6 | Elect Mineki Ohkura | Mgmt | For | For | For | |||||
7 | Elect Kohtaroh Sawada | Mgmt | For | For | For | |||||
8 | Elect Kohji Ono | Mgmt | For | For | For |
Page 169
Sumitomo Mitsui Trust Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J0752J108 | 06/27/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Elect Hitoshi Tsunekage | Mgmt | For | For | For | |||||
5 | Elect Kunitaroh Kitamura | Mgmt | For | For | For | |||||
6 | Elect Akio Ohtsuka | Mgmt | For | For | For | |||||
7 | Elect Nobuo Iwasaki | Mgmt | For | For | For | |||||
8 | Elect Testuo Ohkubo | Mgmt | For | For | For | |||||
9 | Elect Masaru Hashimoto | Mgmt | For | For | For | |||||
10 | Elect Jun Okuno | Mgmt | For | For | For | |||||
11 | Elect Kiyoshi Mukohhara | Mgmt | For | For | For | |||||
12 | Elect Toshio Hoshino | Mgmt | For | For | For | |||||
13 | Elect Sohichi Shinohara | Mgmt | For | For | For | |||||
14 | Elect Takashi Kamikanda | Mgmt | For | For | For | |||||
15 | Elect Hiroyuki Nakanishi | Mgmt | For | For | For | |||||
16 | Elect Yasuhiko Takano | Mgmt | For | For | For | |||||
17 | Elect Tetsuya Yoshimoto | Mgmt | For | For | For | |||||
18 | Elect Shinichi Saitoh | Mgmt | For | For | For | |||||
19 | Amendments to Articles | Mgmt | For | For | For |
Summarecon Agung
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y8198G144 | 06/05/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Election of Directors and Commissioners (Slate) | Mgmt | For | Abstain | Against | |||||
5 | Commissioners’ Fees | Mgmt | For | For | For |
Summarecon Agung
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y8198G144 | 06/05/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendments to Articles | Mgmt | For | For | For |
Page 170
Tahoe Resources Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TAHO | CUSIP 873868103 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. Dan Rovig | Mgmt | For | For | For | |||||
1.2 | Elect C. Kevin McArthur | Mgmt | For | For | For | |||||
1.3 | Elect Lorne B. Anderson | Mgmt | For | For | For | |||||
1.4 | Elect Paul B. Sweeney | Mgmt | For | For | For | |||||
1.5 | Elect James S. Voorhees | Mgmt | For | For | For | |||||
1.6 | Elect John P. Bell | Mgmt | For | For | For | |||||
1.7 | Elect Kenneth F. Williamson | Mgmt | For | For | For | |||||
1.8 | Elect Tanya M. Jakusconek | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the Share Option and Incentive Share Plan | Mgmt | For | For | For |
Talisman Energy, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TLM | CUSIP 87425E103 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Christiane Bergevin | Mgmt | For | For | For | |||||
1.2 | Elect Donald J. Carty | Mgmt | For | For | For | |||||
1.3 | Elect William R.P. Dalton | Mgmt | For | For | For | |||||
1.4 | Elect Kevin S. Dunne | Mgmt | For | For | For | |||||
1.5 | Elect Harold N. Kvisle | Mgmt | For | For | For | |||||
1.6 | Elect Brian M. Levitt | Mgmt | For | For | For | |||||
1.7 | Elect Lisa A. Stewart | Mgmt | For | For | For | |||||
1.8 | Elect Peter W. Tomsett | Mgmt | For | For | For | |||||
1.9 | Elect Michael T. Waites | Mgmt | For | For | For | |||||
1.10 | Elect Charles R. Williamson | Mgmt | For | For | For | |||||
1.11 | Elect Charles M. Winograd | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 171
Teck Resources Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TCK | CUSIP 878742204 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mayank M. Ashar | Mgmt | For | For | For | |||||
1.2 | Elect Jalynn H. Bennett | Mgmt | For | For | For | |||||
1.3 | Elect Hugh J. Bolton | Mgmt | For | For | For | |||||
1.4 | Elect Felix P. Chee | Mgmt | For | For | For | |||||
1.5 | Elect Jack L. Cockwell | Mgmt | For | For | For | |||||
1.6 | Elect Edward C. Dowling | Mgmt | For | For | For | |||||
1.7 | Elect Norman B. Keevil | Mgmt | For | For | For | |||||
1.8 | Elect Norman B. Keevil III | Mgmt | For | For | For | |||||
1.9 | Elect Takeshi Kubota | Mgmt | For | For | For | |||||
1.10 | Elect Takashi Kuriyama | Mgmt | For | For | For | |||||
1.11 | Elect Donald R. Lindsay | Mgmt | For | For | For | |||||
1.12 | Elect Janice G. Rennie | Mgmt | For | For | For | |||||
1.13 | Elect Warren S.R. Seyffert | Mgmt | For | For | For | |||||
1.14 | Elect Christopher M.T. Thompson | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Resolution on Executive Compensation | Mgmt | For | For | For |
Tokio Marine Holdings Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J86298106 | 06/24/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Shuzoh Sumi | Mgmt | For | For | For | |||||
4 | Elect Takaaki Tamai | Mgmt | For | For | For | |||||
5 | Elect Tsuyoshi Nagano | Mgmt | For | For | For | |||||
6 | Elect Masashi Ohba | Mgmt | For | For | For | |||||
7 | Elect Hirokazu Fujita | Mgmt | For | For | For | |||||
8 | Elect Kunio Itoh | Mgmt | For | For | For | |||||
9 | Elect Akio Mimura | Mgmt | For | For | For | |||||
10 | Elect Toshifumi Kitazawa | Mgmt | For | For | For | |||||
11 | Elect Mikio Sasaki | Mgmt | For | For | For | |||||
12 | Elect Takashi Itoh | Mgmt | For | For | For |
Page 172
Tractebel Energia S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS P9208W103 | 02/20/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Spin-Off Agreement | Mgmt | For | For | For | |||||
4 | Ratification of Appointment of Appraiser | Mgmt | For | For | For | |||||
5 | Valuation Report | Mgmt | For | For | For | |||||
6 | Spin-Off of Machadinho Energetica | Mgmt | For | For | For | |||||
7 | Authority to Carry Out Formalities | Mgmt | For | For | For | |||||
8 | Amendments to Articles Regarding Supervisory Council | Mgmt | For | For | For | |||||
9 | Consolidation of Articles | Mgmt | For | For | For |
United Tractors Tbk
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Y7146Y140 | 04/22/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Election of Directors and/or Commissioners (Slate) | Mgmt | For | For | For | |||||
4 | Directors’ and Commissioners’ Fees | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For |
Page 173
Victrex plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS G9358Y107 | 02/05/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Elect Tim Cooper | Mgmt | For | For | For | |||||
5 | Elect Anita Frew | Mgmt | For | For | For | |||||
6 | Elect Giles Kerr | Mgmt | For | For | For | |||||
7 | Elect Patrick De Smedt | Mgmt | For | For | For | |||||
8 | Elect Lawrence Pentz | Mgmt | For | For | For | |||||
9 | Elect Pamela Kirby | Mgmt | For | For | For | |||||
10 | Elect David Hummel | Mgmt | For | For | For | |||||
11 | Elect Steve Barrow | Mgmt | For | For | For | |||||
12 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
14 | All-Employee Share Ownership Plan Renewal | 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 | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
West Fraser Timber Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WFTBF | CUSIP 952845105 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Henry H. Ketcham | Mgmt | For | For | For | |||||
2.2 | Elect Clark S. Binkley | Mgmt | For | For | For | |||||
2.3 | Elect J. Duncan Gibson | Mgmt | For | For | For | |||||
2.4 | Elect Samuel W. Ketcham | Mgmt | For | For | For | |||||
2.5 | Elect Harald H. Ludwig | Mgmt | For | For | For | |||||
2.6 | Elect Gerald J. Miller | Mgmt | For | For | For | |||||
2.7 | Elect Robert L. Phillips | Mgmt | For | For | For | |||||
2.8 | Elect Janice G. Rennie | Mgmt | For | For | For | |||||
2.9 | Elect Ted Seraphim | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 174
Western Areas Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Q9618L100 | 02/21/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Special | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Ratify Issue of Securities | Mgmt | For | For | For |
Western Areas Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS Q9618L100 | 11/23/2012 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Re-elect Julian Hanna | Mgmt | For | For | For | |||||
3 | Re-elect Robin Dunbar | Mgmt | For | For | For | |||||
4 | Re-elect Rick Yeates | Mgmt | For | For | For | |||||
5 | Remuneration Report | Mgmt | For | For | For | |||||
6 | Equity Grant (MD Daniel Lougher) | Mgmt | For | For | For | |||||
7 | Equity Grant (Finance Director David Southam) | Mgmt | For | For | For | |||||
8 | Approve Change in Company Type | Mgmt | For | For | For | |||||
9 | Amendments to Constitution | Mgmt | For | For | For | |||||
10 | Renew Proportional Takeover Provisions | Mgmt | For | For | For |
Page 175
Yahoo Japan Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS J95402103 | 06/20/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect Manabu Miyasaka | Mgmt | For | For | For | |||||
4 | Elect Masayoshi Son | Mgmt | For | For | For | |||||
5 | Elect Ken Miyauchi | Mgmt | For | For | For | |||||
6 | Elect Yasuyuki Imai | Mgmt | For | For | For | |||||
7 | Elect Kenneth Goldman | Mgmt | For | For | For | |||||
8 | Elect Mitsuo Sano | Mgmt | For | For | For | |||||
9 | Elect Kyohko Uemura | Mgmt | For | For | For |
Yamana Gold Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AUY | CUSIP 98462Y100 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Peter J. Marrone | Mgmt | For | For | For | |||||
1.2 | Elect Patrick J. Mars | Mgmt | For | For | For | |||||
1.3 | Elect John A. Begeman | Mgmt | For | For | For | |||||
1.4 | Elect Alexander J. Davidson | Mgmt | For | For | For | |||||
1.5 | Elect Richard P. Graff | Mgmt | For | For | For | |||||
1.6 | Elect Nigel Lees | Mgmt | For | For | For | |||||
1.7 | Elect Juvenal Mesquita Filho | Mgmt | For | For | For | |||||
1.8 | Elect Carl L. Renzoni | Mgmt | For | For | For | |||||
1.9 | Elect Antenor F. Silva, Jr. | Mgmt | For | For | For | |||||
1.10 | Elect Dino Titaro | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 176
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW International Small Cap Fund
Accretive Co. Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8423 | CINS J14252100 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
2 | Elect Mitsuo Takahashi as Director | Mgmt | For | For | For | |||||
3 | Elect Takamichi Hozumi as Alternate Director | Mgmt | For | For | For |
Africa Hydrocarbons Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NFK-V | CUSIP 00830G100 | 03/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | Against | Against | |||||
2.1 | Elect John Nelson | Mgmt | For | For | For | |||||
2.2 | Elect Gordon McKay | Mgmt | For | For | For | |||||
2.3 | Elect Binh Vu | Mgmt | For | Withhold | Against | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Change of Continuance | Mgmt | For | Against | Against | |||||
5 | Stock Option Plan | Mgmt | For | For | For |
African Minerals Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMI | CINS G0114P100 | 08/02/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Board Size | Mgmt | For | For | For | |||||
5 | Elect Vasile (Frank) Timis | Mgmt | For | For | For | |||||
6 | Elect Gibril Bangura | Mgmt | For | For | For | |||||
7 | Elect Dermot Coughlan | Mgmt | For | For | For | |||||
8 | Elect Cui Jurong | Mgmt | For | For | For | |||||
9 | Amendments to Bye-Laws Regarding Share Interest Enquiries | Mgmt | For | Against | Against | |||||
10 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 177
Alaris Royalty Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AD | CUSIP 01163Q202 | 04/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Jack C. Lee | Mgmt | For | For | For | |||||
2.2 | Elect E. Mitchell Shier | Mgmt | For | For | For | |||||
2.3 | Elect Mary C. Ritchie | Mgmt | For | For | For | |||||
2.4 | Elect John P.A. Budreski | Mgmt | For | For | For | |||||
2.5 | Elect Stephen W. King | Mgmt | For | For | For | |||||
2.6 | Elect Gary Patterson | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Advance Notice By-Law | Mgmt | For | For | For | |||||
5 | Reorganization of Share Capital | Mgmt | For | For | For |
Alpha Bank A.E.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALPHA | CINS X1687N119 | 06/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Greece |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Accounts and Reports; Allocation of Losses/Dividends | Mgmt | For | For | For | |||||
3 | Ratification of Directors’ and Auditor’s Acts | Mgmt | For | For | For | |||||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
5 | Directors’ Fees | Mgmt | For | For | For | |||||
6 | Ratification of Directors’ and Auditor’s Acts, Authorization of Legal Formalities Regarding Merger | Mgmt | For | For | For | |||||
7 | Board Transactions | Mgmt | For | For | For |
Page 178
ARA Asset Management
Ticker | Security ID: | Meeting Date | Meeting Status | |||
D1R | CINS G04512102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect LIM How Teck | Mgmt | For | For | For | |||||
4 | Elect Moses CHENG Mo Chi | Mgmt | For | For | For | |||||
5 | Elect Colin Stevens Russel | Mgmt | For | For | For | |||||
6 | Directors’ Fees | Mgmt | For | For | For | |||||
7 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
8 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
14 | Amendments to Articles | Mgmt | For | For | For | |||||
15 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Banro Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BAA | CUSIP 066800103 | 06/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John A. Clarke | Mgmt | For | For | For | |||||
1.2 | Elect Maurice J. Colson | Mgmt | For | For | For | |||||
1.3 | Elect Peter N. Cowley | Mgmt | For | For | For | |||||
1.4 | Elect Peter V. Gundy | Mgmt | For | For | For | |||||
1.5 | Elect Arnold T. Kondrat | Mgmt | For | For | For | |||||
1.6 | Elect Richard J. Lachcik | Mgmt | For | For | For | |||||
1.7 | Elect Bernard R. van Rooyen | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Advance Notice | Mgmt | For | For | For |
Page 179
Bathurst Resources Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BTU | CINS Q1374Z100 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Approval of the Re-domicile (Scheme) | Mgmt | For | For | For |
Bathurst Resources Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BTU | CINS Q1374Z100 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Approve Amendments to the Long Term Incentive Plan | Mgmt | For | For | For | |||||
3 | Equity Grant (MD Hamish Bohannan) | Mgmt | For | For | For | |||||
4 | Approve Termination Payments | Mgmt | For | For | For |
Benefit One Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2412 | CINS J0447X108 | 06/27/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Elect Yasuyuki Nambu | Mgmt | For | For | For | |||||
3 | Elect Norio Shiraishi | Mgmt | For | For | For | |||||
4 | Elect Masako Suzuki | Mgmt | For | For | For | |||||
5 | Elect Kohji Nosohara | Mgmt | For | For | For | |||||
6 | Elect Tsutomu Ohta | Mgmt | For | For | For | |||||
7 | Elect Hajime Hirasawa | Mgmt | For | For | For | |||||
8 | Elect Hirotaka Wakamoto | Mgmt | For | For | For | |||||
9 | Elect Yuko Nakase | Mgmt | For | For | For | |||||
10 | Elect Akira Kamitomai | Mgmt | For | For | For | |||||
11 | Elect Makoto Nakagawa as Statutory Auditor | Mgmt | For | For | For | |||||
12 | Elect Kazufumi Nomura as Alternate Statutory Ausitor | Mgmt | For | For | For |
Page 180
Bit-isle Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3811 | CINS J04579108 | 10/24/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Elect Kohhei Terada | Mgmt | For | For | For | |||||
3 | Elect Nobuyuki Amano | Mgmt | For | For | For | |||||
4 | Elect Takuya Andoh | Mgmt | For | For | For | |||||
5 | Elect Hideo Fukai | Mgmt | For | For | For | |||||
6 | Elect Kunitake Andoh | Mgmt | For | For | For | |||||
7 | Elect Norio Yoshihara | Mgmt | For | For | For | |||||
8 | Elect Tetsu Takahashi | Mgmt | For | For | For | |||||
9 | Elect Keiichiroh Hashimoto | Mgmt | For | For | For |
Blue Wolf Mongolia Holdings Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MNGLU | CUSIP G11962126 | 04/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Extension Amendment | Mgmt | For | Against | Against | |||||
2 | 80% Amendment | Mgmt | For | Against | Against | |||||
3 | Approval of an Amendment to the IMTA | Mgmt | For | Against | Against |
carsales.com Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRZ | CINS Q21411105 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Re-elect Patrick O’Sullivan | Mgmt | For | For | For | |||||
4 | Approve Increase in NEDs’ Fee Cap | Mgmt | For | For | For | |||||
5 | Equity Grant (MD Greg Roebuck) | Mgmt | For | For | For |
Page 181
Chailease Holding Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
5871 | CINS G20288109 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Capitalization of Profits and Issuance of New Shares | Mgmt | For | For | For | |||||
9 | Amendments to Procedural Rules: Shareholder Meetings | Mgmt | For | For | For | |||||
10 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
11 | Amendments to Procedural Rule: Derivatives Trading | Mgmt | For | For | For | |||||
12 | Amendments to Procedural Rule: Capital Loans | Mgmt | For | For | For | |||||
13 | Amendments to Procedural Rule: Endorsements and Guarantees | Mgmt | For | For | For | |||||
14 | Non-Compete Restrictions for Directors | Mgmt | For | Against | Against | |||||
15 | Extraordinary motions | Mgmt | For | Against | Against |
Page 182
City Union Bank Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CITYUNIONB | CINS Y1659F135 | 08/31/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect T.K. Ramkumar | Mgmt | For | For | For | |||||
4 | Elect S. Bernard | Mgmt | For | For | For | |||||
5 | Elect N. Kantha Kumar | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Appointment of Branch Auditors and Authority to Set Fees | Mgmt | For | For | For | |||||
8 | Qualified Institutional Placement | Mgmt | For | For | For | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
12 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
13 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
14 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Container Corporation of India Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CONCOR | CINS Y1740A137 | 09/18/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Yash Vardhan | Mgmt | For | For | For | |||||
4 | Elect Arvind Mahajan | Mgmt | For | For | For | |||||
5 | Elect Kausik Gupta | Mgmt | For | For | For | |||||
6 | Elect A.K. Bandyopadhyay | Mgmt | For | For | For | |||||
7 | Appointment of Auditor | Mgmt | For | Against | Against | |||||
8 | Elect K. Srivastava | Mgmt | For | For | For | |||||
9 | Elect Shahnawaz Ali | Mgmt | For | For | For | |||||
10 | Elect M. Akhouri | Mgmt | For | For | For | |||||
11 | Amendments to Articles Regarding Repurchase of Shares | Mgmt | For | For | For | |||||
12 | Amendments to Articles Regarding Board Size | Mgmt | For | For | For |
Page 183
Coronation Fund Managers Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS S19537109 | 01/24/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | South Africa |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Re-elect John (Jock) McKenzie | Mgmt | For | For | For | |||||
3 | Re-elect Anton Pillay | Mgmt | For | For | For | |||||
4 | Elect John Snalam | Mgmt | For | For | For | |||||
5 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For | |||||
7 | Elect Audit and Risk Committee Member (Watson) | Mgmt | For | For | For | |||||
8 | Elect Audit and Risk Committee Member (Pather) | Mgmt | For | Against | Against | |||||
9 | Elect Audit and Risk Committee Member (McKenzie) | Mgmt | For | For | For | |||||
10 | Specific Authority to Issue Shares Pursuant to Call Option | Mgmt | For | For | For | |||||
11 | Approve Financial Assistance | Mgmt | For | For | For | |||||
12 | Approve NEDs’ Fees | Mgmt | For | For | For | |||||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
14 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 184
Development Credit Bank Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DCB | CINS Y2051L134 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Elect Suhail Nathani | Mgmt | For | Against | Against | |||||
3 | Elect Amin Manekia | Mgmt | For | For | For | |||||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
5 | Appointment of Branch Auditors and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Elect Imran Contractor | Mgmt | For | For | For | |||||
7 | Elect Keki Elavia | Mgmt | For | For | For | |||||
8 | Elect C. Narasimhan | Mgmt | For | For | For | |||||
9 | Elect Nalin Shah | Mgmt | For | For | For | |||||
10 | Elect S. Sridhar | Mgmt | For | For | For | |||||
11 | Elect Jamal Pradhan | Mgmt | For | For | For |
Development Credit Bank Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DCB | CINS Y2051L134 | 12/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Issue Shares w/out Preemptive Rights (Preferential Allotment) | Mgmt | For | Against | Against |
Page 185
Don Quijote
Ticker | Security ID: | Meeting Date | Meeting Status | |||
7532 | CINS J1235L108 | 09/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Elect Takao Yasuda | Mgmt | For | For | For | |||||
5 | Elect Junji Narusawa | Mgmt | For | For | For | |||||
6 | Elect Mitsuo Takahashi | Mgmt | For | For | For | |||||
7 | Elect Kohji Ohhara | Mgmt | For | For | For | |||||
8 | Elect Naoki Yoshida | Mgmt | For | For | For | |||||
9 | Elect Kohichi Ohtoshi as Statutory Auditors | Mgmt | For | For | For |
ElectroMagnetic GeoServices ASA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EMGS | CINS R21868105 | 06/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Norway |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Election of an Individual to Check Minutes | Mgmt | For | For | For | |||||
6 | Notice of Meeting and Agenda | Mgmt | For | For | For | |||||
7 | Accounts and Reports | Mgmt | For | For | For | |||||
8 | Compensation Guidelines | Mgmt | For | Against | Against | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Authority to Issue Shares w/ or w/o Preemptive Rights Pursuant to Corporate Transactions and General Business Purposes | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/ or w/o Preemptive Rights Pursuant to Option Incentive Schemes | Mgmt | For | For | For | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Directors’ Fees for 2013 | Mgmt | For | For | For | |||||
14 | Nomination Committee’s Fees | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For | |||||
17 | Elect Maria Mor?us Hanssen | Mgmt | For | For | For | |||||
18 | Elect Bjarte Bruheim | Mgmt | For | For | For | |||||
19 | Elect Stig Eide Sivertsen | Mgmt | For | For | For | |||||
20 | Elect Berit Svendsen | Mgmt | For | For | For | |||||
21 | Elect Jeffrey Harris | Mgmt | For | For | For | |||||
22 | Option Scheme | Mgmt | For | For | For | |||||
23 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 186
Electrovaya Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EFL | CUSIP 28617B101 | 03/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sankar Das Gupta | Mgmt | For | For | For | |||||
1.2 | Elect Bejoy Das Gupta | Mgmt | For | For | For | |||||
1.3 | Elect Michael Gopikanth | Mgmt | For | For | For | |||||
1.4 | Elect Alexander McLean | Mgmt | For | For | For | |||||
1.5 | Elect Bernard Fleet | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Estacio Participacoes S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESTC3 | CINS P3784E108 | 11/28/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Acquisition of iDEZ Empreendimentos Educacionais | Mgmt | For | For | For | |||||
3 | Acquisition of UNIUOL Gestao de Empreendimentos Educacionais e Participacoes | Mgmt | For | For | For | |||||
4 | Acquisition of Sociedade Educacional do Rio Grande do Sul | Mgmt | For | For | For | |||||
5 | Amendment to Articles Regarding Reconciliation of Share Capital | Mgmt | For | For | For | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 187
Grange Resources Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GRR | CINS Q4268H129 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Re-elect ZHAO H. Lin | Mgmt | For | For | For | |||||
4 | Re-elect Neil G. Chatfield | Mgmt | For | For | For | |||||
5 | Re-elect Clement Ko | Mgmt | For | For | For | |||||
6 | Equity Grant (MD/CEO Richard Mehan) | Mgmt | For | For | For |
Gulf Keystone Petroleum Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GKP | CINS G4209G108 | 07/19/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
2 | Elect Todd Kozel | Mgmt | For | For | For | |||||
3 | Elect Peter Truscott | Mgmt | For | For | For | |||||
4 | Elect Lord Charles Guthrie | Mgmt | For | For | For | |||||
5 | Elect Mark Hanson | Mgmt | For | For | For | |||||
6 | Increase in Authorised Capital | Mgmt | For | For | For |
Page 188
H2O Retailing Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8242 | CINS J2358J102 | 06/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Shunichi Sugioka | Mgmt | For | For | For | |||||
3 | Elect Jun Wakabayashi | Mgmt | For | For | For | |||||
4 | Elect Naoya Araki | Mgmt | For | For | For | |||||
5 | Elect Yohsaku Fuji | Mgmt | For | For | For | |||||
6 | Elect Kazuo Sumi | Mgmt | For | For | For | |||||
7 | Elect Kazutoshi Senno | Mgmt | For | For | For | |||||
8 | Elect Keiji Uchiyama | Mgmt | For | For | For | |||||
9 | Elect Tadatsugu Mori | Mgmt | For | For | For | |||||
10 | Elect Katsuhiro Hayashi | Mgmt | For | For | For | |||||
11 | Elect Hideyuki Takai as Statutory Auditor | Mgmt | For | For | For | |||||
12 | Bonus | Mgmt | For | For | For |
Hellenic Exchanges S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EXAE | CINS X3247C104 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Greece |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Ratification of Directors’ and Auditor’s Acts | Mgmt | For | For | For | |||||
4 | Directors’ Fees 2012 | Mgmt | For | For | For | |||||
5 | Directors’ Fees 2013 | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Ratification of Board Appointments | Mgmt | For | For | For | |||||
8 | Board Transactions | Mgmt | For | For | For | |||||
9 | Capital Repayment | Mgmt | For | For | For | |||||
10 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 189
Hellenic Exchanges S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CINS X3247C104 | 06/11/2013 | Voted | ||||
Meeting Type | Country of Trade | |||||
Annual | Greece |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Capital Repayment | Mgmt | For | For | For |
Heritage Oil Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOIL | CINS G4509M102 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Jersey |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Divestiture | Mgmt | For | For | For | |||||
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 |
Hikari Tsushin Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
9435 | CINS J1949F108 | 06/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Reduce Capital Reserve | Mgmt | For | For | For | |||||
2 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect Yasumitsu Shigeta | Mgmt | For | Against | Against | |||||
4 | Elect Takeshi Tamamura | Mgmt | For | For | For | |||||
5 | Elect Hideaki Wada | Mgmt | For | For | For | |||||
6 | Elect Koh Gidoh | Mgmt | For | For | For | |||||
7 | Elect Yoshitaka Nishijima | Mgmt | For | For | For | |||||
8 | Elect Minoru Tanaka | Mgmt | For | For | For | |||||
9 | Elect Ichiroh Takano | Mgmt | For | For | For |
Page 190
Ivernia Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IVW | CUSIP 46582W108 | 06/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael Agnew | Mgmt | For | For | For | |||||
1.2 | Elect J. Trevor Eyton | Mgmt | For | For | For | |||||
1.3 | Elect David M. Qi | Mgmt | For | For | For | |||||
1.4 | Elect Wayne Richardson | Mgmt | For | For | For | |||||
1.5 | Elect Peter Robson | Mgmt | For | For | For | |||||
1.6 | Elect David Warner | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Re-Approval of the 2010 Stock Option Plan | Mgmt | For | For | For |
JAFCO Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8595 | CINS J25832106 | 06/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Elect Shinichi Fuki | Mgmt | For | For | For | |||||
3 | Elect Hiroshi Yamada | Mgmt | For | For | For | |||||
4 | Elect Yoshimitsu Ohura | Mgmt | For | For | For | |||||
5 | Elect Yoshiyuki Shibusawa | Mgmt | For | For | For | |||||
6 | Elect Tsunenori Kanoh | Mgmt | For | For | For | |||||
7 | Elect Takashi Iida | Mgmt | For | For | For | |||||
8 | Elect Nobuyuki Hata | Mgmt | For | For | For |
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKH | CINS Y4459Q103 | 06/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ajit Gunewardene | Mgmt | For | For | For | |||||
2 | Elect Indrajit Coomaraswamy | Mgmt | For | For | For | |||||
3 | Elect Ashroff Omar | Mgmt | For | For | For | |||||
4 | Elect Tarun Das | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 191
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKH | CINS Y4459Q103 | 06/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Employee Share Option Plan | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Kakaku.com Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2371 | CINS J29258100 | 06/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Kaoru Hayashi | Mgmt | For | For | For | |||||
4 | Elect Minoru Tanaka | Mgmt | For | For | For | |||||
5 | Elect Shohnosuke Hata | Mgmt | For | For | For | |||||
6 | Elect Taizoh Ieuji | Mgmt | For | For | For | |||||
7 | Elect Kenji Fujiwara | Mgmt | For | For | For | |||||
8 | Elect Hajime Uemura | Mgmt | For | For | For | |||||
9 | Elect Shingo Yuki | Mgmt | For | For | For | |||||
10 | Elect Atsuhiro Murakami | Mgmt | For | For | For | |||||
11 | Elect Ohki Matsumoto | Mgmt | For | For | For | |||||
12 | Elect Yoshiharu Hayakawa | Mgmt | For | For | For | |||||
13 | Elect Ryuhei Akiyama | Mgmt | For | For | For | |||||
14 | Elect Shinichi Sejimo as Statutory Auditor | Mgmt | For | For | For | |||||
15 | Elect Tetsuo Itoh as Alternate Statutory Auditor | Mgmt | For | For | For |
Page 192
Kenmare Resources Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMR | CINS G52332106 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Ireland |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Sofia Bianchi | Mgmt | For | For | For | |||||
4 | Elect Michael Carvill | Mgmt | For | For | For | |||||
5 | Elect Jacob Deysel | Mgmt | For | For | For | |||||
6 | Elect Terence Fitzpatrick | Mgmt | For | For | For | |||||
7 | Elect Elizabeth Headon | Mgmt | For | For | For | |||||
8 | Elect Justin Loasby | Mgmt | For | For | For | |||||
9 | Elect Anthony C. Lowrie | Mgmt | For | For | For | |||||
10 | Elect Tony McCluskey | Mgmt | For | For | For | |||||
11 | Elect Steven McTiernan | Mgmt | For | For | For | |||||
12 | Elect Gabriel Smith | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Directors’ Fees | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Kroton Educacional SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KROT3 | CINS P6115V129 | 02/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Stock Split | Mgmt | For | For | For | |||||
4 | Consolidation of Articles Pursuant to Changes in Share Capital | Mgmt | For | For | For |
Page 193
Kroton Educacional SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KROT3 | CINS P6115V111 | 11/30/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Brazil |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Adhesion to Novo Mercado | Mgmt | For | For | For | |||||
3 | Conversion of Preferred Shares to Common Shares | Mgmt | For | For | For | |||||
4 | Reverse Stock Split | Mgmt | For | For | For | |||||
5 | Cancellation of Certificate of Deposit Units | Mgmt | For | For | For | |||||
6 | Amendments to Articles Regarding Novo Mercado Regulations | Mgmt | For | For | For | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
8 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
L&T Finance Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNTFH | CINS Y5153Q109 | 08/09/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Elect Ajit Kumar Jain | Mgmt | For | For | For | |||||
3 | Elect Shailesh Vishnubhai Haribhakti | Mgmt | For | For | For | |||||
4 | Elect Bhupendrath Vidyanath Bhargava | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Elect Kamakshi Rao | Mgmt | For | For | For |
Livesense Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
6054 | CINS J3911P106 | 03/27/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendments to Articles | Mgmt | For | For | For | |||||
2 | Elect Taichi Murakami | Mgmt | For | For | For | |||||
3 | Elect Daisuke Katsura | Mgmt | For | For | For | |||||
4 | Elect Yuichi Iwasaki | Mgmt | For | For | For |
Page 194
Luk Fook Holdings (International) Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0590 | CINS G5695X125 | 08/22/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 WONG Wai Sheung | Mgmt | For | For | For | |||||
6 | Elect Nancy WONG Lan Sze | Mgmt | For | For | For | |||||
7 | Elect WONG Hau Yeung | Mgmt | For | For | For | |||||
8 | Elect CHUNG Vai Ping | Mgmt | For | For | For | |||||
9 | Elect LI Hon Hung | Mgmt | For | For | For | |||||
10 | Elect Stephen IP Shu Kwan | Mgmt | For | For | For | |||||
11 | Directors’ Fees | Mgmt | For | For | For | |||||
12 | Authority to Appoint Additional Directors | Mgmt | For | For | For | |||||
13 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares w/out Preemptive Rights | Mgmt | For | For | For | |||||
15 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
16 | Authority to Issue Repurchased Shares | Mgmt | For | For | For | |||||
17 | Amendments to Bye-laws | Mgmt | For | For | For | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Luna Gold Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LGC | CUSIP 550344303 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect William Blake | Mgmt | For | For | For | |||||
2.2 | Elect Keith R. Hulley | Mgmt | For | For | For | |||||
2.3 | Elect Luis J. Baertl | Mgmt | For | For | For | |||||
2.4 | Elect Steven Krause | Mgmt | For | For | For | |||||
2.5 | Elect Harry W. Kirk | Mgmt | For | For | For | |||||
2.6 | Elect William Lindqvist | Mgmt | For | For | For | |||||
2.7 | Elect Geoffrey Chater | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Stock Option Plan | Mgmt | For | For | For |
Page 195
Lungyen Life Service Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
5530 | CINS Y5379T101 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Taiwan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
7 | Accounts and Reports | Mgmt | For | For | For | |||||
8 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
9 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
10 | Amendments to Procedural Rules: Endorsements and Guarantees | Mgmt | For | For | For | |||||
11 | Amendments to Procedural Rules: Capital loans | Mgmt | For | For | For | |||||
12 | Elect LIU Weilung | Mgmt | For | For | For | |||||
13 | Elect Ichiro Akira | Mgmt | For | For | For | |||||
14 | Non-Compete Restrictions for Directors | Mgmt | For | For | For | |||||
15 | Extraordinary Motions | Mgmt | For | Against | Against |
MAG Silver Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MAG | CUSIP 55903Q104 | 10/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Daniel MacInnis | Mgmt | For | For | For | |||||
2.2 | Elect Jonathan Rubenstein | Mgmt | For | For | For | |||||
2.3 | Elect Eric Carlson | Mgmt | For | For | For | |||||
2.4 | Elect Richard Colterjohn | Mgmt | For | For | For | |||||
2.5 | Elect Derek White | Mgmt | For | For | For | |||||
2.6 | Elect Peter Megaw | Mgmt | For | For | For | |||||
2.7 | Elect Frank Hallam | Mgmt | For | For | For | |||||
2.8 | Elect Richard Clark | Mgmt | For | For | For | |||||
2.9 | Elect Peter Barnes | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Advance Notice Policy | Mgmt | For | For | For |
Page 196
Mawson Resources Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MAW | CUSIP 57776G106 | 01/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Michael Hudson | Mgmt | For | For | For | |||||
2.2 | Elect Nick DeMare | Mgmt | For | For | For | |||||
2.3 | Elect David Henstridge | Mgmt | For | For | For | |||||
2.4 | Elect Mark Saxon | Mgmt | For | For | For | |||||
2.5 | Elect Gillyeard Leathley | Mgmt | For | For | For | |||||
2.6 | Elect Colin Maclean | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Transaction of Other Business | Mgmt | For | Against | Against |
Monex Group, Inc. (fka Monex Beans Holdings)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8698 | CINS J4656U102 | 06/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Elect Ohki Matsumoto | Mgmt | For | For | For | |||||
5 | Elect Shohji Kuwashima | Mgmt | For | For | For | |||||
6 | Elect Takashi Ohyagi | Mgmt | For | For | For | |||||
7 | Elect Salomon Sredni | Mgmt | For | For | For | |||||
8 | Elect Masakazu Sasaki | Mgmt | For | For | For | |||||
9 | Elect Jun Makihara | Mgmt | For | For | For | |||||
10 | Elect Kaoru Hayashi | Mgmt | For | For | For | |||||
11 | Elect Nobuyuki Idei | Mgmt | For | For | For | |||||
12 | Elect Kohji Kotaka | Mgmt | For | For | For | |||||
13 | Elect Takeshi Tamaki | Mgmt | For | For | For |
Page 197
Moneysupermarket.Com Group Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MONY | CINS G6258H101 | 04/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Gerald Corbett | Mgmt | For | For | For | |||||
5 | Elect Simon Nixon | Mgmt | For | For | For | |||||
6 | Elect Peter Plumb | Mgmt | For | For | For | |||||
7 | Elect Paul Doughty | Mgmt | For | For | For | |||||
8 | Elect Graham Donoghue | Mgmt | For | For | For | |||||
9 | Elect Michael Wemms | Mgmt | For | For | For | |||||
10 | Elect Robert Rowley | Mgmt | For | For | For | |||||
11 | Elect Bruce Carnegie-Brown | 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 | Authorisation of Political Donations | Mgmt | For | For | For | |||||
18 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Monitise Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MONI | CINS G6258F105 | 12/21/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Placing | Mgmt | For | For | For | |||||
2 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
3 | Disapplication of Preemption Rights (Placing Shares) | Mgmt | For | For | For | |||||
4 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 198
Nagacorp Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3918 | CINS G6382M109 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 CHEN Lip Keong | Mgmt | For | For | For | |||||
6 | Elect Abdul Kadir bin Sheikh Fadzir | Mgmt | For | For | For | |||||
7 | Elect LIM Mun Kee | Mgmt | For | For | For | |||||
8 | Directors’ Fees | Mgmt | For | For | For | |||||
9 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
12 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Nevsun Resources Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NSU | CUSIP 64156L101 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect R. Stuart Angus | Mgmt | For | For | For | |||||
2.2 | Elect Clifford T. Davis | Mgmt | For | For | For | |||||
2.3 | Elect Robert Gayton | Mgmt | For | For | For | |||||
2.4 | Elect Gary E. German | Mgmt | For | For | For | |||||
2.5 | Elect Gerard E. Munera | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Adoption of Advance Notice Requirement | Mgmt | For | For | For |
Page 199
NewOcean Energy Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
342 | CINS G6469T100 | 05/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Brian SIU Ka Fai | Mgmt | For | For | For | |||||
6 | Elect WANG Jian | Mgmt | For | For | For | |||||
7 | Elect XU Mingshe | Mgmt | For | For | For | |||||
8 | Directors’ Fees | Mgmt | For | For | For | |||||
9 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
12 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
13 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
14 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
15 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
16 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Niko Resources Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NKO | CUSIP 653905109 | 09/06/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Edward Sampson | Mgmt | For | For | For | |||||
2.2 | Elect William Hornaday | Mgmt | For | For | For | |||||
2.3 | Elect C.J. Cummings | Mgmt | For | For | For | |||||
2.4 | Elect Conrad Kathol | Mgmt | For | For | For | |||||
2.5 | Elect Wendell Robinson | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 200
NTT Urban Development Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8933 | CINS J5940Z104 | 06/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Elect Kanya Shiokawa | Mgmt | For | For | For | |||||
5 | Elect Akira Komatsu | Mgmt | For | For | For | |||||
6 | Elect Hiroshi Ikegawa | Mgmt | For | For | For | |||||
7 | Elect Takashi Hiroi | Mgmt | For | For | For |
OceanaGold Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OGC | CINS C6796P114 | 05/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Mix | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Elect James E. Askew | Mgmt | For | For | For | |||||
4 | Elect J. Denham Shale | Mgmt | For | For | For | |||||
5 | Elect Michael F. Wilkes | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For | |||||
7 | Amendments to Articles | Mgmt | For | For | For | |||||
8 | Approve Issue of Securities | Mgmt | For | For | For | |||||
9 | Equity Grant (MD/CEO Michael Wilkes) | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 201
Opera Software ASA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OPERA | CINS R6664U108 | 11/14/2012 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Special | Norway |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | TNA | N/A | |||||
6 | Election of Presiding Chairman | Mgmt | For | TNA | N/A | |||||
7 | Notice of Meeting and Agenda | Mgmt | For | TNA | N/A | |||||
8 | Election of Individuals to Check Minutes | Mgmt | For | TNA | N/A | |||||
9 | Elect Greg Coleman | Mgmt | For | TNA | N/A | |||||
10 | Directors’ Fees (New Nominee Coleman) | Mgmt | For | TNA | N/A | |||||
11 | Option Compensation Plan | Mgmt | For | TNA | N/A | |||||
12 | Directors’ Fees (Outgoing Director Torres) | Mgmt | For | TNA | N/A | |||||
13 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A |
Optimal Payments Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OPAY | CINS G6770D109 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | ISLE OF MAN |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Ian Francis | Mgmt | For | For | For | |||||
4 | Elect Joel Leonoff | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
7 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
8 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 202
Park 24 Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
4666 | CINS J63581102 | 01/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Kohichi Nishikawa | Mgmt | For | For | For | |||||
4 | Elect Kenichi Sasaki | Mgmt | For | For | For | |||||
5 | Elect Tsugio Kondoh | Mgmt | For | For | For | |||||
6 | Elect Seishi Uenishi | Mgmt | For | For | For | |||||
7 | Elect Norifumi Kawakami | Mgmt | For | For | For | |||||
8 | Stock Option Plan | Mgmt | For | For | For | |||||
9 | Elect Akio Okuyama as Alternate Statutory Auditor | Mgmt | For | Against | Against |
PayPoint plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PAY | CINS G6962B101 | 07/27/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United Kingdom |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Eric Anstee | Mgmt | For | For | For | |||||
5 | Elect George Earle | Mgmt | For | For | For | |||||
6 | Elect David Morrison | Mgmt | For | For | For | |||||
7 | Elect David Newlands | Mgmt | For | For | For | |||||
8 | Elect Andrew Robb | Mgmt | For | For | For | |||||
9 | Elect Stephen Rowley | Mgmt | For | For | For | |||||
10 | Elect Dominic Taylor | Mgmt | For | For | For | |||||
11 | Elect Tim Watkin-Rees | Mgmt | For | For | For | |||||
12 | Elect Nick Wiles | Mgmt | For | For | For | |||||
13 | Appointment of Auditor | Mgmt | For | For | For | |||||
14 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
18 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 203
PIA Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
4337 | CINS J6370J107 | 06/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Hiroshi Yanai | Mgmt | For | For | For | |||||
2 | Elect Mamoru Shirai | Mgmt | For | For | For | |||||
3 | Elect Tohru Karasawa | Mgmt | For | For | For | |||||
4 | Elect Takashi Kimoto | Mgmt | For | For | For | |||||
5 | Elect Hiroyasu Nagashima | Mgmt | For | For | For | |||||
6 | Elect Takeshi Natsuno | Mgmt | For | For | For | |||||
7 | Elect Yasuyuki Yoshizawa | Mgmt | For | For | For | |||||
8 | Elect Shohji Sakuma | Mgmt | For | For | For | |||||
9 | Elect Kazuhiko Toyama | Mgmt | For | For | For | |||||
10 | Elect Akio Matsunaga | Mgmt | For | For | For | |||||
11 | Elect Hiroko Yamamoto | Mgmt | For | For | For | |||||
12 | Retirement Allowances for Director | Mgmt | For | For | For | |||||
13 | Approval of Takeover Defense Plan | Mgmt | For | Against | Against |
Playtech Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PTEC | CINS G7132V100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | ISLE OF MAN |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Elect Andrew Thomas | Mgmt | For | For | For | |||||
6 | Elect Ron Hoffman | Mgmt | For | For | For | |||||
7 | Elect Roger Withers | Mgmt | For | For | For | |||||
8 | Elect Alan Jackson | Mgmt | For | For | For | |||||
9 | Elect Moran Weizer | Mgmt | For | For | For | |||||
10 | Change of Company Name | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
12 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 204
PT AKR Corporindo Terbuka
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AKRA | CINS Y71161163 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Modification of the Management Stock Option Plan (MSOP) | Mgmt | For | For | For | |||||
6 | Implementation of the Management Stock Option Plan (MSOP) | Mgmt | For | For | For |
PTC India Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PTC | CINS Y7043E106 | 09/21/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect M.K. Goel | Mgmt | For | Against | Against | |||||
4 | Elect S. Balachandram | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Elect Rita Acharya | Mgmt | For | For | For | |||||
7 | Elect Ravi Singh | Mgmt | For | For | For | |||||
8 | Elect Anil Razdan | Mgmt | For | For | For | |||||
9 | Elect Dhirendra Swarup | Mgmt | For | For | For | |||||
10 | Elect H. Bajaj | Mgmt | For | For | For | |||||
11 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 205
Resource Generation Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RES | CINS Q8077E102 | 10/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Re-elect Stephen Matthews | Mgmt | For | For | For | |||||
4 | Approve Amendments to the Employee Share Plan (MD Paul Jury) | Mgmt | For | For | For | |||||
5 | Approve Amendments to the Employee Share Plan (Executive Director Stephen Matthews) | Mgmt | For | For | For |
Sable Mining Africa Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBLM | CINS G7762V107 | 03/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Virgin Islands (British) |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Elect Aboubacar Sampil | Mgmt | For | For | For | |||||
3 | Elect Andrew Groves | Mgmt | For | For | For | |||||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Sandfire Resources NL
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SFR | CINS Q82191109 | 11/27/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Re-elect Derek La Ferla | Mgmt | For | For | For | |||||
4 | Elect Soocheol Shin | Mgmt | For | For | For |
Page 206
Sandstorm Metals & Energy Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SND | CUSIP 80013L100 | 05/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Nolan Watson | Mgmt | For | For | For | |||||
2.2 | Elect David Awram | Mgmt | For | For | For | |||||
2.3 | Elect David De Witt | Mgmt | For | For | For | |||||
2.4 | Elect Andrew T. Swarthout | Mgmt | For | For | For | |||||
2.5 | Elect John P.A. Budreski | Mgmt | For | For | For | |||||
2.6 | Elect Marcel de Groot | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Stock Option Plan Renewal | Mgmt | For | For | For | |||||
5 | Amendment to the Restricted Share Plan | Mgmt | For | For | For | |||||
6 | Share Consolidation | Mgmt | For | For | For | |||||
7 | Transaction of Other Business | Mgmt | For | For | For |
Sarin Technologies Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
U77 | CINS M8234Z109 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Israel |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Remuneration Policy | Mgmt | For | For | For | |||||
7 | Directors’ Fees | Mgmt | For | For | For | |||||
8 | Directors’ Fees | Mgmt | For | For | For | |||||
9 | Directors’ Fees | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Directors’ Fees | Mgmt | For | For | For | |||||
12 | Directors’ Fees | Mgmt | For | For | For | |||||
13 | Directors’ Fees | Mgmt | For | For | For | |||||
14 | Directors’ Fees | Mgmt | For | For | For | |||||
15 | Directors’ Fees | Mgmt | For | For | For | |||||
16 | Directors’ Fees | Mgmt | For | For | For | |||||
17 | Elect CHAN Kam Loon | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
19 | Authority to Grant Awards and Issue Shares under the Sarin Technologies Ltd 2005 Share Option Plan | Mgmt | For | Against | Against | |||||
20 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
21 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 207
Sarin Technologies Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
U77 | CINS M8234Z109 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Israel |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Repurchase Shares | Mgmt | For | For | For |
Seria Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2782 | CINS J7113X106 | 06/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For |
ShaMaran Petroleum Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SNM | CUSIP 819320102 | 06/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Keith C. Hill | Mgmt | For | For | For | |||||
2.2 | Elect Pradeep Kabra | Mgmt | For | For | For | |||||
2.3 | Elect J. Cameron Bailey | Mgmt | For | For | For | |||||
2.4 | Elect Gary S. Guidry | Mgmt | For | For | For | |||||
2.5 | Elect Brian D. Edgar | Mgmt | For | For | For | |||||
2.6 | Elect Alexandre Schneiter | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Renewal of the Stock Option Plan | Mgmt | For | For | For | |||||
5 | Approval of Advance Notice Provision | Mgmt | For | For | For | |||||
6 | Transaction of Other Business | Mgmt | For | Against | Against |
Page 208
Sparx Group Company Limited (fka Sparx Asset Management
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8739 | CINS J7656U105 | 06/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect Shuhei Abe | Mgmt | For | For | For | |||||
4 | Elect Mikio Fujii | Mgmt | For | For | For | |||||
5 | Elect Tetsuya Hishida | Mgmt | For | For | For | |||||
6 | Elect Toshihiko Aizawa | Mgmt | For | For | For |
Start Today Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3092 | CINS J7665M102 | 06/27/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Elect Yusaku Maezawa | Mgmt | For | For | For | |||||
3 | Elect Kohji Yanagisawa | Mgmt | For | For | For | |||||
4 | Elect Akiko Ohishi | Mgmt | For | For | For | |||||
5 | Elect Takanobu Mutoh | Mgmt | For | For | For | |||||
6 | Elect Mineki Ohkura | Mgmt | For | For | For | |||||
7 | Elect Kohtaroh Sawada | Mgmt | For | For | For | |||||
8 | Elect Kohji Ono | Mgmt | For | For | For |
Page 209
Sunac China Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1918 | CINS G8569A106 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 JING Hong | Mgmt | For | For | For | |||||
6 | Elect HU Xiaoling | Mgmt | For | For | For | |||||
7 | Elect ZHU Jia | Mgmt | For | For | For | |||||
8 | Elect LI Qin | Mgmt | For | For | For | |||||
9 | Elect MA Lishan | Mgmt | For | For | For | |||||
10 | Elect TSE Chi Wai | Mgmt | For | For | For | |||||
11 | Directors’ Fees | Mgmt | For | For | For | |||||
12 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | Against | Against | |||||
14 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
15 | Authority to Issue Repurchased Shares | Mgmt | For | Against | Against | |||||
16 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Tahoe Resources Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
THO | CUSIP 873868103 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. Dan Rovig | Mgmt | For | For | For | |||||
1.2 | Elect C. Kevin McArthur | Mgmt | For | For | For | |||||
1.3 | Elect Lorne B. Anderson | Mgmt | For | For | For | |||||
1.4 | Elect Paul B. Sweeney | Mgmt | For | For | For | |||||
1.5 | Elect James S. Voorhees | Mgmt | For | For | For | |||||
1.6 | Elect John P. Bell | Mgmt | For | For | For | |||||
1.7 | Elect Kenneth F. Williamson | Mgmt | For | For | For | |||||
1.8 | Elect Tanya M. Jakusconek | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the Share Option and Incentive Share Plan | Mgmt | For | For | For |
Page 210
Travelsky Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0696 | CINS Y8972V101 | 06/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | China |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Directors’ Report | Mgmt | For | For | For | |||||
4 | Supervisors’ Report | Mgmt | For | For | For | |||||
5 | Accounts and Reports | Mgmt | For | For | For | |||||
6 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
7 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
8 | Elect XU Qiang | Mgmt | For | For | For | |||||
9 | Elect CUI Zhixiong | Mgmt | For | For | For | |||||
10 | Elect XIAO Yinhong | Mgmt | For | For | For | |||||
11 | Elect WANG Quanhua | Mgmt | For | For | For | |||||
12 | Elect Sun Yude | Mgmt | For | For | For | |||||
13 | Elect Cai, Kevin Yang | Mgmt | For | For | For | |||||
14 | Elect CHEUNG Yukming | Mgmt | For | For | For | |||||
15 | Elect PAN Chongyi | Mgmt | For | For | For | |||||
16 | Elect ZHANG Hainan | Mgmt | For | For | For | |||||
17 | Elect ZENG Yiwei | Mgmt | For | For | For | |||||
18 | Elect HE Haiyan | Mgmt | For | For | For | |||||
19 | Elect RAO Geping | Mgmt | For | For | For | |||||
20 | Authority to Issue Domestic and H Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
21 | Authority to Repurchase H Shares | Mgmt | For | For | For | |||||
22 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Travelsky Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0696 | CINS Y8972V101 | 06/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | China |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Authority to Repurchase H Shares | Mgmt | For | For | For | |||||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 211
TTK Prestige Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TTKPRES | CINS Y89993110 | 06/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Issue Shares w/o Preemptive Rights (Preferential Allotment to Cartica Capital Ltd.) | Mgmt | For | For | For |
United Arrows Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
7606 | CINS J9426H109 | 06/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Elect Gaku Ishiwata | Mgmt | For | For | For | |||||
3 | Elect Yukari Sakai as Statutory Auditor | Mgmt | For | For | For |
Vostok Nafta Investment Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VNILSDB | CINS G9391A108 | 05/07/2013 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Election of Presiding Chairman | Mgmt | For | TNA | N/A | |||||
5 | Voting List | Mgmt | For | TNA | N/A | |||||
6 | Agenda | Mgmt | For | TNA | N/A | |||||
7 | Election of Individuals to Check Minutes | Mgmt | For | TNA | N/A | |||||
8 | Compliance with Rules of Convocation | Mgmt | For | TNA | N/A | |||||
9 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
10 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
11 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
12 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
13 | Board Size | Mgmt | For | TNA | N/A | |||||
14 | Directors’ and Auditors’ Fees | Mgmt | For | TNA | N/A | |||||
15 | Election of Directors; Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
16 | Nomination Committee | Mgmt | For | TNA | N/A | |||||
17 | Compensation Guidelines | Mgmt | For | TNA | N/A | |||||
18 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
19 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A |
Page 212
Vostok Nafta Investment Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VNILSDB | CINS G9391A108 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
7 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
8 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
9 | Reverse Stock Split | Mgmt | For | For | For | |||||
10 | Mandatory Share Redemption | Mgmt | For | For | For | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Vostok Nafta Investment Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VNILSDB | CINS G93886136 | 08/29/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Bermuda |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 | Election of Presiding Chairman | Mgmt | For | For | For | |||||
5 | Voting List | Mgmt | For | For | For | |||||
6 | Election of Individuals to Check Minutes | Mgmt | For | For | For | |||||
7 | Compliance with Rules of Convocation | Mgmt | For | For | For | |||||
8 | Amendments to Articles Pursuant to Share Redemption Plan | Mgmt | For | For | For | |||||
9 | Stock Split | Mgmt | For | For | For | |||||
10 | Reduction in Share Capital | Mgmt | For | For | For | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Page 213
West Fraser Timber Co. Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WFT | CUSIP 952845105 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Henry H. Ketcham | Mgmt | For | For | For | |||||
2.2 | Elect Clark S. Binkley | Mgmt | For | For | For | |||||
2.3 | Elect J. Duncan Gibson | Mgmt | For | For | For | |||||
2.4 | Elect Samuel W. Ketcham | Mgmt | For | For | For | |||||
2.5 | Elect Harald H. Ludwig | Mgmt | For | For | For | |||||
2.6 | Elect Gerald J. Miller | Mgmt | For | For | For | |||||
2.7 | Elect Robert L. Phillips | Mgmt | For | For | For | |||||
2.8 | Elect Janice G. Rennie | Mgmt | For | For | For | |||||
2.9 | Elect Ted Seraphim | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Western Areas Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WSA | CINS Q9618L100 | 02/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Ratify Issue of Securities | Mgmt | For | For | For |
Page 214
Western Areas Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WSA | CINS Q9618L100 | 11/23/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Australia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
2 | Re-elect Julian Hanna | Mgmt | For | For | For | |||||
3 | Re-elect Robin Dunbar | Mgmt | For | For | For | |||||
4 | Re-elect Rick Yeates | Mgmt | For | For | For | |||||
5 | Remuneration Report | Mgmt | For | For | For | |||||
6 | Equity Grant (MD Daniel Lougher) | Mgmt | For | For | For | |||||
7 | Equity Grant (Finance Director David Southam) | Mgmt | For | For | For | |||||
8 | Approve Change in Company Type | Mgmt | For | For | For | |||||
9 | Amendments to Constitution | Mgmt | For | For | For | |||||
10 | Renew Proportional Takeover Provisions | Mgmt | For | For | For |
WesternZagros Resources Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WZR | CUSIP 960008100 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David J. Boone | Mgmt | For | For | For | |||||
1.2 | Elect Fred J. Dyment | Mgmt | For | For | For | |||||
1.3 | Elect John Frangos | Mgmt | For | For | For | |||||
1.4 | Elect M. Simon Hatfield | Mgmt | For | For | For | |||||
1.5 | Elect James C. Houck | Mgmt | For | For | For | |||||
1.6 | Elect John M. Howland | Mgmt | For | For | For | |||||
1.7 | Elect Randall Oliphant | Mgmt | For | For | For | |||||
1.8 | Elect Eric Stoerr | Mgmt | For | For | For | |||||
1.9 | Elect William F. Wallace | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Stock Option Plan Renewal | Mgmt | For | For | For | |||||
4 | Shareholder Rights Plan Renewal | Mgmt | For | For | For | |||||
5 | Advance Notice Provision | Mgmt | For | For | For |
Page 215
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Relative Value Large Cap Fund
ADT Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ADT | CUSIP 00101J106 | 03/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas J. Colligan | Mgmt | For | For | For | |||||
1.2 | Elect Timothy M. Donahue | Mgmt | For | For | For | |||||
1.3 | Elect Robert M. Dutkowsky | Mgmt | For | For | For | |||||
1.4 | Elect Bruce S. Gordon | Mgmt | For | For | For | |||||
1.5 | Elect Naren K. Gursahaney | Mgmt | For | For | For | |||||
1.6 | Elect Bridgette Heller | Mgmt | For | For | For | |||||
1.7 | Elect Kathleen W Hyle | Mgmt | For | For | For | |||||
1.8 | Elect Keith A. Meister | Mgmt | For | For | For | |||||
1.9 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Page 216
American Electric Power Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AEP | CUSIP 025537101 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Nicholas K. Akins | Mgmt | For | For | For | |||||
2 | Elect David J. Anderson | Mgmt | For | For | For | |||||
3 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For | |||||
4 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||||
5 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||||
6 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||||
7 | Elect Michael G. Morris | 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 Richard L. Sandor | Mgmt | For | For | For | |||||
13 | Elect Sara M. Tucker | Mgmt | For | For | For | |||||
14 | Elect John F. Turner | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
American Express Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AXP | CUSIP 025816109 | 04/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
1.2 | Elect Ursula M. Burns | Mgmt | For | For | For | |||||
1.3 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
1.4 | Elect Peter Chernin | Mgmt | For | For | For | |||||
1.5 | Elect Anne Lauvergeon | Mgmt | For | For | For | |||||
1.6 | Elect Theodore J. Leonsis | Mgmt | For | For | For | |||||
1.7 | Elect Richard C. Levin | Mgmt | For | For | For | |||||
1.8 | Elect Richard A. McGinn | Mgmt | For | For | For | |||||
1.9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||||
1.10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
1.11 | Elect Daniel L. Vasella | Mgmt | For | For | For | |||||
1.12 | Elect Robert D. Walter | Mgmt | For | For | For | |||||
1.13 | Elect Ronald A. Williams | 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 | ShrHoldr | Against | Against | For |
Page 217
Ameriprise Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMP | CUSIP 03076C106 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James M. Cracchiolo | Mgmt | For | For | For | |||||
2 | Elect Lon R. Greenberg | Mgmt | For | For | For | |||||
3 | Elect Warren D. Knowlton | Mgmt | For | For | For | |||||
4 | Elect W. Walker Lewis | Mgmt | For | For | For | |||||
5 | Elect Siri S. Marshall | Mgmt | For | For | For | |||||
6 | Elect Jeffrey Noddle | Mgmt | For | For | For | |||||
7 | Elect H. Jay Sarles | Mgmt | For | For | For | |||||
8 | Elect Robert F. Sharpe, Jr. | Mgmt | For | For | For | |||||
9 | Elect William H. Turner | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Applied Materials, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMAT | CUSIP 038222105 | 03/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Aart J. de Geus | Mgmt | For | For | For | |||||
2 | Elect Stephen R. Forrest | Mgmt | For | For | For | |||||
3 | Elect Thomas J. Iannotti | Mgmt | For | For | For | |||||
4 | Elect Susan M. James | Mgmt | For | For | For | |||||
5 | Elect Alexander A. Karsner | Mgmt | For | For | For | |||||
6 | Elect Gerhard H. Parker | Mgmt | For | For | For | |||||
7 | Elect Dennis D. Powell | Mgmt | For | For | For | |||||
8 | Elect Willem P. Roelandts | Mgmt | For | For | For | |||||
9 | Elect James E. Rogers | Mgmt | For | For | For | |||||
10 | Elect Michael R. Splinter | Mgmt | For | For | For | |||||
11 | Elect Robert H. Swan | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 218
AT&T Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
T | CUSIP 00206R102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Randall L. Stephenson | Mgmt | For | For | For | |||||
2 | Elect Gilbert F. Amelio | Mgmt | For | For | For | |||||
3 | Electea Reuben V. Anderson | Mgmt | For | For | For | |||||
4 | Elect James H. Blanchard | Mgmt | For | For | For | |||||
5 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
6 | Elect Scott T. Ford | Mgmt | For | For | For | |||||
7 | Elect James P. Kelly | Mgmt | For | For | For | |||||
8 | Elect Jon C. Madonna | Mgmt | For | For | For | |||||
9 | Elect Michael B. McCallister | Mgmt | For | For | For | |||||
10 | Elect John B. McCoy | Mgmt | For | For | For | |||||
11 | Elect Joyce M. Roche | Mgmt | For | For | For | |||||
12 | Elect Matthew K. Rose | Mgmt | For | For | For | |||||
13 | Elect Laura D’Andrea Tyson | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Amendment to the Stock Purchase and Deferral Plan | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Political Spending | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Lead Batteries | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Shareholder Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Page 219
Baker Hughes Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BHI | CUSIP 057224107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Larry D. Brady | Mgmt | For | For | For | |||||
1.2 | Elect Clarence P. Cazalot, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Martin S. Craighead | Mgmt | For | For | For | |||||
1.4 | Elect Lynn L. Elsenhans | Mgmt | For | For | For | |||||
1.5 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
1.6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
1.7 | Elect Pierre J. Jungels | Mgmt | For | For | For | |||||
1.8 | Elect James A. Lash | Mgmt | For | For | For | |||||
1.9 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
1.10 | Elect James W. Stewart | Mgmt | For | For | For | |||||
1.11 | Elect Charles L. Watson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Amendment to the 2002 Director and Officer Long-Term Incentive Plan | Mgmt | For | For | For |
CA, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CA | CUSIP 12673P105 | 08/01/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jens Alder | Mgmt | For | For | For | |||||
2 | Elect Raymond Bromark | Mgmt | For | For | For | |||||
3 | Elect Gary Fernandes | Mgmt | For | For | For | |||||
4 | Elect Rohit Kapoor | Mgmt | For | For | For | |||||
5 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
6 | Elect Christopher Lofgren | Mgmt | For | For | For | |||||
7 | Elect William McCracken | Mgmt | For | For | For | |||||
8 | Elect Richard Sulpizio | Mgmt | For | For | For | |||||
9 | Elect Laura Unger | Mgmt | For | For | For | |||||
10 | Elect Arthur Weinbach | Mgmt | For | For | For | |||||
11 | Elect Ron Zambonini | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2012 Non-Employee Director Compensation Plan | Mgmt | For | For | For |
Page 220
Chevron Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVX | CUSIP 166764100 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Linnet F. Deily | Mgmt | For | For | For | |||||
2 | Elect Robert E. Denham | Mgmt | For | For | For | |||||
3 | Elect Alice P. Gast | Mgmt | For | For | For | |||||
4 | Elect Enrique Hernandez, Jr. | Mgmt | For | For | For | |||||
5 | Elect George L. Kirkland | Mgmt | For | For | For | |||||
6 | Elect Charles W. Moorman, IV | Mgmt | For | For | For | |||||
7 | Elect Kevin W. Sharer | Mgmt | For | For | For | |||||
8 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
9 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
10 | Elect Carl Ware | Mgmt | For | For | For | |||||
11 | Elect John S. Watson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Offshore Drilling Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Report on Climate Change | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
19 | Shareholder Proposal Regarding Prohibition on Political Spending | ShrHoldr | Against | Against | For | |||||
20 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against | |||||
21 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
22 | Shareholder Proposal Regarding Environmental Expertise on Board | ShrHoldr | Against | Against | For | |||||
23 | Shareholder Proposal Regarding Country Selection Guidelines | ShrHoldr | Against | For | Against |
Page 221
CIGNA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CI | CUSIP 125509109 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David M. Cordani | Mgmt | For | For | For | |||||
2 | Elect Isaiah Harris, Jr. | Mgmt | For | For | For | |||||
3 | Elect Jane E. Henney | Mgmt | For | For | For | |||||
4 | Elect Donna F. Zarcone | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Political Spending | ShrHoldr | Against | For | Against |
Page 222
Cisco Systems, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSCO | CUSIP 17275R102 | 11/15/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carol Bartz | Mgmt | For | For | For | |||||
2 | Elect Marc Benioff | Mgmt | For | For | For | |||||
3 | Elect M. Michele Burns | Mgmt | For | For | For | |||||
4 | Elect Michael Capellas | Mgmt | For | For | For | |||||
5 | Elect Larry Carter | Mgmt | For | For | For | |||||
6 | Elect John Chambers | Mgmt | For | For | For | |||||
7 | Elect Brian Halla | Mgmt | For | For | For | |||||
8 | Elect John Hennessy | Mgmt | For | For | For | |||||
9 | Elect Kristina Johnson | Mgmt | For | For | For | |||||
10 | Elect Richard Kovacevich | Mgmt | For | For | For | |||||
11 | Elect Roderick McGeary | Mgmt | For | For | For | |||||
12 | Elect Arun Sarin | Mgmt | For | For | For | |||||
13 | Elect Steven West | Mgmt | For | For | For | |||||
14 | Amendment to the Executive Incentive Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Ratification of Auditor | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Report on Conflict Minerals | ShrHoldr | Against | Against | For |
Citigroup Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C | CUSIP 172967424 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael L. Corbat | Mgmt | For | For | For | |||||
2 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
3 | Elect Robert L. Joss | Mgmt | For | For | For | |||||
4 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
5 | Elect Judith Rodin | Mgmt | For | For | For | |||||
6 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
7 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
8 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
9 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
10 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
11 | Elect Ernesto Zedillo | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2009 Stock Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For |
Page 223
Comcast Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMCSA | CUSIP 20030N101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kenneth J. Bacon | Mgmt | For | For | For | |||||
1.2 | Elect Sheldon M. Bonovitz | Mgmt | For | For | For | |||||
1.3 | Elect Joseph J. Collins | Mgmt | For | For | For | |||||
1.4 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
1.5 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||||
1.6 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||||
1.7 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||||
1.8 | Elect Brian L. Roberts | Mgmt | For | For | For | |||||
1.9 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||||
1.10 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||||
1.11 | Elect Judith Rodin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
4 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For |
Page 224
Dana Holding Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DAN | CUSIP 235825205 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Virginia A. Kamsky | Mgmt | For | For | For | |||||
1.2 | Elect Terrence J. Keating | Mgmt | For | For | For | |||||
1.3 | Elect Joseph C. Muscari | Mgmt | For | For | For | |||||
1.4 | Elect Steven B. Schwarzwaelder | Mgmt | For | For | For | |||||
1.5 | Elect Richard F. Wallman | Mgmt | For | For | For | |||||
1.6 | Elect Keith E. Wandell | Mgmt | For | For | For | |||||
1.7 | Elect Roger Wood | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Dell Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DELL | CUSIP 24702R101 | 07/13/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James Breyer | Mgmt | For | For | For | |||||
2 | Elect Donald Carty | Mgmt | For | For | For | |||||
3 | Elect Janet Clark | Mgmt | For | For | For | |||||
4 | Elect Laura Conigliaro | Mgmt | For | For | For | |||||
5 | Elect Michael Dell | Mgmt | For | For | For | |||||
6 | Elect Kenneth Duberstein | Mgmt | For | For | For | |||||
7 | Elect William Gray, III | Mgmt | For | For | For | |||||
8 | Elect Gerard Kleisterlee | Mgmt | For | For | For | |||||
9 | Elect Klaus Luft | Mgmt | For | For | For | |||||
10 | Elect Alex Mandl | Mgmt | For | For | For | |||||
11 | Elect Shantanu Narayen | Mgmt | For | For | For | |||||
12 | Elect H. Ross Perot, Jr. | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2012 Long-Term Incentive Plan | Mgmt | For | For | For |
Page 225
Devon Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DVN | CUSIP 25179M103 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert H. Henry | Mgmt | For | Withhold | Against | |||||
1.2 | Elect John A. Hill | Mgmt | For | For | For | |||||
1.3 | Elect Michael M. Kanovsky | Mgmt | For | For | For | |||||
1.4 | Elect Robert A. Mosbacher, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
1.6 | Elect Duane C. Radtke | Mgmt | For | For | For | |||||
1.7 | Elect Mary P. Ricciardello | Mgmt | For | For | For | |||||
1.8 | Elect John Richels | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
5 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 226
Energizer Holdings, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ENR | CUSIP 29266R108 | 01/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Daniel Heinrich | Mgmt | For | For | For | |||||
2 | Elect R. David Hoover | Mgmt | For | For | For | |||||
3 | Elect John Hunter III | Mgmt | For | For | For | |||||
4 | Elect John Klein | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Ensco plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESV | CUSIP G3157S106 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
3 | Elect Mary Francis | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
6 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
9 | Accounts and Reports | Mgmt | For | For | For | |||||
10 | Repeal of Classified Board | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For |
Page 227
Gap Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPS | CUSIP 364760108 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adrian D.P. Bellamy | Mgmt | For | For | For | |||||
2 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
3 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
4 | Elect William S. Fisher | Mgmt | For | For | For | |||||
5 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
6 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
7 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
8 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
9 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
10 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
General Electric Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GE | CUSIP 369604103 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect W. Geoffrey Beattie | Mgmt | For | Against | Against | |||||
2 | Elect John J. Brennan | Mgmt | For | Against | Against | |||||
3 | Elect James I. Cash, Jr. | Mgmt | For | Against | Against | |||||
4 | Elect Francisco D’Souza | Mgmt | For | Against | Against | |||||
5 | Elect Marijn E. Dekkers | Mgmt | For | Against | Against | |||||
6 | Elect Ann M. Fudge | Mgmt | For | Against | Against | |||||
7 | Elect Susan Hockfield | Mgmt | For | Against | Against | |||||
8 | Elect Jeffrey R. Immelt | Mgmt | For | Against | Against | |||||
9 | Elect Andrea Jung | Mgmt | For | Against | Against | |||||
10 | Elect Robert W. Lane | Mgmt | For | Against | Against | |||||
11 | Elect Ralph S. Larsen | Mgmt | For | Against | Against | |||||
12 | Elect Rochelle B. Lazarus | Mgmt | For | Against | Against | |||||
13 | Elect James J. Mulva | Mgmt | For | Against | Against | |||||
14 | Elect Mary L. Schapiro | Mgmt | For | Against | Against | |||||
15 | Elect Robert J. Swieringa | Mgmt | For | Against | Against | |||||
16 | Elect James S. Tisch | Mgmt | For | Against | Against | |||||
17 | Elect Douglas A. Warner III | Mgmt | For | Against | Against | |||||
18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
19 | Ratification of Auditor | Mgmt | For | For | For |
Page 228
20 | Shareholder Proposal Regarding Cessation of All Stock Options and Bonuses | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Term Limits | ShrHoldr | Against | Against | For | |||||
22 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
23 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
24 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
25 | Shareholder Proposal Regarding Double Board Nominees | ShrHoldr | Against | Against | For |
Hartford Financial Services Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HIG | CUSIP 416515104 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert B. Allardice III | Mgmt | For | For | For | |||||
2 | Elect Trevor Fetter | Mgmt | For | For | For | |||||
3 | Elect Paul G. Kirk, Jr. | Mgmt | For | For | For | |||||
4 | Elect Liam E. McGee | Mgmt | For | For | For | |||||
5 | Elect Kathryn A. Mikells | Mgmt | For | For | For | |||||
6 | Elect Michael G. Morris | Mgmt | For | For | For | |||||
7 | Elect Thomas A. Renyi | Mgmt | For | For | For | |||||
8 | Elect Charles B. Strauss | Mgmt | For | For | For | |||||
9 | Elect H. Patrick Swygert | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 229
Hologic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOLX | CUSIP 436440101 | 03/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David R. LaVance, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Robert A. Cascella | Mgmt | For | For | For | |||||
1.3 | Elect Glenn P. Muir | Mgmt | For | For | For | |||||
1.4 | Elect Sally W. Crawford | Mgmt | For | For | For | |||||
1.5 | Elect Nancy L. Leaming | Mgmt | For | For | For | |||||
1.6 | Elect Lawrence M. Levy | Mgmt | For | For | For | |||||
1.7 | Elect Christina Stamoulis | Mgmt | For | For | For | |||||
1.8 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
1.9 | Elect Wayne Wilson | Mgmt | For | For | For | |||||
2 | Amendment to the 2008 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Honeywell International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HON | CUSIP 438516106 | 04/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gordon M. Bethune | Mgmt | For | For | For | |||||
2 | Elect Kevin Burke | Mgmt | For | For | For | |||||
3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
4 | Elect David M. Cote | Mgmt | For | For | For | |||||
5 | Elect D. Scott Davis | Mgmt | For | For | For | |||||
6 | Elect Linnet F. Deily | Mgmt | For | Against | Against | |||||
7 | Elect Judd Gregg | Mgmt | For | For | For | |||||
8 | Elect Lord Clive Hollick | Mgmt | For | For | For | |||||
9 | Elect Grace D. Lieblein | Mgmt | For | For | For | |||||
10 | Elect George Paz | Mgmt | For | For | For | |||||
11 | Elect Bradley T. Sheares | Mgmt | For | For | For | |||||
12 | Elect Robin L. Washington | 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 | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Page 230
Intel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTC | CUSIP 458140100 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
2 | Elect Andy D. Bryant | Mgmt | For | For | For | |||||
3 | Elect Susan L. Decker | Mgmt | For | For | For | |||||
4 | Elect John J. Donahoe | Mgmt | For | For | For | |||||
5 | Elect Reed E. Hundt | Mgmt | For | For | For | |||||
6 | Elect James D. Plummer | Mgmt | For | For | For | |||||
7 | Elect David S. Pottruck | Mgmt | For | For | For | |||||
8 | Elect Frank D. Yeary | Mgmt | For | For | For | |||||
9 | Elect David B. Yoffie | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Johnson & Johnson
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JNJ | CUSIP 478160104 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Sue Coleman | Mgmt | For | For | For | |||||
2 | Elect James G. Cullen | Mgmt | For | For | For | |||||
3 | Elect Ian E.L. Davis | Mgmt | For | For | For | |||||
4 | Elect Alex Gorsky | Mgmt | For | For | For | |||||
5 | Elect Michael M. E. Johns | Mgmt | For | For | For | |||||
6 | Elect Susan L. Lindquist | Mgmt | For | For | For | |||||
7 | Elect Anne M. Mulcahy | Mgmt | For | For | For | |||||
8 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
9 | Elect William D. Perez | Mgmt | For | For | For | |||||
10 | Elect Charles Prince | Mgmt | For | For | For | |||||
11 | Elect A. Eugene Washington | Mgmt | For | For | For | |||||
12 | Elect Ronald A. Williams | 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 Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Political Contributions and Corporate Values Report | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against |
Page 231
JPMorgan Chase & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JPM | CUSIP 46625H100 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James A. Bell | Mgmt | For | For | For | |||||
2 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
3 | Elect Stephen B. Burke | Mgmt | For | For | For | |||||
4 | Elect David M. Cote | Mgmt | For | For | For | |||||
5 | Elect James S. Crown | Mgmt | For | For | For | |||||
6 | Elect James Dimon | Mgmt | For | For | For | |||||
7 | Elect Timothy P. Flynn | Mgmt | For | For | For | |||||
8 | Elect Ellen V. Futter | Mgmt | For | For | For | |||||
9 | Elect Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
11 | Elect William C. Weldon | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Allow Shareholders to Act by Written Consent | Mgmt | For | For | For | |||||
15 | Key Executive Performance Plan | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Genocide-Free Investing | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 232
Lam Research Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LRCX | CUSIP 512807108 | 11/01/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Martin Anstice | Mgmt | For | For | For | |||||
1.2 | Elect Eric Brandt | Mgmt | For | For | For | |||||
1.3 | Elect Michael Cannon | Mgmt | For | For | For | |||||
1.4 | Elect Youssef El-Mansy | Mgmt | For | For | For | |||||
1.5 | Elect Christine Heckart | Mgmt | For | For | For | |||||
1.6 | Elect Grant Inman | Mgmt | For | For | For | |||||
1.7 | Elect Catherine Lego | Mgmt | For | For | For | |||||
1.8 | Elect Stephen Newberry | Mgmt | For | For | For | |||||
1.9 | Elect Krishna Saraswat | Mgmt | For | For | For | |||||
1.10 | Elect William Spivey | Mgmt | For | For | For | |||||
1.11 | Elect Abhijit Talwalkar | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Lennar Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LEN | CUSIP 526057302 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irving Bolotin | Mgmt | For | For | For | |||||
1.2 | Elect Steven L. Gerard | Mgmt | For | For | For | |||||
1.3 | Elect Theron I. Gilliam | Mgmt | For | For | For | |||||
1.4 | Elect Sherrill W. Hudson | Mgmt | For | For | For | |||||
1.5 | Elect R. Kirk Landon | Mgmt | For | For | For | |||||
1.6 | Elect Sidney Lapidus | Mgmt | For | For | For | |||||
1.7 | Elect Stuart A. Miller | Mgmt | For | For | For | |||||
1.8 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 233
MeadWestvaco Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MWV | CUSIP 583334107 | 04/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael E. Campbell | Mgmt | For | For | For | |||||
2 | Elect James G. Kaiser | Mgmt | For | For | For | |||||
3 | Elect Richard B. Kelson | Mgmt | For | For | For | |||||
4 | Elect James M. Kilts | Mgmt | For | For | For | |||||
5 | Elect Susan J. Kropf | Mgmt | For | For | For | |||||
6 | Elect Douglas S. Luke | Mgmt | For | For | For | |||||
7 | Elect John A. Luke, Jr. | Mgmt | For | For | For | |||||
8 | Elect Gracia C. Martore | Mgmt | For | For | For | |||||
9 | Elect Timothy H. Powers | Mgmt | For | For | For | |||||
10 | Elect Jane L. Warner | Mgmt | For | For | For | |||||
11 | Elect Alan D. Wilson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Performance Incentive Plan | Mgmt | For | For | For |
Medtronic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDT | CUSIP 585055106 | 08/23/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Victor Dzau | Mgmt | For | For | For | |||||
1.3 | Elect Omar Ishrak | Mgmt | For | For | For | |||||
1.4 | Elect Shirley Jackson | Mgmt | For | For | For | |||||
1.5 | Elect Michael Leavitt | Mgmt | For | For | For | |||||
1.6 | Elect James Lenehan | Mgmt | For | For | For | |||||
1.7 | Elect Denise O’Leary | Mgmt | For | For | For | |||||
1.8 | Elect Kendall Powell | Mgmt | For | For | For | |||||
1.9 | Elect Robert Pozen | Mgmt | For | For | For | |||||
1.10 | Elect Jack Schuler | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 234
Mondelez International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
2 | Elect Lewis W.K. Booth | Mgmt | For | For | For | |||||
3 | Elect Lois D. Juliber | Mgmt | For | For | For | |||||
4 | Elect Mark D. Ketchum | Mgmt | For | For | For | |||||
5 | Elect Jorge S. Mesquita | Mgmt | For | For | For | |||||
6 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
7 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
8 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
9 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
10 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
11 | Elect Jean-Francois M. L. van Boxmeer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Extended Producer Responsibility | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Gender Equality in the Supply Chain | ShrHoldr | Against | Against | For |
Page 235
Mylan Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MYL | CUSIP 628530107 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Heather Bresch | Mgmt | For | For | For | |||||
2 | Elect Wendy Cameron | Mgmt | For | For | For | |||||
3 | Elect Robert J. Cindrich | Mgmt | For | For | For | |||||
4 | Elect Robert J. Coury | Mgmt | For | For | For | |||||
5 | Elect Neil F. Dimick | Mgmt | For | For | For | |||||
6 | Elect Melina Higgins | Mgmt | For | For | For | |||||
7 | Elect Douglas J. Leech | Mgmt | For | For | For | |||||
8 | Elect Rajiv Malik | Mgmt | For | For | For | |||||
9 | Elect Joseph C. Maroon | Mgmt | For | For | For | |||||
10 | Elect Mark Parrish | Mgmt | For | For | For | |||||
11 | Elect Rodney L. Piatt | Mgmt | For | For | For | |||||
12 | Elect C. B. Todd | Mgmt | For | For | For | |||||
13 | Elect Randall L. Vanderveen | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Nabors Industries Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NBR | CUSIP G6359F103 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James R. Crane | Mgmt | For | For | For | |||||
1.2 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
1.3 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
1.4 | Elect Howard Wolf | Mgmt | For | For | For | |||||
1.5 | Elect John Yearwood | Mgmt | For | For | For | |||||
2 | Ratification of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | 2013 Incentive Bonus Plan | Mgmt | For | For | For | |||||
4 | 2013 Stock Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
10 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 236
Pentair Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNR | CUSIP H6169Q108 | 04/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect T. Michael Glenn | Mgmt | For | For | For | |||||
2 | Elect David H. Y. Ho | Mgmt | For | For | For | |||||
3 | Elect Ronald L. Merriman | Mgmt | For | For | For | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Ratification of Board Acts | Mgmt | For | For | For | |||||
6 | Appointment of Statutory Auditor | Mgmt | For | For | For | |||||
7 | Appointment of Auditor | Mgmt | For | For | For | |||||
8 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
9 | Allocation of Net Loss | Mgmt | For | For | For | |||||
10 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Approval of Performance Goals and Related Matters under the 2012 Stock and Incentive Plan | Mgmt | For | Against | Against |
Page 237
PepsiCo, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEP | CUSIP 713448108 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Shona L. Brown | Mgmt | For | For | For | |||||
2 | Elect George W. Buckley | Mgmt | For | For | For | |||||
3 | Elect Ian M. Cook | Mgmt | For | For | For | |||||
4 | Elect Dina Dublon | Mgmt | For | For | For | |||||
5 | Elect Victor J. Dzau | Mgmt | For | For | For | |||||
6 | Elect Ray L. Hunt | Mgmt | For | For | For | |||||
7 | Elect Alberto Ibarguen | Mgmt | For | For | For | |||||
8 | Elect Indra K. Nooyi | Mgmt | For | For | For | |||||
9 | Elect Sharon Percy Rockefeller | Mgmt | For | For | For | |||||
10 | Elect James J. Schiro | Mgmt | For | For | For | |||||
11 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
12 | Elect Daniel Vasella | Mgmt | For | For | For | |||||
13 | Elect Alberto Weisser | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Pfizer Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFE | CUSIP 717081103 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Dennis A. Ausiello | Mgmt | For | For | For | |||||
2 | Elect M. Anthony Burns | Mgmt | For | For | For | |||||
3 | Elect W. Don Cornwell | Mgmt | For | For | For | |||||
4 | Elect Frances D. Fergusson | Mgmt | For | For | For | |||||
5 | Elect William H. Gray, III | Mgmt | For | For | For | |||||
6 | Elect Helen H. Hobbs | Mgmt | For | For | For | |||||
7 | Elect Constance J. Horner | Mgmt | For | For | For | |||||
8 | Elect James M. Kilts | Mgmt | For | For | For | |||||
9 | Elect George A. Lorch | Mgmt | For | For | For | |||||
10 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
11 | Elect Ian C. Read | Mgmt | For | For | For | |||||
12 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
13 | Elect Marc Tessier-Lavigne | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 238
Sealed Air Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SEE | CUSIP 81211K100 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Hank Brown | Mgmt | For | For | For | |||||
2 | Elect Michael Chu | Mgmt | For | For | For | |||||
3 | Elect Lawrence R. Codey | Mgmt | For | For | For | |||||
4 | Elect Patrick Duff | Mgmt | For | For | For | |||||
5 | Elect William V. Hickey | Mgmt | For | For | For | |||||
6 | Elect Jacqueline B. Kosecoff | Mgmt | For | For | For | |||||
7 | Elect Kenneth P. Manning | Mgmt | For | For | For | |||||
8 | Elect William J. Marino | Mgmt | For | For | For | |||||
9 | Elect Jerome A. Peribere | Mgmt | For | For | For | |||||
10 | Elect Richard L. Wambold | Mgmt | For | For | For | |||||
11 | Elect Jerry R. Whitaker | Mgmt | For | For | For | |||||
12 | Amendment to the 2005 Contingent Stock Plan | Mgmt | For | For | For | |||||
13 | Amendment to the Performance-Based Compensation Program | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For |
Page 239
SLM Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLM | CUSIP 78442P106 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ann Torre Bates | Mgmt | For | For | For | |||||
2 | Elect William M. Diefenderfer III | Mgmt | For | For | For | |||||
3 | Elect Diane Suitt Gilleland | Mgmt | For | For | For | |||||
4 | Elect Earl A. Goode | Mgmt | For | For | For | |||||
5 | Elect Ronald F. Hunt | Mgmt | For | For | For | |||||
6 | Elect Albert L. Lord | Mgmt | For | For | For | |||||
7 | Elect Barry A. Munitz | Mgmt | For | For | For | |||||
8 | Elect Howard H. Newman | Mgmt | For | For | For | |||||
9 | Elect Frank C. Puleo | Mgmt | For | For | For | |||||
10 | Elect Wolfgang Schoellkopf | Mgmt | For | For | For | |||||
11 | Elect Steven L. Shapiro | Mgmt | For | For | For | |||||
12 | Elect Anthony Terracciano | Mgmt | For | For | For | |||||
13 | Elect Barry Lawson Williams | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
State Street Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STT | CUSIP 857477103 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kennett F. Burnes | Mgmt | For | For | For | |||||
2 | Elect Peter Coym | Mgmt | For | For | For | |||||
3 | Elect Patrick de Saint-Aignan | Mgmt | For | For | For | |||||
4 | Elect Amelia C. Fawcett | Mgmt | For | For | For | |||||
5 | Elect Linda A. Hill | Mgmt | For | For | For | |||||
6 | Elect Joseph L. Hooley | Mgmt | For | For | For | |||||
7 | Elect Robert S. Kaplan | Mgmt | For | For | For | |||||
8 | Elect Richard P. Sergel | Mgmt | For | For | For | |||||
9 | Elect Ronald L. Skates | Mgmt | For | For | For | |||||
10 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
11 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 240
TE Connectivity Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEL | CUSIP H84989104 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Pierre R. Brondeau | Mgmt | For | For | For | |||||
2 | Elect Juergen W. Gromer | Mgmt | For | For | For | |||||
3 | Elect William A. Jeffrey | Mgmt | For | For | For | |||||
4 | Elect Thomas J. Lynch | Mgmt | For | For | For | |||||
5 | Elect Yong Nam | Mgmt | For | For | For | |||||
6 | Elect Daniel J. Phelan | Mgmt | For | For | For | |||||
7 | Elect Frederic M. Poses | Mgmt | For | For | For | |||||
8 | Elect Lawrence S. Smith | Mgmt | For | For | For | |||||
9 | Elect Paula A. Sneed | Mgmt | For | For | For | |||||
10 | Elect David P. Steiner | Mgmt | For | For | For | |||||
11 | Elect John C. Van Scoter | Mgmt | For | For | For | |||||
12 | 2012 Annual Report | Mgmt | For | For | For | |||||
13 | Statutory Financial Statements | Mgmt | For | For | For | |||||
14 | Consolidated Financial Statements | Mgmt | For | For | For | |||||
15 | Release Board of Directors and Executive Officers | Mgmt | For | For | For | |||||
16 | Deloitte & Touche | Mgmt | For | For | For | |||||
17 | Deloitte AG, Zurich | Mgmt | For | For | For | |||||
18 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
19 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
20 | Declaration of Dividend | Mgmt | For | For | For | |||||
21 | Renewal of Authorized Capital | Mgmt | For | For | For | |||||
22 | Reduction of Share Capital Under the Share Repurchase Program | Mgmt | For | For | For | |||||
23 | Right to Adjourn Meeting | Mgmt | For | For | For |
Page 241
TE Connectivity Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEL | CUSIP H84989104 | 07/25/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reallocation of Legal Reserves to Free Reserves | Mgmt | For | For | For | |||||
2 | Right to Adjourn Meeting | Mgmt | For | For | For |
Terex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEX | CUSIP 880779103 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald M. DeFeo | Mgmt | For | For | For | |||||
2 | Elect G. Chris Andersen | Mgmt | For | For | For | |||||
3 | Elect Paula H. J. Cholmondeley | Mgmt | For | For | For | |||||
4 | Elect Don DeFosset | Mgmt | For | For | For | |||||
5 | Elect Thomas J. Hansen | Mgmt | For | For | For | |||||
6 | Elect Raimund Klinkner | Mgmt | For | For | For | |||||
7 | Elect David A. Sachs | Mgmt | For | For | For | |||||
8 | Elect Oren G. Shaffer | Mgmt | For | For | For | |||||
9 | Elect David C. Wang | Mgmt | For | For | For | |||||
10 | Elect Scott W. Wine | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Amendment to the 2009 Omnibus Plan | Mgmt | For | For | For | |||||
13 | Amendment to Deferred Compensation Plan | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 242
Textron Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TXT | CUSIP 883203101 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
2 | Elect Kathleen M. Bader | Mgmt | For | For | For | |||||
3 | Elect R. Kerry Clark | Mgmt | For | For | For | |||||
4 | Elect James T. Conway | Mgmt | For | For | For | |||||
5 | Elect Ivor J. Evans | Mgmt | For | For | For | |||||
6 | Elect Lawrence K. Fish | Mgmt | For | For | For | |||||
7 | Elect Paul E. Gagne | Mgmt | For | For | For | |||||
8 | Elect Dain M. Hancock | Mgmt | For | For | For | |||||
9 | Elect Charles D. Powell | Mgmt | For | For | For | |||||
10 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
11 | Elect James L. Ziemer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
The AES Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AES | CUSIP 00130H105 | 04/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andres R. Gluski | Mgmt | For | For | For | |||||
2 | Elect Guo Bao Zhang | Mgmt | For | For | For | |||||
3 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
4 | Elect Tarun Khanna | Mgmt | For | For | For | |||||
5 | Elect John A. Koskinen | Mgmt | For | For | For | |||||
6 | Elect Philip Lader | Mgmt | For | For | For | |||||
7 | Elect Sandra O. Moose | Mgmt | For | For | For | |||||
8 | Elect John B. Morse, Jr. | Mgmt | For | For | For | |||||
9 | Elect Moises Naim | Mgmt | For | For | For | |||||
10 | Elect Charles O. Rossotti | Mgmt | For | For | For | |||||
11 | Elect Sven Sandstrom | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 243
The Home Depot, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HD | CUSIP 437076102 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect F. Duane Ackerman | Mgmt | For | For | For | |||||
2 | Elect Francis S. Blake | Mgmt | For | For | For | |||||
3 | Elect Ari Bousbib | Mgmt | For | For | For | |||||
4 | Elect Gregory D. Brenneman | Mgmt | For | For | For | |||||
5 | Elect J. Frank Brown | Mgmt | For | For | For | |||||
6 | Elect Albert P. Carey | Mgmt | For | For | For | |||||
7 | Elect Armando M. Codina | Mgmt | For | For | For | |||||
8 | Elect Bonnie G. Hill | Mgmt | For | For | For | |||||
9 | Elect Karen Katen | Mgmt | For | For | For | |||||
10 | Elect Mark Vadon | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Approval of the Material Terms under the Management Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Omnibus Stock Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Stormwater Management Policy | ShrHoldr | Against | Against | For |
The Travelers Companies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TRV | CUSIP 89417E109 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alan L. Beller | Mgmt | For | For | For | |||||
2 | Elect John H. Dasburg | Mgmt | For | For | For | |||||
3 | Elect Janet M. Dolan | Mgmt | For | For | For | |||||
4 | Elect Kenneth M. Duberstein | Mgmt | For | For | For | |||||
5 | Elect Jay S. Fishman | Mgmt | For | For | For | |||||
6 | Elect Patricia L. Higgins | Mgmt | For | For | For | |||||
7 | Elect Thomas R. Hodgson | Mgmt | For | For | For | |||||
8 | Elect William J. Kane | Mgmt | For | For | For | |||||
9 | Elect Cleve L. Killingsworth, Jr. | Mgmt | For | For | For | |||||
10 | Elect Donald J. Shepard | Mgmt | For | For | For | |||||
11 | Elect Laurie J. Thomsen | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Authorization of Preferred Stock | Mgmt | For | Against | Against | |||||
15 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against |
Page 244
Thermo Fisher Scientific Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TMO | CUSIP 883556102 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect C. Martin Harris | Mgmt | For | For | For | |||||
2 | Elect Judy C. Lewent | Mgmt | For | For | For | |||||
3 | Elect Jim P. Manzi | Mgmt | For | For | For | |||||
4 | Elect Lars R. Sorenson | Mgmt | For | For | For | |||||
5 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
6 | Elect Marc N. Casper | Mgmt | For | For | For | |||||
7 | Elect Nelson J. Chai | Mgmt | For | For | For | |||||
8 | Elect Tyler Jacks | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
11 | 2013 Annual Incentive Award Plan | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Time Warner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TWX | CUSIP 887317303 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James L. Barksdale | Mgmt | For | For | For | |||||
2 | Elect William P. Barr | Mgmt | For | For | For | |||||
3 | Elect Jeffrey L. Bewkes | Mgmt | For | For | For | |||||
4 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
5 | Elect Robert C. Clark | Mgmt | For | For | For | |||||
6 | Elect Mathias Dopfner | Mgmt | For | For | For | |||||
7 | Elect Jessica P. Einhorn | Mgmt | For | For | For | |||||
8 | Elect Fred Hassan | Mgmt | For | For | For | |||||
9 | Elect Kenneth J. Novack | Mgmt | For | For | For | |||||
10 | Elect Paul D. Wachter | Mgmt | For | For | For | |||||
11 | Elect Deborah C. Wright | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2013 Stock Incentive Plan | Mgmt | For | For | For |
Page 245
Tyco International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYC | CUSIP H89128104 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Ratification of Board Acts | Mgmt | For | For | For | |||||
3.1 | Elect Edward D. Breen | Mgmt | For | For | For | |||||
3.2 | Elect Michael E. Daniels | Mgmt | For | For | For | |||||
3.3 | Elect Frank M. Drendel | Mgmt | For | For | For | |||||
3.4 | Elect Brian Duperreault | Mgmt | For | For | For | |||||
3.5 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
3.6 | Elect John A. Krol | Mgmt | For | For | For | |||||
3.7 | Elect George R. Oliver | Mgmt | For | For | For | |||||
3.8 | Elect Brendan R. O’Neill | Mgmt | For | For | For | |||||
3.9 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
3.10 | Elect R. David Yost | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Renewal of Authorized Share Capital | Mgmt | For | For | For | |||||
11 | Approval of a Reduction in Registered Share Capital | Mgmt | For | For | For |
Page 246
Tyco International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYC | CUSIP H89128104 | 09/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | The ADT Spin-off | Mgmt | For | For | For | |||||
2 | The Tyco Flow Control Spin-off | Mgmt | For | For | For | |||||
3.1 | Elect George Oliver | Mgmt | For | For | For | |||||
3.2 | Elect Frank Drendel | Mgmt | For | For | For | |||||
4 | Approval of Ordinary Cash Dividends | Mgmt | For | For | For | |||||
5 | 2012 Stock and Incentive Plan | Mgmt | For | For | For |
Valero Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VLO | CUSIP 91913Y100 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jerry D. Choate | Mgmt | For | For | For | |||||
2 | Elect Ruben M. Escobedo | Mgmt | For | For | For | |||||
3 | Elect William R. Klesse | Mgmt | For | For | For | |||||
4 | Elect Deborah P. Majoras | Mgmt | For | For | For | |||||
5 | Elect Bob Marbut | Mgmt | For | For | For | |||||
6 | Elect Donald L. Nickles | Mgmt | For | For | For | |||||
7 | Elect Phillip J. Pfeiffer | Mgmt | For | For | For | |||||
8 | Elect Robert A. Profusek | Mgmt | For | For | For | |||||
9 | Elect Susan K. Purcell | Mgmt | For | For | For | |||||
10 | Elect Stephen M. Waters | Mgmt | For | For | For | |||||
11 | Elect Randall J. Weisenburger | Mgmt | For | For | For | |||||
12 | Elect Rayford Wilkins Jr. | 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 Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 247
Western Digital Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDC | CUSIP 958102105 | 11/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kathleen Cote | Mgmt | For | For | For | |||||
2 | Elect John Coyne | Mgmt | For | For | For | |||||
3 | Elect Henry DeNero | Mgmt | For | For | For | |||||
4 | Elect William Kimsey | Mgmt | For | For | For | |||||
5 | Elect Michael Lambert | Mgmt | For | For | For | |||||
6 | Elect Len Lauer | Mgmt | For | For | For | |||||
7 | Elect Matthew Massengill | Mgmt | For | For | For | |||||
8 | Elect Roger Moore | Mgmt | For | For | For | |||||
9 | Elect Kensuke Oka | Mgmt | For | For | For | |||||
10 | Elect Thomas Pardun | Mgmt | For | For | For | |||||
11 | Elect Arif Shakeel | Mgmt | For | For | For | |||||
12 | Elect Masahiro Yamamura | Mgmt | For | For | For | |||||
13 | Amendment to the 2004 Performance Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Ratification of Auditor | Mgmt | For | For | For |
Yahoo! Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YHOO | CUSIP 984332106 | 07/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alfred Amoroso | Mgmt | For | For | For | |||||
2 | Elect John Hayes | Mgmt | For | For | For | |||||
3 | Elect Susan James | Mgmt | For | For | For | |||||
4 | Elect David Kenny | Mgmt | For | For | For | |||||
5 | Elect Peter Liguori | Mgmt | For | For | For | |||||
6 | Elect Daniel Loeb | Mgmt | For | For | For | |||||
7 | Elect Thomas McInerney | Mgmt | For | For | For | |||||
8 | Elect Brad Smith | Mgmt | For | For | For | |||||
9 | Elect Maynard Webb, Jr. | Mgmt | For | For | For | |||||
10 | Elect Harry Wilson | Mgmt | For | For | For | |||||
11 | Elect Michael Wolf | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Amendment to the 1995 Stock Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 1996 Directors’ Stock Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For |
Page 248
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record – |
Registrant :
Fund Name : TCW Select Equities Fund
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
2 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
3 | Elect Robert Ripp | Mgmt | For | For | For | |||||
4 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | 2012 Annual Report | Mgmt | For | For | For | |||||
7 | Statutory Financial Statements | Mgmt | For | For | For | |||||
8 | Consolidated Financial Statements | Mgmt | For | For | For | |||||
9 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Discharge of Board of Directors | Mgmt | For | For | For | |||||
11 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
12 | PricewaterhouseCoopers | Mgmt | For | For | For | |||||
13 | BDO AG, Zurich | Mgmt | For | For | For | |||||
14 | Amendment to the 2004 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Distribution Via Par Value Reduction | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 249
Allergan, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGN | CUSIP 018490102 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
2 | Elect Michael R. Gallagher | Mgmt | For | For | For | |||||
3 | Elect Deborah Dunsire | Mgmt | For | For | For | |||||
4 | Elect Dawn E. Hudson | Mgmt | For | For | For | |||||
5 | Elect Trevor M. Jones | Mgmt | For | For | For | |||||
6 | Elect Louis J. Lavigne, Jr. | Mgmt | For | For | For | |||||
7 | Elect Peter J. McDonnell | Mgmt | For | For | For | |||||
8 | Elect Timothy D. Proctor | Mgmt | For | For | For | |||||
9 | Elect Russell T. Ray | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Right to Call a Special Meeting | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
14 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 250
Amazon.com, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMZN | CUSIP 023135106 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jeffrey P. Bezos | Mgmt | For | For | For | |||||
2 | Elect Tom A. Alberg | Mgmt | For | For | For | |||||
3 | Elect John Seely Brown | Mgmt | For | For | For | |||||
4 | Elect William B. Gordon | Mgmt | For | For | For | |||||
5 | Elect Jamie S. Gorelick | Mgmt | For | For | For | |||||
6 | Elect Alain Monie | Mgmt | For | For | For | |||||
7 | Elect Jonathan Rubinstein | Mgmt | For | For | For | |||||
8 | Elect Thomas O. Ryder | Mgmt | For | For | For | |||||
9 | Elect Patricia Q. Stonesifer | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against |
American Tower Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMT | CUSIP 03027X100 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Raymond P. Dolan | Mgmt | For | For | For | |||||
2 | Elect Ronald M. Dykes | Mgmt | For | For | For | |||||
3 | Elect Carolyn Katz | Mgmt | For | For | For | |||||
4 | Elect Gustavo Lara Cantu | Mgmt | For | For | For | |||||
5 | Elect JoAnn A. Reed | Mgmt | For | For | For | |||||
6 | Elect Pamela D.A. Reeve | Mgmt | For | For | For | |||||
7 | Elect David E. Sharbutt | Mgmt | For | For | For | |||||
8 | Elect James D. Taiclet, Jr. | Mgmt | For | For | For | |||||
9 | Elect Samme L. Thompson | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Right to Call a Special Meeting | Mgmt | For | For | For |
Page 251
Apple Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AAPL | CUSIP 037833100 | 02/27/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William V. Campbell | Mgmt | For | For | For | |||||
1.2 | Elect Timothy D. Cook | Mgmt | For | For | For | |||||
1.3 | Elect Millard S. Drexler | Mgmt | For | For | For | |||||
1.4 | Elect Albert A. Gore, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect Robert A. Iger | Mgmt | For | For | For | |||||
1.6 | Elect Andrea Jung | Mgmt | For | For | For | |||||
1.7 | Elect Arthur D. Levinson | Mgmt | For | For | For | |||||
1.8 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
2 | Amendments to Articles of Incorporation | Mgmt | For | Against | Against | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Formation of Human Rights Committee | ShrHoldr | Against | Against | For |
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Sir John Buchanan | Mgmt | For | For | For | |||||
5 | Elect Warren A. East | Mgmt | For | For | For | |||||
6 | Elect Andy Green | Mgmt | For | For | For | |||||
7 | Elect Larry Hirst | Mgmt | For | For | For | |||||
8 | Elect Mike Muller | Mgmt | For | For | For | |||||
9 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
10 | Elect Janice Roberts | Mgmt | For | For | For | |||||
11 | Elect Philip Rowley | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Elect Simon Segars | Mgmt | For | For | For | |||||
14 | Appointment of Auditor | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Long Term Incentive Plan | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
19 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
20 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 252
Cerner Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CERN | CUSIP 156782104 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gerald E. Bisbee, Jr. | Mgmt | For | For | For | |||||
2 | Elect Denis A. Cortese | Mgmt | For | For | For | |||||
3 | Elect Linda M. Dillman | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Repeal of Classified Board | Mgmt | For | For | For | |||||
7 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Page 253
Charles Schwab Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SCHW | CUSIP 808513105 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen A. Ellis | Mgmt | For | For | For | |||||
2 | Elect Arun Sarin | Mgmt | For | For | For | |||||
3 | Elect Charles R. Schwab | Mgmt | For | For | For | |||||
4 | Elect Paula A. Sneed | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against | |||||
9 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Cognizant Technology Solutions Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTSH | CUSIP 192446102 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Maureen Breakiron-Evans | Mgmt | For | For | For | |||||
2 | Elect John E. Klein | Mgmt | For | For | For | |||||
3 | Elect Lakshmi Narayanan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | Amendment to the 2004 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 254
Costco Wholesale Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
COST | CUSIP 22160K105 | 01/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Benjamin Carson, Sr. | Mgmt | For | For | For | |||||
1.2 | Elect William Gates | Mgmt | For | For | For | |||||
1.3 | Elect Hamilton James | Mgmt | For | For | For | |||||
1.4 | Elect W. Craig Jelinek | Mgmt | For | For | For | |||||
1.5 | Elect Jill Ruckelshaus | 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 Declassification of the Board | ShrHoldr | Against | For | Against |
Equinix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EQIX | CUSIP 29444U502 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | �� | For/Against Mgmt | ||||
1.1 | Elect Tom Bartlett | Mgmt | For | For | For | |||||
1.2 | Elect Gary F. Hromadko | Mgmt | For | For | For | |||||
1.3 | Elect Scott G. Kriens | Mgmt | For | For | For | |||||
1.4 | Elect William Luby | Mgmt | For | For | For | |||||
1.5 | Elect Irving F. Lyons III | Mgmt | For | For | For | |||||
1.6 | Elect Christopher B. Paisley | Mgmt | For | For | For | |||||
1.7 | Elect Stephen M. Smith | Mgmt | For | For | For | |||||
1.8 | Elect Peter F. Van Camp | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Allow Shareholders to Act by Written Consent | Mgmt | For | For | For |
Page 255
Fastenal Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FAST | CUSIP 311900104 | 04/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert A. Kierlin | Mgmt | For | For | For | |||||
2 | Elect Stephen M. Slaggie | Mgmt | For | For | For | |||||
3 | Elect Michael M. Gostomski | Mgmt | For | For | For | |||||
4 | Elect Willard D. Oberton | Mgmt | For | For | For | |||||
5 | Elect Michael J. Dolan | Mgmt | For | For | For | |||||
6 | Elect Reyne K. Wisecup | Mgmt | For | For | For | |||||
7 | Elect Hugh L. Miller | Mgmt | For | For | For | |||||
8 | Elect Michael J. Ancius | Mgmt | For | For | For | |||||
9 | Elect Scott A. Satterlee | Mgmt | For | For | For | |||||
10 | Elect Rita J. Heise | Mgmt | For | For | For | |||||
11 | Elect Darren R. Jackson | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Google Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GOOG | CUSIP 38259P508 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Larry Page | Mgmt | For | For | For | |||||
1.2 | Elect Sergey Brin | Mgmt | For | For | For | |||||
1.3 | Elect Eric E. Schmidt | Mgmt | For | For | For | |||||
1.4 | Elect L. John Doerr | Mgmt | For | For | For | |||||
1.5 | Elect Diane B. Greene | Mgmt | For | For | For | |||||
1.6 | Elect John L. Hennessy | Mgmt | For | For | For | |||||
1.7 | Elect Ann Mather | Mgmt | For | For | For | |||||
1.8 | Elect Paul S. Otellini | Mgmt | For | For | For | |||||
1.9 | Elect K. Ram Shriram | Mgmt | For | For | For | |||||
1.10 | Elect Shirley M. Tilghman | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Shareholder Proposal Regarding Lead Batteries | ShrHoldr | Against | For | Against | |||||
4 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding CEO Succession Planning | ShrHoldr | Against | Against | For |
Page 256
Intuitive Surgical, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ISRG | CUSIP 46120E602 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Amal M. Johnson | Mgmt | For | For | For | |||||
2 | Elect Eric H. Halvorson | Mgmt | For | For | For | |||||
3 | Elect Alan J. Levy | Mgmt | For | For | For | |||||
4 | Amendment to the 2010 Incentive Award Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Life Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LIFE | CUSIP 53217V109 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect George F. Adam, Jr. | Mgmt | For | For | For | |||||
2 | Elect Raymond V. Dittamore | Mgmt | For | For | For | |||||
3 | Elect Donald W. Grimm | Mgmt | For | For | For | |||||
4 | Elect Craig J. Mundie | Mgmt | For | For | For | |||||
5 | Elect Ora H. Pescovitz | Mgmt | For | For | For | |||||
6 | Elect Per A. Peterson | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Page 257
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael J. Moritz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Mead Johnson Nutrition Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MJN | CUSIP 582839106 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven M. Altschuler | Mgmt | For | For | For | |||||
2 | Elect Howard B. Bernick | Mgmt | For | For | For | |||||
3 | Elect Kimberly A. Casiano | Mgmt | For | For | For | |||||
4 | Elect Anna C. Catalano | Mgmt | For | For | For | |||||
5 | Elect Celeste A. Clark | Mgmt | For | For | For | |||||
6 | Elect James M. Cornelius | Mgmt | For | For | For | |||||
7 | Elect Stephen W. Golsby | Mgmt | For | For | For | |||||
8 | Elect Peter K. Jakobsen | Mgmt | For | For | For | |||||
9 | Elect Peter G. Ratcliffe | Mgmt | For | For | For | |||||
10 | Elect Elliott Sigal | Mgmt | For | For | For | |||||
11 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
National Oilwell Varco, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NOV | CUSIP 637071101 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Merrill A. Miller, Jr. | Mgmt | For | For | For | |||||
2 | Elect Greg L. Armstrong | Mgmt | For | For | For | |||||
3 | Elect Ben A. Guill | Mgmt | For | For | For | |||||
4 | Elect David D. Harrison | Mgmt | For | For | For | |||||
5 | Elect Roger L. Jarvis | Mgmt | For | For | For | |||||
6 | Elect Eric L. Mattson | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
10 | Approval of the Annual Cash Incentive Plan | Mgmt | For | For | For |
Page 258
Occidental Petroleum Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OXY | CUSIP 674599105 | 05/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect E. Spencer Abraham | Mgmt | For | For | For | |||||
2 | Elect Howard Atkins | Mgmt | For | For | For | |||||
3 | Elect Stephen Chazen | Mgmt | For | For | For | |||||
4 | Elect Edward Djerejian | Mgmt | For | Against | Against | |||||
5 | Elect John Feick | Mgmt | For | For | For | |||||
6 | Elect Margaret Foran | Mgmt | For | For | For | |||||
7 | Elect Carlos Gutierrez | Mgmt | For | For | For | |||||
8 | Elect Ray Irani | Mgmt | For | Against | Against | |||||
9 | Elect Avedick Poladian | Mgmt | For | For | For | |||||
10 | Elect Aziz Syriani | Mgmt | For | Against | Against | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Paul B. Murphy Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Harris J. Pappas | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 259
Praxair, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PX | CUSIP 74005P104 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen F. Angel | Mgmt | For | For | For | |||||
2 | Elect Oscar Bernardes | Mgmt | For | For | For | |||||
3 | Elect Bret K. Clayton | Mgmt | For | For | For | |||||
4 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
5 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
7 | Elect Ira D. Hall | Mgmt | For | For | For | |||||
8 | Elect Raymond W. LeBoeuf | Mgmt | For | For | For | |||||
9 | Elect Larry D. McVay | Mgmt | For | For | For | |||||
10 | Elect Wayne T. Smith | Mgmt | For | For | For | |||||
11 | Elect Robert L. Wood | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Incorporation of Values in Political Spending | ShrHoldr | Against | Against | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Precision Castparts Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCP | CUSIP 740189105 | 08/14/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mark Donegan | Mgmt | For | For | For | |||||
1.2 | Elect Vernon Oechsle | Mgmt | For | For | For | |||||
1.3 | Elect Rick Schmidt | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | �� | For | For | ||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the Executive Performance Incentive Plan | Mgmt | For | For | For |
Page 260
priceline.com Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCLN | CUSIP 741503403 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tim Armstrong | Mgmt | For | For | For | |||||
1.2 | Elect Howard W. Barker, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Jeffrey H. Boyd | Mgmt | For | For | For | |||||
1.4 | Elect Jan L. Docter | Mgmt | For | For | For | |||||
1.5 | Elect Jeffrey E. Epstein | Mgmt | For | For | For | |||||
1.6 | Elect James M. Guyette | Mgmt | For | For | For | |||||
1.7 | Elect Nancy B. Peretsman | Mgmt | For | For | For | |||||
1.8 | Elect Thomas E. Rothman | Mgmt | For | For | For | |||||
1.9 | Elect Craig W. Rydin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 1999 Omnibus Plan | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
QUALCOMM Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QCOM | CUSIP 747525103 | 03/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Barbara T. Alexander | Mgmt | For | For | For | |||||
2 | Elect Donald G. Cruickshank | Mgmt | For | For | For | |||||
3 | Elect Raymond V. Dittamore | Mgmt | For | For | For | |||||
4 | Elect Susan Hockfield | Mgmt | For | For | For | |||||
5 | Elect Thomas W. Horton | Mgmt | For | For | For | |||||
6 | Elect Paul E. Jacobs | Mgmt | For | For | For | |||||
7 | Elect Sherry Lansing | Mgmt | For | For | For | |||||
8 | Elect Duane A. Nelles | Mgmt | For | For | For | |||||
9 | Elect Francisco Ros | Mgmt | For | For | For | |||||
10 | Elect Brent Scowcroft | Mgmt | For | For | For | |||||
11 | Elect Marc I. Stern | Mgmt | For | For | For | |||||
12 | Amendment to the 2006 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 261
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 03/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Increase of Authorized Common Stock | Mgmt | For | For | For |
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stratton Sclavos | Mgmt | For | For | For | |||||
2 | Elect Lawrence Tomlinson | Mgmt | For | For | For | |||||
3 | Elect Shirley Young | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 262
Schlumberger N.V. (Schlumberger Limited)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLB | CUSIP 806857108 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter L.S. Currie | Mgmt | For | For | For | |||||
2 | Elect Anthony Isaac | Mgmt | For | For | For | |||||
3 | Elect K.V. Kamath | Mgmt | For | For | For | |||||
4 | Elect Paal Kibsgaard | Mgmt | For | For | For | |||||
5 | Elect Nikolay Kudryavtsev | Mgmt | For | For | For | |||||
6 | Elect Adrian Lajous | Mgmt | For | For | For | |||||
7 | Elect Michael E. Marks | Mgmt | For | For | For | |||||
8 | Elect Lubna Olayan | Mgmt | For | For | For | |||||
9 | Elect Leo Rafael Reif | Mgmt | For | For | For | |||||
10 | Elect Tore I. Sandvold | Mgmt | For | For | For | |||||
11 | Elect Henri Seydoux | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Approval of Financial Statements/Dividends | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | 2013 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
16 | Amendment to the Discounted Stock Purchase Plan | Mgmt | For | For | For |
Silver Wheaton Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLW | CUSIP 828336107 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lawrence I. Bell | Mgmt | For | For | For | |||||
1.2 | Elect George L. Brack | Mgmt | For | For | For | |||||
1.3 | Elect John A. Brough | Mgmt | For | For | For | |||||
1.4 | Elect R. Peter Gillin | Mgmt | For | For | For | |||||
1.5 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.6 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.7 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.8 | Elect Randy V.J. Smallwood | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 263
Starbucks Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBUX | CUSIP 855244109 | 03/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Howard Schultz | Mgmt | For | For | For | |||||
2 | Elect William W. Bradley | Mgmt | For | For | For | |||||
3 | Elect Robert M. Gates | Mgmt | For | For | For | |||||
4 | Elect Mellody Hobson | Mgmt | For | For | For | |||||
5 | Elect Kevin R. Johnson | Mgmt | For | For | For | |||||
6 | Elect Olden Lee | Mgmt | For | For | For | |||||
7 | Elect Joshua C. Ramo | Mgmt | For | For | For | |||||
8 | Elect James G. Shennan, Jr. | Mgmt | For | For | For | |||||
9 | Elect Clara Shih | Mgmt | For | For | For | |||||
10 | Elect Javier G. Teruel | Mgmt | For | For | For | |||||
11 | Elect Myron E. Ullman III | Mgmt | For | For | For | |||||
12 | Elect Craig E. Weatherup | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Long-Term Equity Incentive Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Prohibition on Political Spending | ShrHoldr | Against | Against | For |
Verisk Analytics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRSK | CUSIP 92345Y106 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John F. Lehman, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Andrew G. Mills | Mgmt | For | For | For | |||||
1.3 | Elect Constantine P. Iordanou | Mgmt | For | For | For | |||||
1.4 | Elect Scott G. Stephenson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
4 | Executive Officer Annual Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 264
Visa Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
V | CUSIP 92826C839 | 01/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gary Coughlan | Mgmt | For | For | For | |||||
2 | Elect Mary Cranston | Mgmt | For | For | For | |||||
3 | Elect Francisco Javier Fernandez Carbajal | Mgmt | For | For | For | |||||
4 | Elect Robert Matschullat | Mgmt | For | For | For | |||||
5 | Elect Cathy Minehan | Mgmt | For | For | For | |||||
6 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
7 | Elect David Pang | Mgmt | For | For | For | |||||
8 | Elect Joseph Saunders | Mgmt | For | For | For | |||||
9 | Elect Charles Scharf | Mgmt | For | For | For | |||||
10 | Elect William Shanahan | Mgmt | For | For | For | |||||
11 | Elect John Swainson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Lobbying Expenditures | ShrHoldr | Against | For | Against |
Page 265
VMware, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VMW | CUSIP 928563402 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2007 Equity And Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2007 Employee Stock Purchase Plan | Mgmt | For | For | For |
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Short Term Bond Fund
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V104 | 08/31/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gordon Davis | Mgmt | For | For | For | |||||
1.2 | Elect Nathan Leventhal | Mgmt | For | For | For | |||||
1.3 | Elect Benaree Wiley | Mgmt | For | For | For |
Page 266
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Small Cap Growth Fund
��
7 Days Group Holdings Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SVN | CUSIP 81783J101 | 09/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For |
ABIOMED, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABMD | CUSIP 003654100 | 08/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Louis Lataif | Mgmt | For | For | For | |||||
1.2 | Elect Henri Termeer | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2008 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3.1 | Elect Annette Franqui | Mgmt | For | For | For | |||||
3.2 | Elect C. Hernandez-Artigas | Mgmt | For | For | For | |||||
3.3 | Elect A. Ramirez Magana | Mgmt | For | For | For |
Page 267
Ariad Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARIA | CUSIP 04033A100 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Athanase Lavidas | Mgmt | For | For | For | |||||
1.2 | Elect Massimo Radaelli | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Aruba Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARUN | CUSIP 043176106 | 11/29/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dominic Orr | Mgmt | For | For | For | |||||
1.2 | Elect Keerti Melkote | Mgmt | For | For | For | |||||
1.3 | Elect Bernard Guidon | Mgmt | For | For | For | |||||
1.4 | Elect Emmanuel Hernandez | Mgmt | For | For | For | |||||
1.5 | Elect Michael Kourey | Mgmt | For | For | For | |||||
1.6 | Elect Willem Roelandts | Mgmt | For | For | For | |||||
1.7 | Elect Juergen Rottler | Mgmt | For | For | For | |||||
1.8 | Elect Daniel Warmenhoven | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles D. Baker | Mgmt | For | For | For | |||||
1.2 | Elect Dev Ittycheria | Mgmt | For | For | For | |||||
1.3 | Elect John A. Kane | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2007 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 268
BJ’s Restaurants, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BJRI | CUSIP 09180C106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald W. Deitchle | Mgmt | For | For | For | |||||
1.2 | Elect James A. Dal Pozzo | Mgmt | For | For | For | |||||
1.3 | Elect J. Roger King | Mgmt | For | For | For | |||||
1.4 | Elect Larry D. Bouts | Mgmt | For | For | For | |||||
1.5 | Elect John F. Grundhofer | Mgmt | For | For | For | |||||
1.6 | Elect Peter A. Bassi | Mgmt | For | For | For | |||||
1.7 | Elect William L. Hyde, Jr. | Mgmt | For | For | For | |||||
1.8 | Elect Lea Anne S. Ottinger | Mgmt | For | For | For | |||||
1.9 | Elect Henry Gomez | Mgmt | For | For | For | |||||
1.10 | Elect Gregory A. Trojan | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Boulder Brands, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BDBD | CUSIP 101405108 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Stephen B. Hughes | Mgmt | For | For | For | |||||
1.2 | Elect James E. Lewis | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Carpenter Technology Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRS | CUSIP 144285103 | 10/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Carl Anderson, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Philip Anderson | Mgmt | For | For | For | |||||
1.3 | Elect Jeffrey Wadsworth | Mgmt | For | For | For | |||||
1.4 | Elect William Wulfsohn | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 269
Cavium Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CAVM | CUSIP 14964U108 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Syed Ali | Mgmt | For | For | For | |||||
1.2 | Elect Anthony S. Thornley | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Celldex Therapeutics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CLDX | CUSIP 15117B103 | 06/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Larry Ellberger | Mgmt | For | For | For | |||||
1.2 | Elect Anthony Marucci | Mgmt | For | For | For | |||||
1.3 | Elect Herbert Conrad | Mgmt | For | For | For | |||||
1.4 | Elect George O. Elston | Mgmt | For | For | For | |||||
1.5 | Elect Harry H. Penner, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Timothy M. Shannon | Mgmt | For | For | For | |||||
1.7 | Elect Karen L. Shoos | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2004 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas L. Gutshall | Mgmt | For | For | For | |||||
2 | Elect Cristina H. Kepner | Mgmt | For | For | For | |||||
3 | Elect David H. Persing | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 270
Chart Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GTLS | CUSIP 16115Q308 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Samuel F. Thomas | Mgmt | For | For | For | |||||
1.2 | Elect W. Douglas Brown | Mgmt | For | For | For | |||||
1.3 | Elect Richard E. Goodrich | Mgmt | For | For | For | |||||
1.4 | Elect Steven W. Krablin | Mgmt | For | For | For | |||||
1.5 | Elect Michael W. Press | Mgmt | For | For | For | |||||
1.6 | Elect James M. Tidwell | Mgmt | For | For | For | |||||
1.7 | Elect Thomas L. Williams | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cognex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CGNX | CUSIP 192422103 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Shillman | Mgmt | For | For | For | |||||
1.2 | Elect Anthony Sun | Mgmt | For | For | For | |||||
1.3 | Elect Robert J. Willett | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 271
Core Laboratories N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CLB | CUSIP N22717107 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect D. John Ogren | Mgmt | For | For | For | |||||
2 | Elect Lucia van Geuns | Mgmt | For | For | For | |||||
3 | Elect Charles L. Dunlap | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Authority to Cancel Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Common and Preference Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Elimination of Preemptive Rights | Mgmt | For | For | For |
Cornerstone OnDemand Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSOD | CUSIP 21925Y103 | 06/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James McGeever | Mgmt | For | For | For | |||||
1.2 | Elect Harold W. Burlingame | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
DexCom, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DXCM | CUSIP 252131107 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Barbara E. Kahn | Mgmt | For | For | For | |||||
2 | Elect Jay S. Skyler | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 272
DXP Enterprises, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DXPE | CUSIP 233377407 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David R. Little | Mgmt | For | For | For | |||||
1.2 | Elect Cletus Davis | Mgmt | For | For | For | |||||
1.3 | Elect Timothy P. Halter | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Endologix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELGX | CUSIP 29266S106 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gregory D. Waller | Mgmt | For | For | For | |||||
1.2 | Elect Thomas C. Wilder, III | Mgmt | For | For | For | |||||
1.3 | Elect Thomas F. Zenty III | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2006 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2006 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Exar Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EXAR | CUSIP 300645108 | 09/06/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Izak Bencuya | Mgmt | For | For | For | |||||
1.2 | Elect Louis DiNardo | Mgmt | For | For | For | |||||
1.3 | Elect Pierre Guilbault | Mgmt | For | For | For | |||||
1.4 | Elect Brian Hilton | Mgmt | For | For | For | |||||
1.5 | Elect Richard Leza | Mgmt | For | For | For | |||||
1.6 | Elect Gary Meyers | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 273
FARO Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FARO | CUSIP 311642102 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John E. Caldwell | Mgmt | For | For | For | |||||
1.2 | Elect John Donofrio | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Five Below, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FIVE | CUSIP 33829M101 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael F. Devine, III | Mgmt | For | For | For | |||||
1.2 | Elect Ronald L. Sargent | Mgmt | For | For | For | |||||
2 | 2012 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 3 Years | 3 Years | For |
Fluidigm Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FLDM | CUSIP 34385P108 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Samuel D. Colella | Mgmt | For | For | For | |||||
1.2 | Elect Gajus V. Worthington | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 274
Fortinet Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FTNT | CUSIP 34959E109 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ming Hsieh | Mgmt | For | For | For | |||||
1.2 | Elect Christopher B. Paisley | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Cash and Equity Incentive Plan | Mgmt | For | For | For |
Forum Energy Technologies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FET | CUSIP 34984V100 | 05/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
1.2 | Elect David C. Baldwin | Mgmt | For | For | For | |||||
1.3 | Elect Franklin Myers | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||||
4 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 275
Fresh Market Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TFM | CUSIP 35804H106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ray Berry | Mgmt | For | For | For | |||||
1.2 | Elect Jeffrey Naylor | Mgmt | For | For | For | |||||
1.3 | Elect Jane Thompson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Fusion-IO Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FIO | CUSIP 36112J107 | 11/06/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Forest Baskett | Mgmt | For | For | For | |||||
1.2 | Elect Dana Evan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Genesee & Wyoming Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GWR | CUSIP 371559105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard H. Bott | Mgmt | For | For | For | |||||
1.2 | Elect Oivind Lorentzen III | Mgmt | For | For | For | |||||
1.3 | Elect Philip J. Ringo | Mgmt | For | For | For | |||||
1.4 | Elect Mark A. Scudder | Mgmt | For | For | For | |||||
1.5 | Elect Gregory S. Ledford | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Geospace Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GEOS | CUSIP 37364X109 | 02/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William Moody | Mgmt | For | For | For | |||||
1.2 | Elect Gary Owens | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 276
Greenhill & Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GHL | CUSIP 395259104 | 04/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert F. Greenhill | Mgmt | For | For | For | |||||
1.2 | Elect Scott L. Bok | Mgmt | For | For | For | |||||
1.3 | Elect Robert T. Blakely | Mgmt | For | For | For | |||||
1.4 | Elect John C. Danforth | Mgmt | For | For | For | |||||
1.5 | Elect Steven F. Goldstone | Mgmt | For | For | For | |||||
1.6 | Elect Stephen L. Key | Mgmt | For | For | For | |||||
1.7 | Elect Karen P. Robards | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Re-Approval of the Performance Criteria Under the Equity Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Guidewire Software, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GWRE | CUSIP 40171V100 | 12/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kenneth Branson | Mgmt | For | For | For | |||||
1.2 | Elect Craig Ramsey | Mgmt | For | For | For | |||||
1.3 | Elect Marcus Ryu | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Gulfport Energy Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPOR | CUSIP 402635304 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald Dillingham | Mgmt | For | For | For | |||||
1.2 | Elect Craig Groeschel | Mgmt | For | For | For | |||||
1.3 | Elect David L. Houston | Mgmt | For | For | For | |||||
1.4 | Elect James D. Palm | Mgmt | For | For | For | |||||
1.5 | Elect Scott E. Streller | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Amendment to the 2005 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 277
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jiren Liu | Mgmt | For | For | For | |||||
2 | Elect Edward Meyer | Mgmt | For | For | For | |||||
3 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
4 | Elect Hellene Runtagh | Mgmt | For | For | For | |||||
5 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
6 | Elect Gary Steel | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
HeartWare International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HTWR | CUSIP 422368100 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Douglas Godshall | Mgmt | For | For | For | |||||
1.2 | Elect Seth Harrison | Mgmt | For | For | For | |||||
1.3 | Elect Robert Stockman | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Grant of RSUs to CEO Douglas Godshall | Mgmt | For | For | For | |||||
5 | Equity Grant to Director Robert Thomas | Mgmt | For | For | For | |||||
6 | Equity Grant to Director Seth Harrison | Mgmt | For | For | For | |||||
7 | Equity Grant to Director Timothy Barberich | Mgmt | For | For | For | |||||
8 | Equity Grant to Director Cynthia Feldmann | Mgmt | For | For | For | |||||
9 | Equity Grant to Director C. Raymond Larkin | Mgmt | For | For | For | |||||
10 | Equity Grant to Director Robert Stockman | Mgmt | For | For | For | |||||
11 | Equity Grant to Director Denis Wade | Mgmt | For | For | For | |||||
12 | Ratify a Previous Issuance of Common Stock | Mgmt | For | For | For |
Page 278
Hexcel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HXL | CUSIP 428291108 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David E. Berges | Mgmt | For | For | For | |||||
2 | Elect Joel S. Beckman | Mgmt | For | For | For | |||||
3 | Elect Lynn Brubaker | Mgmt | For | For | For | |||||
4 | Elect Jeffrey C. Campbell | Mgmt | For | For | For | |||||
5 | Elect Sandra L. Derickson | Mgmt | For | For | For | |||||
6 | Elect W. Kim Foster | Mgmt | For | For | For | |||||
7 | Elect Thomas A. Gendron | Mgmt | For | For | For | |||||
8 | Elect Jeffrey A. Graves | Mgmt | For | For | For | |||||
9 | Elect David C. Hill | Mgmt | For | For | For | |||||
10 | Elect David L. Pugh | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | 2013 Incentive Stock Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 279
Hyperion Therapeutics Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HPTX | CUSIP 44915N101 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bijan Salehizadeh | Mgmt | For | For | For | |||||
1.2 | Elect Donald J. Santel | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald Moller | Mgmt | For | For | For | |||||
1.2 | Elect David R. Walt | Mgmt | For | For | For | |||||
1.3 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Stock and Incentive Plan | Mgmt | For | For | For |
Immunogen, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IMGN | CUSIP 45253H101 | 11/13/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Set Board Size | Mgmt | For | For | For | |||||
2.1 | Elect Mark Skaletsky | Mgmt | For | For | For | |||||
2.2 | Elect Joseph Villafranca | Mgmt | For | For | For | |||||
2.3 | Elect Nicole Onetto | Mgmt | For | For | For | |||||
2.4 | Elect Stephen McCluski | Mgmt | For | For | For | |||||
2.5 | Elect Richard Wallace | Mgmt | For | For | For | |||||
2.6 | Elect Daniel Junius | Mgmt | For | For | For | |||||
2.7 | Elect Howard Pien | Mgmt | For | For | For | |||||
2.8 | Elect Mark Goldberg | Mgmt | For | For | For | |||||
2.9 | Elect Dean Mitchell | Mgmt | For | For | For | |||||
2.10 | Elect Kristine Peterson | Mgmt | For | For | For | |||||
3 | Amendment to the 2006 Employee, Director and Consultant Equity Incentive Plan | Mgmt | For | For | For | |||||
4 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Page 280
Infoblox Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BLOX | CUSIP 45672H104 | 12/19/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Laura Conigliaro | Mgmt | For | For | For | |||||
1.2 | Elect Fred Gerson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Valentin P. Gapontsev | Mgmt | For | For | For | |||||
1.2 | Elect Eugene Shcherbakov | Mgmt | For | For | For | |||||
1.3 | Elect Igor Samartsev | Mgmt | For | For | For | |||||
1.4 | Elect Robert A. Blair | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Child | Mgmt | For | For | For | |||||
1.6 | Elect William F. Krupke | Mgmt | For | For | For | |||||
1.7 | Elect Henry E. Gauthier | Mgmt | For | For | For | |||||
1.8 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Ironwood Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IRWD | CUSIP 46333X108 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Marsha H. Fanucci | Mgmt | For | For | For | |||||
1.2 | Elect Terrance G. McGuire | Mgmt | For | For | For | |||||
1.3 | Elect Edward P. Ownes | Mgmt | For | For | For | |||||
1.4 | Elect Christopher T. Walsh | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 281
Kansas City Southern
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KSU | CUSIP 485170302 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Terrence P. Dunn | Mgmt | For | For | For | |||||
1.2 | Elect Antonio O. Garza, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect David L. Starling | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Approve the Material Terms of the Performance Measures under the 2008 Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Kraton Performance Polymers, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KRA | CUSIP 50077C106 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Anna C. Catalano | Mgmt | For | For | For | |||||
1.2 | Elect Barry J. Goldstein | Mgmt | For | For | For | |||||
1.3 | Elect Dan F. Smith | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 282
Lufkin Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LUFK | CUSIP 549764108 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John F. Glick | Mgmt | For | For | For | |||||
2 | Elect John D. Hofmeister | Mgmt | For | For | For | |||||
3 | Elect Amr Z. Selim | Mgmt | For | For | For | |||||
4 | Elect Thomas E. Wiener | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2013 Incentive Stock Compensation Plan | Mgmt | For | For | For |
MarketAxess Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MKTX | CUSIP 57060D108 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Richard M. McVey | Mgmt | For | For | For | |||||
2 | Elect Steven L. Begleiter | Mgmt | For | For | For | |||||
3 | Elect Stephen P. Casper | Mgmt | For | For | For | |||||
4 | Elect David G. Gomach | Mgmt | For | For | For | |||||
5 | Elect Carlos M. Hernandez | Mgmt | For | For | For | |||||
6 | Elect Ronald M. Hersch | Mgmt | For | For | For | |||||
7 | Elect John Steinhardt | Mgmt | For | For | For | |||||
8 | Elect James J. Sullivan | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Materion Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MTRN | CUSIP 576690101 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Vinod M. Khilnani | Mgmt | For | For | For | |||||
1.2 | Elect Darlene J.S. Solomon | Mgmt | For | For | For | |||||
1.3 | Elect Robert B. Toth | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Management Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 283
MicroStrategy Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSTR | CUSIP 594972408 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael J. Saylor | Mgmt | For | For | For | |||||
1.2 | Elect Sanju K. Bansal | Mgmt | For | For | For | |||||
1.3 | Elect Matthew W. Calkins | Mgmt | For | For | For | |||||
1.4 | Elect Robert H. Epstein | Mgmt | For | For | For | |||||
1.5 | Elect David W. LaRue | Mgmt | For | For | For | |||||
1.6 | Elect Jarrod M. Patten | Mgmt | For | For | For | |||||
1.7 | Elect Carl J. Rickertsen | Mgmt | For | For | For | |||||
1.8 | Elect Thomas P. Spahr | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
MRC Global Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MRC | CUSIP 55345K103 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Andrew R. Lane | Mgmt | For | For | For | |||||
1.2 | Elect Leonard M. Anthony | Mgmt | For | For | For | |||||
1.3 | Elect Rhys J. Best | Mgmt | For | For | For | |||||
1.4 | Elect Peter C. Boylan, III | Mgmt | For | For | For | |||||
1.5 | Elect Henry Cornell | Mgmt | For | For | For | |||||
1.6 | Elect Christopher A.S. Crampton | Mgmt | For | For | For | |||||
1.7 | Elect John F.X. Daly | Mgmt | For | For | For | |||||
1.8 | Elect Craig Ketchum | Mgmt | For | For | For | |||||
1.9 | Elect Gerald P. Krans | Mgmt | For | For | For | |||||
1.10 | Elect Cornelis A. Linse | Mgmt | For | For | For | |||||
1.11 | Elect John A. Perkins | Mgmt | For | For | For | |||||
1.12 | Elect H.B. Wehrle, III | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 284
NetScout Systems, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NTCT | CUSIP 64115T104 | 08/21/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Victor DeMarines | Mgmt | For | For | For | |||||
1.2 | Elect Vincent Mullarkey | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Peet’s Coffee & Tea, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEET | CUSIP 705560100 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Merger | Mgmt | For | For | For | |||||
2 | Advisory Vote on Golden Parachutes | Mgmt | For | For | For | |||||
3 | Right to Adjourn Meeting | Mgmt | For | For | For |
Performant Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFMT | CUSIP 71377E105 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Todd R. Ford | Mgmt | For | For | For | |||||
1.2 | Elect Brian P. Golson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 285
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar Zurcher | Mgmt | For | For | For | |||||
2 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Procera Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PKT | CUSIP 74269U203 | 08/27/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Scott McClendon | Mgmt | For | For | For | |||||
1.2 | Elect James Brear | Mgmt | For | For | For | |||||
1.3 | Elect Staffan Hillberg | Mgmt | For | For | For | |||||
1.4 | Elect B. Kumar | Mgmt | For | For | For | |||||
1.5 | Elect Alan B. Lefkof | Mgmt | For | For | For | |||||
1.6 | Elect Mary Losty | Mgmt | For | For | For | |||||
1.7 | Elect Thomas Saponas | Mgmt | For | For | For | |||||
1.8 | Elect William Slavin | Mgmt | For | For | For | |||||
2 | Amendment to the 2007 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Qualys Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QLYS | CUSIP 74758T303 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sandra E. Bergeron | Mgmt | For | For | For | |||||
1.2 | Elect Yves B. Sisteron | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 286
Sanchez Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SN | CUSIP 79970Y105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gilbert A. Garcia | Mgmt | For | For | For | |||||
2 | Amendments to Certificate of Incorporation Regarding Director Exculpation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David M. Hornik | Mgmt | For | For | For | |||||
1.2 | Elect Thomas M. Neustaetter | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Stage Stores, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SSI | CUSIP 85254C305 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alan J. Barocas | Mgmt | For | For | For | |||||
2 | Elect Diane M. Ellis | Mgmt | For | For | For | |||||
3 | Elect Michael L. Glazer | Mgmt | For | For | For | |||||
4 | Elect Gabrielle E. Greene | Mgmt | For | For | For | |||||
5 | Elect Earl J. Hesterberg, Jr. | Mgmt | For | For | For | |||||
6 | Elect Lisa R. Kranc | Mgmt | For | For | For | |||||
7 | Elect William J. Montgoris | Mgmt | For | For | For | |||||
8 | Elect C. Clayton Reasor | Mgmt | For | For | For | |||||
9 | Elect David Y. Schwartz | Mgmt | For | For | For | |||||
10 | Elect Ralph P. Scozzafava | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 287
Steven Madden, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SHOO | CUSIP 556269108 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edward R. Rosenfeld | Mgmt | For | For | For | |||||
1.2 | Elect John L. Madden | Mgmt | For | For | For | |||||
1.3 | Elect Peter Migliorini | Mgmt | For | For | For | |||||
1.4 | Elect Richard P. Randall | Mgmt | For | For | For | |||||
1.5 | Elect Ravi Sachdev | Mgmt | For | For | For | |||||
1.6 | Elect Thomas H. Schwartz | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
SVB Financial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIVB | CUSIP 78486Q101 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Greg W. Becker | Mgmt | For | For | For | |||||
1.2 | Elect Eric A. Benhamou | Mgmt | For | For | For | |||||
1.3 | Elect David M. Clapper | Mgmt | For | For | For | |||||
1.4 | Elect Roger F. Dunbar | Mgmt | For | For | For | |||||
1.5 | Elect Joel P. Friedman | Mgmt | For | For | For | |||||
1.6 | Elect C. Richard Kramlich | Mgmt | For | For | For | |||||
1.7 | Elect Lata Krishnan | Mgmt | For | For | For | |||||
1.8 | Elect Jeffrey N. Maggioncalda | Mgmt | For | For | For | |||||
1.9 | Elect Kate Mitchell | Mgmt | For | For | For | |||||
1.10 | Elect John F. Robinson | Mgmt | For | For | For | |||||
1.11 | Elect Garen K. Staglin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 288
Theravance, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
THRX | CUSIP 88338T104 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Rick Winningham | Mgmt | For | For | For | |||||
1.2 | Elect Henrietta Fore | Mgmt | For | For | For | |||||
1.3 | Elect Robert Gunderson, Jr. | Mgmt | For | For | For | |||||
1.4 | Elect Arnold Levine | Mgmt | For | For | For | |||||
1.5 | Elect Burton Malkiel | Mgmt | For | For | For | |||||
1.6 | Elect Peter Ringrose | Mgmt | For | For | For | |||||
1.7 | Elect William Waltrip | Mgmt | For | For | For | |||||
1.8 | Elect George Whitesides | Mgmt | For | For | For | |||||
1.9 | Elect William Young | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Ultimate Software Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTI | CUSIP 90385D107 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott Scherr | Mgmt | For | For | For | |||||
2 | Elect Alois Leiter | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
United Natural Foods, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNFI | CUSIP 911163103 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter Roy | Mgmt | For | For | For | |||||
2 | Elect Richard Schnieders | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | 2012 Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Page 289
Universal Display Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANL | CUSIP 91347P105 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven V. Abramson | Mgmt | For | For | For | |||||
2 | Elect Leonard Becker | Mgmt | For | For | For | |||||
3 | Elect Elizabeth H. Gemmill | Mgmt | For | For | For | |||||
4 | Elect C. Keith Hartley | Mgmt | For | For | For | |||||
5 | Elect Lawrence Lacerte | Mgmt | For | For | For | |||||
6 | Elect Sidney D. Rosenblatt | Mgmt | For | For | For | |||||
7 | Elect Sherwin I. Seligsohn | Mgmt | For | For | For | |||||
8 | Approval of the Annual Incentive Plan | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | Against | Against |
Vitamin Shoppe, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VSI | CUSIP 92849E101 | 06/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect B. Michael Becker | Mgmt | For | For | For | |||||
2 | Elect Catherine E. Buggeln | Mgmt | For | For | For | |||||
3 | Elect Deborah M. Derby | Mgmt | For | For | For | |||||
4 | Elect John H. Edmondson | Mgmt | For | For | For | |||||
5 | Elect David H. Edwab | Mgmt | For | For | For | |||||
6 | Elect Richard L. Markee | Mgmt | For | For | For | |||||
7 | Elect Richard L. Perkal | Mgmt | For | For | For | |||||
8 | Elect Beth M. Pritchard | Mgmt | For | For | For | |||||
9 | Elect Katherine Savitt-Lennon | Mgmt | For | For | For | |||||
10 | Elect Anthony N. Truesdale | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 290
Wesco International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WCC | CUSIP 95082P105 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||||
1.2 | Elect Robert J. Tarr, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Stephen A. Van Oss | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 1999 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
4 | Re-approval of the material terms under the 1999 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW SMID Cap Growth Fund
7 Days Group Holdings Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SVN | CUSIP 81783J101 | 09/17/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For |
Page 291
AGCO Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGCO | CUSIP 001084102 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect P. George Benson | Mgmt | For | For | For | |||||
2 | Elect Wolfgang Deml | Mgmt | For | For | For | |||||
3 | Elect Luiz Fernando Furlan | Mgmt | For | For | For | |||||
4 | Elect George E. Minnich | Mgmt | For | For | For | |||||
5 | Elect Martin H. Richenhagen | Mgmt | For | For | For | |||||
6 | Elect Gerald L. Shaheen | Mgmt | For | For | For | |||||
7 | Elect Mallika Srinivasan | Mgmt | For | For | For | |||||
8 | Elect Hendrikus Visser | Mgmt | For | For | For | |||||
9 | Amendment to the Management Incentive Plan | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For |
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard J. Harshman | Mgmt | For | For | For | |||||
1.2 | Elect Carolyn Corvi | Mgmt | For | For | For | |||||
1.3 | Elect Barbara S. Jeremiah | Mgmt | For | For | For | |||||
1.4 | Elect John D. Turner | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 292
AMC Networks Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMCX | CUSIP 00164V103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Neil M. Ashe | Mgmt | For | For | For | |||||
1.2 | Elect Alan D. Schwartz | Mgmt | For | For | For | |||||
1.3 | Elect Leonard Tow | Mgmt | For | For | For | |||||
1.4 | Elect Carl E. Vogel | Mgmt | For | For | For | |||||
1.5 | Elect Robert C. Wright | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
ANSYS, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANSS | CUSIP 03662Q105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald W. Hovsepian | Mgmt | For | For | For | |||||
2 | Elect Michael Thurk | Mgmt | For | For | For | |||||
3 | Elect Barbara V. Scherer | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3.1 | Elect Annette Franqui | Mgmt | For | For | For | |||||
3.2 | Elect C. Hernandez-Artigas | Mgmt | For | For | For | |||||
3.3 | Elect A. Ramirez Magana | Mgmt | For | For | For |
Page 293
Ariad Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARIA | CUSIP 04033A100 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Athanase Lavidas | Mgmt | For | For | For | |||||
1.2 | Elect Massimo Radaelli | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against 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 Sir John Buchanan | Mgmt | For | For | For | |||||
5 | Elect Warren A. East | Mgmt | For | For | For | |||||
6 | Elect Andy Green | Mgmt | For | For | For | |||||
7 | Elect Larry Hirst | Mgmt | For | For | For | |||||
8 | Elect Mike Muller | Mgmt | For | For | For | |||||
9 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
10 | Elect Janice Roberts | Mgmt | For | For | For | |||||
11 | Elect Philip Rowley | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Elect Simon Segars | Mgmt | For | For | For | |||||
14 | Appointment of Auditor | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Long Term Incentive Plan | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
19 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
20 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 294
Aruba Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARUN | CUSIP 043176106 | 11/29/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dominic Orr | Mgmt | For | For | For | |||||
1.2 | Elect Keerti Melkote | Mgmt | For | For | For | |||||
1.3 | Elect Bernard Guidon | Mgmt | For | For | For | |||||
1.4 | Elect Emmanuel Hernandez | Mgmt | For | For | For | |||||
1.5 | Elect Michael Kourey | Mgmt | For | For | For | |||||
1.6 | Elect Willem Roelandts | Mgmt | For | For | For | |||||
1.7 | Elect Juergen Rottler | Mgmt | For | For | For | |||||
1.8 | Elect Daniel Warmenhoven | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles D. Baker | Mgmt | For | For | For | |||||
1.2 | Elect Dev Ittycheria | Mgmt | For | For | For | |||||
1.3 | Elect John A. Kane | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2007 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 295
Biomarin Pharmaceutical Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMRN | CUSIP 09061G101 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jean-Jacques Bienaime | Mgmt | For | For | For | |||||
1.2 | Elect Michael Grey | Mgmt | For | For | For | |||||
1.3 | Elect Elaine J. Heron | Mgmt | For | For | For | |||||
1.4 | Elect Pierre Lapalme | Mgmt | For | For | For | |||||
1.5 | Elect V. Bryan Lawlis | Mgmt | For | For | For | |||||
1.6 | Elect Richard A. Meier | Mgmt | For | For | For | |||||
1.7 | Elect Alan J. Lewis | Mgmt | For | For | For | |||||
1.8 | Elect William D. Young | Mgmt | For | For | For | |||||
1.9 | Elect Kenneth M. Bate | Mgmt | For | For | For | |||||
2 | Amendment to the 2006 Share Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
BJ’s Restaurants, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BJRI | CUSIP 09180C106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald W. Deitchle | Mgmt | For | For | For | |||||
1.2 | Elect James A. Dal Pozzo | Mgmt | For | For | For | |||||
1.3 | Elect J. Roger King | Mgmt | For | For | For | |||||
1.4 | Elect Larry D. Bouts | Mgmt | For | For | For | |||||
1.5 | Elect John F. Grundhofer | Mgmt | For | For | For | |||||
1.6 | Elect Peter A. Bassi | Mgmt | For | For | For | |||||
1.7 | Elect William L. Hyde, Jr. | Mgmt | For | For | For | |||||
1.8 | Elect Lea Anne S. Ottinger | Mgmt | For | For | For | |||||
1.9 | Elect Henry Gomez | Mgmt | For | For | For | |||||
1.10 | Elect Gregory A. Trojan | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 296
CarMax, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMX | CUSIP 143130102 | 06/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald E. Blaylock | Mgmt | For | For | For | |||||
2 | Elect Rakesh Gangwal | Mgmt | For | For | For | |||||
3 | Elect Mitchell D. Steenrod | Mgmt | For | For | For | |||||
4 | Elect Thomas G. Stemberg | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Repeal of Classified Board | Mgmt | For | For | For | |||||
8 | Director & Officer Liability/Indemnification | Mgmt | For | For | For |
Cavium Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CAVM | CUSIP 14964U108 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Syed Ali | Mgmt | For | For | For | |||||
1.2 | Elect Anthony S. Thornley | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas L. Gutshall | Mgmt | For | For | For | |||||
2 | Elect Cristina H. Kepner | Mgmt | For | For | For | |||||
3 | Elect David H. Persing | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 297
Chart Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GTLS | CUSIP 16115Q308 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Samuel F. Thomas | Mgmt | For | For | For | |||||
1.2 | Elect W. Douglas Brown | Mgmt | For | For | For | |||||
1.3 | Elect Richard E. Goodrich | Mgmt | For | For | For | |||||
1.4 | Elect Steven W. Krablin | Mgmt | For | For | For | |||||
1.5 | Elect Michael W. Press | Mgmt | For | For | For | |||||
1.6 | Elect James M. Tidwell | Mgmt | For | For | For | |||||
1.7 | Elect Thomas L. Williams | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cognex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CGNX | CUSIP 192422103 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Shillman | Mgmt | For | For | For | |||||
1.2 | Elect Anthony Sun | Mgmt | For | For | For | |||||
1.3 | Elect Robert J. Willett | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Core Laboratories N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CLB | CUSIP N22717107 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect D. John Ogren | Mgmt | For | For | For | |||||
2 | Elect Lucia van Geuns | Mgmt | For | For | For | |||||
3 | Elect Charles L. Dunlap | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Authority to Cancel Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Common and Preference Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Elimination of Preemptive Rights | Mgmt | For | For | For |
Page 298
Ctrip.com International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTRP | CUSIP 22943F100 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Misc. Article Amendments | Mgmt | For | For | For |
Endologix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELGX | CUSIP 29266S106 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gregory D. Waller | Mgmt | For | For | For | |||||
1.2 | Elect Thomas C. Wilder, III | Mgmt | For | For | For | |||||
1.3 | Elect Thomas F. Zenty III | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2006 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2006 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Forum Energy Technologies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FET | CUSIP 34984V100 | 05/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
1.2 | Elect David C. Baldwin | Mgmt | For | For | For | |||||
1.3 | Elect Franklin Myers | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||||
4 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 299
Fresh Market Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TFM | CUSIP 35804H106 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ray Berry | Mgmt | For | For | For | |||||
1.2 | Elect Jeffrey Naylor | Mgmt | For | For | For | |||||
1.3 | Elect Jane Thompson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Fusion-IO Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FIO | CUSIP 36112J107 | 11/06/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Forest Baskett | Mgmt | For | For | For | |||||
1.2 | Elect Dana Evan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Genesee & Wyoming Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GWR | CUSIP 371559105 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard H. Bott | Mgmt | For | For | For | |||||
1.2 | Elect Oivind Lorentzen III | Mgmt | For | For | For | |||||
1.3 | Elect Philip J. Ringo | Mgmt | For | For | For | |||||
1.4 | Elect Mark A. Scudder | Mgmt | For | For | For | |||||
1.5 | Elect Gregory S. Ledford | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 300
Gildan Activewear Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GIL | CUSIP 375916103 | 02/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Glenn Chamandy | Mgmt | For | For | For | |||||
1.3 | Elect Russell Goodman | Mgmt | For | For | For | |||||
1.4 | Elect George Heller | Mgmt | For | For | For | |||||
1.5 | Elect Sheila O’Brien | Mgmt | For | For | For | |||||
1.6 | Elect Pierre Robitaille | Mgmt | For | For | For | |||||
1.7 | Elect James Scarborough | Mgmt | For | For | For | |||||
1.8 | Elect Richard Strubel | Mgmt | For | For | For | |||||
1.9 | Elect Gonzalo Valdes-Fauli | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Gulfport Energy Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPOR | CUSIP 402635304 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald Dillingham | Mgmt | For | For | For | |||||
1.2 | Elect Craig Groeschel | Mgmt | For | For | For | |||||
1.3 | Elect David L. Houston | Mgmt | For | For | For | |||||
1.4 | Elect James D. Palm | Mgmt | For | For | For | |||||
1.5 | Elect Scott E. Streller | Mgmt | For | For | For | |||||
2 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Amendment to the 2005 Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 301
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jiren Liu | Mgmt | For | For | For | |||||
2 | Elect Edward Meyer | Mgmt | For | For | For | |||||
3 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
4 | Elect Hellene Runtagh | Mgmt | For | For | For | |||||
5 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
6 | Elect Gary Steel | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Hexcel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HXL | CUSIP 428291108 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David E. Berges | Mgmt | For | For | For | |||||
2 | Elect Joel S. Beckman | Mgmt | For | For | For | |||||
3 | Elect Lynn Brubaker | Mgmt | For | For | For | |||||
4 | Elect Jeffrey C. Campbell | Mgmt | For | For | For | |||||
5 | Elect Sandra L. Derickson | Mgmt | For | For | For | |||||
6 | Elect W. Kim Foster | Mgmt | For | For | For | |||||
7 | Elect Thomas A. Gendron | Mgmt | For | For | For | |||||
8 | Elect Jeffrey A. Graves | Mgmt | For | For | For | |||||
9 | Elect David C. Hill | Mgmt | For | For | For | |||||
10 | Elect David L. Pugh | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | 2013 Incentive Stock Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gerald Moller | Mgmt | For | For | For | |||||
1.2 | Elect David R. Walt | Mgmt | For | For | For | |||||
1.3 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Stock and Incentive Plan | Mgmt | For | For | For |
Page 302
Infoblox Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BLOX | CUSIP 45672H104 | 12/19/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Laura Conigliaro | Mgmt | For | For | For | |||||
1.2 | Elect Fred Gerson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Valentin P. Gapontsev | Mgmt | For | For | For | |||||
1.2 | Elect Eugene Shcherbakov | Mgmt | For | For | For | |||||
1.3 | Elect Igor Samartsev | Mgmt | For | For | For | |||||
1.4 | Elect Robert A. Blair | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Child | Mgmt | For | For | For | |||||
1.6 | Elect William F. Krupke | Mgmt | For | For | For | |||||
1.7 | Elect Henry E. Gauthier | Mgmt | For | For | For | |||||
1.8 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Ironwood Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IRWD | CUSIP 46333X108 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Marsha H. Fanucci | Mgmt | For | For | For | |||||
1.2 | Elect Terrance G. McGuire | Mgmt | For | For | For | |||||
1.3 | Elect Edward P. Ownes | Mgmt | For | For | For | |||||
1.4 | Elect Christopher T. Walsh | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 303
Kansas City Southern
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KSU | CUSIP 485170302 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Terrence P. Dunn | Mgmt | For | For | For | |||||
1.2 | Elect Antonio O. Garza, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect David L. Starling | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Approve the Material Terms of the Performance Measures under the 2008 Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael J. Moritz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 304
Lufkin Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LUFK | CUSIP 549764108 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John F. Glick | Mgmt | For | For | For | |||||
2 | Elect John D. Hofmeister | Mgmt | For | For | For | |||||
3 | Elect Amr Z. Selim | Mgmt | For | For | For | |||||
4 | Elect Thomas E. Wiener | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2013 Incentive Stock Compensation Plan | Mgmt | For | For | For |
MicroStrategy Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSTR | CUSIP 594972408 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael J. Saylor | Mgmt | For | For | For | |||||
1.2 | Elect Sanju K. Bansal | Mgmt | For | For | For | |||||
1.3 | Elect Matthew W. Calkins | Mgmt | For | For | For | |||||
1.4 | Elect Robert H. Epstein | Mgmt | For | For | For | |||||
1.5 | Elect David W. LaRue | Mgmt | For | For | For | |||||
1.6 | Elect Jarrod M. Patten | Mgmt | For | For | For | |||||
1.7 | Elect Carl J. Rickertsen | Mgmt | For | For | For | |||||
1.8 | Elect Thomas P. Spahr | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
MSC Industrial Direct Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSM | CUSIP 553530106 | 01/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mitchell Jacobson | Mgmt | For | For | For | |||||
1.2 | Elect David Sandler | Mgmt | For | For | For | |||||
1.3 | Elect Jonathan Byrnes | Mgmt | For | For | For | |||||
1.4 | Elect Roger Fradin | Mgmt | For | For | For | |||||
1.5 | Elect Erik Gershwind | Mgmt | For | For | For | |||||
1.6 | Elect Louise Goeser | Mgmt | For | For | For | |||||
1.7 | Elect Denis Kelly | Mgmt | For | For | For | |||||
1.8 | Elect Philip Peller | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 305
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 04/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Paul B. Murphy Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Harris J. Pappas | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Donovan | Mgmt | For | For | For | |||||
2 | Elect Nir Zuk | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Peet’s Coffee & Tea, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEET | CUSIP 705560100 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Merger | Mgmt | For | For | For | |||||
2 | Advisory Vote on Golden Parachutes | Mgmt | For | For | For | |||||
3 | Right to Adjourn Meeting | Mgmt | For | For | For |
Page 306
Pharmacyclics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCYC | CUSIP 716933106 | 11/09/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert Booth | Mgmt | For | For | For | |||||
1.2 | Elect Kenneth Clark | Mgmt | For | For | For | |||||
1.3 | Elect Robert Duggan | Mgmt | For | For | For | |||||
1.4 | Elect Eric Halvorson | Mgmt | For | For | For | |||||
1.5 | Elect Minesh Mehta | Mgmt | For | For | For | |||||
1.6 | Elect David Smith | Mgmt | For | For | For | |||||
1.7 | Elect Richard van den Broek | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar Zurcher | Mgmt | For | For | For | |||||
2 | 2013 Equity Incentive Award Plan | Mgmt | For | For | For |
Rackspace Hosting, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RAX | CUSIP 750086100 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect A. Lanham Napier | Mgmt | For | For | For | |||||
2 | Elect George J. Still, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael Sam Gilliland | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 307
SINA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SINA | CUSIP G81477104 | 08/10/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Yan Wang | Mgmt | For | For | For | |||||
2 | Elect Song-Yi Zhang | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Amendment to Articles Regarding Right to Call a Special Meeting | Mgmt | For | Against | Against |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David M. Hornik | Mgmt | For | For | For | |||||
1.2 | Elect Thomas M. Neustaetter | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Starwood Hotels & Resorts Worldwide, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOT | CUSIP 85590A401 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Frits van Paasschen | Mgmt | For | For | For | |||||
1.2 | Elect Bruce W. Duncan | Mgmt | For | For | For | |||||
1.3 | Elect Adam M. Aron | Mgmt | For | For | For | |||||
1.4 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
1.5 | Elect Thomas E. Clarke | Mgmt | For | For | For | |||||
1.6 | Elect Clayton C. Daley, Jr. | Mgmt | For | For | For | |||||
1.7 | Elect Lizanne Galbreath | Mgmt | For | For | For | |||||
1.8 | Elect Eric Hippeau | Mgmt | For | For | For | |||||
1.9 | Elect Aylwin B. Lewis | Mgmt | For | For | For | |||||
1.10 | Elect Stephen R. Quazzo | Mgmt | For | For | For | |||||
1.11 | Elect Thomas O. Ryder | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | 2013 Long-Term Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 308
Stifel Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SF | CUSIP 860630102 | 06/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael W. Brown | Mgmt | For | For | For | |||||
1.2 | Elect John P. Dubinsky | Mgmt | For | For | For | |||||
1.3 | Elect Robert E. Grady | Mgmt | For | For | For | |||||
1.4 | Elect Thomas B. Michaud | Mgmt | For | For | For | |||||
1.5 | Elect James M. Oates | Mgmt | For | For | For | |||||
1.6 | Elect Ben A. Plotkin | Mgmt | For | For | For | |||||
1.7 | Elect Michael J. Zimmerman | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
SVB Financial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIVB | CUSIP 78486Q101 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Greg W. Becker | Mgmt | For | For | For | |||||
1.2 | Elect Eric A. Benhamou | Mgmt | For | For | For | |||||
1.3 | Elect David M. Clapper | Mgmt | For | For | For | |||||
1.4 | Elect Roger F. Dunbar | Mgmt | For | For | For | |||||
1.5 | Elect Joel P. Friedman | Mgmt | For | For | For | |||||
1.6 | Elect C. Richard Kramlich | Mgmt | For | For | For | |||||
1.7 | Elect Lata Krishnan | Mgmt | For | For | For | |||||
1.8 | Elect Jeffrey N. Maggioncalda | Mgmt | For | For | For | |||||
1.9 | Elect Kate Mitchell | Mgmt | For | For | For | |||||
1.10 | Elect John F. Robinson | Mgmt | For | For | For | |||||
1.11 | Elect Garen K. Staglin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 309
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Edward C. Bernard | Mgmt | For | For | For | |||||
2 | Elect James T. Brady | Mgmt | For | For | For | |||||
3 | Elect Mary K. Bush | Mgmt | For | For | For | |||||
4 | Elect Donald B. Hebb, Jr. | Mgmt | For | For | For | |||||
5 | Elect Freeman A. Hrabowski, III | Mgmt | For | For | For | |||||
6 | Elect James A.C. Kennedy | Mgmt | For | For | For | |||||
7 | Elect Robert F. MacLellan | Mgmt | For | For | For | |||||
8 | Elect Brian C. Rogers | Mgmt | For | For | For | |||||
9 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
10 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
11 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Transdigm Group Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TDG | CUSIP 893641100 | 03/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mervin Dunn | Mgmt | For | For | For | |||||
1.2 | Elect Michael Graff | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | N/A | For | N/A |
Page 310
Ulta Salon, Cosmetics & Fragrance, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTA | CUSIP 90384S303 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Charles Heilbronn | Mgmt | For | For | For | |||||
1.2 | Elect Michael R. MacDonald | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Ultimate Software Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTI | CUSIP 90385D107 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott Scherr | Mgmt | For | For | For | |||||
2 | Elect Alois Leiter | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Under Armour, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UA | CUSIP 904311107 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kevin A. Plank | Mgmt | For | For | For | |||||
1.2 | Elect Byron K. Adams, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Douglas E. Coltharp | Mgmt | For | For | For | |||||
1.4 | Elect Anthony W. Deering | Mgmt | For | For | For | |||||
1.5 | Elect Alvin B. Krongard | Mgmt | For | For | For | |||||
1.6 | Elect William R. McDermott | Mgmt | For | For | For | |||||
1.7 | Elect Eric T. Olson | Mgmt | For | For | For | |||||
1.8 | Elect Brenda Piper | Mgmt | For | For | For | |||||
1.9 | Elect Harvey L. Sanders | Mgmt | For | For | For | |||||
1.10 | Elect Thomas J. Sippel | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 311
United Natural Foods, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNFI | CUSIP 911163103 | 12/12/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter Roy | Mgmt | For | For | For | |||||
2 | Elect Richard Schnieders | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | 2012 Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Universal Display Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANL | CUSIP 91347P105 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven V. Abramson | Mgmt | For | For | For | |||||
2 | Elect Leonard Becker | Mgmt | For | For | For | |||||
3 | Elect Elizabeth H. Gemmill | Mgmt | For | For | For | |||||
4 | Elect C. Keith Hartley | Mgmt | For | For | For | |||||
5 | Elect Lawrence Lacerte | Mgmt | For | For | For | |||||
6 | Elect Sidney D. Rosenblatt | Mgmt | For | For | For | |||||
7 | Elect Sherwin I. Seligsohn | Mgmt | For | For | For | |||||
8 | Approval of the Annual Incentive Plan | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | Against | Against |
Page 312
Vertex Pharmaceuticals Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRTX | CUSIP 92532F100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Joshua S. Boger | Mgmt | For | For | For | |||||
1.2 | Elect Terrence C. Kearney | Mgmt | For | For | For | |||||
1.3 | Elect Yuchun Lee | Mgmt | For | For | For | |||||
1.4 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
2 | 2013 Stock and Option Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Westinghouse Air Brake Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WAB | CUSIP 929740108 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Brooks | Mgmt | For | For | For | |||||
1.2 | Elect William E. Kassling | Mgmt | For | For | For | |||||
1.3 | Elect Albert J. Neupaver | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Whiting Petroleum Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WLL | CUSIP 966387102 | 05/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas L. Aller | Mgmt | For | For | For | |||||
1.2 | Elect Michael B Walen | Mgmt | For | For | For | |||||
2 | 2013 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 313
Workday Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDAY | CUSIP 98138H101 | 05/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Michael M. McNamara | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Re-Approval of Material Terms of the 2012 Equity Incentive Plan | Mgmt | For | For | For |
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Total Return Bond Fund
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V104 | 08/31/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gordon Davis | Mgmt | For | For | For | |||||
1.2 | Elect Nathan Leventhal | Mgmt | For | For | For | |||||
1.3 | Elect Benaree Wiley | Mgmt | For | For | For |
Page 314
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Value Opportunities Fund
Activision Blizzard, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATVI | CUSIP 00507V109 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Philippe G. H. Capron | Mgmt | For | For | For | |||||
2 | Elect Jean-Yves Charlier | Mgmt | For | For | For | |||||
3 | Elect Robert J. Corti | Mgmt | For | For | For | |||||
4 | Elect Frederic R. Crepin | Mgmt | For | For | For | |||||
5 | Elect Jean Francois Dubos | Mgmt | For | For | For | |||||
6 | Elect Lucian Grainge | Mgmt | For | For | For | |||||
7 | Elect Brian G. Kelly | Mgmt | For | For | For | |||||
8 | Elect Robert A. Kotick | Mgmt | For | For | For | |||||
9 | Elect Robert J. Morgado | Mgmt | For | For | For | |||||
10 | Elect Richard Sarnoff | Mgmt | For | For | For | |||||
11 | Elect Regis Turrini | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Aeropostale, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARO | CUSIP 007865108 | 06/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ronald R. Beegle | Mgmt | For | For | For | |||||
1.2 | Elect Robert B. Chavez | Mgmt | For | For | For | |||||
1.3 | Elect Michael J. Cunningham | Mgmt | For | For | For | |||||
1.4 | Elect Evelyn S. Dilsaver | Mgmt | For | For | For | |||||
1.5 | Elect Janet E. Grove | Mgmt | For | For | For | |||||
1.6 | Elect John N. Haugh | Mgmt | For | For | For | |||||
1.7 | Elect Karin Hirtler-Garvey | Mgmt | For | For | For | |||||
1.8 | Elect John D. Howard | Mgmt | For | For | For | |||||
1.9 | Elect Thomas P. Johnson | Mgmt | For | For | For | |||||
1.10 | Elect Arthur Rubinfeld | Mgmt | For | For | For | |||||
1.11 | Elect David B. Vermylen | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 315
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard J. Harshman | Mgmt | For | For | For | |||||
1.2 | Elect Carolyn Corvi | Mgmt | For | For | For | |||||
1.3 | Elect Barbara S. Jeremiah | Mgmt | For | For | For | |||||
1.4 | Elect John D. Turner | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Alliance Data Systems Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ADS | CUSIP 018581108 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Lawrence M. Benveniste | Mgmt | For | For | For | |||||
2 | Elect D. Keith Cobb | Mgmt | For | For | For | |||||
3 | Elect Kenneth R. Jensen | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | Right to Call a Special Meeting | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For |
Page 316
American Eagle Outfitters, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AEO | CUSIP 02553E106 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert L. Hanson | Mgmt | For | For | For | |||||
2 | Elect Thomas R. Ketteler | Mgmt | For | For | For | |||||
3 | Elect Cary D. McMillan | Mgmt | For | For | For | |||||
4 | Elect David M. Sable | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Ann Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANN | CUSIP 035623107 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michelle Gass | Mgmt | For | For | For | |||||
2 | Elect Daniel W. Yih | Mgmt | For | For | For | |||||
3 | Elect Michael C. Plansky | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Repeal of Classified Board | Mgmt | For | For | For | |||||
7 | Amendment to the 2003 Equity Incentive Plan | Mgmt | For | For | For |
Page 317
Arch Capital Group Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACGL | CUSIP G0450A105 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John L. Bunce, Jr. | Mgmt | For | For | For | |||||
2 | Elect Yiorgos Lillikas | Mgmt | For | For | For | |||||
3 | Elect Deanna M. Mulligan | Mgmt | For | For | For | |||||
4 | Elect Anthony Asquith | Mgmt | For | For | For | |||||
5 | Elect Edgardo Balois | Mgmt | For | For | For | |||||
6 | Elect Dennis R. Brand | Mgmt | For | For | For | |||||
7 | Elect Peter Calleo | Mgmt | For | For | For | |||||
8 | Elect Paul Cole | Mgmt | For | For | For | |||||
9 | Elect Michael Constantinides | Mgmt | For | For | For | |||||
10 | Elect Graham B.R. Collis | Mgmt | For | For | For | |||||
11 | Elect William J. Cooney | Mgmt | For | For | For | |||||
12 | Nick Denniston | Mgmt | For | For | For | |||||
13 | Michael Feetham | Mgmt | For | For | For | |||||
14 | Elect Stephan Fogarty | Mgmt | For | For | For | |||||
15 | Elect Elizabeth Fullerton-Rome | Mgmt | For | For | For | |||||
16 | Elect Marc Grandisson | Mgmt | For | For | For | |||||
17 | Elect Michael A. Greene | Mgmt | For | For | For | |||||
18 | Elect Jerome Halgan | Mgmt | For | For | For | |||||
19 | Elect David W. Hipkin | Mgmt | For | For | For | |||||
20 | Elect W. Preston Hutchings | Mgmt | For | For | For | |||||
21 | Elect Constantine Iordanou | Mgmt | For | For | For | |||||
22 | Elect Wolbert H. Kamphuijs | Mgmt | For | For | For | |||||
23 | Elect Michael H. Kier | Mgmt | For | For | For | |||||
24 | Elect Lin Li-Williams | Mgmt | For | For | For | |||||
25 | Elect Mark D. Lyons | Mgmt | For | For | For | |||||
26 | Elect Adam Matteson | Mgmt | For | For | For | |||||
27 | Elect Robert McDowell | Mgmt | For | For | For | |||||
28 | Elect David H. McElroy | Mgmt | For | For | For | |||||
29 | Elect Rommel Mercado | Mgmt | For | For | For | |||||
30 | Elect David J. Mulholland | Mgmt | For | For | For | |||||
31 | Elect Michael R. Murphy | Mgmt | For | For | For | |||||
32 | Elect Martin J. Nilsen | Mgmt | For | For | For | |||||
33 | Elect Mark Nolan | Mgmt | For | For | For | |||||
34 | Elect Marita Oliver | Mgmt | For | For | For | |||||
35 | Elect Nicolas Papadopoulo | Mgmt | For | For | For | |||||
36 | Elect Elisabeth Quinn | Mgmt | For | For | For | |||||
37 | Elect Maamoun Rajeh | Mgmt | For | For | For | |||||
38 | Elect John F. Rathgeber | Mgmt | For | For | For | |||||
39 | Elect Andrew Rippert | Mgmt | For | For | For | |||||
40 | Elect Carla Santamaria-Sena | Mgmt | For | For | For | |||||
41 | Elect Elect Arthur Scace | Mgmt | For | For | For | |||||
42 | Elect Scott Schenker | Mgmt | For | For | For | |||||
43 | Elect Soren Scheuer | Mgmt | For | For | For | |||||
44 | Elect Budhi Singh | Mgmt | For | For | For | |||||
45 | Elect Helmut Sohler | Mgmt | For | For | For | |||||
46 | Elect Iwan van Munster | Mgmt | For | For | For | |||||
47 | Elect Angus Watson | Mgmt | For | For | For | |||||
48 | Elect James R. Weatherstone | Mgmt | For | For | For | |||||
49 | Elect Gerald Wolfe | Mgmt | For | For | For | |||||
50 | Ratification of Auditor | Mgmt | For | For | For | |||||
51 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 318
Asbury Automotive Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABG | CUSIP 043436104 | 04/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas C. DeLoach, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Michael S. Kearney | Mgmt | For | For | For | |||||
1.3 | Elect Philip F. Maritz | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Atwood Oceanics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATW | CUSIP 050095108 | 02/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Deborah Beck | Mgmt | For | For | For | |||||
1.2 | Elect George Dotson | Mgmt | For | For | For | |||||
1.3 | Elect Jack Golden | Mgmt | For | For | For | |||||
1.4 | Elect Hans Helmerich | Mgmt | For | For | For | |||||
1.5 | Elect James Montague | Mgmt | For | For | For | |||||
1.6 | Elect Robert Saltiel | Mgmt | For | For | For | |||||
1.7 | Elect Phil D. Wedemeyer | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | 2013 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the Certificate of Formation | Mgmt | For | Against | Against | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 319
Avista Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVA | CUSIP 05379B107 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Erik J. Anderson | Mgmt | For | For | For | |||||
2 | Elect Kristianne Blake | Mgmt | For | For | For | |||||
3 | Elect Donald C Burke | Mgmt | For | For | For | |||||
4 | Elect Rick R Holley | Mgmt | For | For | For | |||||
5 | Elect John F. Kelly | Mgmt | For | For | For | |||||
6 | Elect Rebecca A. Klein | Mgmt | For | For | For | |||||
7 | Elect Scott L. Morris | Mgmt | For | For | For | |||||
8 | Elect Marc F. Racicot | Mgmt | For | For | For | |||||
9 | Elect Heidi B. Stanley | Mgmt | For | For | For | |||||
10 | Elect R. John Taylor | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Reduce Shareholder Approval Requirements to Amend Articles | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Avnet, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVT | CUSIP 053807103 | 11/02/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect J. Veronica Biggins | Mgmt | For | For | For | |||||
1.2 | Elect Michael Bradley | Mgmt | For | For | For | |||||
1.3 | Elect R. Kerry Clark | Mgmt | For | For | For | |||||
1.4 | Elect Rick Hamada | Mgmt | For | For | For | |||||
1.5 | Elect James Lawrence | Mgmt | For | For | For | |||||
1.6 | Elect Frank Noonan | Mgmt | For | For | For | |||||
1.7 | Elect Ray Robinson | Mgmt | For | For | For | |||||
1.8 | Elect William Schumann III | Mgmt | For | For | For | |||||
1.9 | Elect William Sullivan | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Executive Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 320
Beazer Homes USA, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BZH | CUSIP 07556Q881 | 02/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Elizabeth Acton | Mgmt | For | For | For | |||||
2 | Elect Laurent Alpert | Mgmt | For | For | For | |||||
3 | Elect Brian Beazer | Mgmt | For | For | For | |||||
4 | Elect Peter Leemputte | Mgmt | For | For | For | |||||
5 | Elect Allan Merrill | Mgmt | For | For | For | |||||
6 | Elect Norma Provencio | Mgmt | For | For | For | |||||
7 | Elect Larry Solari | Mgmt | For | For | For | |||||
8 | Elect Stephen Zelnak, Jr. | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Decrease of Authorized Common Stock | Mgmt | For | For | For | |||||
12 | Extension of Share Transfer Restrictions | Mgmt | For | Against | Against | |||||
13 | Adoption of a New Rights Plan | Mgmt | For | Against | Against |
Broadcom Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRCM | CUSIP 111320107 | 05/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert J. Finocchio, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Nancy H. Handel | Mgmt | For | For | For | |||||
1.3 | Elect Eddy W. Hartenstein | Mgmt | For | For | For | |||||
1.4 | Elect Maria Klawe | Mgmt | For | For | For | |||||
1.5 | Elect John E. Major | Mgmt | For | For | For | |||||
1.6 | Elect Scott A. McGregor | Mgmt | For | For | For | |||||
1.7 | Elect William T. Morrow | Mgmt | For | For | For | |||||
1.8 | Elect Henry Samueli | Mgmt | For | For | For | |||||
1.9 | Elect Robert E. Switz | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 321
Brocade Communications Systems, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRCD | CUSIP 111621306 | 04/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Judy Bruner | Mgmt | For | For | For | |||||
2 | Elect Lloyd Carney | Mgmt | For | For | For | |||||
3 | Elect Renato A. DiPentima | Mgmt | For | For | For | |||||
4 | Elect Alan L. Earhart | Mgmt | For | For | For | |||||
5 | Elect John W. Gerdelman | Mgmt | For | For | For | |||||
6 | Elect David L. House | Mgmt | For | For | For | |||||
7 | Elect Glenn C. Jones | Mgmt | For | For | For | |||||
8 | Elect L. William Krause | Mgmt | For | For | For | |||||
9 | Elect Sanjay Vaswani | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Amendment to the 2009 Director Plan | Mgmt | For | For | For | |||||
12 | Performance Bonus Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Campbell Soup Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPB | CUSIP 134429109 | 11/14/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edmund Carpenter | Mgmt | For | For | For | |||||
1.2 | Elect Paul Charron | Mgmt | For | For | For | |||||
1.3 | Elect Bennett Dorrance | Mgmt | For | For | For | |||||
1.4 | Elect Lawrence Karlson | Mgmt | For | For | For | |||||
1.5 | Elect Randall Larrimore | Mgmt | For | For | For | |||||
1.6 | Elect Mary Alice Malone | Mgmt | For | For | For | |||||
1.7 | Elect Sara Mathew | Mgmt | For | For | For | |||||
1.8 | Elect Denise Morrison | Mgmt | For | For | For | |||||
1.9 | Elect Charles Perrin | Mgmt | For | For | For | |||||
1.10 | Elect A. Barry Rand | Mgmt | For | For | For | |||||
1.11 | Elect Nick Shreiber | Mgmt | For | For | For | |||||
1.12 | Elect Tracey Travis | Mgmt | For | For | For | |||||
1.13 | Elect Archbold van Beuren | Mgmt | For | For | For | |||||
1.14 | Elect Les Vinney | Mgmt | For | For | For | |||||
1.15 | Elect Charlotte Weber | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 322
Celanese Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CE | CUSIP 150870103 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jay V. Ihlenfeld | Mgmt | For | For | For | |||||
2 | Elect Mark C. Rohr | Mgmt | For | For | For | |||||
3 | Elect Farah M. Walters | Mgmt | For | For | For | |||||
4 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Children’s Place Retail Stores, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PLCE | CUSIP 168905107 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jane T. Elfers | Mgmt | For | For | For | |||||
2 | Elect Susan Patricia Griffith | Mgmt | For | For | For | |||||
3 | Elect Louis Lipschitz | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
CIGNA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CI | CUSIP 125509109 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David M. Cordani | Mgmt | For | For | For | |||||
2 | Elect Isaiah Harris, Jr. | Mgmt | For | For | For | |||||
3 | Elect Jane E. Henney | Mgmt | For | For | For | |||||
4 | Elect Donna F. Zarcone | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Amendment to the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Political Spending | ShrHoldr | Against | For | Against |
Page 323
Comerica Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMA | CUSIP 200340107 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ralph W. Babb, Jr. | Mgmt | For | For | For | |||||
2 | Elect Roger A. Cregg | Mgmt | For | For | For | |||||
3 | Elect T. Kevin DeNicola | Mgmt | For | For | For | |||||
4 | Elect Jacqueline P. Kane | Mgmt | For | For | For | |||||
5 | Elect Richard G. Lindner | Mgmt | For | For | For | |||||
6 | Elect Alfred A. Piergallini | Mgmt | For | For | For | |||||
7 | Elect Robert S. Taubman | Mgmt | For | For | For | |||||
8 | Elect Reginald M. Turner | Mgmt | For | For | For | |||||
9 | Elect Nina G. Vaca | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Amendment to the 2006 Amended and Restated Long-Term Incentive Plan | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Commercial Metals Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMC | CUSIP 201723103 | 01/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Rhys Best | Mgmt | For | For | For | |||||
1.2 | Elect Richard Kelson | Mgmt | For | For | For | |||||
1.3 | Elect Rick Mills | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2013 Cash Incentive Plan | Mgmt | For | For | For | |||||
5 | 2013 Long-Term Equity Incentive Plan | Mgmt | For | For | For |
Coventry Health Care, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVH | CUSIP 222862104 | 11/21/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Merger | Mgmt | For | For | For | |||||
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |||||
3 | Advisory Vote on Golden Parachutes | Mgmt | For | For | For |
Page 324
Cytec Industries Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CYT | CUSIP 232820100 | 04/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Chris A. Davis | Mgmt | For | For | For | |||||
2 | Elect Shane D. Fleming | Mgmt | For | For | For | |||||
3 | Elect Louis L. Hoynes, Jr. | Mgmt | For | For | For | |||||
4 | Elect William P. Powell | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Dana Holding Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DAN | CUSIP 235825205 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Virginia A. Kamsky | Mgmt | For | For | For | |||||
1.2 | Elect Terrence J. Keating | Mgmt | For | For | For | |||||
1.3 | Elect Joseph C. Muscari | Mgmt | For | For | For | |||||
1.4 | Elect Steven B. Schwarzwaelder | Mgmt | For | For | For | |||||
1.5 | Elect Richard F. Wallman | Mgmt | For | For | For | |||||
1.6 | Elect Keith E. Wandell | Mgmt | For | For | For | |||||
1.7 | Elect Roger Wood | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 325
Denbury Resources Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DNR | CUSIP 247916208 | 05/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Wieland F. Wettstein | Mgmt | For | For | For | |||||
1.2 | Elect Michael L. Beatty | Mgmt | For | For | For | |||||
1.3 | Elect Michael B. Decker | Mgmt | For | For | For | |||||
1.4 | Elect Ronald G. Greene | Mgmt | For | For | For | |||||
1.5 | Elect Gregory L. McMichael | Mgmt | For | For | For | |||||
1.6 | Elect Kevin O. Meyers | Mgmt | For | For | For | |||||
1.7 | Elect Phil Rykhoek | Mgmt | For | For | For | |||||
1.8 | Elect Randy Stein | Mgmt | For | For | For | |||||
1.9 | Elect Laura A. Sugg | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2004 Omnibus Stock and Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Digital Realty Trust, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DLR | CUSIP 253868103 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Dennis E. Singleton | Mgmt | For | For | For | |||||
2 | Elect Michael F. Foust | Mgmt | For | For | For | |||||
3 | Elect Laurence A. Chapman | Mgmt | For | For | For | |||||
4 | Elect Kathleen Earley | Mgmt | For | For | For | |||||
5 | Elect Ruann F. Ernst | Mgmt | For | For | For | |||||
6 | Elect Kevin J. Kennedy | Mgmt | For | For | For | |||||
7 | Elect William G. LaPerch | Mgmt | For | For | For | |||||
8 | Elect Robert H. Zerbst | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 326
Dover Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DOV | CUSIP 260003108 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David H. Benson | Mgmt | For | For | For | |||||
2 | Elect Robert W. Cremin | Mgmt | For | For | For | |||||
3 | Elect Jean-Pierre M. Ergas | Mgmt | For | For | For | |||||
4 | Elect Peter T. Francis | Mgmt | For | For | For | |||||
5 | Elect Kristiane C. Graham | Mgmt | For | For | For | |||||
6 | Elect Michael F. Johnston | Mgmt | For | For | For | |||||
7 | Elect Robert A. Livingston | Mgmt | For | For | For | |||||
8 | Elect Richard K. Lochridge | Mgmt | For | For | For | |||||
9 | Elect Bernard G. Rethore | Mgmt | For | For | For | |||||
10 | Elect Michael B. Stubbs | Mgmt | For | For | For | |||||
11 | Elect Stephen M. Todd | Mgmt | For | For | For | |||||
12 | Elect Stephen K. Wagner | Mgmt | For | For | For | |||||
13 | Elect Mary A. Winston | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Energizer Holdings, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ENR | CUSIP 29266R108 | 01/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Daniel Heinrich | Mgmt | For | For | For | |||||
2 | Elect R. David Hoover | Mgmt | For | For | For | |||||
3 | Elect John Hunter III | Mgmt | For | For | For | |||||
4 | Elect John Klein | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 327
Ensco plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESV | CUSIP G3157S106 | 05/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
3 | Elect Mary Francis | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
6 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
9 | Accounts and Reports | Mgmt | For | For | For | |||||
10 | Repeal of Classified Board | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For |
Expedia, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EXPE | CUSIP 30212P303 | 06/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect A. George Battle | Mgmt | For | For | For | |||||
1.2 | Elect Pamela L. Coe | Mgmt | For | For | For | |||||
1.3 | Elect Barry Diller | Mgmt | For | For | For | |||||
1.4 | Elect Jonathan L. Dolgen | Mgmt | For | For | For | |||||
1.5 | Elect Craig A. Jacobson | Mgmt | For | For | For | |||||
1.6 | Elect Victor A. Kaufman | Mgmt | For | For | For | |||||
1.7 | Elect Peter M. Kern | Mgmt | For | For | For | |||||
1.8 | Elect Dara Khosrowshahi | Mgmt | For | For | For | |||||
1.9 | Elect John C. Malone | Mgmt | For | For | For | |||||
1.10 | Elect Jose Antonio Tazon Garcia | Mgmt | For | For | For | |||||
2 | Amendment to the 2005 Stock and Annual Incentive Plan | Mgmt | For | For | For | |||||
3 | 2013 Employee Stock Plan and 2013 International Employee Stock Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 328
Freescale Semiconductor, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FSL | CUSIP G3727Q101 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Chinh E. Chu | Mgmt | For | For | For | |||||
1.2 | Elect John T. Dickson | Mgmt | For | For | For | |||||
1.3 | Elect Daniel J. Heneghan | Mgmt | For | For | For | |||||
1.4 | Elect Thomas H. Lister | Mgmt | For | For | For | |||||
1.5 | Elect Gregg A. Lowe | Mgmt | For | For | For | |||||
1.6 | Elect John W. Marren | Mgmt | For | For | For | |||||
1.7 | Elect J. Daniel McCranie | Mgmt | For | For | For | |||||
1.8 | Elect James A. Quella | Mgmt | For | For | For | |||||
1.9 | Elect Peter Smitham | Mgmt | For | For | For | |||||
1.10 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
1.11 | Elect Claudius E. Watts IV | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Fulton Financial Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FULT | CUSIP 360271100 | 04/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Joe N. Ballard | Mgmt | For | For | For | |||||
2 | Elect John M. Bond, Jr. | Mgmt | For | For | For | |||||
3 | Elect Craig A. Dally | Mgmt | For | For | For | |||||
4 | Elect Denise L. Devine | Mgmt | For | For | For | |||||
5 | Elect Patrick J. Freer | Mgmt | For | For | For | |||||
6 | Elect George W. Hodges | Mgmt | For | For | For | |||||
7 | Elect Albert Morrison, III | Mgmt | For | For | For | |||||
8 | Elect R. Scott Smith, Jr. | Mgmt | For | For | For | |||||
9 | Elect Gary A. Stewart | Mgmt | For | For | For | |||||
10 | Elect Ernest J. Waters | Mgmt | For | For | For | |||||
11 | Elect E. Philip Wenger | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Amendment to the 2004 Stock Option Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 329
GameStop Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GME | CUSIP 36467W109 | 06/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jerome L. Davis | Mgmt | For | For | For | |||||
2 | Elect R. Richard Fontaine | Mgmt | For | For | For | |||||
3 | Elect Steven R. Koonin | Mgmt | For | For | For | |||||
4 | Elect Stephanie M. Shern | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Repeal of Classified Board | Mgmt | For | For | For | |||||
7 | Amendment to the 2011 Incentive Plan | Mgmt | For | For | For |
Gap Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPS | CUSIP 364760108 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adrian D.P. Bellamy | Mgmt | For | For | For | |||||
2 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
3 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
4 | Elect William S. Fisher | Mgmt | For | For | For | |||||
5 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
6 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
7 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
8 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
9 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
10 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 330
Genworth Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GNW | CUSIP 37247D106 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect William H. Bolinder | Mgmt | For | For | For | |||||
2 | Elect G. Kent Conrad | Mgmt | For | For | For | |||||
3 | Elect Nancy J. Karch | Mgmt | For | For | For | |||||
4 | Elect Thomas J. McInerney | Mgmt | For | For | For | |||||
5 | Elect Christine B. Mead | Mgmt | For | For | For | |||||
6 | Elect David M. Moffett | Mgmt | For | For | For | |||||
7 | Elect Thomas E. Moloney | Mgmt | For | For | For | |||||
8 | Elect James A. Parke | Mgmt | For | For | For | |||||
9 | Elect James S. Riepe | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For |
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/05/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jiren Liu | Mgmt | For | For | For | |||||
2 | Elect Edward Meyer | Mgmt | For | For | For | |||||
3 | Elect Dinesh Paliwal | Mgmt | For | For | For | |||||
4 | Elect Hellene Runtagh | Mgmt | For | For | For | |||||
5 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
6 | Elect Gary Steel | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 331
Harris Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HRS | CUSIP 413875105 | 10/26/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect William Brown | Mgmt | For | For | For | |||||
2 | Elect Peter Chiarelli | Mgmt | For | For | For | |||||
3 | Elect Thomas Dattilo | Mgmt | For | For | For | |||||
4 | Elect Terry Growcock | Mgmt | For | For | For | |||||
5 | Elect Lewis Hay, III | Mgmt | For | For | For | |||||
6 | Elect Karen Katen | Mgmt | For | For | For | |||||
7 | Elect Stephen Kaufman | Mgmt | For | For | For | |||||
8 | Elect Leslie Kenne | Mgmt | For | For | For | |||||
9 | Elect David Rickard | Mgmt | For | For | For | |||||
10 | Elect James Stoffel | Mgmt | For | For | For | |||||
11 | Elect Gregory Swienton | Mgmt | For | For | For | |||||
12 | Elect Hansel Tookes II | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Right to Call a Special Meeting | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For |
Hawaiian Electric Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HE | CUSIP 419870100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas Fargo | Mgmt | For | For | For | |||||
1.2 | Elect Kelvin Taketa | Mgmt | For | For | For | |||||
1.3 | Elect Jeffrey Watanabe | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Health Care Reit, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HCN | CUSIP 42217K106 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect William C. Ballard, Jr. | Mgmt | For | For | For | |||||
2 | Elect George L. Chapman | Mgmt | For | For | For | |||||
3 | Elect Thomas J. DeRosa | Mgmt | For | For | For | |||||
4 | Elect Jeffrey H. Donahue | Mgmt | For | For | For | |||||
5 | Elect Peter J. Grua | Mgmt | For | For | For | |||||
6 | Elect Fred S. Klipsch | Mgmt | For | For | For | |||||
7 | Elect Sharon M. Oster | Mgmt | For | For | For | |||||
8 | Elect Jeffrey R. Otten | Mgmt | For | For | For | |||||
9 | Elect Judith C. Pelham | Mgmt | For | For | For | |||||
10 | Elect R. Scott Trumbull | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | Against | Against |
Page 332
Hologic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOLX | CUSIP 436440101 | 03/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David R. LaVance, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Robert A. Cascella | Mgmt | For | For | For | |||||
1.3 | Elect Glenn P. Muir | Mgmt | For | For | For | |||||
1.4 | Elect Sally W. Crawford | Mgmt | For | For | For | |||||
1.5 | Elect Nancy L. Leaming | Mgmt | For | For | For | |||||
1.6 | Elect Lawrence M. Levy | Mgmt | For | For | For | |||||
1.7 | Elect Christina Stamoulis | Mgmt | For | For | For | |||||
1.8 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
1.9 | Elect Wayne Wilson | Mgmt | For | For | For | |||||
2 | Amendment to the 2008 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Home Properties, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HME | CUSIP 437306103 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Stephen R. Blank | Mgmt | For | For | For | |||||
1.2 | Elect Alan L. Gosule | Mgmt | For | For | For | |||||
1.3 | Elect Leonard F. Helbig, III | Mgmt | For | For | For | |||||
1.4 | Elect Thomas P. Lydon, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect Edward J. Pettinella | Mgmt | For | For | For | |||||
1.6 | Elect Clifford W. Smith, Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 333
Hospira, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HSP | CUSIP 441060100 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Connie R. Curran | Mgmt | For | For | For | |||||
2 | Elect William G. Dempsey | Mgmt | For | For | For | |||||
3 | Elect Dennis M. Fenton | Mgmt | For | For | For | |||||
4 | Elect Heino von Prondzynski | Mgmt | For | For | For | |||||
5 | Elect Mark F. Wheeler | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
International Flavors & Fragrances Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IFF | CUSIP 459506101 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Marcello V. Bottoli | Mgmt | For | For | For | |||||
2 | Elect Linda B. Buck | Mgmt | For | For | For | |||||
3 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
4 | Elect Roger W. Ferguson, Jr. | Mgmt | For | For | For | |||||
5 | Elect Andreas Fibig | Mgmt | For | For | For | |||||
6 | Elect Christina A. Gold | Mgmt | For | For | For | |||||
7 | Elect Alexandra A. Herzan | Mgmt | For | For | For | |||||
8 | Elect Henry W. Howell, Jr. | Mgmt | For | For | For | |||||
9 | Elect Katherine M. Hudson | Mgmt | For | For | For | |||||
10 | Elect Arthur C. Martinez | Mgmt | For | For | For | |||||
11 | Elect Dale Morrison | Mgmt | For | For | For | |||||
12 | Elect Douglas D. Tough | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 334
Invesco Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IVZ | CUSIP G491BT108 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Joseph R. Canion | Mgmt | For | For | For | |||||
2 | Elect Edward P. Lawrence | Mgmt | For | For | For | |||||
3 | Elect Phoebe A. Wood | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Amendment to the Executive Incentive Bonus Plan | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Jacobs Engineering Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JEC | CUSIP 469814107 | 01/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert Davidson, Jr. | Mgmt | For | For | For | |||||
2 | Elect Ralph Eberhart | Mgmt | For | For | For | |||||
3 | Elect Edward Fritzky | Mgmt | For | For | For | |||||
4 | Elect Chris Thompson | Mgmt | For | For | For | |||||
5 | Amendment to the 1999 Stock Incentive Plan | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Page 335
Jarden Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JAH | CUSIP 471109108 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ian Ashken | Mgmt | For | For | For | |||||
1.2 | Elect William P. Lauder | Mgmt | For | For | For | |||||
1.3 | Elect Robert L. Wood | Mgmt | For | For | For | |||||
2 | 2013 Stock Incentive Plan | Mgmt | For | For | For | |||||
3 | 2013 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Declassification of the Board | ShrHoldr | Against | For | Against |
Jones Lang LaSalle Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JLL | CUSIP 48020Q107 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Hugo Bague | Mgmt | For | For | For | |||||
2 | Elect Colin Dyer | Mgmt | For | For | For | |||||
3 | Elect DeAnne S. Julius | Mgmt | For | For | For | |||||
4 | Elect Kate S. Lavelle | Mgmt | For | For | For | |||||
5 | Elect Ming Lu | Mgmt | For | For | For | |||||
6 | Elect Martin H. Nesbitt | Mgmt | For | For | For | |||||
7 | Elect Sheila A. Penrose | Mgmt | For | For | For | |||||
8 | Elect David B. Rickard | Mgmt | For | For | For | |||||
9 | Elect Roger T. Staubach | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For |
Page 336
Joy Global Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JOY | CUSIP 481165108 | 03/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Steven L. Gerard | Mgmt | For | For | For | |||||
1.2 | Elect John T. Gremp | Mgmt | For | For | For | |||||
1.3 | Elect John N. Hanson | Mgmt | For | For | For | |||||
1.4 | Elect Gale E. Klappa | Mgmt | For | For | For | |||||
1.5 | Elect Richard B. Loynd | Mgmt | For | For | For | |||||
1.6 | Elect P. Eric Siegert | Mgmt | For | For | For | |||||
1.7 | Elect Michael W. Sutherlin | Mgmt | For | For | For | |||||
1.8 | Elect James H. Tate | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Advisory Vote on the Adoption of Majority Vote for Election of Directors | Mgmt | N/A | For | N/A |
KB Home
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KBH | CUSIP 48666K109 | 04/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Barbara T. Alexander | Mgmt | For | For | For | |||||
2 | Elect Stephen F. Bollenbach | Mgmt | For | For | For | |||||
3 | Elect Timothy W. Finchem | Mgmt | For | For | For | |||||
4 | Elect Thomas W. Gilligan | Mgmt | For | For | For | |||||
5 | Elect Kenneth M. Jastrow II | Mgmt | For | For | For | |||||
6 | Elect Robert L. Johnson | Mgmt | For | For | For | |||||
7 | Elect Melissa Lora | Mgmt | For | For | For | |||||
8 | Elect Michael G. McCaffery | Mgmt | For | For | For | |||||
9 | Elect Jeffrey T. Mezger | Mgmt | For | For | For | |||||
10 | Elect Luis G. Nogales | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 337
Kennametal Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMT | CUSIP 489170100 | 10/23/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ronald DeFeo | Mgmt | For | For | For | |||||
1.2 | Elect William Newlin | Mgmt | For | For | For | |||||
1.3 | Elect Lawrence Stranghoener | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against |
Keycorp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KEY | CUSIP 493267108 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edward P. Campbell | Mgmt | For | For | For | |||||
1.2 | Elect Joseph A. Carrabba | Mgmt | For | For | For | |||||
1.3 | Elect Charles P. Cooley | Mgmt | For | For | For | |||||
1.4 | Elect Alexander M. Cutler | Mgmt | For | For | For | |||||
1.5 | Elect H. James Dallas | Mgmt | For | For | For | |||||
1.6 | Elect Elizabeth R. Gile | Mgmt | For | For | For | |||||
1.7 | Elect Ruth Ann M. Gillis | Mgmt | For | For | For | |||||
1.8 | Elect William G. Gisel, Jr. | Mgmt | For | For | For | |||||
1.9 | Elect Richard J. Hipple | Mgmt | For | For | For | |||||
1.10 | Elect Kristen L. Manos | Mgmt | For | For | For | |||||
1.11 | Elect Beth E. Mooney | Mgmt | For | For | For | |||||
1.12 | Elect Barbara R. Snyder | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2013 Equity Compensation Plan | Mgmt | For | For | For |
Kimco Realty Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KIM | CUSIP 49446R109 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Milton Cooper | Mgmt | For | For | For | |||||
1.2 | Elect Philip E. Coviello | Mgmt | For | For | For | |||||
1.3 | Elect Richard G. Dooley | Mgmt | For | For | For | |||||
1.4 | Elect Joe Grills | Mgmt | For | For | For | |||||
1.5 | Elect David B. Henry | Mgmt | For | For | For | |||||
1.6 | Elect F. Patrick Hughes | Mgmt | For | For | For | |||||
1.7 | Elect Frank Lourenso | Mgmt | For | For | For | |||||
1.8 | Elect Colombe M. Nicholas | Mgmt | For | For | For | |||||
1.9 | Elect Richard Saltzman | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 338
Kirby Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KEX | CUSIP 497266106 | 04/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect C. Sean Day | Mgmt | For | For | For | |||||
2 | Elect William M. Lamont, Jr. | Mgmt | For | For | For | |||||
3 | Elect William M. Waterman | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
KKR Financial Holdings LLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KFN | CUSIP 48248A306 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tracy Collins | Mgmt | For | For | For | |||||
1.2 | Elect Robert Edwards | Mgmt | For | For | For | |||||
1.3 | Elect Vincent Paul Finigan | Mgmt | For | For | For | |||||
1.4 | Elect Paul Hazen | Mgmt | For | For | For | |||||
1.5 | Elect R. Glenn Hubbard | Mgmt | For | For | For | |||||
1.6 | Elect Ross Kari | Mgmt | For | For | For | |||||
1.7 | Elect Ely Licht | Mgmt | For | For | For | |||||
1.8 | Elect Deborah McAneny | Mgmt | For | For | For | |||||
1.9 | Elect Scott Nuttall | Mgmt | For | For | For | |||||
1.10 | Elect Scott Ryles | Mgmt | For | For | For | |||||
1.11 | Elect William Sonneborn | Mgmt | For | For | For | |||||
1.12 | Elect Willy Strothotte | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 339
Lam Research Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LRCX | CUSIP 512807108 | 11/01/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Martin Anstice | Mgmt | For | For | For | |||||
1.2 | Elect Eric Brandt | Mgmt | For | For | For | |||||
1.3 | Elect Michael Cannon | Mgmt | For | For | For | |||||
1.4 | Elect Youssef El-Mansy | Mgmt | For | For | For | |||||
1.5 | Elect Christine Heckart | Mgmt | For | For | For | |||||
1.6 | Elect Grant Inman | Mgmt | For | For | For | |||||
1.7 | Elect Catherine Lego | Mgmt | For | For | For | |||||
1.8 | Elect Stephen Newberry | Mgmt | For | For | For | |||||
1.9 | Elect Krishna Saraswat | Mgmt | For | For | For | |||||
1.10 | Elect William Spivey | Mgmt | For | For | For | |||||
1.11 | Elect Abhijit Talwalkar | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Lennar Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LEN | CUSIP 526057302 | 04/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irving Bolotin | Mgmt | For | For | For | |||||
1.2 | Elect Steven L. Gerard | Mgmt | For | For | For | |||||
1.3 | Elect Theron I. Gilliam | Mgmt | For | For | For | |||||
1.4 | Elect Sherrill W. Hudson | Mgmt | For | For | For | |||||
1.5 | Elect R. Kirk Landon | Mgmt | For | For | For | |||||
1.6 | Elect Sidney Lapidus | Mgmt | For | For | For | |||||
1.7 | Elect Stuart A. Miller | Mgmt | For | For | For | |||||
1.8 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 340
Marriott International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MAR | CUSIP 571903202 | 05/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect J.W. Marriott, Jr. | Mgmt | For | For | For | |||||
2 | Elect John W. Marriott III | Mgmt | For | For | For | |||||
3 | Elect Mary K. Bush | Mgmt | For | For | For | |||||
4 | Elect Frederick A. Henderson | Mgmt | For | For | For | |||||
5 | Elect Lawrence W. Kellner | Mgmt | For | For | For | |||||
6 | Elect Debra L. Lee | Mgmt | For | For | For | |||||
7 | Elect George Munoz | Mgmt | For | For | For | |||||
8 | Elect Harry J. Pearce | Mgmt | For | For | For | |||||
9 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
10 | Elect W. Mitt Romney | Mgmt | For | For | For | |||||
11 | Elect Lawrence M. Small | Mgmt | For | For | For | |||||
12 | Elect Arne M. Sorenson | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Maxim Integrated Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MXIM | CUSIP 57772K101 | 11/14/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tunc Doluca | Mgmt | For | For | For | |||||
1.2 | Elect B. Kipling Hagopian | Mgmt | For | For | For | |||||
1.3 | Elect James Bergman | Mgmt | For | For | For | |||||
1.4 | Elect Joseph Bronson | Mgmt | For | For | For | |||||
1.5 | Elect Robert Grady | Mgmt | For | For | For | |||||
1.6 | Elect William Watkins | Mgmt | For | For | For | |||||
1.7 | Elect A.R. Frank Wazzan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the 2008 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 1996 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 341
Murphy Oil Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MUR | CUSIP 626717102 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Frank W. Blue | Mgmt | For | For | For | |||||
2 | Elect Steven A. Cosse | Mgmt | For | For | For | |||||
3 | Elect Claiborne P. Deming | Mgmt | For | For | For | |||||
4 | Elect Robert A. Hermes | Mgmt | For | For | For | |||||
5 | Elect James V. Kelley | Mgmt | For | For | For | |||||
6 | Elect Walentin Mirosh | Mgmt | For | For | For | |||||
7 | Elect R. Madison Murphy | Mgmt | For | For | For | |||||
8 | Elect Jeffrey W. Nolan | Mgmt | For | For | For | |||||
9 | Elect Neal E. Schmale | Mgmt | For | For | For | |||||
10 | Elect David J. H. Smith | Mgmt | For | For | For | |||||
11 | Elect Caroline G. Theus | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | 2013 Stock Plan for Non-Employee Directors | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Mylan Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MYL | CUSIP 628530107 | 05/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Heather Bresch | Mgmt | For | For | For | |||||
2 | Elect Wendy Cameron | Mgmt | For | For | For | |||||
3 | Elect Robert J. Cindrich | Mgmt | For | For | For | |||||
4 | Elect Robert J. Coury | Mgmt | For | For | For | |||||
5 | Elect Neil F. Dimick | Mgmt | For | For | For | |||||
6 | Elect Melina Higgins | Mgmt | For | For | For | |||||
7 | Elect Douglas J. Leech | Mgmt | For | For | For | |||||
8 | Elect Rajiv Malik | Mgmt | For | For | For | |||||
9 | Elect Joseph C. Maroon | Mgmt | For | For | For | |||||
10 | Elect Mark Parrish | Mgmt | For | For | For | |||||
11 | Elect Rodney L. Piatt | Mgmt | For | For | For | |||||
12 | Elect C. B. Todd | Mgmt | For | For | For | |||||
13 | Elect Randall L. Vanderveen | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 342
Nabors Industries Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NBR | CUSIP G6359F103 | 06/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James R. Crane | Mgmt | For | For | For | |||||
1.2 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
1.3 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
1.4 | Elect Howard Wolf | Mgmt | For | For | For | |||||
1.5 | Elect John Yearwood | Mgmt | For | For | For | |||||
2 | Ratification of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | 2013 Incentive Bonus Plan | Mgmt | For | For | For | |||||
4 | 2013 Stock Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Approval of Severance Agreements | ShrHoldr | Against | For | Against | |||||
10 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 343
Newpark Resources, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NR | CUSIP 651718504 | 06/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David C. Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Jerry W. Box | Mgmt | For | For | For | |||||
1.3 | Elect George S. Finley | Mgmt | For | For | For | |||||
1.4 | Elect Paul L. Howes | Mgmt | For | For | For | |||||
1.5 | Elect James W. McFarland | Mgmt | For | For | For | |||||
1.6 | Elect Gary L. Warren | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
4 | Amendment to the 2008 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Packaging Corporation of America
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PKG | CUSIP 695156109 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Cheryl K. Beebe | Mgmt | For | For | For | |||||
2 | Elect Hasan Jameel | Mgmt | For | For | For | |||||
3 | Elect Mark W. Kowlzan | Mgmt | For | For | For | |||||
4 | Elect Robert C. Lyons | Mgmt | For | For | For | |||||
5 | Elect Samuel Mencoff | Mgmt | For | For | For | |||||
6 | Elect Roger B. Porter | Mgmt | For | For | For | |||||
7 | Elect Thomas S. Souleles | Mgmt | For | For | For | |||||
8 | Elect Paul T. Stecko | Mgmt | For | For | For | |||||
9 | Elect James D. Woodrum | Mgmt | For | For | For | |||||
10 | Amendment to the 1999 Long-Term Equity Incentive Plan | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 344
Partnerre Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PRE | CUSIP G6852T105 | 05/17/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jean-Paul L. Montupet | Mgmt | For | For | For | |||||
1.2 | Elect Lucio Stanca | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Popular, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BPOP | CUSIP 733174700 | 04/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Joaquin E. Bacardi III | Mgmt | For | For | For | |||||
2 | Elect David Goel | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Amendment to the 2004 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Reinsurance Group of America, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RGA | CUSIP 759351604 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William J. Bartlett | Mgmt | For | For | For | |||||
1.2 | Elect Alan C. Henderson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Flexible Stock Plan | Mgmt | For | For | For | |||||
4 | Approval of performance measures under the Annual Bonus Plan | Mgmt | For | For | For | |||||
5 | Approval of performance measures under the Flexible Stock Plan | Mgmt | For | For | For | |||||
6 | Repeal of Classified Board | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For |
Page 345
Seagate Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STX | CUSIP G7945M107 | 10/24/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen Luczo | Mgmt | For | For | For | |||||
2 | Elect Frank Biondi, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael Cannon | Mgmt | For | For | For | |||||
4 | Elect Mei-Wei Cheng | Mgmt | For | For | For | |||||
5 | Elect William Coleman | Mgmt | For | For | For | |||||
6 | Elect Jay Geldmacher | Mgmt | For | For | For | |||||
7 | Elect Seh-Woong Jeong | Mgmt | For | For | For | |||||
8 | Elect Lydia Marshall | Mgmt | For | For | For | |||||
9 | Elect Kristen Onken | Mgmt | For | For | For | |||||
10 | Elect Chong Sup Park | Mgmt | For | For | For | |||||
11 | Elect Gregorio Reyes | Mgmt | For | For | For | |||||
12 | Elect Edward Zander | Mgmt | For | For | For | |||||
13 | Amendment to the Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
14 | Authority to Issue Treasury Shares | Mgmt | For | For | For | |||||
15 | Location of 2013 Annual Meeting | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Ratification of Auditor | Mgmt | For | For | For |
Page 346
Sealed Air Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SEE | CUSIP 81211K100 | 05/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Hank Brown | Mgmt | For | For | For | |||||
2 | Elect Michael Chu | Mgmt | For | For | For | |||||
3 | Elect Lawrence R. Codey | Mgmt | For | For | For | |||||
4 | Elect Patrick Duff | Mgmt | For | For | For | |||||
5 | Elect William V. Hickey | Mgmt | For | For | For | |||||
6 | Elect Jacqueline B. Kosecoff | Mgmt | For | For | For | |||||
7 | Elect Kenneth P. Manning | Mgmt | For | For | For | |||||
8 | Elect William J. Marino | Mgmt | For | For | For | |||||
9 | Elect Jerome A. Peribere | Mgmt | For | For | For | |||||
10 | Elect Richard L. Wambold | Mgmt | For | For | For | |||||
11 | Elect Jerry R. Whitaker | Mgmt | For | For | For | |||||
12 | Amendment to the 2005 Contingent Stock Plan | Mgmt | For | For | For | |||||
13 | Amendment to the Performance-Based Compensation Program | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For |
SLM Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLM | CUSIP 78442P106 | 05/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ann Torre Bates | Mgmt | For | For | For | |||||
2 | Elect William M. Diefenderfer III | Mgmt | For | For | For | |||||
3 | Elect Diane Suitt Gilleland | Mgmt | For | For | For | |||||
4 | Elect Earl A. Goode | Mgmt | For | For | For | |||||
5 | Elect Ronald F. Hunt | Mgmt | For | For | For | |||||
6 | Elect Albert L. Lord | Mgmt | For | For | For | |||||
7 | Elect Barry A. Munitz | Mgmt | For | For | For | |||||
8 | Elect Howard H. Newman | Mgmt | For | For | For | |||||
9 | Elect Frank C. Puleo | Mgmt | For | For | For | |||||
10 | Elect Wolfgang Schoellkopf | Mgmt | For | For | For | |||||
11 | Elect Steven L. Shapiro | Mgmt | For | For | For | |||||
12 | Elect Anthony Terracciano | Mgmt | For | For | For | |||||
13 | Elect Barry Lawson Williams | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 347
SPX Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPW | CUSIP 784635104 | 05/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Terry S. Lisenby | Mgmt | For | For | For | |||||
2 | Elect David V. Singer | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Synovus Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SNV | CUSIP 87161C105 | 04/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Catherine A. Allen | Mgmt | For | For | For | |||||
2 | Elect Stephen T. Butler | Mgmt | For | For | For | |||||
3 | Elect Elizabeth W. Camp | Mgmt | For | For | For | |||||
4 | Elect T. Michael Goodrich | Mgmt | For | For | For | |||||
5 | Elect V. Nathaniel Hansford | Mgmt | For | For | For | |||||
6 | Elect Mason H. Lampton | Mgmt | For | For | For | |||||
7 | Elect Jerry W. Nix | Mgmt | For | For | For | |||||
8 | Elect Joseph J. Prochaska, Jr. | Mgmt | For | For | For | |||||
9 | Elect J. Neal Purcell | Mgmt | For | For | For | |||||
10 | Elect Kessel D. Stelling | Mgmt | For | For | For | |||||
11 | Elect Melvin T. Stith | Mgmt | For | For | For | |||||
12 | Elect Barry L. Storey | Mgmt | For | For | For | |||||
13 | Elect Philip W. Tomlinson | Mgmt | For | For | For | |||||
14 | Elect James D. Yancey | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | 2013 Omnibus Plan | Mgmt | For | For | For | |||||
17 | Ratification of Auditor | Mgmt | For | For | For |
Page 348
TCF Financial Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TCB | CUSIP 872275102 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Raymond L. Barton | Mgmt | For | For | For | |||||
1.2 | Elect Peter Bell | Mgmt | For | For | For | |||||
1.3 | Elect William F. Bieber | Mgmt | For | For | For | |||||
1.4 | Elect Theodore J. Bigos | Mgmt | For | For | For | |||||
1.5 | Elect William A. Cooper | Mgmt | For | For | For | |||||
1.6 | Elect Thomas A. Cusick | Mgmt | For | For | For | |||||
1.7 | Elect Craig R. Dahl | Mgmt | For | For | For | |||||
1.8 | Elect Karen L. Grandstrand | Mgmt | For | For | For | |||||
1.9 | Elect Thomas F. Jasper | Mgmt | For | For | For | |||||
1.10 | Elect George G. Johnson | Mgmt | For | For | For | |||||
1.11 | Elect Vance K. Opperman | Mgmt | For | For | For | |||||
1.12 | Elect James M. Ramstad | Mgmt | For | For | For | |||||
1.13 | Elect Gerald A. Schwalbach | Mgmt | For | For | For | |||||
1.14 | Elect Barry N. Winslow | Mgmt | For | For | For | |||||
1.15 | Elect Richard A. Zona | Mgmt | For | For | For | |||||
2 | Amendment to the Incentive Stock Program | Mgmt | For | For | For | |||||
3 | Amendment to the Performance-Based Compensation Policy for Covered Executive Officers | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Tenneco, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEN | CUSIP 880349105 | 05/15/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas Freyman | Mgmt | For | For | For | |||||
2 | Elect Dennis Letham | Mgmt | For | For | For | |||||
3 | Elect Hari Nair | Mgmt | For | For | For | |||||
4 | Elect Roger Porter | Mgmt | For | For | For | |||||
5 | Elect David Price, Jr. | Mgmt | For | For | For | |||||
6 | Elect Gregg Sherrill | Mgmt | For | For | For | |||||
7 | Elect Paul Stecko | Mgmt | For | For | For | |||||
8 | Elect Jane Warner | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Amendment to the 2006 Long Term Incentive Plan | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 349
Teradyne, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TER | CUSIP 880770102 | 05/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James W. Bagley | Mgmt | For | For | For | |||||
2 | Elect Michael A. Bradley | Mgmt | For | For | For | |||||
3 | Elect Albert Carnesale | Mgmt | For | For | For | |||||
4 | Elect Daniel W. Christman | Mgmt | For | For | For | |||||
5 | Elect Edwin J. Gillis | Mgmt | For | For | For | |||||
6 | Elect Timothy E. Guertin | Mgmt | For | For | For | |||||
7 | Elect Paul J. Tufano | Mgmt | For | For | For | |||||
8 | Elect Roy A. Vallee | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Amendment to the 2006 Equity and Cash Compensation Incentive Plan | Mgmt | For | For | For | |||||
11 | Amendment to the 1996 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Terex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEX | CUSIP 880779103 | 05/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Ronald M. DeFeo | Mgmt | For | For | For | |||||
2 | Elect G. Chris Andersen | Mgmt | For | For | For | |||||
3 | Elect Paula H. J. Cholmondeley | Mgmt | For | For | For | |||||
4 | Elect Don DeFosset | Mgmt | For | For | For | |||||
5 | Elect Thomas J. Hansen | Mgmt | For | For | For | |||||
6 | Elect Raimund Klinkner | Mgmt | For | For | For | |||||
7 | Elect David A. Sachs | Mgmt | For | For | For | |||||
8 | Elect Oren G. Shaffer | Mgmt | For | For | For | |||||
9 | Elect David C. Wang | Mgmt | For | For | For | |||||
10 | Elect Scott W. Wine | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Amendment to the 2009 Omnibus Plan | Mgmt | For | For | For | |||||
13 | Amendment to Deferred Compensation Plan | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 350
Tesoro Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TSO | CUSIP 881609101 | 05/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Rodney F. Chase | Mgmt | For | For | For | |||||
2 | Elect Gregory J. Goff | Mgmt | For | For | For | |||||
3 | Elect Robert W. Goldman | Mgmt | For | For | For | |||||
4 | Elect Steven H. Grapstein | Mgmt | For | For | For | |||||
5 | Elect David Lilley | Mgmt | For | For | For | |||||
6 | Elect Mary Pat McCarthy | Mgmt | For | For | For | |||||
7 | Elect Jim W. Nokes | Mgmt | For | For | For | |||||
8 | Elect Susan Tomasky | Mgmt | For | For | For | |||||
9 | Elect Michael E. Wiley | Mgmt | For | For | For | |||||
10 | Elect Patrick Y. Yang | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Amendment to the 2011 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 351
Textron Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TXT | CUSIP 883203101 | 04/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
2 | Elect Kathleen M. Bader | Mgmt | For | For | For | |||||
3 | Elect R. Kerry Clark | Mgmt | For | For | For | |||||
4 | Elect James T. Conway | Mgmt | For | For | For | |||||
5 | Elect Ivor J. Evans | Mgmt | For | For | For | |||||
6 | Elect Lawrence K. Fish | Mgmt | For | For | For | |||||
7 | Elect Paul E. Gagne | Mgmt | For | For | For | |||||
8 | Elect Dain M. Hancock | Mgmt | For | For | For | |||||
9 | Elect Charles D. Powell | Mgmt | For | For | For | |||||
10 | Elect Lloyd G. Trotter | Mgmt | For | For | For | |||||
11 | Elect James L. Ziemer | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
The AES Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AES | CUSIP 00130H105 | 04/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andres R. Gluski | Mgmt | For | For | For | |||||
2 | Elect Guo Bao Zhang | Mgmt | For | For | For | |||||
3 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
4 | Elect Tarun Khanna | Mgmt | For | For | For | |||||
5 | Elect John A. Koskinen | Mgmt | For | For | For | |||||
6 | Elect Philip Lader | Mgmt | For | For | For | |||||
7 | Elect Sandra O. Moose | Mgmt | For | For | For | |||||
8 | Elect John B. Morse, Jr. | Mgmt | For | For | For | |||||
9 | Elect Moises Naim | Mgmt | For | For | For | |||||
10 | Elect Charles O. Rossotti | Mgmt | For | For | For | |||||
11 | Elect Sven Sandstrom | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 352
Toll Brothers, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TOL | CUSIP 889478103 | 03/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Douglas C. Yearley, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Robert S. Blank | Mgmt | For | For | For | |||||
1.3 | Elect Edward G. Boehne | Mgmt | For | For | For | |||||
1.4 | Elect Richard J. Braemer | Mgmt | For | Withhold | Against | |||||
1.5 | Elect Carl B. Marbach | Mgmt | For | For | For | |||||
1.6 | Elect Stephen Novick | Mgmt | For | For | For | |||||
1.7 | Elect Paul E. Shapiro | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Re-approval of the Material Terms of the Performance Goals Under the 2007 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For |
Vulcan Materials Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VMC | CUSIP 929160109 | 05/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Douglas J. McGregor | Mgmt | For | For | For | |||||
2 | Elect Lee J. Styslinger III | Mgmt | For | For | For | |||||
3 | Elect Vincent J. Trosino | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
7 | Repeal of Classified Board | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 353
Western Digital Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDC | CUSIP 958102105 | 11/08/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kathleen Cote | Mgmt | For | For | For | |||||
2 | Elect John Coyne | Mgmt | For | For | For | |||||
3 | Elect Henry DeNero | Mgmt | For | For | For | |||||
4 | Elect William Kimsey | Mgmt | For | For | For | |||||
5 | Elect Michael Lambert | Mgmt | For | For | For | |||||
6 | Elect Len Lauer | Mgmt | For | For | For | |||||
7 | Elect Matthew Massengill | Mgmt | For | For | For | |||||
8 | Elect Roger Moore | Mgmt | For | For | For | |||||
9 | Elect Kensuke Oka | Mgmt | For | For | For | |||||
10 | Elect Thomas Pardun | Mgmt | For | For | For | |||||
11 | Elect Arif Shakeel | Mgmt | For | For | For | |||||
12 | Elect Masahiro Yamamura | Mgmt | For | For | For | |||||
13 | Amendment to the 2004 Performance Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2005 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Ratification of Auditor | Mgmt | For | For | For |
Windstream Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WIN | CUSIP 97381W104 | 05/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carol B. Armitage | Mgmt | For | For | For | |||||
2 | Elect Samuel E. Beall III | Mgmt | For | For | For | |||||
3 | Elect Dennis E. Foster | Mgmt | For | For | For | |||||
4 | Elect Francis X. Frantz | Mgmt | For | For | For | |||||
5 | Elect Jeffery R. Gardner | Mgmt | For | For | For | |||||
6 | Elect Jeffrey T. Hinson | Mgmt | For | For | For | |||||
7 | Elect Judy K. Jones | Mgmt | For | For | For | |||||
8 | Elect William A. Montgomery | Mgmt | For | For | For | |||||
9 | Elect Alan L. Wells | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
13 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against | |||||
14 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 354
Worthington Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WOR | CUSIP 981811102 | 09/27/2012 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Blystone | Mgmt | For | For | For | |||||
2 | Elect Mark Davis | Mgmt | For | For | For | |||||
3 | Elect Sidney Ribeau | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 355
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.
TCW Funds, Inc. | ||
(Registrant) | ||
By: | /s/ Charles W. Baldiswieler | |
Charles W. Baldiswieler | ||
President and Chief Executive Officer |
Date: August 16, 2013