As filed with the Securities and Exchange Commission on August 20, 2014.
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, 2013 - June 30, 2014
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 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 Conservative Allocation Fund
The fund did not vote proxies relating to portfolio securities during the period covered by this report.
Item 1: | Proxy Voting Record |
Registrant | : |
Fund Name : TCW Concentrated Value Fund
AbbVie Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABBV | CUSIP 00287Y109 | 05/09/2014 | 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. Alpern | Mgmt | For | For | For | |||||
1.2 | Elect Edward M. Liddy | Mgmt | For | For | For | |||||
1.3 | Elect Frederick H. Waddell | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 01/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Payment of Dividends from Legal Reserves | Mgmt | For | For | For | |||||
2 | Appoint Independent Proxy | Mgmt | For | For | For | |||||
3 | Vote with the position of the board of directors if a new or amended agenda item is put before the meeting | ShrHoldr | For | Against | Against |
Page 1
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/15/2014 | 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 DISPOSABLE PROFIT | Mgmt | For | For | For | |||||
3 | Ratification of Board Acts | Mgmt | For | For | For | |||||
4 | Elect John A. Edwardson | Mgmt | For | For | For | |||||
5 | Elect Kimberly Ross | Mgmt | For | For | For | |||||
6 | Elect Robert W. Scully | Mgmt | For | For | For | |||||
7 | Elect David H. Sidwell | Mgmt | For | For | For | |||||
8 | Elect Evan G. Greenberg | Mgmt | For | For | For | |||||
9 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
10 | Elect Michael G. Atieh | Mgmt | For | For | For | |||||
11 | Elect Mary A. Cirillo | Mgmt | For | For | For | |||||
12 | Elect Michael P. Connors | Mgmt | For | For | For | |||||
13 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
14 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
15 | Elect Eugene B. Shanks, Jr. | Mgmt | For | For | For | |||||
16 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
17 | Elect Olivier Steimer | Mgmt | For | For | For | |||||
18 | Election of Evan G. Greenberg as the Chairman of the Board | Mgmt | For | For | For | |||||
19 | Elect Michael Connors | Mgmt | For | For | For | |||||
20 | Elect Mary A. Cirillo | Mgmt | For | For | For | |||||
21 | Elect John A. Edwardson | Mgmt | For | For | For | |||||
22 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
23 | Election of Homburger AG as independent proxy | Mgmt | For | For | For | |||||
24 | Election of Statutory Auditor | Mgmt | For | For | For | |||||
25 | Ratification of Auditor | Mgmt | For | For | For | |||||
26 | Election of Special Auditor | Mgmt | For | For | For | |||||
27 | Increase in Authorized Share Capital | Mgmt | For | For | For | |||||
28 | Approval of a Dividend Distribution Through Par Value Reduction | Mgmt | For | For | For | |||||
29 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
30 | Transaction of other business | Mgmt | For | For | For |
Page 2
Allergan, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGN | CUSIP 018490102 | 05/06/2014 | 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 Trevor M. Jones | Mgmt | For | For | For | |||||
5 | Elect Louis J. Lavigne, Jr. | Mgmt | For | For | For | |||||
6 | Elect Peter J. McDonnell | Mgmt | For | For | For | |||||
7 | Elect Timothy D. Proctor | Mgmt | For | For | For | |||||
8 | Elect Russell T. Ray | Mgmt | For | For | For | |||||
9 | Elect Henri A. Termeer | 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 Certificate of Incorporation Allowing Action by Written Consent | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 3
American Airlines Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AAL | CUSIP 02376R102 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James F. Albaugh | Mgmt | For | For | For | |||||
2 | Elect Jeffrey D. Benjamin | Mgmt | For | For | For | |||||
3 | Elect John T. Cahill | Mgmt | For | For | For | |||||
4 | Elect Michael J. Embler | Mgmt | For | For | For | |||||
5 | Elect Matthew J. Hart | Mgmt | For | For | For | |||||
6 | Elect Alberto Ibarguen | Mgmt | For | For | For | |||||
7 | Elect Richard C. Kraemer | Mgmt | For | For | For | |||||
8 | Elect Denise M. O’Leary | Mgmt | For | For | For | |||||
9 | Elect W. Douglas Parker | Mgmt | For | For | For | |||||
10 | Elect Ray M. Robinson | Mgmt | For | For | For | |||||
11 | Elect Richard P. Schifter | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Anheuser-Busch Inbev SA/NV
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABI | CUSIP 03524A108 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendment to the Subscription Rights Granted to Directors and Executives | Mgmt | For | For | For | |||||
2 | Increase in Authorized Capital | Mgmt | For | For | For | |||||
3 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
4 | Amendments to Articles 10 | Mgmt | For | For | For | |||||
5 | Accounts and Reports; Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Ratification of Board Acts | Mgmt | For | For | For | |||||
7 | Ratification of Auditor Acts | Mgmt | For | For | For | |||||
8 | Elect Kees J. Storm | Mgmt | For | For | For | |||||
9 | Elect Mark Winkelman | Mgmt | For | For | For | |||||
10 | Elect Alexandre van Damme | Mgmt | For | For | For | |||||
11 | Elect Gregoire de Spoelberch | Mgmt | For | For | For | |||||
12 | Elect Carlos A. de Veiga Sicupira | Mgmt | For | For | For | |||||
13 | Elect Marcel Herrmann Telles | Mgmt | For | For | For | |||||
14 | Elect Paulo Alberto Lemann | Mgmt | For | For | For | |||||
15 | Elect Alexandre Behring | Mgmt | For | For | For | |||||
16 | Elect Elio Leoni Sceti | Mgmt | For | For | For | |||||
17 | Elect Maria Asuncion Aramburuzabala Larregui | Mgmt | For | For | For | |||||
18 | Elect Valentin Diez Morodo | Mgmt | For | For | For | |||||
19 | Remuneration Report | Mgmt | For | Against | Against | |||||
20 | STOCK OPTIONS FOR DIRECTORS | Mgmt | For | For | For | |||||
21 | Coordinate Articles of Association | Mgmt | For | For | For |
Page 4
Apple Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AAPL | CUSIP 037833100 | 02/28/2014 | 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 | Technical Amendment to Articles | Mgmt | For | For | For | |||||
3 | Eliminate Blank Check Authority to Issue Preferred Stock | Mgmt | For | For | For | |||||
4 | Establish a Par Value for the Company’s Common Stock of $0.00001 Per Share | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2014 Employee Stock Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Formation of Human Rights Committee | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Sustainability-Related Trade Association Memberships | ShrHoldr | Against | For | Against | |||||
10 | Shareholder Proposal Regarding Share Buybacks | ShrHoldr | N/A | Against | N/A | |||||
11 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 5
Berkshire Hathaway Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRK.A | CUSIP 084670702 | 05/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Warren E. Buffett | Mgmt | For | For | For | |||||
1.2 | Elect Charles T. Munger | Mgmt | For | For | For | |||||
1.3 | Elect Howard G. Buffett | Mgmt | For | For | For | |||||
1.4 | Elect Stephen B. Burke | Mgmt | For | For | For | |||||
1.5 | Elect Susan L. Decker | Mgmt | For | For | For | |||||
1.6 | Elect William H. Gates III | Mgmt | For | For | For | |||||
1.7 | Elect David S. Gottesman | Mgmt | For | For | For | |||||
1.8 | Elect Charlotte Guyman | Mgmt | For | For | For | |||||
1.9 | Elect Donald R. Keough | Mgmt | For | For | For | |||||
1.10 | Elect Thomas S. Murphy | Mgmt | For | For | For | |||||
1.11 | Elect Ronald L. 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 3 Years | 3 Years | For | |||||
4 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Dividends | ShrHoldr | Against | Against | For |
Page 6
BlackBerry Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BB | CUSIP 760975102 | 07/09/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Timothy D. Dattels | Mgmt | For | For | For | |||||
1.2 | Elect Thorsten Heins | Mgmt | For | For | For | |||||
1.3 | Elect David W. Kerr | Mgmt | For | For | For | |||||
1.4 | Elect Claudia Kotchka | Mgmt | For | For | For | |||||
1.5 | Elect Richard Lynch | Mgmt | For | For | For | |||||
1.6 | Elect Roger L. Martin | Mgmt | For | For | For | |||||
1.7 | Elect Bert Nordberg | Mgmt | For | For | For | |||||
1.8 | Elect Barbara G. Stymiest | Mgmt | For | For | For | |||||
1.9 | Elect V. Prem Watsa | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Company Name Change | Mgmt | For | For | For | |||||
4 | Amendments to By-Laws | Mgmt | For | For | For | |||||
5 | Equity Incentive Plan | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Citigroup Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C | CUSIP 172967424 | 04/22/2014 | 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 Duncan P. Hennes | Mgmt | For | For | For | |||||
3 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
4 | Elect Eugene M. McQuade | Mgmt | For | For | For | |||||
5 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
6 | Elect Gary M. Reiner | Mgmt | For | For | For | |||||
7 | Elect Judith Rodin | Mgmt | For | For | For | |||||
8 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
9 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
10 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
11 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
12 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
13 | Elect James S. Turley | Mgmt | For | For | For | |||||
14 | Elect Ernesto Zedillo Ponce de Leon | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Approval of the 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 7
CVS Caremark Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVS | CUSIP 126650100 | 05/08/2014 | 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 Nancy-Ann M. Deparle | Mgmt | For | For | For | |||||
3 | Elect David W. Dorman | Mgmt | For | For | For | |||||
4 | Elect Anne M. Finucane | 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 |
Page 8
Danaher Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DHR | CUSIP 235851102 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect H. Lawrence Culp | Mgmt | For | For | For | |||||
2 | Elect Donald J. Ehrlich | Mgmt | For | For | For | |||||
3 | Elect Linda P. Hefner Filler | Mgmt | For | For | For | |||||
4 | Elect Teri List-Stoll | Mgmt | For | For | For | |||||
5 | Elect Walter G. Lohr, Jr. | Mgmt | For | For | For | |||||
6 | Elect Mitchell P. Rales | Mgmt | For | For | For | |||||
7 | Elect Steven M. Rales | Mgmt | For | For | For | |||||
8 | Elect John T. Schwieters | Mgmt | For | For | For | |||||
9 | Elect Alan G. Spoon | Mgmt | For | For | For | |||||
10 | Elect Elias A. Zerhouni | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Political Spending Report | ShrHoldr | Against | For | Against | |||||
14 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Delta Air Lines, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DAL | CUSIP 247361702 | 06/27/2014 | 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 | Change in Board Size | Mgmt | For | For | For | |||||
18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 9
Ecolab Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ECL | CUSIP 278865100 | 05/08/2014 | 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 Carl M. Casale | Mgmt | For | For | For | |||||
5 | Elect Stephen I. Chazen | Mgmt | For | For | For | |||||
6 | Elect Jerry A. Grundhofer | Mgmt | For | For | For | |||||
7 | Elect Arthur J. Higgins | Mgmt | For | For | For | |||||
8 | Elect Joel W. Johnson | Mgmt | For | For | For | |||||
9 | Elect Michael Larson | Mgmt | For | For | For | |||||
10 | Elect Jerry W. Levin | Mgmt | For | For | For | |||||
11 | Elect Robert L. Lumpkins | Mgmt | For | For | For | |||||
12 | Elect Victoria J. Reich | Mgmt | For | For | For | |||||
13 | Elect Suzanne M. Vautrinot | Mgmt | For | For | For | |||||
14 | Elect John J. Zillmer | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Reapproval of the Management Performance Incentive Plan | Mgmt | For | For | For | |||||
17 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
18 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 10
Exxon Mobil Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
XOM | CUSIP 30231G102 | 05/28/2014 | 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 | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Multiple Board Service | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Adopting Sexual Orientation and Gender Identity Anti-Bias Policy | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHoldr | Against | Against | For |
Page 11
Goldman Sachs Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GS | CUSIP 38141G104 | 05/16/2014 | 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 Peter Oppenheimer | Mgmt | For | For | For | |||||
10 | Elect James J. Schiro | Mgmt | For | For | For | |||||
11 | Elect Debora L. Spar | Mgmt | For | For | For | |||||
12 | Elect Mark E. Tucker | Mgmt | For | For | For | |||||
13 | Elect David A. Viniar | 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 Proxy Access | ShrHoldr | Against | Against | For |
Halliburton Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAL | CUSIP 406216101 | 05/21/2014 | 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 R. Boyd | Mgmt | For | For | For | |||||
3 | Elect Milton Carroll | Mgmt | For | For | For | |||||
4 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
5 | Elect Murry S. Gerber | Mgmt | For | For | For | |||||
6 | Elect Jose C. Grubisich | Mgmt | For | For | For | |||||
7 | Elect Abdallah S. Jum’ah | Mgmt | For | For | For | |||||
8 | Elect David J. Lesar | Mgmt | For | For | For | |||||
9 | Elect Robert A. Malone | Mgmt | For | For | For | |||||
10 | Elect J. Landis Martin | Mgmt | For | For | For | |||||
11 | Elect Debra L. Reed | 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 Review of Human Rights Policies | ShrHoldr | Against | Against | For |
Page 12
Honeywell International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HON | CUSIP 438516106 | 04/28/2014 | 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 | For | For | |||||
7 | Elect Judd Gregg | Mgmt | For | For | For | |||||
8 | Elect 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 | Against | For | |||||
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 | |||||
18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 13
Idex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IEX | CUSIP 45167R104 | 04/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bradley J. Bell | Mgmt | For | For | For | |||||
1.2 | Elect Gregory F. Milzcik | Mgmt | For | For | For | |||||
1.3 | Elect Andrew K. Silvernail | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Johnson & Johnson
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JNJ | CUSIP 478160104 | 04/24/2014 | 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 Susan L. Lindquist | Mgmt | For | For | For | |||||
6 | Elect Mark B. McClellan | 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 |
Page 14
JPMorgan Chase & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JPM | CUSIP 46625H100 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Linda B. Bammann | Mgmt | For | For | For | |||||
2 | Elect James A. Bell | Mgmt | For | For | For | |||||
3 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
4 | Elect Stephen B. Burke | 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 Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
9 | Elect Michael A. Neal | Mgmt | For | For | For | |||||
10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
11 | Elect William C. Weldon | 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 Report | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against |
M&T Bank Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MTB | CUSIP 55261F104 | 04/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Brent D. Baird | Mgmt | For | For | For | |||||
1.2 | Elect C. Angela Bontempo | Mgmt | For | For | For | |||||
1.3 | Elect Robert T. Brady | Mgmt | For | For | For | |||||
1.4 | Elect T. Jefferson Cunningham, III | Mgmt | For | For | For | |||||
1.5 | Elect Mark J. Czarnecki | Mgmt | For | For | For | |||||
1.6 | Elect Gary N. Geisel | Mgmt | For | For | For | |||||
1.7 | Elect John D. Hawke | Mgmt | For | For | For | |||||
1.8 | Elect Patrick W. E. Hodgson | Mgmt | For | For | For | |||||
1.9 | Elect Richard G. King | Mgmt | For | For | For | |||||
1.10 | Elect Jorge G. Pereira | Mgmt | For | For | For | |||||
1.11 | Elect Melinda R. Rich | Mgmt | For | For | For | |||||
1.12 | Elect Robert E. Sadler, Jr. | Mgmt | For | For | For | |||||
1.13 | Elect Herbert L. Washington | Mgmt | For | For | For | |||||
1.14 | Elect Robert G. Wilmers | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 15
McDonald’s Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCD | CUSIP 580135101 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Susan E. Arnold | Mgmt | For | For | For | |||||
2 | Elect Richard H. Lenny | Mgmt | For | For | For | |||||
3 | Elect Walter E. Massey | Mgmt | For | For | For | |||||
4 | Elect Cary D. McMillan | Mgmt | For | For | For | |||||
5 | Elect Sheila A. Penrose | Mgmt | For | For | For | |||||
6 | Elect John W. Rogers, Jr. | Mgmt | For | For | For | |||||
7 | Elect Roger W. Stone | Mgmt | For | For | For | |||||
8 | Elect Miles D. White | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Reapproval of Material Terms Under the 2009 Cash Incentive Plan | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 16
Mckesson Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCK | CUSIP 58155Q103 | 07/31/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andy D. Bryant | Mgmt | For | For | For | |||||
2 | Elect Wayne A. Budd | Mgmt | For | For | For | |||||
3 | Elect John H. Hammergren | Mgmt | For | For | For | |||||
4 | Elect Alton F. Irby III | Mgmt | For | For | For | |||||
5 | Elect M. Christine Jacobs | Mgmt | For | For | For | |||||
6 | Elect Marie L. Knowles | Mgmt | For | For | For | |||||
7 | Elect David M. Lawrence | Mgmt | For | For | For | |||||
8 | Elect Edward A. Mueller | Mgmt | For | For | For | |||||
9 | Elect Jane E. Shaw | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | 2013 Stock Plan | Mgmt | For | For | For | |||||
13 | Amendment to the 2000 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
14 | Restoration of Right to Call a Special Meeting | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Recoupment Report | ShrHoldr | Against | Against | For |
Mead Johnson Nutrition Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MJN | CUSIP 582839106 | 05/01/2014 | 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 Michael Grobstein | Mgmt | For | For | For | |||||
9 | Elect Peter K. Jakobsen | Mgmt | For | For | For | |||||
10 | Elect Peter G. Ratcliffe | Mgmt | For | For | For | |||||
11 | Elect Elliott Sigal | Mgmt | For | For | For | |||||
12 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 17
Praxair, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PX | CUSIP 74005P104 | 04/22/2014 | 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 de Paula Bernardes Neto | Mgmt | For | For | For | |||||
3 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
4 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
5 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
6 | Elect Ira D. Hall | Mgmt | For | For | For | |||||
7 | Elect Raymond W. LeBoeuf | Mgmt | For | For | For | |||||
8 | Elect Larry D. McVay | Mgmt | For | For | For | |||||
9 | Elect Denise L. Ramos | 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 | Amendment and Restatement of the 2009 Long Term Incentive Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 18
PVH Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PVH | CUSIP 693656100 | 06/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Baglivo | Mgmt | For | For | For | |||||
2 | Elect Brent Callinicos | Mgmt | For | For | For | |||||
3 | Elect Emanuel Chirico | Mgmt | For | For | For | |||||
4 | Elect Juan R. Figuereo | Mgmt | For | For | For | |||||
5 | Elect Joseph B. Fuller | Mgmt | For | For | For | |||||
6 | Elect Fred Gehring | Mgmt | For | For | For | |||||
7 | Elect Bruce Maggin | Mgmt | For | For | For | |||||
8 | Elect V. James Marino | Mgmt | For | For | For | |||||
9 | Elect Henry Nasella | Mgmt | For | For | For | |||||
10 | Elect Rita M. Rodriguez | Mgmt | For | For | For | |||||
11 | Elect Edward R. Rosenfeld | Mgmt | For | For | For | |||||
12 | Elect Craig W. Rydin | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Roper Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ROP | CUSIP 776696106 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard F. Wallman | Mgmt | For | For | For | |||||
1.2 | Elect Christopher Wright | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 19
Schlumberger N.V. (Schlumberger Limited)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLB | CUSIP 806857108 | 04/09/2014 | 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 Tony Isaac | Mgmt | For | For | For | |||||
3 | Elect K.V. Kamath | Mgmt | For | For | For | |||||
4 | Elect Maureen Kempston Darkes | Mgmt | For | For | For | |||||
5 | Elect Paal Kibsgaard | Mgmt | For | For | For | |||||
6 | Elect Nikolay Kudryavtsev | 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 | Appointment of Auditor | Mgmt | For | For | For |
Sealed Air Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SEE | CUSIP 81211K100 | 05/22/2014 | 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 Jacqueline B. Kosecoff | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Manning | Mgmt | For | For | For | |||||
7 | Elect William J. Marino | Mgmt | For | For | For | |||||
8 | Elect Jerome A. Peribere | Mgmt | For | For | For | |||||
9 | Elect Richard L. Wambold | Mgmt | For | For | For | |||||
10 | Elect Jerry R. Whitaker | Mgmt | For | For | For | |||||
11 | 2014 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 20
Sigma-Aldrich Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIAL | CUSIP 826552101 | 05/06/2014 | 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 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
13 | Authorization to Issue Preferred Stock | Mgmt | For | Against | Against | |||||
14 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mark S. Bartlett | Mgmt | For | For | For | |||||
2 | Elect Edward C. Bernard | 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 Olympia J. Snowe | Mgmt | For | For | For | |||||
10 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
11 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
12 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 21
The Procter & Gamble Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PG | CUSIP 742718109 | 10/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Angela F. Braly | Mgmt | For | For | For | |||||
2 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
3 | Elect Scott D. Cook | Mgmt | For | For | For | |||||
4 | Elect Susan D. Desmond-Hellmann | Mgmt | For | For | For | |||||
5 | Elect Alan G. Lafley | Mgmt | For | For | For | |||||
6 | Elect Terry J. Lundgren | Mgmt | For | For | For | |||||
7 | Elect W. James McNerney, Jr. | Mgmt | For | For | For | |||||
8 | Elect Margaret C. Whitman | Mgmt | For | For | For | |||||
9 | Elect Mary Agnes Wilderotter | Mgmt | For | For | For | |||||
10 | Elect Patricia A. Woertz | Mgmt | For | For | For | |||||
11 | Elect Ernesto Zedillo Ponce de Leon | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
14 | 2013 Non-Employee Directors’ Stock Plan | Mgmt | For | For | �� | For | ||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 22
Thermo Fisher Scientific Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TMO | CUSIP 883556102 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Marc N. Casper | Mgmt | For | For | For | |||||
2 | Elect Nelson J. Chai | Mgmt | For | For | For | |||||
3 | Elect C. Martin Harris | Mgmt | For | For | For | |||||
4 | Elect Tyler Jacks | Mgmt | For | For | For | |||||
5 | Elect Judy C. Lewent | Mgmt | For | For | For | |||||
6 | Elect Thomas J. Lynch | Mgmt | For | For | For | |||||
7 | Elect Jim P. Manzi | Mgmt | For | For | For | |||||
8 | Elect William G. Parrett | Mgmt | For | For | For | |||||
9 | Elect Lars R. Sorenson | Mgmt | For | For | For | |||||
10 | Elect Scott M. Sperling | Mgmt | For | For | For | |||||
11 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Union Pacific Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNP | CUSIP 907818108 | 05/15/2014 | 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 David B. Dillon | Mgmt | For | For | For | |||||
4 | Elect Judith Richards Hope | Mgmt | For | For | For | |||||
5 | Elect John J. Koraleski | Mgmt | For | For | For | |||||
6 | Elect Charles C. Krulak | Mgmt | For | For | For | |||||
7 | Elect Michael R. McCarthy | Mgmt | For | For | For | |||||
8 | Elect Michael W. McConnell | Mgmt | For | For | For | |||||
9 | Elect Thomas F. McLarty III | Mgmt | For | For | For | |||||
10 | Elect Steven R. Rogel | Mgmt | For | For | For | |||||
11 | Elect Jose H. Villarreal | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 23
Wells Fargo & Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WFC | CUSIP 949746101 | 04/29/2014 | 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 James H. Quigley | 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 | Ratification of Auditor | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Discriminatory Mortgage Servicing and Foreclosure Practices | ShrHoldr | Against | Against | For |
Western Digital Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDC | CUSIP 958102105 | 11/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kathleen A. Cote | Mgmt | For | For | For | |||||
2 | Elect Henry T. DeNero | Mgmt | For | For | For | |||||
3 | Elect William L. Kimsey | Mgmt | For | For | For | |||||
4 | Elect Michael D. Lambert | Mgmt | For | For | For | |||||
5 | Elect Len J. Lauer | Mgmt | For | For | For | |||||
6 | Elect Matthew E. Massengill | Mgmt | For | For | For | |||||
7 | Elect Stephen D. Milligan | Mgmt | For | For | For | |||||
8 | Elect Roger H. Moore | Mgmt | For | For | For | |||||
9 | Elect Thomas E. Pardun | Mgmt | For | For | For | |||||
10 | Elect Arif Shakeel | Mgmt | For | For | For | |||||
11 | Elect Akio Yamamoto | Mgmt | For | For | For | |||||
12 | Elect Masahiro Yamamura | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 24
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant :
Fund Name : TCW Core Fixed Income Fund
Date of fiscal year end: 01/01/2009
In all markets, for all statuses, for
Key-
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V | 12/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Isabel P. Dunst | Mgmt | For | For | For | |||||
1.2 | Elect Robin A. Melvin | Mgmt | For | For | For | |||||
1.3 | Elect Roslyn M. Watson | Mgmt | For | For | For |
Page 25
Item 1: | Proxy Voting Record - |
Registrant :
Fund Name : TCW Relative Value Dividend Appreciation Fund
Allstate Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALL | CUSIP 020002101 | 05/20/2014 | 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 Siddarth N. Mehta | Mgmt | For | For | For | |||||
7 | Elect Andrea Redmond | Mgmt | For | For | For | |||||
8 | Elect John W. Rowe | Mgmt | For | For | For | |||||
9 | Elect Judith A. Sprieser | Mgmt | For | For | For | |||||
10 | Elect Mary Alice Taylor | Mgmt | For | For | For | |||||
11 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Approval of Material Terms of the Annual Incentive Plan | 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 Lobbying Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 26
American Electric Power Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AEP | CUSIP 025537101 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Nicholas K. Akins | Mgmt | For | For | For | |||||
2 | Elect David J. Anderson | Mgmt | For | For | For | |||||
3 | Elect J. Barnie Beasley, Jr. | Mgmt | For | For | For | |||||
4 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For | |||||
5 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||||
6 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||||
7 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||||
8 | Elect Richard C. Notebaert | Mgmt | For | For | For | |||||
9 | Elect Lionel L. Nowell, III | Mgmt | For | For | For | |||||
10 | Elect Stephen S. Rasmussen | Mgmt | For | For | For | |||||
11 | Elect Oliver G. Richard, III | Mgmt | For | For | For | |||||
12 | Elect Sara M. Tucker | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 27
American Express Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AXP | CUSIP 025816109 | 05/12/2014 | 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 Ursula M. Burns | Mgmt | For | For | For | |||||
3 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
4 | Elect Peter Chernin | Mgmt | For | For | For | |||||
5 | Elect Anne Lauvergeon | Mgmt | For | For | For | |||||
6 | Elect Theodore J. Leonsis | Mgmt | For | For | For | |||||
7 | Elect Richard C. Levin | Mgmt | For | For | For | |||||
8 | Elect Richard A. McGinn | Mgmt | For | For | For | |||||
9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||||
10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
11 | Elect Daniel L. Vasella | Mgmt | For | For | For | |||||
12 | Elect Robert D. Walter | Mgmt | For | For | For | |||||
13 | Elect Ronald A. Williams | 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 Employment Diversity Report | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Privacy and Data Security | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
19 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 28
Ameriprise Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMP | CUSIP 03076C106 | 04/30/2014 | 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 Dianne Neal Blixt | Mgmt | For | For | For | |||||
3 | Elect Amy DiGeso | Mgmt | For | For | For | |||||
4 | Elect Lon R. Greenberg | Mgmt | For | For | For | |||||
5 | Elect W. Walker Lewis | Mgmt | For | For | For | |||||
6 | Elect Siri S. Marshall | Mgmt | For | For | For | |||||
7 | Elect Jeffrey Noddle | Mgmt | For | For | For | |||||
8 | Elect H. Jay Sarles | Mgmt | For | For | For | |||||
9 | Elect Robert F. Sharpe, Jr. | Mgmt | For | For | For | |||||
10 | Elect William H. Turner | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Elimination of Supermajority Requirements | Mgmt | For | For | For | |||||
13 | Amendment to the 2005 Incentive Compensation Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
AT&T Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
T | CUSIP 00206R102 | 04/25/2014 | 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 Reuben V. Anderson | Mgmt | For | For | For | |||||
3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
4 | Elect Scott T. Ford | Mgmt | For | For | For | |||||
5 | Elect James P. Kelly | Mgmt | For | For | For | |||||
6 | Elect Jon C. Madonna | Mgmt | For | For | For | |||||
7 | Elect Michael B. McCallister | Mgmt | For | For | For | |||||
8 | Elect John B. McCoy | Mgmt | For | For | For | |||||
9 | Elect Beth E. Mooney | Mgmt | For | For | For | |||||
10 | Elect Joyce M. Roche | Mgmt | For | For | For | |||||
11 | Elect Matthew K. Rose | Mgmt | For | For | For | |||||
12 | Elect Cynthia B. Taylor | 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 | Approval of AT&T Severance Policy | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
19 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 29
Avery Dennison Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVY | CUSIP 053611109 | 04/24/2014 | 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 Peter K. Barker | Mgmt | For | For | For | |||||
4 | Elect Rolf Borjesson | Mgmt | For | For | For | |||||
5 | Elect Ken C. Hicks | Mgmt | For | For | For | |||||
6 | Elect Charles H. Noski | Mgmt | For | For | For | |||||
7 | Elect David E.I. Pyott | Mgmt | For | For | For | |||||
8 | Elect Dean A. Scarborough | Mgmt | For | For | For | |||||
9 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
10 | Elect Julia A. Stewart | Mgmt | For | For | For | |||||
11 | Elect Martha Sullivan | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Senior Executive Annual Incentive Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 30
Avon Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVP | CUSIP 054303102 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Douglas R. Conant | Mgmt | For | For | For | |||||
1.2 | Elect W. Don Cornwell | Mgmt | For | For | For | |||||
1.3 | Elect V. Ann Hailey | Mgmt | For | For | For | |||||
1.4 | Elect Nancy Killefer | Mgmt | For | For | For | |||||
1.5 | Elect Maria Elena Lagomasino | Mgmt | For | For | For | |||||
1.6 | Elect Sara Mathew | Mgmt | For | For | For | |||||
1.7 | Elect Sheri McCoy | Mgmt | For | For | For | |||||
1.8 | Elect Charles H. Noski | Mgmt | For | For | For | |||||
1.9 | Elect Gary M. Rodkin | Mgmt | For | For | For | |||||
1.10 | Elect Paula Stern | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Product Safety | ShrHoldr | Against | Against | For |
Baker Hughes Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BHI | CUSIP 057224107 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Larry D. Brady | Mgmt | For | For | For | |||||
2 | Elect Clarence P. Cazalot, Jr. | Mgmt | For | For | For | |||||
3 | Elect Martin S. Craighead | Mgmt | For | For | For | |||||
4 | Elect Lynn L. Elsenhans | Mgmt | For | For | For | |||||
5 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
7 | Elect Pierre J. Jungels | Mgmt | For | For | For | |||||
8 | Elect James A. Lash | Mgmt | For | For | For | |||||
9 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
10 | Elect James W. Stewart | Mgmt | For | For | For | |||||
11 | Elect Charles L. Watson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Amendment to the 2002 Director and Officer long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Amendment to the 2002 Employee Long-Term Incentive Plan | Mgmt | For | For | For |
Page 31
CA, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CA | CUSIP 12673P105 | 07/31/2013 | 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 J. Bromark | Mgmt | For | For | For | |||||
3 | Elect Gary J. Fernandes | Mgmt | For | For | For | |||||
4 | Elect Michael Gregoire | Mgmt | For | For | For | |||||
5 | Elect Rohit Kapoor | Mgmt | For | For | For | |||||
6 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
7 | Elect Christopher B. Lofgren | Mgmt | For | For | For | |||||
8 | Elect Richard Sulpizio | Mgmt | For | For | For | |||||
9 | Elect Laura S. Unger | Mgmt | For | For | For | |||||
10 | Elect Arthur F. 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 | Adoption of Stockholder Protection Rights Agreement | Mgmt | For | Against | Against |
Campbell Soup Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPB | CUSIP 134429109 | 11/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edmund M. Carpenter | Mgmt | For | For | For | |||||
1.2 | Elect Paul R. Charron | Mgmt | For | For | For | |||||
1.3 | Elect Bennett Dorrance | Mgmt | For | For | For | |||||
1.4 | Elect Lawrence C. Karlson | Mgmt | For | For | For | |||||
1.5 | Elect Randall W. Larrimore | Mgmt | For | For | For | |||||
1.6 | Elect Mary Alice D. Malone | Mgmt | For | For | For | |||||
1.7 | Elect Sara Mathew | Mgmt | For | For | For | |||||
1.8 | Elect Denise M. Morrison | Mgmt | For | For | For | |||||
1.9 | Elect Charles R. 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 D. van Beuren | Mgmt | For | For | For | |||||
1.14 | Elect Les C. Vinney | Mgmt | For | For | For | |||||
1.15 | Elect Charlotte C. 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 | 05/28/2014 | 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 Jon M. Huntsman, Jr. | Mgmt | For | For | For | |||||
6 | Elect George L. Kirkland | Mgmt | For | For | For | |||||
7 | Elect Charles W. Moorman, IV | Mgmt | For | For | For | |||||
8 | Elect Kevin W. Sharer | Mgmt | For | For | For | |||||
9 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
10 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
11 | Elect Carl Ware | Mgmt | For | For | For | |||||
12 | Elect John S. Watson | 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 Charitable Contributions | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Environmental Expertise on Board | ShrHoldr | Against | Against | For | |||||
21 | 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 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carol A. Bartz | Mgmt | For | For | For | |||||
2 | Elect Marc Benioff | Mgmt | For | For | For | |||||
3 | Elect Gregory Q. Brown | Mgmt | For | For | For | |||||
4 | Elect M. Michele Burns | Mgmt | For | For | For | |||||
5 | Elect Michael D. Capellas | Mgmt | For | For | For | |||||
6 | Elect John T. Chambers | Mgmt | For | For | For | |||||
7 | Elect Brian L. Halla | Mgmt | For | For | For | |||||
8 | Elect John L. Hennessy | Mgmt | For | For | For | |||||
9 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
10 | Elect Roderick C. McGeary | Mgmt | For | For | For | |||||
11 | Elect Arun Sarin | Mgmt | For | For | For | |||||
12 | Elect Steven M. West | Mgmt | For | For | For | |||||
13 | Amendment to the 2005 Stock Incentive Plan | 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 Proxy Advice Contest | ShrHoldr | Against | Against | For |
Page 34
Citigroup Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C | CUSIP 172967424 | 04/22/2014 | 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 Duncan P. Hennes | Mgmt | For | For | For | |||||
3 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
4 | Elect Eugene M. McQuade | Mgmt | For | For | For | |||||
5 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
6 | Elect Gary M. Reiner | Mgmt | For | For | For | |||||
7 | Elect Judith Rodin | Mgmt | For | For | For | |||||
8 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
9 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
10 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
11 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
12 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
13 | Elect James S. Turley | Mgmt | For | For | For | |||||
14 | Elect Ernesto Zedillo Ponce de Leon | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Approval of the 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 35
Comcast Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMCSA | CUSIP 20030N200 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/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 Edward D. Breen | Mgmt | For | For | For | |||||
1.4 | Elect Joseph J. Collins | Mgmt | For | For | For | |||||
1.5 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
1.6 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||||
1.7 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||||
1.8 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||||
1.9 | Elect Brian L. Roberts | Mgmt | For | For | For | |||||
1.10 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||||
1.11 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||||
1.12 | Elect Judith Rodin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
5 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | For | Against |
Page 36
Corning Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GLW | CUSIP 219350105 | 04/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephanie A. Burns | Mgmt | For | For | For | |||||
2 | Elect John A. Canning Jr. | Mgmt | For | For | For | |||||
3 | Elect Richard T. Clark | Mgmt | For | For | For | |||||
4 | Elect Robert F. Cummings, Jr. | Mgmt | For | For | For | |||||
5 | Elect James B. Flaws | Mgmt | For | For | For | |||||
6 | Elect Deborah A. Henretta | Mgmt | For | For | For | |||||
7 | Elect Kurt M. Landgraf | Mgmt | For | For | For | |||||
8 | Elect Kevin J. Martin | Mgmt | For | For | For | |||||
9 | Elect Deborah D. Rieman | Mgmt | For | For | For | |||||
10 | Elect Hansel E. Tookes II | Mgmt | For | For | For | |||||
11 | Elect Wendell P. Weeks | Mgmt | For | For | For | |||||
12 | Elect Mark S. Wrighton | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2014 Variable Compensation Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For |
Deutsche Telekom AG
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DTE | CUSIP 251566105 | 05/15/2014 | 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 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Elect Johannes Geismann | Mgmt | For | For | For | |||||
6 | Elect Lars Hinrichs | Mgmt | For | For | For | |||||
7 | Elect Ulrich Schroder | Mgmt | For | For | For | |||||
8 | Elect Karl-Heinz Streibich | Mgmt | For | For | For | |||||
9 | Authority to Issue Convertible Debt Instruments; Increase in Conditional Capital | Mgmt | For | For | For |
Page 37
E.I. du Pont de Nemours and Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DD | CUSIP 263534109 | 04/23/2014 | 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 | Elect Patrick J. Ward | 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 Prohibition of Political Spending | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Herbicide Use | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Report on Impact of Plant Closures | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Page 38
Ensco plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESV | CUSIP G3157S106 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect J. Roderick Clark | Mgmt | For | For | For | |||||
2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
3 | Elect Mary Francis | Mgmt | For | For | For | |||||
4 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
5 | Elect Gerald W. Haddock | Mgmt | For | For | For | |||||
6 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
7 | Elect Daniel W. Rabun | Mgmt | For | For | For | |||||
8 | Elect Keith O. Rattie | Mgmt | For | For | For | |||||
9 | Elect Paul E. Rowsey III | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
15 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Accounts and Reports | Mgmt | For | For | For | |||||
18 | Approval of Capital Reorganisation | Mgmt | For | For | For | |||||
19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 39
FedEx Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FDX | CUSIP 31428X106 | 09/23/2013 | 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 John A. Edwardson | Mgmt | For | For | For | |||||
3 | Elect Shirley A. Jackson | Mgmt | For | For | For | |||||
4 | Elect Steven R. Loranger | Mgmt | For | For | For | |||||
5 | Elect Gary W. Loveman | Mgmt | For | For | For | |||||
6 | Elect R. Brad Martin | Mgmt | For | For | For | |||||
7 | Elect Joshua C. Ramo | Mgmt | For | For | For | |||||
8 | Elect Susan C. Schwab | Mgmt | For | For | For | |||||
9 | Elect Frederick W. Smith | Mgmt | For | For | For | |||||
10 | Elect David P. Steiner | Mgmt | For | For | For | |||||
11 | Elect Paul S. Walsh | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Amendment to the 2010 Omnibus Stock Incentive Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Hedging and Pledging Company Stock | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | Against | For | |||||
20 | Shareholder Proposal Regarding Incorporation of Values in Political Spending | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Counting Abstentions | ShrHoldr | Against | Against | For |
Page 40
Gap Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPS | CUSIP 364760108 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
2 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
3 | Elect William S. Fisher | Mgmt | For | For | For | |||||
4 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
5 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
6 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
7 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
8 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
9 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
10 | Elect Padmasree Warrior | 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 | 04/23/2014 | 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 | For | For | |||||
2 | Elect John J. Brennan | Mgmt | For | For | For | |||||
3 | Elect James I. Cash, Jr. | Mgmt | For | For | For | |||||
4 | Elect Francisco D’Souza | Mgmt | For | For | For | |||||
5 | Elect Marijn E. Dekkers | Mgmt | For | For | For | |||||
6 | Elect Ann M. Fudge | Mgmt | For | For | For | |||||
7 | Elect Susan Hockfield | Mgmt | For | For | For | |||||
8 | Elect Jeffrey R. Immelt | Mgmt | For | For | For | |||||
9 | Elect Andrea Jung | Mgmt | For | For | For | |||||
10 | Elect Robert W. Lane | Mgmt | For | For | For | |||||
11 | Elect Rochelle B. Lazarus | Mgmt | For | For | For | |||||
12 | Elect James J. Mulva | Mgmt | For | For | For | |||||
13 | Elect James E. Rohr | Mgmt | For | For | For | |||||
14 | Elect Mary L. Schapiro | Mgmt | For | For | For | |||||
15 | Elect Robert J. Swieringa | Mgmt | For | For | For | |||||
16 | Elect James S. Tisch | Mgmt | For | For | For | |||||
17 | Elect Douglas A. Warner III | Mgmt | For | For | For | |||||
18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
19 | Ratification of Auditor | Mgmt | For | For | For | |||||
20 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against | |||||
21 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
22 | Shareholder Proposal Regarding Double Board Nominees | ShrHoldr | Against | Against | For | |||||
23 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | Against | For | |||||
24 | Shareholder Proposal Regarding Cessation of All Stock Options and Bonuses | ShrHoldr | Against | Against | For | |||||
25 | Shareholder Proposal Regarding Sale of Company | ShrHoldr | Against | Against | For |
Page 41
Home Depot, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HD | CUSIP 437076102 | 05/22/2014 | 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 Helena B. Foulkes | Mgmt | For | For | For | |||||
9 | Elect Wayne M. Hewett | Mgmt | For | For | For | |||||
10 | Elect Karen Katen | Mgmt | For | For | For | |||||
11 | Elect Mark Vadon | 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 Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | Against | For |
Page 42
Intel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTC | CUSIP 458140100 | 05/22/2014 | 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 Brian M. Krzanich | Mgmt | For | For | For | |||||
7 | Elect James D. Plummer | Mgmt | For | For | For | |||||
8 | Elect David S. Pottruck | Mgmt | For | For | For | |||||
9 | Elect Frank D. Yeary | Mgmt | For | For | For | |||||
10 | Elect David B. Yoffie | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Johnson & Johnson
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JNJ | CUSIP 478160104 | 04/24/2014 | 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 Susan L. Lindquist | Mgmt | For | For | For | |||||
6 | Elect Mark B. McClellan | 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 |
Page 43
JPMorgan Chase & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JPM | CUSIP 46625H100 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Linda B. Bammann | Mgmt | For | For | For | |||||
2 | Elect James A. Bell | Mgmt | For | For | For | |||||
3 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
4 | Elect Stephen B. Burke | 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 Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
9 | Elect Michael A. Neal | Mgmt | For | For | For | |||||
10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
11 | Elect William C. Weldon | 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 Report | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against |
Kimco Realty Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KIM | CUSIP 49446R109 | 05/06/2014 | 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 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 44
Koninklijke Philips Electronics N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PHIA | CUSIP 500472303 | 05/01/2014 | 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 Orit Gadiesh to the Supervisory Board | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For | |||||
7 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
8 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||||
9 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
10 | Authority to Cancel Shares | Mgmt | For | For | For |
Page 45
Kraft Foods Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KRFT | CUSIP 50076Q106 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect L. Kevin Cox | Mgmt | For | For | For | |||||
2 | Elect Myra M. Hart | Mgmt | For | For | For | |||||
3 | Elect Peter B. Henry | Mgmt | For | For | For | |||||
4 | Elect Terry J. Lundgren | 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 Prohibition of Political Spending | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Incorporation of Values in Political Spending | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Reporting on the Use of Non-Recyclable Packaging | ShrHoldr | Against | Against | For | |||||
10 | Shareholder Proposal Regarding Sustainable Forestry Report | ShrHoldr | Against | For | Against | |||||
11 | Shareholder Proposal Regarding Cow Dehorning | ShrHoldr | Against | Against | For | |||||
12 | Shareholder Proposal Regarding Gestation Crates | ShrHoldr | For | For | For |
Lennar Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LEN | CUSIP 526057302 | 04/09/2014 | 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 Teri P. McClure | Mgmt | For | For | For | |||||
1.9 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 46
Maxim Integrated Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MXIM | CUSIP 57772K101 | 11/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tunc Doluca | Mgmt | For | For | For | |||||
1.2 | Elect B. Kipling Hagopian | Mgmt | For | For | For | |||||
1.3 | Elect James R. Bergman | Mgmt | For | For | For | |||||
1.4 | Elect Joseph R. Bronson | Mgmt | For | For | For | |||||
1.5 | Elect Robert E. Grady | Mgmt | For | For | For | |||||
1.6 | Elect William D. 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 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 47
Medtronic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDT | CUSIP 585055106 | 08/22/2013 | 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. Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
1.3 | Elect Victor J. Dzau | Mgmt | For | For | For | |||||
1.4 | Elect Omar Ishrak | Mgmt | For | For | For | |||||
1.5 | Elect Shirley A. Jackson | Mgmt | For | For | For | |||||
1.6 | Elect Michael O. Leavitt | Mgmt | For | For | For | |||||
1.7 | Elect James T. Lenehan | Mgmt | For | For | For | |||||
1.8 | Elect Denise M. O’Leary | Mgmt | For | For | For | |||||
1.9 | Elect Kendall J. Powell | Mgmt | For | For | For | |||||
1.10 | Elect Robert C. Pozen | Mgmt | For | For | For | |||||
1.11 | Elect Preetha Reddy | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2013 Stock Award and Incentive Plan | Mgmt | For | For | For | |||||
5 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
6 | Elimination of Supermajority Requirement for Changes to Board Size | Mgmt | For | For | For | |||||
7 | Elimination of Supermajority Requirement for Removal of Directors | Mgmt | For | For | For | |||||
8 | Elimination of Conforming Language Regarding Supermajority Requirements | Mgmt | For | For | For | |||||
9 | Repeal of Fair Price Provision | Mgmt | For | For | For |
Merck & Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MRK | CUSIP 58933Y105 | 05/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Leslie A. Brun | Mgmt | For | For | For | |||||
2 | Elect Thomas R. Cech | Mgmt | For | For | For | |||||
3 | Elect Kenneth C. Frazier | Mgmt | For | For | For | |||||
4 | Elect Thomas H. Glocer | Mgmt | For | For | For | |||||
5 | Elect William B. Harrison, Jr. | Mgmt | For | For | For | |||||
6 | Elect C. Robert Kidder | Mgmt | For | For | For | |||||
7 | Elect Rochelle B. Lazarus | Mgmt | For | For | For | |||||
8 | Elect Carlos E. Represas | Mgmt | For | For | For | |||||
9 | Elect Patricia F. Russo | Mgmt | For | For | For | |||||
10 | Elect Craig B. Thompson | Mgmt | For | For | For | |||||
11 | Elect Wendell P. Weeks | Mgmt | For | For | For | |||||
12 | Elect Peter C. Wendell | 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 Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | Against | For |
Page 48
MetLife, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MET | CUSIP 59156R108 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Cheryl W. Grise | Mgmt | For | For | For | |||||
2 | Elect Carlos M. Gutierrez | Mgmt | For | For | For | |||||
3 | Elect R. Glenn Hubbard | Mgmt | For | For | For | |||||
4 | Elect Steven A. Kandarian | Mgmt | For | For | For | |||||
5 | Elect John M. Keane | Mgmt | For | For | For | |||||
6 | Elect Alfred F. Kelly, Jr. | Mgmt | For | For | For | |||||
7 | Elect William E. Kennard | Mgmt | For | For | For | |||||
8 | Elect James M. Kilts | Mgmt | For | For | For | |||||
9 | Elect Catherine R. Kinney | Mgmt | For | For | For | |||||
10 | Elect Denise M. Morrison | Mgmt | For | For | For | |||||
11 | Elect Kenton J. Sicchitano | Mgmt | For | For | For | |||||
12 | Elect Lulu C. Wang | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2015 Stock and Incentive Compensation Plan | Mgmt | For | For | For | |||||
16 | Non-Management Director Stock Compensation Plan | Mgmt | For | For | For |
Page 49
Microchip Technology Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCHP | CUSIP 595017104 | 08/16/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Steve Sanghi | Mgmt | For | For | For | |||||
1.2 | Elect Matthew W. Chapman | Mgmt | For | For | For | |||||
1.3 | Elect L. B. Day | Mgmt | For | For | For | |||||
1.4 | Elect Albert J. Hugo-Martinez | Mgmt | For | For | For | |||||
1.5 | Elect Wade F. Meyercord | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Microsoft Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSFT | CUSIP 594918104 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven A. Ballmer | Mgmt | For | For | For | |||||
2 | Elect Dina Dublon | Mgmt | For | For | For | |||||
3 | Elect William H. Gates III | Mgmt | For | For | For | |||||
4 | Elect Maria Klawe | Mgmt | For | For | For | |||||
5 | Elect Stephen J. Luczo | Mgmt | For | For | For | |||||
6 | Elect David F. Marquardt | Mgmt | For | For | For | |||||
7 | Elect Charles H. Noski | Mgmt | For | For | For | |||||
8 | Elect Helmut G. W. Panke | Mgmt | For | For | For | |||||
9 | Elect John W. Thompson | Mgmt | For | For | For | |||||
10 | Approval of the Material Terms of the Executive Officer 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 50
Mondelez International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2014 | 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 Nelson Peltz | Mgmt | For | For | For | |||||
7 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
8 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
9 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
10 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
11 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
12 | Elect Jean-Francois M. L. van Boxmeer | 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 | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Reporting on the Use of Non-Recyclable Packaging | ShrHoldr | Against | Against | For |
Page 51
Nabors Industries Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NBR | CUSIP G6359F103 | 06/03/2014 | 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 John P. Kotts | Mgmt | For | For | For | |||||
1.3 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
1.4 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
1.5 | Elect Anthony G. Petrello | Mgmt | For | For | For | |||||
1.6 | Elect Howard Wolf | Mgmt | For | For | For | |||||
1.7 | Elect John Yearwood | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to Shareholder Rights Plan | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Sustainability Report | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
10 | Shareholder Proposal Regarding Counting Broker Non-Votes | ShrHoldr | Against | Against | For |
New York Community Bancorp, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NYCB | CUSIP 649445103 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Dominick Ciampa | Mgmt | For | For | For | |||||
2 | Elect Max L. Kupferberg | Mgmt | For | For | For | |||||
3 | Elect Spiros J. Voutsinas | Mgmt | For | For | For | |||||
4 | Elect Robert Wann | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 52
Packaging Corporation of America
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PKG | CUSIP 695156109 | 05/13/2014 | 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 Thomas P. Maurer | Mgmt | For | For | For | |||||
6 | Elect Samuel Mencoff | Mgmt | For | For | For | |||||
7 | Elect Roger B. Porter | Mgmt | For | For | For | |||||
8 | Elect Thomas S. Souleles | Mgmt | For | For | For | |||||
9 | Elect Paul T. Stecko | Mgmt | For | For | For | |||||
10 | Elect James D. Woodrum | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Pentair Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNR | CUSIP H6169Q108 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Glynis A. Bryan | Mgmt | For | For | For | |||||
2 | Elect Jerry W. Burris | Mgmt | For | For | For | |||||
3 | Elect Carol Anthony Davidson | Mgmt | For | For | For | |||||
4 | Elect T. Michael Glenn | Mgmt | For | For | For | |||||
5 | Elect David H. Y. Ho | Mgmt | For | For | For | |||||
6 | Elect Randall J. Hogan | Mgmt | For | For | For | |||||
7 | Elect David A. Jones | Mgmt | For | For | For | |||||
8 | Elect Ronald L. Merriman | Mgmt | For | For | For | |||||
9 | Elect William T. Monahan | Mgmt | For | For | For | |||||
10 | Elect Billie Ida Williamson | Mgmt | For | For | For | |||||
11 | Elect Randall J. Hogan as Chairman of the Board of Directors | Mgmt | For | For | For | |||||
12 | Elect David A. Jones | Mgmt | For | For | For | |||||
13 | Elect Glynis A. Bryan | Mgmt | For | For | For | |||||
14 | Elect T. Michael Glenn | Mgmt | For | For | For | |||||
15 | Elect William T. Monahan | Mgmt | For | For | For | |||||
16 | Elect Proxy Voting Services Gmbh as the Independent Proxy | Mgmt | For | For | For | |||||
17 | Accounts and Reports | Mgmt | For | For | For | |||||
18 | Indemnification of Directors and Officers | Mgmt | For | For | For | |||||
19 | Appointment of Statutory Auditor | Mgmt | For | For | For | |||||
20 | Appointment of Independent Auditor | Mgmt | For | For | For | |||||
21 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
22 | Allocation of Available Earnings | Mgmt | For | For | For | |||||
23 | Dividend from Capital Reserves | Mgmt | For | For | For | |||||
24 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
25 | Renewal of Authorized Capital | Mgmt | For | For | For |
Page 53
Pentair Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNR | CUSIP H6169Q111 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Redomestication from Switzerland to Ireland | Mgmt | For | For | For | |||||
2 | Elimination of Voting Restrictions on 20% Holders | Mgmt | For | For | For | |||||
3 | Reduction in Share Premium Account | Mgmt | For | For | For |
PepsiCo, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEP | CUSIP 713448108 | 05/07/2014 | 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 Rona A. Fairhead | 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 | |||||
16 | Approval of Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Approval of Political Contributions Policy | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 54
Pfizer Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFE | CUSIP 717081103 | 04/24/2014 | 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 W. Don Cornwell | Mgmt | For | For | For | |||||
3 | Elect Frances D. Fergusson | Mgmt | For | For | For | |||||
4 | Elect Helen H. Hobbs | Mgmt | For | For | For | |||||
5 | Elect Constance J. Horner | Mgmt | For | For | For | |||||
6 | Elect James M. Kilts | Mgmt | For | For | For | |||||
7 | Elect George A. Lorch | Mgmt | For | For | For | |||||
8 | Elect Shantanu Narayen | Mgmt | For | For | For | |||||
9 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
10 | Elect Ian C. Read | Mgmt | For | For | For | |||||
11 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
12 | Elect Marc Tessier-Lavigne | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2014 Stock Plan | Mgmt | For | For | For | |||||
16 | SHAREHOLDER PROPOSAL REGARDING APPROVAL OF POLITICAL CONTRIBUTIONS POLICY | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 55
Quest Diagnostics Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DGX | CUSIP 74834L100 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Timothy L. Main | Mgmt | For | For | For | |||||
2 | Elect Timothy M. Ring | Mgmt | For | For | For | |||||
3 | Elect Daniel C. Stanzione | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
6 | Restoration of Right to Call a Special Meeting | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Regal Entertainment Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RGC | CUSIP 758766109 | 05/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Stephen A. Kaplan | Mgmt | For | For | For | |||||
1.2 | Elect Jack Tyrrell | Mgmt | For | For | For | |||||
1.3 | Elect Nestor R. Weigand, Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 56
Seagate Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STX | CUSIP G7945M107 | 10/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen J. Luczo | Mgmt | For | For | For | |||||
2 | Elect Frank J. Biondi, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael R. Cannon | Mgmt | For | For | For | |||||
4 | Elect Mei-Wei Cheng | Mgmt | For | For | For | |||||
5 | Elect William T. Coleman | Mgmt | For | For | For | |||||
6 | Elect Jay L. Geldmacher | Mgmt | For | For | For | |||||
7 | Elect Seh-Woong Jeong | Mgmt | For | For | For | |||||
8 | Elect Lydia M. Marshall | Mgmt | For | For | For | |||||
9 | Elect Kristen M. 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 Executive Officer Performance Bonus Plan | Mgmt | For | For | For | |||||
14 | Price Range for Issuance of Treasury Shares | Mgmt | For | For | For | |||||
15 | Authorize Shareholder Outside of Ireland | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Amendments to Articles Regarding Annual Meeting Location | Mgmt | For | For | For | |||||
18 | Amendments to Articles Regarding Right to Multiple Proxies | Mgmt | For | For | For | |||||
19 | Amendments to Articles Regarding Escheatment | Mgmt | For | For | For | |||||
20 | Amendments to Articles Regarding Share Repurchases | Mgmt | For | For | For | |||||
21 | Ratification of Auditor | Mgmt | For | For | For |
Page 57
SLM Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLM | CUSIP 78442P106 | 06/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Paul G. Child | Mgmt | For | For | For | |||||
2 | Elect Joseph A. DePaulo | Mgmt | For | For | For | |||||
3 | Elect Carter Warren Franke | Mgmt | For | For | For | |||||
4 | Elect Earl A. Goode | Mgmt | For | For | For | |||||
5 | Elect Ronald F. Hunt | Mgmt | For | For | For | |||||
6 | Elect Marianne M. Keler | Mgmt | For | For | For | |||||
7 | Elect Jed H. Pitcher | Mgmt | For | For | For | |||||
8 | Elect Frank C. Puleo | Mgmt | For | For | For | |||||
9 | Elect Raymond J. Quinlan | Mgmt | For | For | For | |||||
10 | Elect William N. Shiebler | Mgmt | For | For | For | |||||
11 | Elect Robert S. Strong | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Amendment to the Limited Liability Company Agreement of Navient, LLC | Mgmt | For | Against | Against | |||||
15 | Elimination of Cumulative Voting | Mgmt | For | Against | Against | |||||
16 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | N/A | Against | N/A | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
State Street Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STT | CUSIP 857477103 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jose E. Almeida | Mgmt | For | For | For | |||||
2 | Elect Kennett F. Burnes | Mgmt | For | For | For | |||||
3 | Elect Peter Coym | Mgmt | For | For | For | |||||
4 | Elect Patrick de Saint-Aignan | Mgmt | For | For | For | |||||
5 | Elect Amelia C. Fawcett | Mgmt | For | For | For | |||||
6 | Elect Linda A. Hill | Mgmt | For | For | For | |||||
7 | Elect Joseph L. Hooley | Mgmt | For | For | For | |||||
8 | Elect Robert S. Kaplan | Mgmt | For | For | For | |||||
9 | Elect Richard P. Sergel | Mgmt | For | For | For | |||||
10 | Elect Ronald L. Skates | Mgmt | For | For | For | |||||
11 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
12 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 58
TE Connectivity Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEL | CUSIP H84989104 | 03/04/2014 | 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 | Elect Laura H. Wright | Mgmt | For | For | For | |||||
13 | Election of Chairman of the Board | Mgmt | For | For | For | |||||
14 | Election of Daniel J. Phelan | Mgmt | For | For | For | |||||
15 | Election of Paula A. Sneed | Mgmt | For | For | For | |||||
16 | Election of David P. Steiner | Mgmt | For | For | For | |||||
17 | Election of Independent Proxy | Mgmt | For | For | For | |||||
18 | Approval of Annual Report | Mgmt | For | For | For | |||||
19 | Approval of Statutory Financial Statement | Mgmt | For | For | For | |||||
20 | Approval of Consolidated Financial Statements | Mgmt | For | For | For | |||||
21 | Release of Board of Directors and Executive Officers | Mgmt | For | For | For | |||||
22 | Deloitte and Touche | Mgmt | For | For | For | |||||
23 | Deloitte AG, Zurich | Mgmt | For | For | For | |||||
24 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
25 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
26 | Transfer of Reserves | Mgmt | For | For | For | |||||
27 | Declaration of Dividend | Mgmt | For | For | For | |||||
28 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
29 | Reduction of Share Capital Under the Share Repurchase Program | Mgmt | For | For | For | |||||
30 | Right to Adjourn Meeting | Mgmt | For | For | For |
Page 59
Textron Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TXT | CUSIP 883203101 | 04/23/2014 | 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 Lord Powell of Bayswater KCMG | 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 | Against | Against | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 60
The ADT Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ADT | CUSIP 00101J106 | 03/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas J. Colligan | Mgmt | For | Against | Against | |||||
2 | Elect Richard J. Daly | Mgmt | For | For | For | |||||
3 | Elect Timothy M. Donahue | Mgmt | For | Abstain | Against | |||||
4 | Elect Robert M. Dutkowsky | Mgmt | For | Abstain | Against | |||||
5 | Elect Bruce S. Gordon | Mgmt | For | Against | Against | |||||
6 | Elect Naren K. Gursahaney | Mgmt | For | Against | Against | |||||
7 | Elect Bridgette Heller | Mgmt | For | Abstain | Against | |||||
8 | Elect Kathleen W. Hyle | Mgmt | For | Abstain | Against | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Time Warner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TWX | CUSIP 887317303 | 06/13/2014 | 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 Carlos M. Gutierrez | Mgmt | For | For | For | |||||
9 | Elect Fred Hassan | Mgmt | For | For | For | |||||
10 | Elect Kenneth J. Novack | Mgmt | For | For | For | |||||
11 | Elect Paul D. Wachter | Mgmt | For | For | For | |||||
12 | Elect Deborah C. Wright | 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 |
Page 61
Transocean Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RIG | CUSIP H8817H100 | 05/16/2014 | 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 and Management Acts | Mgmt | For | Against | Against | |||||
3 | Allocation of Available Earnings | Mgmt | For | For | For | |||||
4 | Dividend from Capital Reserves | Mgmt | For | For | For | |||||
5 | Authorized Share Capital | Mgmt | For | For | For | |||||
6 | Reduce Board Size to 11 | Mgmt | For | For | For | |||||
7 | Amendments to Articles (Elections; Assorted Changes) | Mgmt | For | For | For | |||||
8 | Amendments to Articles (Ratification of Compensation) | Mgmt | For | For | For | |||||
9 | Amendments to Articles (Supplementary Amount) | Mgmt | For | For | For | |||||
10 | Amendments to Articles (Principles of Compensation) | Mgmt | For | For | For | |||||
11 | Amendments to Articles (Employment Contracts) | Mgmt | For | For | For | |||||
12 | Amendments to Articles (External Mandates) | Mgmt | For | For | For | |||||
13 | Amendments to Articles (Loans and Retirement Benefits) | Mgmt | For | For | For | |||||
14 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
15 | Adoption of Advance Notice Requirement in Order to Conform with German Articles | Mgmt | For | For | For | |||||
16 | Elect Ian C. Strachan | Mgmt | For | For | For | |||||
17 | Elect Glyn Barker | Mgmt | For | For | For | |||||
18 | Elect Vanessa C.L. Chang | Mgmt | For | For | For | |||||
19 | Elect Frederico F. Curado | Mgmt | For | For | For | |||||
20 | Elect Chad Deaton | Mgmt | For | For | For | |||||
21 | Elect Martin B. McNamara | Mgmt | For | For | For | |||||
22 | Elect Samuel J. Merksamer | Mgmt | For | For | For | |||||
23 | Elect Edward R. Muller | Mgmt | For | For | For | |||||
24 | Elect Steven L. Newman | Mgmt | For | For | For | |||||
25 | Elect TAN Ek Kia | Mgmt | For | For | For | |||||
26 | Elect Vincent J. Intrieri | Mgmt | For | For | For | |||||
27 | Election of Chairman | Mgmt | For | For | For | |||||
28 | Elect Director Curado to Compensation Committee Member | Mgmt | For | For | For | |||||
29 | Elect Director McNamara to Compensation Committee Member | Mgmt | For | For | For | |||||
30 | Elect Director Tan Ek Kia to Compensation Committee Member | Mgmt | For | For | For | |||||
31 | Elect Vincent Intrieri to Compensation Committee Member | Mgmt | For | For | For | |||||
32 | Appointment of Independent Proxy | Mgmt | For | For | For | |||||
33 | Appointment of Auditor | Mgmt | For | For | For | |||||
34 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
35 | Amendment to the Long-Term Incentive Plan for Purposes of Section 162(m) of the IRC | Mgmt | For | For | For |
Page 62
Travelers Companies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TRV | CUSIP 89417E109 | 05/27/2014 | 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 Philip T. Ruegger III | Mgmt | For | For | For | |||||
11 | Elect Donald J. Shepard | Mgmt | For | For | For | |||||
12 | Elect Laurie J. Thomsen | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 63
Tyco International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYC | CUSIP H89128104 | 03/05/2014 | 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 | Elect Edward D. Breen | Mgmt | For | For | For | |||||
4 | Elect Herman E. Bulls | Mgmt | For | For | For | |||||
5 | Elect Michael E. Daniels | Mgmt | For | For | For | |||||
6 | Elect Frank M. Drendel | Mgmt | For | For | For | |||||
7 | Elect Brian Duperreault | Mgmt | For | For | For | |||||
8 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
9 | Elect George R. Oliver | Mgmt | For | For | For | |||||
10 | Elect Brendan R. O’Neill | Mgmt | For | For | For | |||||
11 | Elect Jurgen Tinggren | Mgmt | For | For | For | |||||
12 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
13 | Elect R. David Yost | Mgmt | For | For | For | |||||
14 | Election of Chairman of the Board | Mgmt | For | For | For | |||||
15 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
16 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
17 | Elect R. David Yost | Mgmt | For | For | For | |||||
18 | Appointment of Deloitte AG | Mgmt | For | For | For | |||||
19 | Appointment of Deloitte and Touche | Mgmt | For | For | For | |||||
20 | Appointment of PricewaterhouseCoopers AG as Special Auditor | Mgmt | For | For | For | |||||
21 | Election of Independent Proxy | Mgmt | For | For | For | |||||
22 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
23 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
24 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 64
Valero Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VLO | CUSIP 91913Y100 | 05/01/2014 | 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 Joseph W Gorder | Mgmt | For | For | For | |||||
3 | Elect William R. Klesse | Mgmt | For | For | For | |||||
4 | Elect Deborah P. Majoras | Mgmt | For | For | For | |||||
5 | Elect Donald L. Nickles | Mgmt | For | For | For | |||||
6 | Elect Phillip J. Pfeiffer | Mgmt | For | For | For | |||||
7 | Elect Robert A. Profusek | Mgmt | For | For | For | |||||
8 | Elect Susan K. Purcell | Mgmt | For | For | For | |||||
9 | Elect Stephen M. Waters | Mgmt | For | For | For | |||||
10 | Elect Randall J. Weisenburger | Mgmt | For | For | For | |||||
11 | Elect Rayford Wilkins Jr. | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Stockholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Greenhouse Gas Emissions Reporting and Reduction Targets | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Windstream Holdings, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WIN | CUSIP 97382A101 | 05/07/2014 | 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 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
12 | Amendment to Certificate of Incorporation to Remove Voting Rights Relating to Company Subsidiaries | Mgmt | For | For | For | |||||
13 | Allow Stockholders to Call Special Meetings | Mgmt | For | For | For | |||||
14 | Elimination of Supermajority Voting Requirements | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 65
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW Emerging Markets Multi-Asset Opportunities Fund
Advantech Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2395 | CINS Y0017P108 | 06/18/2014 | 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 | 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 Articles | Mgmt | For | For | For | |||||
10 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
11 | Amendments to Procedural Rules: Derivatives Trading | Mgmt | For | For | For | |||||
12 | Employee Stock Warrant Plan | Mgmt | For | For | For | |||||
13 | Elect K.C. Liu | Mgmt | For | For | For | |||||
14 | Elect Ted Hsu | Mgmt | For | For | For | |||||
15 | Elect Donald Chang | Mgmt | For | For | For | |||||
16 | Elect YU Zhuo-Min | Mgmt | For | For | For | |||||
17 | Elect CHEN Hong-Ze | Mgmt | For | For | For | |||||
18 | Elect James K.F. Wu as Supervisor | Mgmt | For | For | For | |||||
19 | Elect Thomas Chen as Supervisor | Mgmt | For | For | For | |||||
20 | Elect Gary Tseng as Supervisor | Mgmt | For | For | For | |||||
21 | Non-Compete Restrictions for Directors | Mgmt | For | For | For | |||||
22 | EXTRAORDINARY MOTIONS | Mgmt | N/A | Against | N/A |
Page 66
Afren plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AFR | CINS G01283103 | 06/04/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
3 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
4 | Elect Sheree Bryant | Mgmt | For | For | For | |||||
5 | Elect Iain McLaren | Mgmt | For | For | For | |||||
6 | Elect Egbert Imomoh | Mgmt | For | For | For | |||||
7 | Elect Peter Bingham | Mgmt | For | For | For | |||||
8 | Elect John St. John | Mgmt | For | For | For | |||||
9 | Elect Toby J.L. Hayward | Mgmt | For | For | For | |||||
10 | Elect Ennio Sganzerla | Mgmt | For | For | For | |||||
11 | Elect Patrick E.O. Obath | Mgmt | For | For | For | |||||
12 | Elect Osman Shahenshah | Mgmt | For | For | For | |||||
13 | Elect Shahid Ullah | Mgmt | For | For | For | |||||
14 | Elect Darra Comyn | Mgmt | For | For | For | |||||
15 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
19 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Page 67
AIA Group Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1299 | CINS Y002A1105 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Hong Kong |
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 Mohamed Azman Yahya | Mgmt | For | For | For | |||||
6 | Elect Edmund TSE Sze Wing | Mgmt | For | For | For | |||||
7 | Elect Jack SO Chak Kwong | Mgmt | For | For | For | |||||
8 | Appointment of Auditor and Authority to Set Fees | 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 | |||||
11 | Authority to Issue Shares under Restricted Share Unit Scheme | Mgmt | For | For | For | |||||
12 | Amendments to Articles | Mgmt | For | Against | Against |
Page 68
Air Arabia
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AIRA | CINS M0367N110 | 03/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United Arab Emirates |
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 | Report of the Board | Mgmt | For | For | For | |||||
3 | Auditors’ Report | Mgmt | For | For | For | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Ratification of Board and Auditors’ Acts | Mgmt | For | For | For | |||||
7 | Directors’ Fees | Mgmt | For | For | For | |||||
8 | Election of Directors | Mgmt | For | For | For | |||||
9 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Airtac International Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1590 | CINS G01408106 | 05/29/2014 | 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
7 | Amendments to Procedural Rules: Derivatives Trading | Mgmt | For | For | For | |||||
8 | Extraordinary transactions | Mgmt | N/A | Against | N/A |
Page 69
Alsea S.A.B. de C.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALSEA | CINS P0212A104 | 05/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Issuance of Shares w/o Preemptive Rights | Mgmt | For | Abstain | Against | |||||
2 | Authority to Cancel Treasury Shares and Reduce Share Capital | Mgmt | For | For | For | |||||
3 | Issuance of Shares w/o Preemptive Rights; Amendments to Article 6 | Mgmt | For | Abstain | Against | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Election of Meeting Delegates | Mgmt | For | For | For |
Alsea SA De CV II
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALSEA | CINS P0212A104 | 03/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Reports of the Board and Committee’s Activities and Operations | Mgmt | For | For | For | |||||
3 | Election of Directors; Election of Committee Members | Mgmt | For | For | For | |||||
4 | Directors’ Fees | Mgmt | For | For | For | |||||
5 | Authority to Repurchase Shares; Report on the Company’s Repurchase Program | Mgmt | For | For | For | |||||
6 | Election of Meeting Delegates | Mgmt | For | For | For |
Page 70
Alsea SA De CV II
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALSEA | CINS P0212A104 | 03/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Issuance of Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Election of Meeting Delegates | Mgmt | For | For | For |
Anton Oilfield Services Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3337 | CINS G03999102 | 05/29/2014 | 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 LUO Lin | Mgmt | For | For | For | |||||
6 | Elect ZHANG Yongyi | Mgmt | For | For | For | |||||
7 | Elect ZHU Xiaoping | Mgmt | For | For | For | |||||
8 | Elect WANG Mingcai | 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 | For | For | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Page 71
Bank of China Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3988 | CINS Y0698A107 | 06/12/2014 | 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 | Financial Statements | Mgmt | For | For | For | |||||
6 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
7 | Annual Budget | Mgmt | For | For | For | |||||
8 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
9 | Capital Management Plan | Mgmt | For | For | For | |||||
10 | Elect ZHANG Xiangdong | Mgmt | For | For | For | |||||
11 | Elect ZHANG Qi | Mgmt | For | For | For | |||||
12 | Elect Jackson P. Tai | Mgmt | For | For | For | |||||
13 | Elect LIU Xianghui | Mgmt | For | For | For | |||||
14 | Elect MEI Xingbao | Mgmt | For | For | For | |||||
15 | Elect BAO Guoming | Mgmt | For | For | For | |||||
16 | Remuneration Plan for Directors and Supervisors | Mgmt | For | For | For | |||||
17 | Amendments to Articles of Association | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | Against | Against | |||||
19 | Type of securities to be issued and issue size | Mgmt | For | For | For | |||||
20 | Par value and issue price | Mgmt | For | For | For | |||||
21 | Term | Mgmt | For | For | For | |||||
22 | Method of issuance and target investors | Mgmt | For | For | For | |||||
23 | Mechanism of participation of Preference Shares | Mgmt | For | For | For | |||||
24 | Compulsory conversion | Mgmt | For | For | For | |||||
25 | Terms of conditional redemption | Mgmt | For | For | For | |||||
26 | Restrictions on voting rights | Mgmt | For | For | For | |||||
27 | Order of priority and method of liquidation | Mgmt | For | For | For | |||||
28 | Rating arrangement | Mgmt | For | For | For | |||||
29 | Security for the issuance of Preference Shares | Mgmt | For | For | For | |||||
30 | Term of restrictions on trade and transfer | Mgmt | For | For | For | |||||
31 | Validity period of the issuance of Preference Shares | Mgmt | For | For | For | |||||
32 | Trading arrangement | Mgmt | For | For | For | |||||
33 | Use of proceeds from the issuance of Preference Shares | Mgmt | For | For | For | |||||
34 | Matters to authorization of the issuance | Mgmt | For | For | For | |||||
35 | Type of securities to be issued and issue size | Mgmt | For | For | For | |||||
36 | Par value and issue price | Mgmt | For | For | For | |||||
37 | Term | Mgmt | For | For | For | |||||
38 | Method of issuance and target investors | Mgmt | For | For | For | |||||
39 | Mechanism of participation of Preference Shares | Mgmt | For | For | For | |||||
40 | Compulsory conversion | Mgmt | For | For | For | |||||
41 | Terms of conditional redemption | Mgmt | For | For | For | |||||
42 | Restrictions and recovery on voting rights | Mgmt | For | For | For | |||||
43 | Order of priority and method of liquidation | Mgmt | For | For | For | |||||
44 | Rating arrangement | Mgmt | For | For | For | |||||
45 | Security for the issuance of Preference Shares | Mgmt | For | For | For | |||||
46 | Lock-up period | Mgmt | For | For | For | |||||
47 | Validity period of the issuance of Preference Shares | Mgmt | For | For | For | |||||
48 | Trading/listing arrangement | Mgmt | For | For | For | |||||
49 | Use of proceeds from the issuance of Preference Shares | Mgmt | For | For | For | |||||
50 | Matters to authorization of the issuance | Mgmt | For | For | For | |||||
51 | Shareholder Returns Plan | Mgmt | For | For | For | |||||
52 | Dilution of Current Returns and Remedial Measures | Mgmt | For | For | For |
Page 72
BHP Billiton Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BHP | CUSIP 088606108 | 11/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports (BHP Billiton plc & BHP Billiton Limited) | Mgmt | For | For | For | |||||
2 | Appoint Auditor (BHP Billiton plc) | Mgmt | For | For | For | |||||
3 | Authorise Board to Set Auditor’s Fees (BHP Billiton plc) | Mgmt | For | For | For | |||||
4 | Authorise Board to Issue Shares w/ Preemptive Rights (BHP Billiton plc) | Mgmt | For | For | For | |||||
5 | Authorise Board to Issue Shares w/o Preemptive Rights (BHP Billiton plc) | Mgmt | For | For | For | |||||
6 | Authorise Board to Repurchase Shares (BHP Billiton plc) | Mgmt | For | For | For | |||||
7 | Remuneration Report | Mgmt | For | For | For | |||||
8 | Adopt New Long Term Incentive Plan | Mgmt | For | For | For | |||||
9 | Equity Grant (CEO Andrew Mackenzie) | Mgmt | For | For | For | |||||
10 | Elect Andrew Mackenzie | Mgmt | For | For | For | |||||
11 | Re-elect Malcolm Broomhead | Mgmt | For | For | For | |||||
12 | Re-elect Sir John Buchanan | Mgmt | For | For | For | |||||
13 | Re-elect Carlos Cordeiro | Mgmt | For | For | For | |||||
14 | Re-elect David Crawford | Mgmt | For | For | For | |||||
15 | Re-elect Pat Davies | Mgmt | For | For | For | |||||
16 | Re-elect Carolyn Hewson | Mgmt | For | For | For | |||||
17 | Re-elect Lindsay P. Maxsted | Mgmt | For | For | For | |||||
18 | Re-elect Wayne Murdy | Mgmt | For | For | For | |||||
19 | Re-elect Keith C. Rumble | Mgmt | For | For | For | |||||
20 | Re-elect John Schubert | Mgmt | For | For | For | |||||
21 | Re-elect Shriti Vadera | Mgmt | For | For | For | |||||
22 | Re-elect Jacques Nasser | Mgmt | For | For | For | |||||
23 | Elect Ian Dunlop | ShrHoldr | Against | Against | For |
Page 73
Biostime International Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1112 | CINS G11259101 | 05/08/2014 | 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 Final Dividend | Mgmt | For | For | For | |||||
5 | Allocation of Special Dividend | Mgmt | For | For | For | |||||
6 | Elect NGAI Wai-Fung | Mgmt | For | For | For | |||||
7 | Elect TAN Wee Seng | Mgmt | For | For | For | |||||
8 | Elect XIAO Baichun | 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 | For | For | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Page 74
Bm&F Bovespa Sa Bolsa De Valores Me
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P73232103 | 03/24/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Remuneration Policy | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Bm&F Bovespa Sa Bolsa De Valores Me
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P73232103 | 04/07/2014 | 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 | Restricted Stock Plan | Mgmt | For | For | For | |||||
4 | Amendments to Articles | Mgmt | For | For | For | |||||
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 |
BM&F BOVESPA SA Bolsa de Valores, Mercadorias e Futuros
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P73232103 | 05/13/2014 | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
4 | Restricted Stock Plan | Mgmt | For | For | For | |||||
5 | Amendments to Articles | Mgmt | For | For | For | |||||
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 |
Page 75
BM&F BOVESPA SA Bolsa de Valores, Mercadorias e Futuros
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P1R0U2138 | 05/26/2014 | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
4 | Amendments to Articles | Mgmt | For | For | For |
Cathay Financial Holding Company Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2882 | CINS Y11654103 | 06/06/2014 | 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Capitalization of Retained Earnings and Issuance of New Shares | Mgmt | For | For | For | |||||
7 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
8 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
9 | NON-COMPETE RESTRICTIONS FOR DIRECTORS | Mgmt | For | Against | Against |
Page 76
CCR S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CCRO3 | CINS P1413U105 | 04/15/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Capital Expenditure Budget | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Election of Board Member(s) Representative of Minority Shareholders | Mgmt | For | Abstain | Against | |||||
6 | Election of Supervisor Council Member(s) Representative of Minority Shareholders | Mgmt | For | For | For | |||||
7 | Remuneration Policy | Mgmt | For | For | For | |||||
8 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
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 |
Cemex S.A.B. De C.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CXWSB | CUSIP 151290889 | 03/20/2014 | 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 | Authority to Increase Share Capital | Mgmt | For | For | For | |||||
4 | Election of Directors; Election of Committee Members and Chairmen | Mgmt | For | For | For | |||||
5 | Directors’ and Committee Members’ Fees | Mgmt | For | For | For | |||||
6 | Election of Meeting Delegates | Mgmt | For | For | For | |||||
7 | Amendments to Articles Regarding Corporate Purpose | Mgmt | For | For | For | |||||
8 | Election of Meeting Delegates | Mgmt | For | For | For |
Page 77
China Construction Bank Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
601939 | CINS Y1397N101 | 10/24/2013 | 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 | Directors’ and Supervisors’ Fees | Mgmt | For | For | For | |||||
3 | Elect ZHANG Long | Mgmt | For | For | For | |||||
4 | Elect ZHANG Yanling | Mgmt | For | For | For | |||||
5 | Elect GUO Yanpeng | Mgmt | For | For | For |
China Construction Bank Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0939 | CINS Y1397N101 | 06/26/2014 | 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 | Directors’ Report | Mgmt | For | For | For | |||||
3 | Supervisors’ Report | Mgmt | For | For | For | |||||
4 | Final Financial Accounts | Mgmt | For | For | For | |||||
5 | Allocation of Dividends/Profits | Mgmt | For | For | For | |||||
6 | Fixed Assets Investment Budget | Mgmt | For | For | For | |||||
7 | Appointment of Auditor | Mgmt | For | For | For | |||||
8 | Elect DONG Shi | Mgmt | For | For | For | |||||
9 | Elect GUO You as Supervisor | Mgmt | For | For | For | |||||
10 | Plan on Authorisation to the Board of Directors | Mgmt | For | For | For |
Page 78
China Longyuan Power Group Corporation Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0916 | CINS Y1501T101 | 10/10/2013 | 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 | Authority to Issue Corporate Bonds | Mgmt | For | For | For | |||||
3 | Authority to Issue Ultra Short-term Debentures | Mgmt | For | For | For |
China Longyuan Power Group Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0916 | CINS Y1501T101 | 05/22/2014 | 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 | Directors’ Report | Mgmt | For | For | For | |||||
3 | Supervisors’ Report | Mgmt | For | For | For | |||||
4 | Final Accounts | Mgmt | For | For | For | |||||
5 | Accounts and Reports | Mgmt | For | For | For | |||||
6 | Budget Report | Mgmt | For | For | For | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Appointment of PRC Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
9 | Appointment of International Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
10 | Directors’ and Supervisors’ Fees | Mgmt | For | For | For | |||||
11 | Elect SHAO Guoyong | Mgmt | For | For | For | |||||
12 | Elect CHEN Jingdong | Mgmt | For | For | For | |||||
13 | Elect HAN Dechang | Mgmt | For | For | For | |||||
14 | Authority to Issue Debt Instruments | Mgmt | For | For | For | |||||
15 | Authority to Issue Domestic and H Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
16 | Shareholder Proposal | ShrHoldr | For | Against | Against |
Page 79
CIMC Enric Holdings Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3899 | CINS G2198S109 | 01/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 | Sales Agreement | Mgmt | For | For | For |
Cognizant Technology Solutions Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTSH | CUSIP 192446102 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael Patsalos-Fox | Mgmt | For | For | For | |||||
2 | Elect Robert E. Weissman | Mgmt | For | For | For | |||||
3 | Amendment to the 2009 Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Commercial International Bank (Egypt)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
COMI | CINS M25561107 | 03/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | Egypt |
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 | Report of the Board | Mgmt | For | For | For | |||||
3 | Report of the Auditor | Mgmt | For | For | For | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Ratification of Board Acts; Directors’ Fees | Mgmt | For | For | For | |||||
7 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
8 | Charitable Donations | Mgmt | For | For | For | |||||
9 | Board Committees’ Fees | Mgmt | For | For | For | |||||
10 | Changes to the Board | Mgmt | For | For | For | |||||
11 | Related Party Transactions | Mgmt | For | For | For |
Page 80
Corporacion Inmobiliaria Vesta Sab
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CIEB | CINS P9781N108 | 04/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Report on Tax Compliance | Mgmt | For | For | For | |||||
2 | Election of Directors; Election of Committee Chairmen | Mgmt | For | For | For | |||||
3 | Directors’ Fees | Mgmt | For | For | For | |||||
4 | Report on the Company’s Share Cancellation Program | Mgmt | For | For | For | |||||
5 | Election of Meeting Delegates | Mgmt | For | For | For |
Credicorp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BAP | CUSIP G2519Y108 | 03/31/2014 | 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 | Elect Dionisio Romero Paoletti | Mgmt | For | For | For | |||||
3 | Elect Raimundo Morales | Mgmt | For | For | For | |||||
4 | Elect Fernando Fort Marie | Mgmt | For | For | For | |||||
5 | Elect Reynaldo Llosa Barber | Mgmt | For | For | For | |||||
6 | Elect Juan Carlos Verme | Mgmt | For | For | For | |||||
7 | Elect Luis Enrique Yarur | Mgmt | For | For | For | |||||
8 | Elect Benedicto Ciguenas Guevara | Mgmt | For | For | For | |||||
9 | Elect Martine Perez Monteverde | Mgmt | For | For | For | |||||
10 | Election of Directors; Fees | Mgmt | For | For | For | |||||
11 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Divi’s Laboratories Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DIVISLAB | CINS Y2076F112 | 05/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Appointment of L. Ramesh Babu (Relative of N.V. Ramana and L. Kishore Babu); Approval of Remuneration | Mgmt | For | For | For |
Page 81
Eclat Textile Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1476 | CINS Y2237Y109 | 06/17/2014 | 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Capitalization of Profits and Issuance of New Shares | Mgmt | For | For | For | |||||
7 | Amendments to Articles | Mgmt | For | For | For | |||||
8 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
9 | Amendments to Procedural Rules: Derivatives Trading | Mgmt | For | For | For | |||||
10 | Amendments to Procedural Rules: Election of Directors and Supervisors | Mgmt | For | For | For | |||||
11 | EXTRAORDINARY MOTIONS | Mgmt | Abstain | Against | Against |
ENN Energy Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2688 | CINS G3066L101 | 05/30/2014 | 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 WANG Yusuo | Mgmt | For | For | For | |||||
6 | Elect YU Jianchao | Mgmt | For | For | For | |||||
7 | Elect Catherine YIEN Yu Yu | Mgmt | For | For | For | |||||
8 | Elect WANG Zizheng | Mgmt | For | For | For | |||||
9 | Elect MA Zhixiang | Mgmt | For | For | For | |||||
10 | Elect YUEN Po Kwong | Mgmt | For | For | For | |||||
11 | Director Vacancy | Mgmt | For | For | For | |||||
12 | Director’s Fees | Mgmt | For | For | For | |||||
13 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
15 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
16 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Page 82
Essar Energy Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESSR | CINS G3196V102 | 08/30/2013 | 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 | Elect Prashant Ruia | Mgmt | For | For | For | |||||
4 | Elect Naresh Nayyar | Mgmt | For | For | For | |||||
5 | Elect Sattar Hajee Abdoula | Mgmt | For | For | For | |||||
6 | Elect Philip Aiken | Mgmt | For | For | For | |||||
7 | Elect Subhas Lallah | Mgmt | For | For | For | |||||
8 | Elect Steve Lucas | Mgmt | For | For | For | |||||
9 | Elect Simon Murray | Mgmt | For | For | For | |||||
10 | Elect Ravi Ruia | Mgmt | For | For | For | |||||
11 | Appointment of Auditor | Mgmt | For | For | For | |||||
12 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
15 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
16 | Authorisation of Political Donations | Mgmt | For | For | For | |||||
17 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For |
Page 83
Eurasia Drilling Co Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EDCL | CINS 29843U202 | 09/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Cayman Islands |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect W. Richard Anderson | Mgmt | For | For | For | |||||
2 | Elect Rene Huck | Mgmt | For | For | For | |||||
3 | Elect Richard H. Matzke | Mgmt | For | For | For | |||||
4 | Elect Igor Belikov | Mgmt | For | For | For | |||||
5 | Elect Edward J. DiPaolo | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For |
Fanuc Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
6954 | CINS J13440102 | 06/27/2014 | 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 Yoshiharu Inaba | Mgmt | For | For | For | |||||
5 | Elect Kenji Yamaguchi | Mgmt | For | For | For | |||||
6 | Elect Hiroyuki Uchida | Mgmt | For | For | For | |||||
7 | Elect Yoshihiro Gonda | Mgmt | For | For | For | |||||
8 | Elect Kiyonori Inaba | Mgmt | For | For | For | |||||
9 | Elect Shunsuke Matsubara | Mgmt | For | For | For | |||||
10 | Elect Hiroshi Noda | Mgmt | For | For | For | |||||
11 | Elect Katsuo Kohari | Mgmt | For | For | For | |||||
12 | Elect Toshiya Okada | Mgmt | For | For | For | |||||
13 | Elect Richard E. Schneider | Mgmt | For | For | For | |||||
14 | Elect Olaf C. Gehrels | Mgmt | For | For | For | |||||
15 | Elect Masato Ono | Mgmt | For | For | For | |||||
16 | Elect Masaharu Sumikawa | Mgmt | For | For | For | |||||
17 | Statutory Auditors’ Fees | Mgmt | For | For | For |
Page 84
Fomento Economico Mexicano S.A.B. de C.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FMX | CUSIP 344419106 | 03/14/2014 | 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 | Report on Tax Compliance | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
5 | Election of Directors; Fees | Mgmt | For | For | For | |||||
6 | Election of Board Committee Members; Fees | Mgmt | For | For | For | |||||
7 | Election of Meeting Delegates | Mgmt | For | For | For | |||||
8 | Minutes | Mgmt | For | For | For |
Galaxy Entertainment Group Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0027 | CINS Y2679D118 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Hong Kong |
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 | Elect Paddy TANG LUI Wai Yu | Mgmt | For | For | For | |||||
5 | Elect William YIP Shue Lam | 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 Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Issue Repurchased Shares | Mgmt | For | For | For | |||||
11 | Deletion of Existing Articles | Mgmt | For | For | For | |||||
12 | Amendments to Articles | Mgmt | For | For | For | |||||
13 | Adoption of New Articles | Mgmt | For | For | For |
Page 85
Gazprom Neft
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIBN | CINS 36829G107 | 09/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Interim Dividend | Mgmt | For | For | For | |||||
2 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Gazprom Neft
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIBN | CINS 36829G107 | 10/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
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 | Related Party Transactions (JSC Tomskneft VNK) | Mgmt | For | For | For | |||||
3 | Related Party Transactions (JSC SN-MNG) | Mgmt | For | For | For | |||||
4 | Related Party Transactions (Salym Petroleum Development N.V.) | Mgmt | For | For | For | |||||
5 | Related Party Transactions (JSC Gazpromneft-Noyabrsknef tegaz) | Mgmt | For | For | For | |||||
6 | Related Party Transactions (LLC Zapolyarie) | Mgmt | For | For | For | |||||
7 | Related Party Transactions (Gazprom Neft Trading Gmbh) | Mgmt | For | For | For | |||||
8 | Related Party Transactions (JSC Sberbank) | Mgmt | For | For | For | |||||
9 | Related Party Transactions (JSC Gazprombank) | Mgmt | For | For | For | |||||
10 | Related Party Transactions (JSC Sberbank) | Mgmt | For | For | For | |||||
11 | Related Party Transactions (JSC Gazprombank) | Mgmt | For | For | For | |||||
12 | Related Party Transactions (JSC Gazprom) | Mgmt | For | For | For | |||||
13 | Related Party Transactions (CJSC Gazpromneft-Orenburg) | Mgmt | For | For | For | |||||
14 | Related Party Transactions (LLC ITSK) | Mgmt | For | For | For |
Page 86
Gazprom Neft OAO
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIBN | CINS 36829G107 | 06/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Annual Report | Mgmt | For | For | For | |||||
2 | Financial Statements | Mgmt | For | For | For | |||||
3 | Allocation of Profits | Mgmt | For | For | For | |||||
4 | Dividends | Mgmt | For | For | For | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Elect Vladimir I. Alisov | Mgmt | N/A | For | N/A | |||||
7 | Elect Marat M. Garaev | Mgmt | N/A | For | N/A | |||||
8 | Elect Valeriy A. Golubev | Mgmt | N/A | For | N/A | |||||
9 | Elect Nikolay N. Dubik | Mgmt | N/A | For | N/A | |||||
10 | Elect Alexander V. Dyukov | Mgmt | N/A | For | N/A | |||||
11 | Elect Alexander V. Kalinkin | Mgmt | N/A | For | N/A | |||||
12 | Elect Andrey V. Kruglov | Mgmt | N/A | For | N/A | |||||
13 | Elect Alexey B. Miller | Mgmt | N/A | For | N/A | |||||
14 | Elect Elena V. Mikhailova | Mgmt | N/A | For | N/A | |||||
15 | Elect Alexander A. Mikheyev | Mgmt | N/A | For | N/A | |||||
16 | Elect Kirill G. Seleznev | Mgmt | N/A | For | N/A | |||||
17 | Elect Valery P. Serdyukov | Mgmt | N/A | For | N/A | |||||
18 | Elect Mikhail L. Sereda | Mgmt | N/A | For | N/A | |||||
19 | Elect Sergei A. Fursenko | Mgmt | N/A | For | N/A | |||||
20 | Elect Vsevolod V. Cherepanov | Mgmt | N/A | For | N/A | |||||
21 | Elect Dmitri A. Arkhipov | Mgmt | For | For | For | |||||
22 | Elect Galina Y. Delvig | Mgmt | For | For | For | |||||
23 | Elect Vitaly A. Kovalev | Mgmt | For | For | For | |||||
24 | Elect Anatoly A. Kotlyar | Mgmt | For | For | For | |||||
25 | Elect Alexander A. Frolov | Mgmt | For | For | For | |||||
26 | Appointment of Auditor | Mgmt | For | For | For | |||||
27 | Directors’ Fees | Mgmt | For | For | For | |||||
28 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
29 | Audit Commission’s Fees | Mgmt | For | For | For | |||||
30 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 87
Genel Energy Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GENL | CINS G3791G104 | 04/22/2014 | 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 | Remuneration Report (Binding) | Mgmt | For | For | For | |||||
3 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
4 | Elect Rodney F. Chase | Mgmt | For | For | For | |||||
5 | Elect Anthony B. Hayward | Mgmt | For | For | For | |||||
6 | Elect Julian Metherell | Mgmt | For | For | For | |||||
7 | Elect Sir Graham Hearne | Mgmt | For | For | For | |||||
8 | Elect James William Leng | Mgmt | For | For | For | |||||
9 | Elect Mehmet Ogutcu | Mgmt | For | For | For | |||||
10 | Elect Mark Parris | Mgmt | For | For | For | |||||
11 | Elect George Rose | Mgmt | For | For | For | |||||
12 | Elect Nathaniel P. Rothschild | Mgmt | For | For | For | |||||
13 | Elect Chakib Sbiti | Mgmt | For | For | For | |||||
14 | Elect Gulsun Nazli Karamehmet Williams | Mgmt | For | For | For | |||||
15 | Elect Murat Yazici | Mgmt | For | For | For | |||||
16 | Appointment of Auditor | Mgmt | For | For | For | |||||
17 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
18 | Authorisation of Political Donations | Mgmt | For | For | For | |||||
19 | Restricted Share Plan | Mgmt | For | For | For | |||||
20 | Waiver of Mandatory Takeover Requirement | Mgmt | For | For | For | |||||
21 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
22 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For | |||||
23 | Amendments to Articles | Mgmt | For | For | For | |||||
24 | Amendments to Articles | Mgmt | For | For | For |
Page 88
Ginko International Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8406 | CINS G39010106 | 06/18/2014 | 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 | Amendments to Convertible Bonds Issue | Mgmt | For | For | For | |||||
9 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
10 | Elect QIAN Jing | Mgmt | For | Abstain | Against | |||||
11 | Elect HU Chih-Kai as Supervisor | Mgmt | For | Abstain | Against | |||||
12 | Non-compete Restrictions for Directors | Mgmt | For | Against | Against | |||||
13 | Extraordinary Motions | Mgmt | N/A | Against | N/A |
Page 89
Grupo Financiero Santander Mexico SAB de CV
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SANMEX | CINS P49513107 | 06/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendments to Articles | Mgmt | For | Abstain | Against | |||||
2 | Amendments to Sole Responsibility Agreement | Mgmt | For | Abstain | Against | |||||
3 | Election of Meeting Delegates | Mgmt | For | For | For |
Hankook Tire Co Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
161390 | CINS Y3R57J108 | 03/28/2014 | 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 |
Hermes Microvision Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3658 | CINS Y3R79M105 | 06/06/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
6 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
7 | Amendments to Articles | Mgmt | For | For | For | |||||
8 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
9 | Elect SHU Chin-Yung | Mgmt | For | For | For | |||||
10 | Elect JAU Ying-Chia | Mgmt | For | For | For | |||||
11 | Elect Representative of Hermes Epitek Corp. | Mgmt | For | For | For | |||||
12 | Elect YANG Chyan | Mgmt | For | For | For | |||||
13 | Elect CHEN Zhong-Wei | Mgmt | For | For | For | |||||
14 | Elect LIANG Kai-Tai | Mgmt | For | For | For | |||||
15 | Elect HU Han-Liang | Mgmt | For | For | For | |||||
16 | Elect TU Huai-Chi | Mgmt | For | For | For | |||||
17 | Elect KIN Lien-Fang | Mgmt | For | For | For | |||||
18 | Non-compete Restrictions for Directors | Mgmt | For | For | For | |||||
19 | EXTRAORDINARY MOTIONS | Mgmt | N/A | Against | N/A | |||||
20 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 90
Himax Technologies
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HIMX | CUSIP 43289P106 | 09/04/2013 | 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 | Transaction of Other Business | Mgmt | For | Against | Against |
Hiwin Technologies Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2049 | CINS Y3226A102 | 06/27/2014 | 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 Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Accounts and Reports | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Capitalization of Retained Earnings and Issuance of New Shares | Mgmt | For | For | For | |||||
7 | Amendments to Procedural Rules: Capital Loans | Mgmt | For | For | For | |||||
8 | Amendments to Procedural Rules: Acquisition and Disposal of Assets | Mgmt | For | For | For | |||||
9 | EXTRAORDINARY MOTIONS | Mgmt | N/A | For | N/A |
Page 91
Hyundai Mipo Dock Yard
Ticker | Security ID: | Meeting Date | Meeting Status | |||
010620 | CINS Y3844T103 | 03/21/2014 | 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 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
3 | Election of Audit Committee Members (Slate) | Mgmt | For | For | For | |||||
4 | Directors’ Fees | Mgmt | For | For | For |
Hyundai Mobis
Ticker | Security ID: | Meeting Date | Meeting Status | |||
012330 | CINS Y3849A109 | 03/14/2014 | 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 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
3 | Election of Audit Committee Members (Slate) | Mgmt | For | For | For | |||||
4 | Directors’ Fees | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 92
Hyundai Motor
Ticker | Security ID: | Meeting Date | Meeting Status | |||
012330 | CINS Y38472109 | 03/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Korea, Republic of |
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 Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
4 | Election of Audit Committee Member: OH Seh Bin | Mgmt | For | For | For | |||||
5 | Directors’ Fees | Mgmt | For | For | For | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
ICICI Bank Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ICICIBANK | CINS Y38575109 | 06/30/2014 | 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 on Preference Shares | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends on Equity Shares | Mgmt | For | For | For | |||||
4 | Elect K. Ramkumar | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Appointment of Branch Auditors and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Elect V.K. Sharma | Mgmt | For | For | For | |||||
8 | Appoint Rajiv Sabharwal (Executive Director); Approval of Remuneration | Mgmt | For | For | For | |||||
9 | Amendments to Articles | Mgmt | For | For | For | |||||
10 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
11 | Authority to Issue Redeemable Non-Convertible Debentures | Mgmt | For | For | For | |||||
12 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 93
Idea Cellular Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IDEA | CINS Y3857E100 | 12/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendment to Foreign Investor Restrictions | Mgmt | For | For | For | |||||
2 | Amendment to Remuneration of Himanshu Kapania (Managing Director) | Mgmt | For | For | For |
Industrial & Commercial Bank Of China
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1398 | CINS Y3990B112 | 06/06/2014 | 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 | Directors’ Report | Mgmt | For | For | For | |||||
3 | Supervisors’ Report | Mgmt | For | For | For | |||||
4 | Elect ZHAO Lin as Supervisor | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Industrial & Commercial Bank of China Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1398 | CINS Y3990B112 | 09/10/2013 | 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 | Directors’ and Supervisors’ Fees | Mgmt | For | For | For | |||||
3 | Elect YI Xiqun | Mgmt | For | For | For | |||||
4 | Elect FU Zhongjun | Mgmt | For | For | For |
Page 94
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/03/2014 | 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 Henry E. Gauthier | Mgmt | For | For | For | |||||
1.7 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.8 | Elect Eric Meurice | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
1.10 | Elect Thomas J. Seifert | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
JSL S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JSLG3 | CINS P6065E101 | 12/17/2013 | 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 | Amendment to Articles Regarding Corporate Purpose | Mgmt | For | For | For | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Consolidation of Articles | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 95
Kalbe Farma
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KLBF | CINS Y71287208 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Directors’ Report | Mgmt | For | For | For | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Election of Directors and Commissioners (Slate) | Mgmt | For | For | For | |||||
5 | Directors’ and Commissioners’ Fees | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
KB Financial Group Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
105560 | CINS Y46007103 | 03/28/2014 | 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 | Elect CHO Jae Ho | Mgmt | For | For | For | |||||
3 | Elect KIM Myeong Jik | Mgmt | For | For | For | |||||
4 | Elect SHIN Seong Hwan | Mgmt | For | For | For | |||||
5 | Elect LEE Kyung Jae | Mgmt | For | For | For | |||||
6 | Elect KIM Young Jin | Mgmt | For | For | For | |||||
7 | Elect HWANG Kun Ho | Mgmt | For | For | For | |||||
8 | Elect LEE Jong Cheon | Mgmt | For | For | For | |||||
9 | Elect KOH Seung Eui | Mgmt | For | For | For | |||||
10 | Election of Audit Committee Members : SHIN Seong Hwan | Mgmt | For | For | For | |||||
11 | Election of Audit Committee Members : LEE Kyung Jae | Mgmt | For | For | For | |||||
12 | Election of Audit Committee Members : KIM Young Jin | Mgmt | For | For | For | |||||
13 | Election of Audit Committee Members : LEE Jong Cheon | Mgmt | For | For | For | |||||
14 | Election of Audit Committee Members : KOH Seung Eui | Mgmt | For | For | For | |||||
15 | Directors’ Fees | Mgmt | For | For | For |
Page 96
Kia Motors
Ticker | Security ID: | Meeting Date | Meeting Status | |||
000270 | CINS Y47601102 | 03/21/2014 | 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 | Election of Directors (Slate) | Mgmt | For | For | For | |||||
3 | Election of Audit Committee Members (Slate) | Mgmt | For | For | For | |||||
4 | Directors’ Fees | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Komercni Banka, A.S.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BAAKOMB | CINS X45471111 | 01/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Czech Republic |
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 Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Compliance with Rules of Convocation | Mgmt | For | For | For | |||||
4 | Amendments to Articles | Mgmt | For | For | For | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Page 97
L G Chemical
Ticker | Security ID: | Meeting Date | Meeting Status | |||
051910 | CINS Y52758102 | 03/14/2014 | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect KIM Sae Jin | Mgmt | For | For | For | |||||
4 | Election of Audit Committee Member: KIM Sae Jin | Mgmt | For | For | For | |||||
5 | Directors’ Fees | Mgmt | For | For | For |
Lukoil OAO
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LKO | CINS 677862104 | 06/26/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports; Allocation of Profits/Dividends | 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 | |||||
5 | Elect Vagit Y. Alekperov | Mgmt | For | For | For | |||||
6 | Elect Victor V. Blazheev | Mgmt | For | For | For | |||||
7 | Elect Valery I. Grayfer | Mgmt | For | For | For | |||||
8 | Elect Igor S. Ivanov | Mgmt | For | For | For | |||||
9 | Elect Sergei Alekseevich Kochkurov | Mgmt | For | For | For | |||||
10 | Elect Ravil U. Maganov | Mgmt | For | For | For | |||||
11 | Elect Richard H. Matzke | Mgmt | For | For | For | |||||
12 | Elect Sergei A. Mikhailov | Mgmt | For | For | For | |||||
13 | Elect Mark Mobius | Mgmt | For | For | For | |||||
14 | Elect Guglielmo Moscato | Mgmt | For | For | For | |||||
15 | Elect Ivan Pictet | Mgmt | For | Abstain | Against | |||||
16 | Elect Leonid A. Fedun | Mgmt | For | For | For | |||||
17 | Elect Mikhail B. Maksimov | Mgmt | For | For | For | |||||
18 | Elect Pavel Aleksandrovich Suloev | Mgmt | For | For | For | |||||
19 | Elect Aleksandr V. Surkov | Mgmt | For | For | For | |||||
20 | 2013 Directors’ Fees | Mgmt | For | For | For | |||||
21 | Directors’ Fees | Mgmt | For | For | For | |||||
22 | 2013 Audit Commission’s Fees | Mgmt | For | For | For | |||||
23 | Audit Commission’s Fees | Mgmt | For | For | For | |||||
24 | Appointment of Auditor | Mgmt | For | For | For | |||||
25 | Amendments to Charter | Mgmt | For | For | For | |||||
26 | Amendments to General Meeting Regulations | Mgmt | For | For | For | |||||
27 | Indemnification of Directors/Officers | Mgmt | For | For | For | |||||
28 | Related Party Transactions | Mgmt | For | For | For | |||||
29 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 98
Magnit
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MGNT | CINS X51729105 | 09/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Interim Dividend | Mgmt | For | For | For | |||||
2 | Related Party Transactions | Mgmt | For | Against | Against | |||||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Magnit OAO
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MGNT | CINS X51729105 | 05/29/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||||
2 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
4 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
5 | Elect Andrey N. Arutyunyan | Mgmt | For | TNA | N/A | |||||
6 | Elect Sergey N. Galitsky | Mgmt | For | TNA | N/A | |||||
7 | Elect Alexander L. Zayonts | Mgmt | For | TNA | N/A | |||||
8 | Elect Alexei P. Makhnev | Mgmt | For | TNA | N/A | |||||
9 | Elect Khachatur E. Pombykhchan | Mgmt | For | TNA | N/A | |||||
10 | Elect Aleksey A. Pshenichny | Mgmt | For | TNA | N/A | |||||
11 | Elect Aslan Y. Shkhachemukov | Mgmt | For | TNA | N/A | |||||
12 | Elect Roman G. Yefimenko | Mgmt | For | TNA | N/A | |||||
13 | Elect Angela V. Udovichenko | Mgmt | For | TNA | N/A | |||||
14 | Elect Denis A. Fedotov | Mgmt | For | TNA | N/A | |||||
15 | Appointment of FABER LEX as Russian Accounting Standards (RAS) Auditor | Mgmt | For | TNA | N/A | |||||
16 | Appointment of ERNST & YOUNG as IFRS Auditor | Mgmt | For | TNA | N/A | |||||
17 | Election of Counting Commission | Mgmt | For | TNA | N/A | |||||
18 | Adoption of New Articles | Mgmt | For | TNA | N/A | |||||
19 | Adoption of New Regulations on General Meeting of Shareholders | Mgmt | For | TNA | N/A | |||||
20 | Major Transaction with ZAO Tander | Mgmt | For | TNA | N/A | |||||
21 | Major Transactions with OAO Sberbank of Russia | Mgmt | For | TNA | N/A | |||||
22 | Major Transactions with OAO Alfa-Bank | Mgmt | For | TNA | N/A | |||||
23 | Major Transactions with OAO Bank of Moscow | Mgmt | For | TNA | N/A | |||||
24 | Related Party Transactions with Rosbank | Mgmt | For | TNA | N/A | |||||
25 | Related Party Transactions with OAO AKB Absolut Bank | Mgmt | For | TNA | N/A | |||||
26 | Related Party Transactions with OAO AKB Absolut Bank (Obligations on Credit Agreement No. 133-VKL/KRD-13) | Mgmt | For | TNA | N/A | |||||
27 | Related Party Transactions with OAO Russian Agricultural Bank | Mgmt | For | TNA | N/A | |||||
28 | Related Party Transactions with OAO VTB Bank | Mgmt | For | TNA | N/A |
Page 99
MegaFon
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MFON | CINS 58517T209 | 02/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
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 | Related Party Transactions | Mgmt | For | For | For | |||||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 100
MegaFon
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MFON | CINS 58517T209 | 03/17/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Early Termination of Board Powers | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Elect Gustav Jonas Markus Bengtsson | Mgmt | For | For | For | |||||
4 | Elect Berndt Kenneth Karlberg | Mgmt | For | For | For | |||||
5 | Elect Sergey Aleksandrovich Kulikov | Mgmt | For | For | For | |||||
6 | Elect Nikolay Borisovich Krylov | Mgmt | For | For | For | |||||
7 | Elect Carl Peter Christian Luiga | Mgmt | For | For | For | |||||
8 | Elect Lord Paul Myners | Mgmt | For | For | For | |||||
9 | Elect Jan Erik Rudberg | Mgmt | For | For | For | |||||
10 | Elect Sergey Vladimirovich Soldatenkov | Mgmt | For | For | For | |||||
11 | Elect Ingrid Maria Stenmark | Mgmt | For | For | For | |||||
12 | Elect Vladimir Yakovlevich Streshinsky | Mgmt | For | For | For | |||||
13 | Elect Bjorn Sverker Hannervall | Mgmt | For | For | For | |||||
14 | Elect Erik Sverker Reinhold Theodor Hallberg | Mgmt | For | For | For | |||||
15 | Elect Jan David Erixon | Mgmt | For | For | For |
Page 101
MegaFon
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MFON | CINS 58517T209 | 09/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Directors’ Fees | Mgmt | For | For | For | |||||
2 | Related Party Transactions | Mgmt | For | For | For | |||||
3 | Adoption of New Regulations on Shareholder Meetings | Mgmt | For | For | For |
Page 102
MegaFon
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MFON | CINS 58517T209 | 10/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | D&O Liability Insurance | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Elect Ivan Tavrin | Mgmt | For | For | For | |||||
4 | Elect Alexander Bashmakov | Mgmt | For | For | For | |||||
5 | Elect Gevork Vermishyan | Mgmt | For | For | For | |||||
6 | Elect Anait Gasparian | Mgmt | For | For | For | |||||
7 | Elect Mikhail Dubin | Mgmt | For | For | For | |||||
8 | Elect Eduard Ostrovsky | Mgmt | For | For | For | |||||
9 | Elect Anna Serebryanikova | Mgmt | For | For | For | |||||
10 | Elect Evgeny Chermashentsev | Mgmt | For | For | For | |||||
11 | Elect Igor Shirokov | Mgmt | For | For | For | |||||
12 | Elect Valery Velichko | Mgmt | For | For | For | |||||
13 | Elect Alexander Grigoriev | Mgmt | For | For | For | |||||
14 | Elect Pavel Korchagin | Mgmt | For | For | For | |||||
15 | Elect Andrey Levykin | Mgmt | For | For | For | |||||
16 | Elect Konstantin Likhodedov | Mgmt | For | For | For | |||||
17 | Elect Alexey Semenov | Mgmt | For | For | For | |||||
18 | Elect Alexei Tyutin | Mgmt | For | For | For | |||||
19 | Elect Stanislav Frolov | Mgmt | For | For | For |
Melco Crown Entertainment Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MPEL | CUSIP 585464100 | 05/21/2014 | 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 | Elect Yuk Man Chung | Mgmt | For | For | For | |||||
3 | Elect William T. Nisbet | Mgmt | For | For | For | |||||
4 | Elect James A. C. MacKenzie | Mgmt | For | For | For | |||||
5 | Elect Thomas J. Wu | 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 | Issuance of Common Stock | Mgmt | For | For | For | |||||
9 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
10 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Page 103
Melco Crown Entertainment Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MPEL | CUSIP 585464100 | 03/26/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Special Dividend | Mgmt | For | For | For |
Minebea Co Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
6479 | CINS J42884130 | 06/27/2014 | 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 Shinichiroh Shibasaki as Statutory Auditor | Mgmt | For | For | For | |||||
4 | Renewal of Takeover Defense Plan | Mgmt | For | Against | Against |
Mobile Telesystems
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MTSS | CINS X5430T109 | 09/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Meeting Procedures | Mgmt | For | For | For | |||||
2 | Interim Dividend | Mgmt | For | For | For | |||||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 104
Moscow Exchange Micex OJSC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MOEX | CINS X5504J102 | 06/26/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Russian Federation |
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 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Elect Alexander Afanasiev | Mgmt | For | For | For | |||||
5 | Elect Nicola Beattie | Mgmt | For | For | For | |||||
6 | Elect Mikhail Bratanov | Mgmt | For | For | For | |||||
7 | Elect Yuan Wang | Mgmt | For | For | For | |||||
8 | Elect Sean Glodek | Mgmt | For | For | For | |||||
9 | Elect Andrei Golikov | Mgmt | For | For | For | |||||
10 | Elect Valery Goreglyad | Mgmt | For | For | For | |||||
11 | Elect Yuriy Denisov | Mgmt | For | For | For | |||||
12 | Elect Bella Zlatkis | Mgmt | For | For | For | |||||
13 | Elect Anatoly Karachinskiy | Mgmt | For | For | For | |||||
14 | Elect Sergey Kozlov | Mgmt | For | For | For | |||||
15 | Elect Alexey Kudrin | Mgmt | For | For | For | |||||
16 | Elect Sergey Lykov | Mgmt | For | For | For | |||||
17 | Elect Rainer Riess | Mgmt | For | For | For | |||||
18 | Elect Kirill Shershun | Mgmt | For | For | For | |||||
19 | Elect Olga Romantsova | Mgmt | For | For | For | |||||
20 | Elect Tatiana Sannikova | Mgmt | For | For | For | |||||
21 | Elect Vyacheslav Ulupov | Mgmt | For | For | For | |||||
22 | Appointment of Auditor | Mgmt | For | For | For | |||||
23 | Adoption of New Articles | Mgmt | For | For | For | |||||
24 | Adoption of New Regulations on Board of Directors | Mgmt | For | For | For | |||||
25 | Adoption of New Executive Board Regulations | Mgmt | For | For | For | |||||
26 | Adoption of New Audit Commission Regulations | Mgmt | For | For | For | |||||
27 | Adoption of New Regulations on Remuneration of Board of Directors | Mgmt | For | For | For | |||||
28 | Directors’ Fees | Mgmt | For | For | For | |||||
29 | Audit Commission Members’ Fees | Mgmt | For | For | For | |||||
30 | Related Party Transactions with STATUS CJSC | Mgmt | For | For | For | |||||
31 | Related Party Transactions | Mgmt | For | For | For | |||||
32 | Related Party Transactions | Mgmt | For | For | For | |||||
33 | Related Party Transaction with MICEX Stock Exchange CJSC | Mgmt | For | For | For | |||||
34 | Termination of Membership in Russian Exchange Union | Mgmt | For | For | For |
Page 105
MTN Group Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MTN | CINS S8039R108 | 05/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | South Africa |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Re-elect Koosum Kalyan | Mgmt | For | For | For | |||||
2 | Re-elect Johnson Njeke | Mgmt | For | For | For | |||||
3 | Re-elect Jeff van Rooyen | Mgmt | For | For | For | |||||
4 | Re-elect Jan H.N. Strydom | Mgmt | For | For | For | |||||
5 | Re-elect Alan van Biljon | Mgmt | For | For | For | |||||
6 | Elect Phuthuma F. Nhleko | Mgmt | For | For | For | |||||
7 | Elect Brett Goschen | Mgmt | For | For | For | |||||
8 | Elect Audit Committee Member (Alan van Biljon) | Mgmt | For | For | For | |||||
9 | Elect Audit Committee Member (Jeff van Rooyen) | Mgmt | For | For | For | |||||
10 | Elect Audit Committee Member (Nkateko Mageza) | Mgmt | For | For | For | |||||
11 | Elect Audit Committee Member (Johnson Njeke) | Mgmt | For | For | For | |||||
12 | Appointment of Auditor | Mgmt | For | For | For | |||||
13 | General Authority to Issue Shares | Mgmt | For | For | For | |||||
14 | Approve Remuneration Policy | Mgmt | For | For | For | |||||
15 | Approve NEDs’ Fees | Mgmt | For | For | For | |||||
16 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
17 | Approve Financial Assistance | Mgmt | For | For | For | |||||
18 | Authority to Repurchase Treasury Shares | Mgmt | For | For | For | |||||
19 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 106
Naspers Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NPN | CINS S53435103 | 08/30/2013 | 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 | Approve Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Appointment of Auditor | Mgmt | For | For | For | |||||
4 | Re-elect Lourens N. Jonker | Mgmt | For | For | For | |||||
5 | Re-elect Fred Phaswana | Mgmt | For | For | For | |||||
6 | Re-elect Ben J. van der Ross | Mgmt | For | For | For | |||||
7 | Re-elect Ton Vosloo | Mgmt | For | For | For | |||||
8 | Re-elect Francine-Ann du Plessis | Mgmt | For | For | For | |||||
9 | Elect Audit Committee Member (Francine-Ann du Plessis) | Mgmt | For | For | For | |||||
10 | Elect Audit Committee Member (Ben van der Ross) | Mgmt | For | For | For | |||||
11 | Elect Audit Committee Member (Boetie van Zyl) | Mgmt | For | For | For | |||||
12 | Approve Remuneration Policy | Mgmt | For | For | For | |||||
13 | General Authority to Issue Shares | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares for Cash | Mgmt | For | For | For | |||||
15 | Authorisation of Legal Formalities | Mgmt | For | For | For | |||||
16 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
17 | Approve NEDs’ Fees (Board - Chair) | Mgmt | For | For | For | |||||
18 | Approve NEDs’ Fees (Board - South African Resident Member) | Mgmt | For | For | For | |||||
19 | Approve NEDs’ Fees (Board - Non-South African Resident Member) | Mgmt | For | For | For | |||||
20 | Approve NEDs’ Fees (Board - Consultation Fee for Non-South African resident) | Mgmt | For | For | For | |||||
21 | Approve NEDs’ Fees (Board - Daily Fee) | Mgmt | For | For | For | |||||
22 | Approve NEDs’ Fees (Audit Committee Chair) | Mgmt | For | For | For | |||||
23 | Approve NEDs’ Fees (Audit Committee Member) | Mgmt | For | For | For | |||||
24 | Approve NEDs’ Fees (Risk Committee Chair) | Mgmt | For | For | For | |||||
25 | Approve NEDs’ Fees (Risk Committee Member) | Mgmt | For | For | For | |||||
26 | Approve NEDs’ Fees (Human Resources and Remuneration Committee Chair) | Mgmt | For | For | For | |||||
27 | Approve NEDs’ Fees (Human Resources and Remuneration Committee Member) | Mgmt | For | For | For | |||||
28 | Approve NEDs’ Fees (Nomination Committee Chair) | Mgmt | For | For | For | |||||
29 | Approve NEDs’ Fees (Nomination Committee Member) | Mgmt | For | For | For | |||||
30 | Approve NEDs’ Fees (Social and Ethics Committee Chair) | Mgmt | For | For | For | |||||
31 | Approve NEDs’ Fees (Social and Ethics Committee Member) | Mgmt | For | For | For | |||||
32 | Approve NEDs’ Fees (Media24 Safety, Health and Environment Committee) | Mgmt | For | For | For | |||||
33 | Approve NEDs’ Fees (Share Schemes/Other Personnel Funds Trustees) | Mgmt | For | For | For | |||||
34 | Approve NEDs’ Fees (Media24 Pension Fund Chair) | Mgmt | For | For | For | |||||
35 | Approve NEDs’ Fees (Media24 Pension Fund Trustee) | Mgmt | For | For | For | |||||
36 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
37 | Approve NEDs’ Fees (Board - Chair) | Mgmt | For | For | For | |||||
38 | Approve NEDs’ Fees (Board - South African Resident Member) | Mgmt | For | For | For | |||||
39 | Approve NEDs’ Fees (Board - Non-South African Resident Member) | Mgmt | For | For | For | |||||
40 | Approve NEDs’ Fees (Board - Consultation Fee for Non-South African resident) | Mgmt | For | For | For | |||||
41 | Approve NEDs’ Fees (Board - Daily Fee) | Mgmt | For | For | For | |||||
42 | Approve NEDs’ Fees (Audit Committee Chair) | Mgmt | For | For | For | |||||
43 | Approve NEDs’ Fees (Audit Committee Member) | Mgmt | For | For | For | |||||
44 | Approve NEDs’ Fees (Risk Committee Chair) | Mgmt | For | For | For | |||||
45 | Approve NEDs’ Fees (Risk Committee Member) | Mgmt | For | For | For | |||||
46 | Approve NEDs’ Fees (Human Resources and Remuneration Committee Chair) | Mgmt | For | For | For | |||||
47 | Approve NEDs’ Fees (Human Resources and Remuneration Committee Member) | Mgmt | For | For | For | |||||
48 | Approve NEDs’ Fees (Nomination Committee Chair) | Mgmt | For | For | For | |||||
49 | Approve NEDs’ Fees (Nomination Committee Member) | Mgmt | For | For | For | |||||
50 | Approve NEDs’ Fees (Social and Ethics Committee Chair) | Mgmt | For | For | For | |||||
51 | Approve NEDs’ Fees (Social and Ethics Committee Member) | Mgmt | For | For | For | |||||
52 | Approve NEDs’ Fees (Media24 Safety, Health and Environment Committee) | Mgmt | For | For | For | |||||
53 | Approve NEDs’ Fees (Share Schemes/Other Personnel Funds Trustees) | Mgmt | For | For | For | |||||
54 | Approve NEDs’ Fees (Media24 Pension Fund Chair) | Mgmt | For | For | For | |||||
55 | Approve NEDs’ Fees (Media24 Pension Fund Trustee) | Mgmt | For | For | For | |||||
56 | Amendment to Memorandum | Mgmt | For | For | For | |||||
57 | Approve Financial Assistance (s. 44) | Mgmt | For | For | For | |||||
58 | Approve Financial Assistance (s. 45) | Mgmt | For | For | For | |||||
59 | Authority to Repurchase N Ordinary Shares | Mgmt | For | For | For | |||||
60 | Authority to Repurchase A Ordinary Shares | Mgmt | For | For | For |
Page 107
National Bank of Greece S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ETE | CINS X56533148 | 06/26/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | Greece |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Directors’ and Auditor’s Reports | Mgmt | For | For | For | |||||
2 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Ratification of Directors’ and Auditor’s Acts | Mgmt | For | For | For | |||||
4 | Directors’ Fees | Mgmt | For | Abstain | Against | |||||
5 | Board Transactions | Mgmt | For | For | For | |||||
6 | Election of Directors | Mgmt | For | Abstain | Against | |||||
7 | Election of Audit Committee Members | Mgmt | For | Abstain | Against | |||||
8 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
9 | Amendments to Articles | Mgmt | For | For | For | |||||
10 | Transaction of Other Business | Mgmt | For | Against | Against | |||||
11 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Naver Co Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
035420 | CINS Y62579100 | 03/21/2014 | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect KIM Sang Hun | Mgmt | For | For | For | |||||
4 | Elect HWANG In Jun | Mgmt | For | For | For | |||||
5 | Directors’ Fees | Mgmt | For | For | For | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Novatek Oao
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NVTK | CINS 669888109 | 10/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Interim Dividend | Mgmt | For | For | For |
Page 108
Oil Search Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OSH | CINS Y64695110 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Papua New Guinea |
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 Kostas G. Constantinou | Mgmt | For | For | For | |||||
3 | Re-elect Agu J. Kantsler | Mgmt | For | For | For | |||||
4 | Re-elect Ziggy E. Switkowski | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Equity Grant (MD Peter Botten - Performance Rights) | Mgmt | For | For | For | |||||
7 | Equity Grant (Executive Director Gerea Aopi - Performance Rights) | Mgmt | For | For | For | |||||
8 | Equity Grant (MD Peter Botten - Restricted Shares) | Mgmt | For | For | For | |||||
9 | Equity Grant (Executive Director - Restricted Shares) | Mgmt | For | For | For |
Qualicorp SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QUAL3 | CINS P7S21H105 | 06/13/2014 | 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 | Amendment to the Stock Option Plan | Mgmt | For | For | For | |||||
4 | Increase in Global Aggregate Remuneration | Mgmt | For | Against | Against | |||||
5 | Elect Jose Seripieri Filho as Chairman of the Board | Mgmt | For | Against | Against |
Page 109
Samsung Electronics
Ticker | Security ID: | Meeting Date | Meeting Status | |||
005930 | CINS Y74718100 | 03/14/2014 | 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 |
Sands China Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1928 | CINS G7800X107 | 07/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 110
Sberbank
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBER | CINS 80585Y308 | 06/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Russian Federation |
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 | Mgmt | For | For | For | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
6 | Elect Martin Grant Gilman | Mgmt | For | For | For | |||||
7 | Elect Valery P. Goreglyad | Mgmt | For | For | For | |||||
8 | Elect Herman O. Gref | Mgmt | For | For | For | |||||
9 | Elect Evsey T. Gurvich | Mgmt | For | For | For | |||||
10 | Elect Bella I. Zlatkis | Mgmt | For | For | For | |||||
11 | Elect Nadezhda Y. Ivanova | Mgmt | For | For | For | |||||
12 | Elect Sergey M. Ignatyev | Mgmt | For | For | For | |||||
13 | Elect Peter Kraljic | Mgmt | For | For | For | |||||
14 | Elect Alexey L. Kudrin | Mgmt | For | For | For | |||||
15 | Elect Georgy I. Luntovsky | Mgmt | For | For | For | |||||
16 | Elect Vladimir A. Mau | Mgmt | For | For | For | |||||
17 | Elect Gennady G. Melikyan | Mgmt | For | For | For | |||||
18 | Elect Leif Pagrotsky | Mgmt | For | For | For | |||||
19 | Elect Alessandro Profumo | Mgmt | For | For | For | |||||
20 | Elect Sergey G. Sinelnikov-Murylev | Mgmt | For | For | For | |||||
21 | Elect Dmitry Tulin | Mgmt | For | For | For | |||||
22 | Elect Nadia Wells | Mgmt | For | For | For | |||||
23 | Elect Sergei A. Shvetsov | Mgmt | For | For | For | |||||
24 | Elect Natalia P. Borodina | Mgmt | For | For | For | |||||
25 | Elect Vladimir M. Volkov | Mgmt | For | For | For | |||||
26 | Elect Tatiana A. Domanskaya | Mgmt | For | For | For | |||||
27 | Elect Yulia Y. Isakhanova | Mgmt | For | For | For | |||||
28 | Elect Alexei Minenko | Mgmt | For | For | For | |||||
29 | Elect Olga V. Polyakova | Mgmt | For | For | For | |||||
30 | Elect Revina Natalia Vladimirovna | Mgmt | For | For | For | |||||
31 | Approval of New Charter | Mgmt | For | For | For | |||||
32 | Approval of New Meeting Regulations | Mgmt | For | For | For | |||||
33 | Approval of New Supervisory Board Regulations | Mgmt | For | For | For | |||||
34 | Approval of New Audit Commission Regulations | Mgmt | For | For | For | |||||
35 | Approval of New Management Board Regulations | Mgmt | For | For | For | |||||
36 | Audit Commission Fees | Mgmt | For | For | For |
Page 111
Shinhan Financial Group Co. Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
055550 | CINS Y7749X101 | 03/26/2014 | 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 | Elect HAN Dong Woo | Mgmt | For | For | For | |||||
3 | Elect KWON Tae Eun | Mgmt | For | For | For | |||||
4 | Elect KIM Kee Young | Mgmt | For | For | For | |||||
5 | Elect KIM Seok Won | Mgmt | For | For | For | |||||
6 | Elect NAM Koong Hoon | Mgmt | For | For | For | |||||
7 | Elect LEE Man Woo | Mgmt | For | For | For | |||||
8 | Elect LEE Sang Kyung | Mgmt | For | For | For | |||||
9 | Elect JUNG Jin | Mgmt | For | For | For | |||||
10 | Elect HARUKI Hirakawa | Mgmt | For | For | For | |||||
11 | Elect PHILLIPPE Aguignier | Mgmt | For | For | For | |||||
12 | Election of Audit Committee Members : KWON Tae Eun | Mgmt | For | For | For | |||||
13 | Election of Audit Committee Members : KIM Seok Won | Mgmt | For | For | For | |||||
14 | Election of Audit Committee Members : LEE Man Woo | Mgmt | For | For | For | |||||
15 | Election of Audit Committee Members : LEE Sang Kyung | Mgmt | For | For | For | |||||
16 | Directors’ Fees | Mgmt | For | For | For |
Sihuan Pharmaceutical Holdings Group Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0460 | CINS G8162K113 | 05/30/2014 | 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 CHE Fengsheng | Mgmt | For | For | For | |||||
6 | Elect Homer Sun | Mgmt | For | For | For | |||||
7 | Elect ZHANG Jionglong | Mgmt | For | For | For | |||||
8 | Elect TSANG Wah Kwong | Mgmt | For | For | For | |||||
9 | Elect ZHU Xun | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
12 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
14 | Authority to Issue Repurchased Shares | Mgmt | For | For | For | |||||
15 | Increase in Authorized Capital | Mgmt | For | For | For | |||||
16 | Bonus Share Issuance | Mgmt | For | For | For | |||||
17 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 112
SM Investments Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SM | CINS Y80676102 | 04/30/2014 | 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 | Approval of Notice and Determination of Quorum | Mgmt | For | For | For | |||||
4 | Meeting Minutes | Mgmt | For | For | For | |||||
5 | Annual Report | Mgmt | For | For | For | |||||
6 | Ratification of Board and Management Acts | Mgmt | For | For | For | |||||
7 | Amendments to Articles | Mgmt | For | For | For | |||||
8 | Elect Henry Sy, Sr. | Mgmt | For | For | For | |||||
9 | Elect Teresita T. Sy | Mgmt | For | For | For | |||||
10 | Elect Henry T. Sy, Jr. | Mgmt | For | For | For | |||||
11 | Elect Harley T. Sy | Mgmt | For | For | For | |||||
12 | Elect Jose T. Sio | Mgmt | For | For | For | |||||
13 | Elect Vicente S. Perez, Jr. | Mgmt | For | For | For | |||||
14 | Elect LIM Ah Doo | Mgmt | For | For | For | |||||
15 | Elect Joseph R. Higdon | Mgmt | For | For | For | |||||
16 | Appointment of Auditor | Mgmt | For | For | For | |||||
17 | ADJOURNMENT | Mgmt | For | For | For | |||||
18 | Transaction of Other Business | Mgmt | For | Against | Against |
State Bank of India
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBI | CINS Y8161Z129 | 12/30/2013 | 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 | 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 | |||||
5 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
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 113
State Bank of India Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBI | CINS Y8161Z129 | 06/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Directors | Mgmt | For | For | For | |||||
2 | Employee Stock Purchase Scheme 2014 | Mgmt | For | For | For | |||||
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 Meeting Note | N/A | N/A | N/A | N/A | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Sun Pharmaceuticals Industries Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SUNPHARMA | CINS Y8523Y158 | 05/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 | Spin-Off and Merger | Mgmt | For | For | For |
Taiwan Semiconductor Manufacturing Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2330 | CINS Y84629107 | 06/24/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Amendments to Procedural Rules | Mgmt | For | For | For |
Page 114
Tencent Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
700 | CINS G87572148 | 05/14/2014 | 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 Martin LAU Chi Ping | Mgmt | For | For | For | |||||
6 | Elect Charles St Leger Searle | Mgmt | For | For | For | |||||
7 | Directors’ Fees | Mgmt | For | For | For | |||||
8 | Appointment of Auditor and Authority to Set Fees | 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 | |||||
11 | Authority to Issue Repurchased Shares | Mgmt | For | For | For | |||||
12 | Stock Split | Mgmt | For | For | For | |||||
13 | Adopt The Riot Games Option Scheme | Mgmt | For | For | For | |||||
14 | Amendments to Articles | Mgmt | For | For | For |
Page 115
Turkiye Garanti Bankasi A.S.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GARAN | CINS M4752S106 | 04/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | Turkey |
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 | Opening; Election of Presiding Chairman; Minutes | Mgmt | For | For | For | |||||
4 | Presentation of the Board of Directors’ Report | Mgmt | For | For | For | |||||
5 | Presentation of the Independent Auditors’ Report | Mgmt | For | For | For | |||||
6 | Accounts | Mgmt | For | For | For | |||||
7 | Ratification of Board Acts | Mgmt | For | For | For | |||||
8 | Ratification of Statutory Auditors’ Acts | Mgmt | For | For | For | |||||
9 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Appointment of Auditor | Mgmt | For | For | For | |||||
12 | Presentation of Compensation Policy | Mgmt | For | For | For | |||||
13 | Charitable Donations | Mgmt | For | For | For | |||||
14 | Related Party Transactions | Mgmt | For | Against | Against |
United Company RUSAL Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0486 | CINS G9227K106 | 05/12/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Jersey |
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 | Elect Oleg V. Deripaska | Mgmt | For | For | For | |||||
5 | Elect Vladislav A. Soloviev | Mgmt | For | For | For | |||||
6 | Elect Maxim M. Sokov | Mgmt | For | For | For | |||||
7 | Elect Maksim Goldman | Mgmt | For | For | For | |||||
8 | Elect Dmitry Afanasiev | Mgmt | For | For | For | |||||
9 | Elect Matthias Warnig | Mgmt | For | For | For | |||||
10 | Elect Stalbek S Mishakov | Mgmt | For | For | For | |||||
11 | Elect Olga Mashkovskaya | Mgmt | For | For | For | |||||
12 | Elect Mark Garber | Mgmt | For | For | For | |||||
13 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
15 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
16 | Authority to Issue Repurchase Shares | Mgmt | For | For | For |
Page 116
Yandex N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YNDX | CUSIP N97284108 | 05/21/2014 | 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 Board Acts | Mgmt | For | For | For | |||||
4 | Elect Herman O. Gref | Mgmt | For | For | For | |||||
5 | Elect Arkady Volozh | Mgmt | For | For | For | |||||
6 | Elect Alfred Fenaughty | Mgmt | For | For | For | |||||
7 | Elect Elena Ivashentseva | Mgmt | For | For | For | |||||
8 | Elect Rogier Rijnja | Mgmt | For | For | For | |||||
9 | Cancellation of Shares | Mgmt | For | For | For | |||||
10 | Amendment to Articles (Authorized Capital) | Mgmt | For | For | For | |||||
11 | Amendment to the Equity Compensation Plan | Mgmt | For | For | For | |||||
12 | Appointment of Auditor | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
14 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||||
15 | Authority to Repurchase Shares | Mgmt | For | Against | Against |
Page 117
YPF
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YPF | CUSIP 984245100 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Meeting Delegates in Charge of Meeting Minutes | Mgmt | For | For | For | |||||
2 | Long-Term Incentive Plan | Mgmt | For | For | For | |||||
3 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Ratification of Auditor’s Fees | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Authority to Issue Debt Instruments | Mgmt | For | For | For | |||||
8 | Ratification of Board and Supervisory Council Acts | Mgmt | For | For | For | |||||
9 | Ratification of Directors’ Fees | Mgmt | For | For | For | |||||
10 | Ratification of Supervisory Council’s Fees | Mgmt | For | For | For | |||||
11 | Supervisory Council Size | Mgmt | For | For | For | |||||
12 | Election of Supervisory Council Members and Alternates (Class A) | Mgmt | For | For | For | |||||
13 | Election of Supervisory Council Members and Alternates (Class D) | Mgmt | For | For | For | |||||
14 | Board Size | Mgmt | For | For | For | |||||
15 | Election of Directors (Class A) | Mgmt | For | For | For | |||||
16 | Election of Director (Class D) | Mgmt | For | For | For | |||||
17 | Directors’ Fees; Supervisory Council’s Fees | Mgmt | For | For | For | |||||
18 | Withdrawal of Corporate Liability Action | Mgmt | For | For | For |
Page 118
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893152 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 | Mgmt | For | For | For |
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893186 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 | Mgmt | For | For | For |
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893152 | 06/12/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Mgmt | For | For | For |
Page 119
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW Global Bond Fund
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V | 12/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Isabel P. Dunst | Mgmt | For | For | For | |||||
1.2 | Elect Robin A. Melvin | Mgmt | For | For | For | |||||
1.3 | Elect Roslyn M. Watson | Mgmt | For | For | For |
Page 120
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW Growth Equities Fund
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 01/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Payment of Dividends from Legal Reserves | Mgmt | For | For | For | |||||
2 | Appoint Independent Proxy | Mgmt | For | For | For | |||||
3 | Vote with the position of the board of directors if a new or amended agenda item is put before the meeting | ShrHoldr | For | Against | Against |
AGCO Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGCO | CUSIP 001084102 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Roy V. Armes | Mgmt | For | For | For | |||||
2 | Elect Michael C. Arnold | Mgmt | For | For | For | |||||
3 | Elect P. George Benson | Mgmt | For | For | For | |||||
4 | Elect Wolfgang Deml | Mgmt | For | For | For | |||||
5 | Elect Luiz Fernando Furlan | Mgmt | For | For | For | |||||
6 | Elect George E. Minnich | Mgmt | For | For | For | |||||
7 | Elect Martin H. Richenhagen | Mgmt | For | For | For | |||||
8 | Elect Gerald L. Shaheen | Mgmt | For | For | For | |||||
9 | Elect Mallika Srinivasan | Mgmt | For | For | For | |||||
10 | Elect Hendrikus Visser | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Page 121
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James C. Diggs | Mgmt | For | For | For | |||||
1.2 | Elect J. Brett Harvey | Mgmt | For | For | For | |||||
1.3 | Elect Louis J. Thomas | 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 |
AMETEK, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AME | CUSIP 031100100 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Anthony J. Conti | Mgmt | For | For | For | |||||
1.2 | Elect Frank S. Hermance | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
ANSYS, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANSS | CUSIP 03662Q105 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James E. Cashman III | Mgmt | For | For | For | |||||
2 | Elect Ajei S. Gopal | Mgmt | For | For | For | |||||
3 | Elect William R. McDermott | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 122
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/21/2014 | 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 | Mgmt | For | For | For | |||||
3.1 | Elect Sergio Alonso | Mgmt | For | For | For | |||||
3.2 | Elect Michael Chu | Mgmt | For | For | For | |||||
3.3 | Elect Jose Alberto Velez Cadavid | Mgmt | For | For | For | |||||
3.4 | Elect Jose Fernandez | Mgmt | For | For | For |
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/01/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
4 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
5 | Elect Stuart Chambers | Mgmt | For | For | For | |||||
6 | Elect Simon Segars | Mgmt | For | For | For | |||||
7 | Elect Andy Green | Mgmt | For | For | For | |||||
8 | Elect Larry Hirst | Mgmt | For | For | For | |||||
9 | Elect Mike Muller | Mgmt | For | For | For | |||||
10 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
11 | Elect Janice Roberts | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Appointment of Auditor | Mgmt | For | For | For | |||||
14 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
15 | Increase in Directors’ Fee Cap | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
19 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 123
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amy Abernethy | Mgmt | For | For | For | |||||
1.2 | Elect Jonathan Bush | Mgmt | For | For | For | |||||
1.3 | Elect Brandon H. Hull | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
BE Aerospace, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BEAV | CUSIP 073302101 | 07/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael F. Senft | Mgmt | For | For | For | |||||
1.2 | Elect John T. Whates | 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 |
Biomarin Pharmaceutical Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMRN | CUSIP 09061G101 | 06/04/2014 | 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 | |||||
1.10 | Elect Dennis J. Slamon | Mgmt | For | For | For | |||||
2 | Amendment to the 2006 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 124
BorgWarner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BWA | CUSIP 099724106 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jan Carlson | Mgmt | For | For | For | |||||
2 | Elect Dennis C. Cuneo | Mgmt | For | For | For | |||||
3 | Elect Vicki L. Sato | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
7 | Repeal of Classified Board | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Boston Beer Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SAM | CUSIP 100557107 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David A. Burwick | Mgmt | For | For | For | |||||
1.2 | Elect Pearson C. Cummin, III | Mgmt | For | For | For | |||||
1.3 | Elect Jean-Michel Valette | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 125
CarMax, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMX | CUSIP 143130102 | 06/23/2014 | 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 Thomas J. Folliard | Mgmt | For | For | For | |||||
3 | Elect Rakesh Gangwal | Mgmt | For | For | For | |||||
4 | Elect Jeffrey E. Garten | Mgmt | For | For | For | |||||
5 | Elect Shira D. Goodman | Mgmt | For | For | For | |||||
6 | Elect W. Robert Grafton | Mgmt | For | For | For | |||||
7 | Elect Edgar H. Grubb | Mgmt | For | For | For | |||||
8 | Elect Mitchell D. Steenrod | Mgmt | For | For | For | |||||
9 | Elect Thomas G. Stemberg | Mgmt | For | For | For | |||||
10 | Elect William R. Tiefel | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cerner Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CERN | CUSIP 156782104 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John C. Danforth | Mgmt | For | For | For | |||||
2 | Elect Neal L. Patterson | Mgmt | For | For | For | |||||
3 | Elect William D. Zollars | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 126
Core Laboratories N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CLB | CUSIP N22717107 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David M. Demshur | Mgmt | For | For | For | |||||
2 | Elect Michael C. Kearney | Mgmt | For | For | For | |||||
3 | Elect Jan W. Sodderland | 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 Repurchased Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | 2014 Noneemployee Director Stock Incentive Plan | Mgmt | For | For | For | |||||
12 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For |
Cummins Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMI | CUSIP 231021106 | 05/13/2014 | 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 Robert K. Herdman | Mgmt | For | For | For | |||||
6 | Elect Robert J. Bernhard | Mgmt | For | For | For | |||||
7 | Elect Franklin R. Chang-Diaz | Mgmt | For | For | For | |||||
8 | Elect Stephen B. Dobbs | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Shareholder Proposal Regarding Voting Disclosure | ShrHoldr | Against | Against | For |
Page 127
Dick’s Sporting Goods Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DKS | CUSIP 253393102 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jacqualyn A. Fouse | Mgmt | For | For | For | |||||
1.2 | Elect Lawrence J. Schorr | Mgmt | For | For | For | |||||
1.3 | Elect Edward W. Stack | 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 25470F302 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert R. Bennett | Mgmt | For | For | For | |||||
1.2 | Elect John C. Malone | Mgmt | For | For | For | |||||
1.3 | Elect David M. Zaslav | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Dril-Quip, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DRQ | CUSIP 262037104 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Blake T. DeBerry | Mgmt | For | For | For | |||||
2 | Elect John V. Lovoi | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Remove Obsolete Language from the Certificate | Mgmt | For | For | For | |||||
5 | Remove Language Regarding Founders from the Business Combination Provision in the Certificate | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 128
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 06/18/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carolee Friedlander | Mgmt | For | For | For | |||||
2 | Elect Harvey L. Sonnenberg | Mgmt | For | For | For | |||||
3 | Elect Allan J. Tanenbaum | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Equity Incentive Plan | Mgmt | For | For | For | |||||
5 | Amendment to the 2005 Cash Incentive Compensation Plan | Mgmt | For | For | For | |||||
6 | 2014 Equity Incentive Plan | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 10/14/2013 | 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 | |||||
2 | Split Class A Common Shares into Two Class A Common Shares and Class B Common Shares into One Class A Common Share and One Class B Common Share | Mgmt | For | For | For |
Page 129
FEI Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FEIC | CUSIP 30241L109 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Homa Bahrami | Mgmt | For | For | For | |||||
1.2 | Elect Arie Hujiser | Mgmt | For | For | For | |||||
1.3 | Elect Don R. Kania | Mgmt | For | For | For | |||||
1.4 | Elect Thomas F. Kelly | Mgmt | For | For | For | |||||
1.5 | Elect Jan C. Lobbezoo | Mgmt | For | For | For | |||||
1.6 | Elect Jami K. Nachtsheim | Mgmt | For | For | For | |||||
1.7 | Elect Gerhard H. Parker | Mgmt | For | For | For | |||||
1.8 | Elect James T. Richardson | Mgmt | For | For | For | |||||
1.9 | Elect Richard H. Wills | Mgmt | For | For | For | |||||
2 | Amendment to 1995 Stock Incentive Plan | Mgmt | For | For | For | |||||
3 | Amendment to the Employee Share Purchase Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
FireEye Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FEYE | CUSIP 31816Q101 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William M. Coughran Jr | Mgmt | For | For | For | |||||
1.2 | Elect Gaurav Garg | Mgmt | For | For | For | |||||
1.3 | Elect Promod Haque | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 130
Frank’s International N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FI | CUSIP N33462107 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald Keith Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.2 | Elect Kirkland D. Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.3 | Elect Steven B. Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.4 | Elect Sheldon R. Erikson to the Supervisory Board | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Kearney to the Supervisory Board | Mgmt | For | For | For | |||||
1.6 | Elect Gary P. Luquette to the Supervisory Board | Mgmt | For | For | For | |||||
2 | Accounts and Reports; Authority to Issue Report in English | Mgmt | For | For | For | |||||
3 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
4 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Appointment of Auditor (Consolidated Accounts) | Mgmt | For | For | For | |||||
7 | Management Remuneration | Mgmt | For | Against | Against | |||||
8 | Supervisory Board Fees | Mgmt | For | For | For | |||||
9 | Dividends | Mgmt | For | For | For | |||||
10 | Amendment Article 4 of the Articles of Association | Mgmt | For | For | For | |||||
11 | Amendment Article 32 of the Articles of Association | Mgmt | For | For | For | |||||
12 | Amendment Article 35 of the Articles of Association | Mgmt | For | For | For | |||||
13 | Amendment Articles 40 and 41 of the Articles of Association | Mgmt | For | For | For | |||||
14 | Amendment Article 44 of the Articles of Association | Mgmt | For | For | For |
Page 131
Frank’s International N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FI | CUSIP N33462107 | 11/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gary P. Luquette | Mgmt | For | For | For | |||||
1.2 | Elect Michael C. Kearney | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 3 Years | 3 Years | For |
Graco Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GGG | CUSIP 384109104 | 04/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Patrick J. McHale | Mgmt | For | For | For | |||||
2 | Elect Lee R. Mitau | Mgmt | For | For | For | |||||
3 | Elect Martha Morfitt | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 132
Hain Celestial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAIN | CUSIP 405217100 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irwin D. Simon | Mgmt | For | For | For | |||||
1.2 | Elect Richard C. Berke | Mgmt | For | For | For | |||||
1.3 | Elect Jack Futterman | Mgmt | For | For | For | |||||
1.4 | Elect Marina Hahn | Mgmt | For | For | For | |||||
1.5 | Elect Andrew R. Heyer | Mgmt | For | For | For | |||||
1.6 | Elect Roger Meltzer | Mgmt | For | For | For | |||||
1.7 | Elect Scott M. O’Neil | Mgmt | For | For | For | |||||
1.8 | Elect Lawrence S. Zilavy | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2002 Long Term Incentive and Stock Award Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Hilton Worldwide Holdings Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HLT | CUSIP 43300A104 | 05/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Christopher J. Nassetta | Mgmt | For | For | For | |||||
1.2 | Elect Jonathan D. Gray | Mgmt | For | For | For | |||||
1.3 | Elect Michael S. Chae | Mgmt | For | For | For | |||||
1.4 | Elect Tyler S. Henritze | Mgmt | For | For | For | |||||
1.5 | Elect Judith A. McHale | Mgmt | For | For | For | |||||
1.6 | Elect John G. Schreiber | Mgmt | For | For | For | |||||
1.7 | Elect Elizabeth A. Smith | Mgmt | For | For | For | |||||
1.8 | Elect Douglas M. Steenland | Mgmt | For | For | For | |||||
1.9 | Elect William J. Stein | 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 133
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel M. Bradbury | Mgmt | For | For | For | |||||
1.2 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Roy A. Whitfield | Mgmt | For | For | For | |||||
1.4 | Elect Francis deSouza | 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 Exclusive Forum Provision Applicable to Derivative Lawsuits | Mgmt | For | Against | Against |
Intuitive Surgical, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ISRG | CUSIP 46120E602 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amal M. Johnson | Mgmt | For | For | For | |||||
1.2 | Elect Eric H. Halvorson | Mgmt | For | For | For | |||||
1.3 | Elect Alan J. Levy | Mgmt | For | For | For | |||||
1.4 | Elect Craig H. Barratt | Mgmt | For | For | For | |||||
1.5 | Elect Floyd D. Loop | Mgmt | For | For | For | |||||
1.6 | Elect George Stalk Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Kansas City Southern
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KSU | CUSIP 485170302 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Henry R. Davis | Mgmt | For | For | For | |||||
1.2 | Elect Robert J. Druten | Mgmt | For | For | For | |||||
1.3 | Elect Rodney E. Slater | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | Right to Call a Special Meeting | Mgmt | For | For | For |
Page 134
Kate Spade & Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KATE | CUSIP 485865109 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Bernard W. Aronson | Mgmt | For | For | For | |||||
2 | Elect Lawrence S. Benjamin | Mgmt | For | For | For | |||||
3 | Elect Raul J. Fernandez | Mgmt | For | For | For | |||||
4 | Elect Kenneth B. Gilman | Mgmt | For | For | For | |||||
5 | Elect Nancy J. Karch | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Kopelman | Mgmt | For | For | For | |||||
7 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
8 | Elect Craig A. Leavitt | Mgmt | For | For | For | |||||
9 | Elect Deborah J. Lloyd | Mgmt | For | For | For | |||||
10 | Elect Doreen A. Toben | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Transaction of Other Business | Mgmt | For | For | For |
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Reid Hoffman | Mgmt | For | For | For | |||||
1.2 | Elect Stanley J. Meresman | Mgmt | For | For | For | |||||
1.3 | Elect David Sze | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Executive Bonus Compensation Plan | Mgmt | For | For | For |
Page 135
MarketAxess Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MKTX | CUSIP 57060D108 | 06/05/2014 | 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 Jane Chwick | Mgmt | For | For | For | |||||
5 | Elect William F. Cruger | Mgmt | For | For | For | |||||
6 | Elect David G. Gomach | Mgmt | For | For | For | |||||
7 | Elect Carlos M. Hernandez | Mgmt | For | For | For | |||||
8 | Elect Ronald M. Hersch | Mgmt | For | For | For | |||||
9 | Elect John Steinhardt | Mgmt | For | For | For | |||||
10 | Elect James J. Sullivan | Mgmt | For | For | For | |||||
11 | Elect Lesley Daniels Webster | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Monster Beverage Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MNST | CUSIP 611740101 | 06/02/2014 | 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 Mark J. Hall | Mgmt | For | For | For | |||||
1.4 | Elect Norman C. Epstein | Mgmt | For | For | For | |||||
1.5 | Elect Benjamin M. Polk | Mgmt | For | For | For | |||||
1.6 | Elect Sydney Selati | Mgmt | For | For | For | |||||
1.7 | Elect Harold C. Taber, Jr. | Mgmt | For | For | For | |||||
1.8 | 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 | |||||
4 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Board Diversity | ShrHoldr | Against | Against | For |
Page 136
MSC Industrial Direct Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSM | CUSIP 553530106 | 01/16/2014 | 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 Erik Gershwind | Mgmt | For | For | For | |||||
1.4 | Elect Jonathan Byrnes | Mgmt | For | For | For | |||||
1.5 | Elect Roger Fradin | 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 |
Nordson Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NDSN | CUSIP 655663102 | 02/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Joseph P. Keithley | Mgmt | For | For | For | |||||
1.2 | Elect Michael J. Merriman, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Mary G. Puma | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
NVIDIA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NVDA | CUSIP 67066G104 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert K. Burgess | Mgmt | For | For | For | |||||
2 | Elect Tench Coxe | Mgmt | For | For | For | |||||
3 | Elect James C. Gaither | Mgmt | For | For | For | |||||
4 | Elect Jen-Hsun Huang | Mgmt | For | For | For | |||||
5 | Elect Dawn Hudson | Mgmt | For | For | For | |||||
6 | Elect Harvey C. Jones | Mgmt | For | For | For | |||||
7 | Elect William J. Miller | Mgmt | For | For | For | |||||
8 | Elect Mark L. Perry | Mgmt | For | For | For | |||||
9 | Elect A. Brooke Seawell | Mgmt | For | For | For | |||||
10 | Elect Mark A. Stevens | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Amendment to the 2007 Equity Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2012 Employee Stock Purchase Plan | Mgmt | For | For | For |
Page 137
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect T. Jay Collins | Mgmt | For | For | For | |||||
1.2 | Elect D. Michael Hughes | 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 |
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Asheem Chandna | Mgmt | For | For | For | |||||
2 | Elect James J. Goetz | Mgmt | For | For | For | |||||
3 | Elect Mark D. McLaughlin | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 138
Polaris Industries Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PII | CUSIP 731068102 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kevin M. Farr | Mgmt | For | For | For | |||||
1.2 | Elect Gary E. Hendrickson | Mgmt | For | For | For | |||||
1.3 | Elect Mark Schreck | Mgmt | For | For | For | |||||
1.4 | Elect William G. Van Dyke | Mgmt | For | For | For | |||||
2 | Amendment to the Senior Executive Annual Incentive Compensation Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry S. Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine L. Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon C. Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Luis Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell G. Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert E. Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar A. Zurcher | Mgmt | For | For | For |
Rockwell Automation, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ROK | CUSIP 773903109 | 02/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Steven R. Kalmanson | Mgmt | For | For | For | |||||
1.2 | Elect James P. Keane | Mgmt | For | For | For | |||||
1.3 | Elect Donald R. Parfet | 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 Majority Vote for Election of Directors | ShrHoldr | For | Against | Against |
Page 139
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John G. Connors | Mgmt | For | For | For | |||||
1.2 | Elect Patricia B. Morrison | Mgmt | For | For | For | |||||
1.3 | Elect Nicholas G. Sturiale | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mark S. Bartlett | Mgmt | For | For | For | |||||
2 | Elect Edward C. Bernard | 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 Olympia J. Snowe | Mgmt | For | For | For | |||||
10 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
11 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
12 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 140
Twitter Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TWTR | CUSIP 90184L102 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard Costolo | Mgmt | For | For | For | |||||
1.2 | Elect Peter Fenton | Mgmt | For | For | For | |||||
1.3 | Elect Marjorie Scardino | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Ultimate Software Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTI | CUSIP 90385D107 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect LeRoy A. Vander Putten | Mgmt | For | For | For | |||||
2 | Elect Robert A. Yanover | 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 | 05/13/2014 | 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 Harvey L. Sanders | Mgmt | For | For | For | |||||
1.9 | Elect Thomas J. Sippel | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 141
WABCO Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WBC | CUSIP 92927K102 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect G. Peter D’Aloia | Mgmt | For | For | For | |||||
1.2 | Elect Juergen W. Gromer | Mgmt | For | For | For | |||||
1.3 | Elect Mary L. Petrovich | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Westinghouse Air Brake Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WAB | CUSIP 929740108 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Emilio A. Fernandez | Mgmt | For | For | For | |||||
1.2 | Elect Lee B. Foster II | Mgmt | For | For | For | |||||
1.3 | Elect Gary C. Valade | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Workday Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDAY | CUSIP 98138H101 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Christa Davies | Mgmt | For | For | For | |||||
1.2 | Elect George J. Still Jr. | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 142
Wynn Resorts, Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WYNN | CUSIP 983134107 | 05/16/2014 | 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. Miller | Mgmt | For | For | For | |||||
1.2 | Elect D. Boone Wayson | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2014 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Director Qualification Bylaw | Mgmt | For | Against | Against | |||||
6 | Shareholder Proposal Regarding Report on Political Spending | ShrHoldr | Against | For | Against |
Zoetis Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZTS | CUSIP 98978V103 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gregory Norden | Mgmt | For | For | For | |||||
2 | Elect Louise M. Parent | Mgmt | For | For | For | |||||
3 | Elect Robert W. Scully | 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 | 2013 Equity and Incentive Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For |
Page 143
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW Growth Fund
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 01/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Payment of Dividends from Legal Reserves | Mgmt | For | For | For | |||||
2 | Appoint Independent Proxy | Mgmt | For | For | For | |||||
3 | Vote with the position of the board of directors if a new or amended agenda item is put before the meeting | ShrHoldr | For | Against | Against |
Page 144
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/15/2014 | 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 DISPOSABLE PROFIT | Mgmt | For | For | �� | For | ||||
3 | Ratification of Board Acts | Mgmt | For | For | For | |||||
4 | Elect John A. Edwardson | Mgmt | For | For | For | |||||
5 | Elect Kimberly Ross | Mgmt | For | For | For | |||||
6 | Elect Robert W. Scully | Mgmt | For | For | For | |||||
7 | Elect David H. Sidwell | Mgmt | For | For | For | |||||
8 | Elect Evan G. Greenberg | Mgmt | For | For | For | |||||
9 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
10 | Elect Michael G. Atieh | Mgmt | For | For | For | |||||
11 | Elect Mary A. Cirillo | Mgmt | For | For | For | |||||
12 | Elect Michael P. Connors | Mgmt | For | For | For | |||||
13 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
14 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
15 | Elect Eugene B. Shanks, Jr. | Mgmt | For | For | For | |||||
16 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
17 | Elect Olivier Steimer | Mgmt | For | For | For | |||||
18 | Election of Evan G. Greenberg as the Chairman of the Board | Mgmt | For | For | For | |||||
19 | Elect Michael Connors | Mgmt | For | For | For | |||||
20 | Elect Mary A. Cirillo | Mgmt | For | For | For | |||||
21 | Elect John A. Edwardson | Mgmt | For | For | For | |||||
22 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
23 | Election of Homburger AG as independent proxy | Mgmt | For | For | For | |||||
24 | Election of Statutory Auditor | Mgmt | For | For | For | |||||
25 | Ratification of Auditor | Mgmt | For | For | For | |||||
26 | Election of Special Auditor | Mgmt | For | For | For | |||||
27 | Increase in Authorized Share Capital | Mgmt | For | For | For | |||||
28 | Approval of a Dividend Distribution Through Par Value Reduction | Mgmt | For | For | For | |||||
29 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
30 | Transaction of other business | Mgmt | For | For | For |
Page 145
Alexion Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALXN | CUSIP 015351109 | 05/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Leonard Bell | Mgmt | For | For | For | |||||
2 | Elect Max Link | Mgmt | For | For | For | |||||
3 | Elect William R. Keller | Mgmt | For | For | For | |||||
4 | Elect John T. Mollen | Mgmt | For | For | For | |||||
5 | Elect R. Douglas Norby | Mgmt | For | For | For | |||||
6 | Elect Alvin S. Parven | Mgmt | For | For | For | |||||
7 | Elect Andreas Rummelt | Mgmt | For | For | For | |||||
8 | Elect Ann M. Veneman | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Shareholder Proposal Regarding Poison Pills | ShrHoldr | Against | Against | For |
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James C. Diggs | Mgmt | For | For | For | |||||
1.2 | Elect J. Brett Harvey | Mgmt | For | For | For | |||||
1.3 | Elect Louis J. Thomas | 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 |
Page 146
Allergan, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGN | CUSIP 018490102 | 05/06/2014 | 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 Trevor M. Jones | Mgmt | For | For | For | |||||
5 | Elect Louis J. Lavigne, Jr. | Mgmt | For | For | For | |||||
6 | Elect Peter J. McDonnell | Mgmt | For | For | For | |||||
7 | Elect Timothy D. Proctor | Mgmt | For | For | For | |||||
8 | Elect Russell T. Ray | Mgmt | For | For | For | |||||
9 | Elect Henri A. Termeer | 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 Certificate of Incorporation Allowing Action by Written Consent | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Amazon.com, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMZN | CUSIP 023135106 | 05/21/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 147
AMC Networks Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMCX | CUSIP 00164V103 | 06/10/2014 | 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 Jonathan F. Miller | Mgmt | For | For | For | |||||
1.3 | Elect Alan D. Schwartz | Mgmt | For | For | For | |||||
1.4 | Elect Leonard Tow | Mgmt | For | For | For | |||||
1.5 | Elect Carl E. Vogel | Mgmt | For | For | For | |||||
1.6 | 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 | 05/20/2014 | 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 |
Page 148
ANSYS, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANSS | CUSIP 03662Q105 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James E. Cashman III | Mgmt | For | For | For | |||||
2 | Elect Ajei S. Gopal | Mgmt | For | For | For | |||||
3 | Elect William R. McDermott | 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 | 02/28/2014 | 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 | Technical Amendment to Articles | Mgmt | For | For | For | |||||
3 | Eliminate Blank Check Authority to Issue Preferred Stock | Mgmt | For | For | For | |||||
4 | Establish a Par Value for the Company’s Common Stock of $0.00001 Per Share | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
7 | 2014 Employee Stock Plan | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Formation of Human Rights Committee | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Sustainability-Related Trade Association Memberships | ShrHoldr | Against | For | Against | |||||
10 | Shareholder Proposal Regarding Share Buybacks | ShrHoldr | N/A | Against | N/A | |||||
11 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 149
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/21/2014 | 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 | Mgmt | For | For | For | |||||
3.1 | Elect Sergio Alonso | Mgmt | For | For | For | |||||
3.2 | Elect Michael Chu | Mgmt | For | For | For | |||||
3.3 | Elect Jose Alberto Velez Cadavid | Mgmt | For | For | For | |||||
3.4 | Elect Jose Fernandez | Mgmt | For | For | For |
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/01/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
4 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
5 | Elect Stuart Chambers | Mgmt | For | For | For | |||||
6 | Elect Simon Segars | Mgmt | For | For | For | |||||
7 | Elect Andy Green | Mgmt | For | For | For | |||||
8 | Elect Larry Hirst | Mgmt | For | For | For | |||||
9 | Elect Mike Muller | Mgmt | For | For | For | |||||
10 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
11 | Elect Janice Roberts | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Appointment of Auditor | Mgmt | For | For | For | |||||
14 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
15 | Increase in Directors’ Fee Cap | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
19 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 150
Aruba Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARUN | CUSIP 043176106 | 12/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dominic P. 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 T. Hernandez | Mgmt | For | For | For | |||||
1.5 | Elect Michael R. Kourey | Mgmt | For | For | For | |||||
1.6 | Elect Willem P. Roelandts | Mgmt | For | For | For | |||||
1.7 | Elect Juergen Rottler | Mgmt | For | For | For | |||||
1.8 | Elect Daniel J. Warmenhoven | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 151
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amy Abernethy | Mgmt | For | For | For | |||||
1.2 | Elect Jonathan Bush | Mgmt | For | For | For | |||||
1.3 | Elect Brandon H. Hull | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
BE Aerospace, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BEAV | CUSIP 073302101 | 07/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael F. Senft | Mgmt | For | For | For | |||||
1.2 | Elect John T. Whates | 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 |
Beam Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BEAM | CUSIP 073730103 | 03/25/2014 | 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 152
Biomarin Pharmaceutical Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMRN | CUSIP 09061G101 | 06/04/2014 | 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 | |||||
1.10 | Elect Dennis J. Slamon | Mgmt | For | For | For | |||||
2 | Amendment to the 2006 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
BorgWarner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BWA | CUSIP 099724106 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jan Carlson | Mgmt | For | For | For | |||||
2 | Elect Dennis C. Cuneo | Mgmt | For | For | For | |||||
3 | Elect Vicki L. Sato | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
7 | Repeal of Classified Board | Mgmt | For | For | For | |||||
8 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Page 153
Boston Beer Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SAM | CUSIP 100557107 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David A. Burwick | Mgmt | For | For | For | |||||
1.2 | Elect Pearson C. Cummin, III | Mgmt | For | For | For | |||||
1.3 | Elect Jean-Michel Valette | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Celgene Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CELG | CUSIP 151020104 | 06/18/2014 | 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. Hugin | Mgmt | For | For | For | |||||
1.2 | Elect Richard W. Barker | Mgmt | For | For | For | |||||
1.3 | Elect Michael D. Casey | Mgmt | For | For | For | |||||
1.4 | Elect Carrie S. Cox | Mgmt | For | For | For | |||||
1.5 | Elect Rodman L. Drake | Mgmt | For | For | For | |||||
1.6 | Elect Michael A. Friedman | Mgmt | For | For | For | |||||
1.7 | Elect Gilla Kaplan | Mgmt | For | For | For | |||||
1.8 | Elect James J. Loughlin | Mgmt | For | For | For | |||||
1.9 | Elect Ernest Mario | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Amendment to the 2008 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 154
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert J. Easton | Mgmt | For | For | For | |||||
2 | Elect Hollings C. Renton | Mgmt | For | For | For | |||||
3 | Elect Glenn D. Steele, Jr. | Mgmt | For | For | For | |||||
4 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
5 | Amendment to the 2006 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 |
Cerner Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CERN | CUSIP 156782104 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John C. Danforth | Mgmt | For | For | For | |||||
2 | Elect Neal L. Patterson | Mgmt | For | For | For | |||||
3 | Elect William D. Zollars | 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 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John C. Danforth | Mgmt | For | For | For | |||||
2 | Elect Neal L. Patterson | Mgmt | For | For | For | |||||
3 | Elect William D. Zollars | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 155
Charles Schwab Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SCHW | CUSIP 808513105 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Frank C. Herringer | Mgmt | For | For | For | |||||
2 | Elect Stephen T. McLin | Mgmt | For | For | For | |||||
3 | Elect Roger O. Walther | Mgmt | For | For | For | |||||
4 | Elect Robert N. Wilson | 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 Report on Political Spending | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal: Accelerated vesting upon change in control | ShrHoldr | Against | For | Against |
Chart Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GTLS | CUSIP 16115Q308 | 05/22/2014 | 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 Terrence J. Keating | Mgmt | For | For | For | |||||
1.5 | Elect Steven W. Krablin | Mgmt | For | For | For | |||||
1.6 | Elect Michael W. Press | Mgmt | For | For | For | |||||
1.7 | Elect Elizabeth G. Spomer | Mgmt | For | For | For | |||||
1.8 | 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 | |||||
4 | Cash Incentive Plan | Mgmt | For | For | For |
Page 156
Cognex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CGNX | CUSIP 192422103 | 04/29/2014 | 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 Theodor Krantz | Mgmt | For | For | For | |||||
1.3 | Elect J. Bruce Robinson | 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 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David M. Demshur | Mgmt | For | For | For | |||||
2 | Elect Michael C. Kearney | Mgmt | For | For | For | |||||
3 | Elect Jan W. Sodderland | 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 Repurchased Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | 2014 Noneemployee Director Stock Incentive Plan | Mgmt | For | For | For | |||||
12 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For |
Page 157
Cornerstone OnDemand Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSOD | CUSIP 21925Y103 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Adam L. Miller | Mgmt | For | For | For | |||||
1.2 | Elect R.C. Mark Baker | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Costco Wholesale Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
COST | CUSIP 22160K105 | 01/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Susan L. Decker | Mgmt | For | For | For | |||||
1.2 | Elect Richard M. Libenson | Mgmt | For | For | For | |||||
1.3 | Elect John W. Meisenbach | Mgmt | For | For | For | |||||
1.4 | Elect Charles T. Munger | 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 Simple Majority Vote | ShrHoldr | Against | For | Against | |||||
5 | Repeal of Classified Board | Mgmt | Abstain | For | Against |
CVS Caremark Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVS | CUSIP 126650100 | 05/08/2014 | 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 Nancy-Ann M. Deparle | Mgmt | For | For | For | |||||
3 | Elect David W. Dorman | Mgmt | For | For | For | |||||
4 | Elect Anne M. Finucane | 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 |
Page 158
Dril-Quip, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DRQ | CUSIP 262037104 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Blake T. DeBerry | Mgmt | For | For | For | |||||
2 | Elect John V. Lovoi | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Remove Obsolete Language from the Certificate | Mgmt | For | For | For | |||||
5 | Remove Language Regarding Founders from the Business Combination Provision in the Certificate | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 06/18/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carolee Friedlander | Mgmt | For | For | For | |||||
2 | Elect Harvey L. Sonnenberg | Mgmt | For | For | For | |||||
3 | Elect Allan J. Tanenbaum | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Equity Incentive Plan | Mgmt | For | For | For | |||||
5 | Amendment to the 2005 Cash Incentive Compensation Plan | Mgmt | For | For | For | |||||
6 | 2014 Equity Incentive Plan | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 159
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 10/14/2013 | 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 | |||||
2 | Split Class A Common Shares into Two Class A Common Shares and Class B Common Shares into One Class A Common Share and One Class B Common Share | Mgmt | For | For | For |
Endologix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELGX | CUSIP 29266S106 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel Lemaitre | 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 160
Envestnet, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ENV | CUSIP 29404K106 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ross K. Chapin | Mgmt | For | For | For | |||||
1.2 | Elect Cynthia Egan | Mgmt | For | For | For | |||||
1.3 | Elect Gates Hawn | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Approval of the 2010 Long-Term Incentive Plan | Mgmt | For | For | For |
Equinix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EQIX | CUSIP 29444U502 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas 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 | Amend Company’s Charter to Include Ownership and Transfer Restrictions | Mgmt | For | Against | Against | |||||
5 | Amendment to the 2004 Employee Stock Purchase Plan | Mgmt | For | For | For |
Page 161
Estee Lauder Companies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EL | CUSIP 518439104 | 11/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Aerin Lauder | Mgmt | For | For | For | |||||
2 | Elect William P. Lauder | Mgmt | For | For | For | |||||
3 | Elect Richard D. Parsons | Mgmt | For | For | For | |||||
4 | Elect Lynn Forester de Rothschild | Mgmt | For | For | For | |||||
5 | Elect Richard F. Zannino | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Executive Annual Incentive Plan | Mgmt | For | For | For | |||||
9 | Shareholder Proposal Regarding Adopting Sustainable Palm Oil Policy | ShrHoldr | Against | Against | For |
FARO Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FARO | CUSIP 311642102 | 05/29/2014 | 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. Cole | Mgmt | For | For | For | |||||
1.2 | Elect Marvin R. Sambur | Mgmt | For | For | For | |||||
1.3 | Elect Jay W. Freeland | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2014 Incentive Plan | Mgmt | For | For | For | |||||
5 | Approval of the Performance Goals Under the 2014 Incentive Plan | Mgmt | For | For | For |
Page 162
Fastenal Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FAST | CUSIP 311900104 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Willard D. Oberton | Mgmt | For | For | For | |||||
2 | Elect Michael M. Gostomski | Mgmt | For | For | For | |||||
3 | Elect Michael J. Dolan | Mgmt | For | For | For | |||||
4 | Elect Reyne K. Wisecup | Mgmt | For | For | For | |||||
5 | Elect Hugh L. Miller | Mgmt | For | For | For | |||||
6 | Elect Michael J. Ancius | Mgmt | For | For | For | |||||
7 | Elect Scott A. Satterlee | Mgmt | For | For | For | |||||
8 | Elect Rita J. Heise | Mgmt | For | For | For | |||||
9 | Elect Darren R. Jackson | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
FEI Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FEIC | CUSIP 30241L109 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Homa Bahrami | Mgmt | For | For | For | |||||
1.2 | Elect Arie Hujiser | Mgmt | For | For | For | |||||
1.3 | Elect Don R. Kania | Mgmt | For | For | For | |||||
1.4 | Elect Thomas F. Kelly | Mgmt | For | For | For | |||||
1.5 | Elect Jan C. Lobbezoo | Mgmt | For | For | For | |||||
1.6 | Elect Jami K. Nachtsheim | Mgmt | For | For | For | |||||
1.7 | Elect Gerhard H. Parker | Mgmt | For | For | For | |||||
1.8 | Elect James T. Richardson | Mgmt | For | For | For | |||||
1.9 | Elect Richard H. Wills | Mgmt | For | For | For | |||||
2 | Amendment to 1995 Stock Incentive Plan | Mgmt | For | For | For | |||||
3 | Amendment to the Employee Share Purchase Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 163
FireEye Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FEYE | CUSIP 31816Q101 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William M. Coughran Jr | Mgmt | For | For | For | |||||
1.2 | Elect Gaurav Garg | Mgmt | For | For | For | |||||
1.3 | Elect Promod Haque | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Frank’s International N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FI | CUSIP N33462107 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald Keith Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.2 | Elect Kirkland D. Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.3 | Elect Steven B. Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.4 | Elect Sheldon R. Erikson to the Supervisory Board | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Kearney to the Supervisory Board | Mgmt | For | For | For | |||||
1.6 | Elect Gary P. Luquette to the Supervisory Board | Mgmt | For | For | For | |||||
2 | Accounts and Reports; Authority to Issue Report in English | Mgmt | For | For | For | |||||
3 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
4 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Appointment of Auditor (Consolidated Accounts) | Mgmt | For | For | For | |||||
7 | Management Remuneration | Mgmt | For | Against | Against | |||||
8 | Supervisory Board Fees | Mgmt | For | For | For | |||||
9 | Dividends | Mgmt | For | For | For | |||||
10 | Amendment Article 4 of the Articles of Association | Mgmt | For | For | For | |||||
11 | Amendment Article 32 of the Articles of Association | Mgmt | For | For | For | |||||
12 | Amendment Article 35 of the Articles of Association | Mgmt | For | For | For | |||||
13 | Amendment Articles 40 and 41 of the Articles of Association | Mgmt | For | For | For | |||||
14 | Amendment Article 44 of the Articles of Association | Mgmt | For | For | For |
Page 164
Frank’s International N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FI | CUSIP N33462107 | 11/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gary P. Luquette | Mgmt | For | For | For | |||||
1.2 | Elect Michael C. Kearney | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 3 Years | 3 Years | For |
Google Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GOOG | CUSIP 38259P508 | 05/14/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
6 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Tax Policy Principles | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 165
Graco Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GGG | CUSIP 384109104 | 04/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Patrick J. McHale | Mgmt | For | For | For | |||||
2 | Elect Lee R. Mitau | Mgmt | For | For | For | |||||
3 | Elect Martha Morfitt | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Gulfport Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPOR | CUSIP 402635304 | 07/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Page 166
Hain Celestial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAIN | CUSIP 405217100 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irwin D. Simon | Mgmt | For | For | For | |||||
1.2 | Elect Richard C. Berke | Mgmt | For | For | For | |||||
1.3 | Elect Jack Futterman | Mgmt | For | For | For | |||||
1.4 | Elect Marina Hahn | Mgmt | For | For | For | |||||
1.5 | Elect Andrew R. Heyer | Mgmt | For | For | For | |||||
1.6 | Elect Roger Meltzer | Mgmt | For | For | For | |||||
1.7 | Elect Scott M. O’Neil | Mgmt | For | For | For | |||||
1.8 | Elect Lawrence S. Zilavy | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2002 Long Term Incentive and Stock Award Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Halliburton Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAL | CUSIP 406216101 | 05/21/2014 | 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 R. Boyd | Mgmt | For | For | For | |||||
3 | Elect Milton Carroll | Mgmt | For | For | For | |||||
4 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
5 | Elect Murry S. Gerber | Mgmt | For | For | For | |||||
6 | Elect Jose C. Grubisich | Mgmt | For | For | For | |||||
7 | Elect Abdallah S. Jum’ah | Mgmt | For | For | For | |||||
8 | Elect David J. Lesar | Mgmt | For | For | For | |||||
9 | Elect Robert A. Malone | Mgmt | For | For | For | |||||
10 | Elect J. Landis Martin | Mgmt | For | For | For | |||||
11 | Elect Debra L. Reed | 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 Review of Human Rights Policies | ShrHoldr | Against | Against | For |
Page 167
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adriane M. Brown | Mgmt | For | For | For | |||||
2 | Elect John W. Diercksen | Mgmt | For | For | For | |||||
3 | Elect Ann McLaughlin Korologos | Mgmt | For | For | For | |||||
4 | Elect Jiren Liu | Mgmt | For | For | For | |||||
5 | Elect Edward H. Meyer | Mgmt | For | For | For | |||||
6 | Elect Dinesh C. Paliwal | Mgmt | For | For | For | |||||
7 | Elect Kenneth M. Reiss | Mgmt | For | For | For | |||||
8 | Elect Hellene S. Runtagh | Mgmt | For | For | For | |||||
9 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
10 | Elect Gary G. Steel | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Amendment to the 2012 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
13 | 2014 Key Executive Officers Bonus Plan | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 168
Health Net, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HNT | CUSIP 42222G108 | 06/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Anne Citrino | Mgmt | For | For | For | |||||
2 | Elect Theodore F. Craver, Jr. | Mgmt | For | For | For | |||||
3 | Elect Vicki B. Escarra | Mgmt | For | For | For | |||||
4 | Elect Gale S. Fitzgerald | Mgmt | For | For | For | |||||
5 | Elect Patrick Foley | Mgmt | For | For | For | |||||
6 | Elect Jay M. Gellert | Mgmt | For | For | For | |||||
7 | Elect Roger F. Greaves | Mgmt | For | For | For | |||||
8 | Elect Douglas M. Mancino | Mgmt | For | For | For | |||||
9 | Elect Bruce G. Willison | Mgmt | For | For | For | |||||
10 | Elect Frederick C. Yeager | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
HEICO Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HEI | CUSIP 422806208 | 03/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Adolfo Henriques | Mgmt | For | For | For | |||||
1.2 | Elect Samuel L. Higginbottom | Mgmt | For | For | For | |||||
1.3 | Elect Mark H. Hildebrandt | Mgmt | For | For | For | |||||
1.4 | Elect Wolfgang Mayrhuber | Mgmt | For | For | For | |||||
1.5 | Elect Eric A. Mendelson | Mgmt | For | For | For | |||||
1.6 | Elect Laurans A. Mendelson | Mgmt | For | For | For | |||||
1.7 | Elect Victor H. Mendelson | Mgmt | For | For | For | |||||
1.8 | Elect Alan Schriesheim | Mgmt | For | For | For | |||||
1.9 | Elect Frank J. Schwitter | Mgmt | For | For | For | |||||
2 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 169
HMS Holdings Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HMSY | CUSIP 40425J101 | 07/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reincorporation | Mgmt | For | For | For | |||||
2 | Elect Daniel N. Mendelson | Mgmt | For | For | For | |||||
3 | Elect William F. Miller III | Mgmt | For | For | For | |||||
4 | Elect Ellen A. Rudnick | Mgmt | For | For | For | |||||
5 | Elect Richard H. Stowe | Mgmt | For | For | For | |||||
6 | Elect Cora M. Tellez | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Ratification of Auditor | Mgmt | For | For | For |
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel M. Bradbury | Mgmt | For | For | For | |||||
1.2 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Roy A. Whitfield | Mgmt | For | For | For | |||||
1.4 | Elect Francis deSouza | 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 Exclusive Forum Provision Applicable to Derivative Lawsuits | Mgmt | For | Against | Against |
Intuitive Surgical, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ISRG | CUSIP 46120E602 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amal M. Johnson | Mgmt | For | For | For | |||||
1.2 | Elect Eric H. Halvorson | Mgmt | For | For | For | |||||
1.3 | Elect Alan J. Levy | Mgmt | For | For | For | |||||
1.4 | Elect Craig H. Barratt | Mgmt | For | For | For | |||||
1.5 | Elect Floyd D. Loop | Mgmt | For | For | For | |||||
1.6 | Elect George Stalk Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 170
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/03/2014 | 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 Henry E. Gauthier | Mgmt | For | For | For | |||||
1.7 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.8 | Elect Eric Meurice | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
1.10 | Elect Thomas J. Seifert | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Ironwood Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IRWD | CUSIP 46333X108 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bryan E. Roberts | Mgmt | For | For | For | |||||
1.2 | Elect Julie H McHugh | Mgmt | For | For | For | |||||
1.3 | Elect Peter M. Hecht | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 171
J.B. Hunt Transport Services, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JBHT | CUSIP 445658107 | 04/24/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Kansas City Southern
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KSU | CUSIP 485170302 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Henry R. Davis | Mgmt | For | For | For | |||||
1.2 | Elect Robert J. Druten | Mgmt | For | For | For | |||||
1.3 | Elect Rodney E. Slater | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | Right to Call a Special Meeting | Mgmt | For | For | For |
Karyopharm Therapeutics Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KPTI | CUSIP 48576U106 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Barry Greene | Mgmt | For | For | For | |||||
1.2 | Elect Mansoor Raza Mirza | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 172
Kate Spade & Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KATE | CUSIP 485865109 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Bernard W. Aronson | Mgmt | For | For | For | |||||
2 | Elect Lawrence S. Benjamin | Mgmt | For | For | For | |||||
3 | Elect Raul J. Fernandez | Mgmt | For | For | For | |||||
4 | Elect Kenneth B. Gilman | Mgmt | For | For | For | |||||
5 | Elect Nancy J. Karch | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Kopelman | Mgmt | For | For | For | |||||
7 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
8 | Elect Craig A. Leavitt | Mgmt | For | For | For | |||||
9 | Elect Deborah J. Lloyd | Mgmt | For | For | For | |||||
10 | Elect Doreen A. Toben | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Transaction of Other Business | Mgmt | For | For | For |
Life Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LIFE | CUSIP 53217V109 | 08/21/2013 | 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 |
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Reid Hoffman | Mgmt | For | For | For | |||||
1.2 | Elect Stanley J. Meresman | Mgmt | For | For | For | |||||
1.3 | Elect David Sze | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Executive Bonus Compensation Plan | Mgmt | For | For | For |
Page 173
MarketAxess Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MKTX | CUSIP 57060D108 | 06/05/2014 | 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 Jane Chwick | Mgmt | For | For | For | |||||
5 | Elect William F. Cruger | Mgmt | For | For | For | |||||
6 | Elect David G. Gomach | Mgmt | For | For | For | |||||
7 | Elect Carlos M. Hernandez | Mgmt | For | For | For | |||||
8 | Elect Ronald M. Hersch | Mgmt | For | For | For | |||||
9 | Elect John Steinhardt | Mgmt | For | For | For | |||||
10 | Elect James J. Sullivan | Mgmt | For | For | For | |||||
11 | Elect Lesley Daniels Webster | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Mead Johnson Nutrition Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MJN | CUSIP 582839106 | 05/01/2014 | 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 Michael Grobstein | Mgmt | For | For | For | |||||
9 | Elect Peter K. Jakobsen | Mgmt | For | For | For | |||||
10 | Elect Peter G. Ratcliffe | Mgmt | For | For | For | |||||
11 | Elect Elliott Sigal | Mgmt | For | For | For | |||||
12 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 174
Mellanox Technologies, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MLNX | CUSIP M51363113 | 01/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Compensation Policy | Mgmt | For | Against | Against |
Michael Kors Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KORS | CUSIP G60754101 | 08/01/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael Kors | Mgmt | For | For | For | |||||
2 | Elect Judy Gibbons | Mgmt | For | For | For | |||||
3 | Elect Lawrence S. Stroll | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
MicroStrategy Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSTR | CUSIP 594972408 | 04/23/2014 | 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 Robert H. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Stephen X. Graham | Mgmt | For | For | For | |||||
1.4 | Elect Jarrod M. Patten | Mgmt | For | For | For | |||||
1.5 | Elect Carl J. Rickertsen | Mgmt | For | For | For | |||||
2 | Approval of the 2013 Stock 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 175
Mondelez International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2014 | 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 Nelson Peltz | Mgmt | For | For | For | |||||
7 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
8 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
9 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
10 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
11 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
12 | Elect Jean-Francois M. L. van Boxmeer | 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 | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Reporting on the Use of Non-Recyclable Packaging | ShrHoldr | Against | Against | For |
MSC Industrial Direct Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSM | CUSIP 553530106 | 01/16/2014 | 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 Erik Gershwind | Mgmt | For | For | For | |||||
1.4 | Elect Jonathan Byrnes | Mgmt | For | For | For | |||||
1.5 | Elect Roger Fradin | 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 176
NetSuite Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
N | CUSIP 64118Q107 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Zachary Nelson | Mgmt | For | For | For | |||||
2 | Elect Kevin B. Thompson | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Novadaq Technologies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NDQ | CUSIP 66987G102 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Arun Menawat | Mgmt | For | For | For | |||||
1.2 | Elect Aaron Davidson | Mgmt | For | For | For | |||||
1.3 | Elect Anthony F. Griffiths | Mgmt | For | For | For | |||||
1.4 | Elect Harold O. Koch Jr. | Mgmt | For | For | For | |||||
1.5 | Elect William A. MacKinnon | Mgmt | For | For | For | |||||
1.6 | Elect Thomas Wellner | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Stock Option Plan Renewal | Mgmt | For | Against | Against |
NVIDIA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NVDA | CUSIP 67066G104 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert K. Burgess | Mgmt | For | For | For | |||||
2 | Elect Tench Coxe | Mgmt | For | For | For | |||||
3 | Elect James C. Gaither | Mgmt | For | For | For | |||||
4 | Elect Jen-Hsun Huang | Mgmt | For | For | For | |||||
5 | Elect Dawn Hudson | Mgmt | For | For | For | |||||
6 | Elect Harvey C. Jones | Mgmt | For | For | For | |||||
7 | Elect William J. Miller | Mgmt | For | For | For | |||||
8 | Elect Mark L. Perry | Mgmt | For | For | For | |||||
9 | Elect A. Brooke Seawell | Mgmt | For | For | For | |||||
10 | Elect Mark A. Stevens | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Amendment to the 2007 Equity Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2012 Employee Stock Purchase Plan | Mgmt | For | For | For |
Page 177
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect T. Jay Collins | Mgmt | For | For | For | |||||
1.2 | Elect D. Michael Hughes | 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 |
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Asheem Chandna | Mgmt | For | For | For | |||||
2 | Elect James J. Goetz | Mgmt | For | For | For | |||||
3 | Elect Mark D. McLaughlin | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 178
Polaris Industries Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PII | CUSIP 731068102 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kevin M. Farr | Mgmt | For | For | For | |||||
1.2 | Elect Gary E. Hendrickson | Mgmt | For | For | For | |||||
1.3 | Elect Mark Schreck | Mgmt | For | For | For | |||||
1.4 | Elect William G. Van Dyke | Mgmt | For | For | For | |||||
2 | Amendment to the Senior Executive Annual Incentive Compensation Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Praxair, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PX | CUSIP 74005P104 | 04/22/2014 | 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 de Paula Bernardes Neto | Mgmt | For | For | For | |||||
3 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
4 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
5 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
6 | Elect Ira D. Hall | Mgmt | For | For | For | |||||
7 | Elect Raymond W. LeBoeuf | Mgmt | For | For | For | |||||
8 | Elect Larry D. McVay | Mgmt | For | For | For | |||||
9 | Elect Denise L. Ramos | 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 | Amendment and Restatement of the 2009 Long Term Incentive Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 179
Precision Castparts Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCP | CUSIP 740189105 | 08/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mark Donegan | Mgmt | For | For | For | |||||
1.2 | Elect Daniel J. Murphy | Mgmt | For | For | For | |||||
1.3 | Elect Vernon E. Oechsle | Mgmt | For | For | For | |||||
1.4 | Elect Rick Schmidt | Mgmt | For | For | For | |||||
1.5 | Elect Richard L. Wambold | 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 2001 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For |
Priceline Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCLN | CUSIP 741503403 | 06/05/2014 | 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 Darren R. Huston | Mgmt | For | For | For | |||||
1.8 | Elect Nancy B. Peretsman | Mgmt | For | For | For | |||||
1.9 | Elect Thomas E. Rothman | Mgmt | For | For | For | |||||
1.10 | 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 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 180
Priceline Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCLN | CUSIP 741503403 | 06/05/2014 | 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 Darren R. Huston | Mgmt | For | For | For | |||||
1.8 | Elect Nancy B. Peretsman | Mgmt | For | For | For | |||||
1.9 | Elect Thomas E. Rothman | Mgmt | For | For | For | |||||
1.10 | 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 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry S. Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine L. Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon C. Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Luis Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell G. Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert E. Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar A. Zurcher | Mgmt | For | For | For |
Page 181
Proto Labs Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PRLB | CUSIP 743713109 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lawrence J. Lukis | Mgmt | For | For | For | |||||
1.2 | Elect Victoria M. Holt | Mgmt | For | For | For | |||||
1.3 | Elect Bradley A. Cleveland | Mgmt | For | For | For | |||||
1.4 | Elect Rainer Gawlick | Mgmt | For | For | For | |||||
1.5 | Elect John B. Goodman | Mgmt | For | For | For | |||||
1.6 | Elect Douglas W. Kohrs | Mgmt | For | For | For | |||||
1.7 | Elect Brian K. Smith | Mgmt | For | For | For | |||||
1.8 | Elect Sven A. Wehrwein | 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 |
PVH Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PVH | CUSIP 693656100 | 06/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Baglivo | Mgmt | For | For | For | |||||
2 | Elect Brent Callinicos | Mgmt | For | For | For | |||||
3 | Elect Emanuel Chirico | Mgmt | For | For | For | |||||
4 | Elect Juan R. Figuereo | Mgmt | For | For | For | |||||
5 | Elect Joseph B. Fuller | Mgmt | For | For | For | |||||
6 | Elect Fred Gehring | Mgmt | For | For | For | |||||
7 | Elect Bruce Maggin | Mgmt | For | For | For | |||||
8 | Elect V. James Marino | Mgmt | For | For | For | |||||
9 | Elect Henry Nasella | Mgmt | For | For | For | |||||
10 | Elect Rita M. Rodriguez | Mgmt | For | For | For | |||||
11 | Elect Edward R. Rosenfeld | Mgmt | For | For | For | |||||
12 | Elect Craig W. Rydin | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 182
QUALCOMM Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QCOM | CUSIP 747525103 | 03/04/2014 | 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 Steven M. Mollenkopf | Mgmt | For | For | For | |||||
9 | Elect Duane A. Nelles | Mgmt | For | For | For | |||||
10 | Elect Clark T. Randt, Jr. | Mgmt | For | For | For | |||||
11 | Elect Francisco Ros | Mgmt | For | For | For | |||||
12 | Elect Jonathan J. Rubinstein | Mgmt | For | For | For | |||||
13 | Elect Brent Scowcroft | Mgmt | For | For | For | |||||
14 | Elect Marc I. Stern | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Rocket Fuel Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FUEL | CUSIP 773111109 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Gardner | Mgmt | For | For | For | |||||
2 | Elect Monte Zweben | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Roper Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ROP | CUSIP 776696106 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Richard F. Wallman | Mgmt | For | For | For | |||||
1.2 | Elect Christopher Wright | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 183
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 06/02/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Marc Benioff | Mgmt | For | For | For | |||||
2 | Elect Keith Block | Mgmt | For | For | For | |||||
3 | Elect Craig A. Conway | Mgmt | For | For | For | |||||
4 | Elect Alan G. Hassenfeld | Mgmt | For | For | For | |||||
5 | Elect Colin Powell | Mgmt | For | For | For | |||||
6 | Elect John V. Roos | Mgmt | For | For | For | |||||
7 | Elect Lawrence Tomlinson | Mgmt | For | For | For | |||||
8 | Elect Robin L. Washington | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Schlumberger N.V. (Schlumberger Limited)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLB | CUSIP 806857108 | 04/09/2014 | 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 Tony Isaac | Mgmt | For | For | For | |||||
3 | Elect K.V. Kamath | Mgmt | For | For | For | |||||
4 | Elect Maureen Kempston Darkes | Mgmt | For | For | For | |||||
5 | Elect Paal Kibsgaard | Mgmt | For | For | For | |||||
6 | Elect Nikolay Kudryavtsev | 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 | Appointment of Auditor | Mgmt | For | For | For |
Page 184
Silver Wheaton Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLW | CUSIP 828336107 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 Brough | Mgmt | For | For | For | |||||
1.4 | Elect R. Peter Gillin | Mgmt | For | For | For | |||||
1.5 | Elect Chantal Gosselin | Mgmt | For | For | For | |||||
1.6 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.7 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.8 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.9 | 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 | |||||
4 | Amendment to the Share Option Plan | Mgmt | For | For | For | |||||
5 | Advance Notice Provision | Mgmt | For | Against | Against | |||||
6 | Amendment to By-Laws Regarding Quorum Requirements | Mgmt | For | For | For | |||||
7 | Notice and Access Provision | Mgmt | For | For | For |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John G. Connors | Mgmt | For | For | For | |||||
1.2 | Elect Patricia B. Morrison | Mgmt | For | For | For | |||||
1.3 | Elect Nicholas G. Sturiale | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 185
Starbucks Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBUX | CUSIP 855244109 | 03/19/2014 | 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 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Prohibition of Political Spending | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 186
Starwood Hotels & Resorts Worldwide, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOT | CUSIP 85590A401 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Frits van Paasschen | Mgmt | For | For | For | |||||
2 | Elect Bruce W. Duncan | Mgmt | For | For | For | |||||
3 | Elect Adam M. Aron | Mgmt | For | For | For | |||||
4 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
5 | Elect Thomas E. Clarke | Mgmt | For | For | For | |||||
6 | Elect Clayton C. Daley, Jr. | Mgmt | For | For | For | |||||
7 | Elect Lizanne Galbreath | Mgmt | For | For | For | |||||
8 | Elect Eric Hippeau | Mgmt | For | For | For | |||||
9 | Elect Aylwin B. Lewis | Mgmt | For | For | For | |||||
10 | Elect Stephen R. Quazzo | Mgmt | For | For | For | |||||
11 | Elect Thomas O. Ryder | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Stifel Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SF | CUSIP 860630102 | 06/11/2014 | Voted | |||
Meeting Type | �� | Country of Trade | ||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bruce A. Beda | Mgmt | For | For | For | |||||
1.2 | Elect Frederick O. Hanser | Mgmt | For | For | For | |||||
1.3 | Elect Ronald J. Kruszewski | Mgmt | For | For | For | |||||
1.4 | Elect Thomas P. Mulroy | Mgmt | For | For | For | |||||
1.5 | Elect Thomas W. Weisel | Mgmt | For | For | For | |||||
1.6 | Elect Kelvin R. Westbrook | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 187
SVB Financial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIVB | CUSIP 78486Q101 | 04/24/2014 | 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 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Transaction of Other Business | Mgmt | For | For | For |
T. Rowe Price Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TROW | CUSIP 74144T108 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mark S. Bartlett | Mgmt | For | For | For | |||||
2 | Elect Edward C. Bernard | 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 Olympia J. Snowe | Mgmt | For | For | For | |||||
10 | Elect Alfred Sommer | Mgmt | For | For | For | |||||
11 | Elect Dwight S. Taylor | Mgmt | For | For | For | |||||
12 | Elect Anne Marie Whittemore | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 188
The Middleby Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MIDD | CUSIP 596278101 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Selim A. Bassoul | Mgmt | For | For | For | |||||
2 | Elect Sarah Palisi Chapin | Mgmt | For | For | For | |||||
3 | Elect Robert B. Lamb | Mgmt | For | For | For | |||||
4 | Elect John R. Miller III | Mgmt | For | For | For | |||||
5 | Elect Gordon O’Brien | Mgmt | For | For | For | |||||
6 | Elect Philip G. Putnam | Mgmt | For | For | For | |||||
7 | Elect Sabin C. Streeter | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For |
Tiffany & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TIF | CUSIP 886547108 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael J. Kowalski | Mgmt | For | For | For | |||||
2 | Elect Rose Marie Bravo | Mgmt | For | For | For | |||||
3 | Elect Gary E. Costley | Mgmt | For | For | For | |||||
4 | Elect Frederic P. Cumenal | Mgmt | For | For | For | |||||
5 | Elect Lawrence K. Fish | Mgmt | For | For | For | |||||
6 | Elect Abby F. Kohnstamm | Mgmt | For | For | For | |||||
7 | Elect Charles K. Marquis | Mgmt | For | For | For | |||||
8 | Elect Peter W. May | Mgmt | For | For | For | |||||
9 | Elect William A. Shutzer | Mgmt | For | For | For | |||||
10 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | 2014 Employee Incentive Plan | Mgmt | For | For | For |
Page 189
Tyler Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYL | CUSIP 902252105 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald R. Brattain | Mgmt | For | For | For | |||||
1.2 | Elect Glen A. Carter | Mgmt | For | For | For | |||||
1.3 | Elect Brenda A. Cline | Mgmt | For | For | For | |||||
1.4 | Elect J. Luther King, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect John S. Marr, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Dustin R. Womble | Mgmt | For | For | For | |||||
1.7 | Elect John M. Yeaman | 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 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect LeRoy A. Vander Putten | Mgmt | For | For | For | |||||
2 | Elect Robert A. Yanover | 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 | 05/13/2014 | 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 Harvey L. Sanders | Mgmt | For | For | For | |||||
1.9 | Elect Thomas J. Sippel | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 190
Union Pacific Corporation
Ticker | Security ID: | �� | Meeting Date | Meeting Status | ||
UNP | CUSIP 907818108 | 05/15/2014 | 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 David B. Dillon | Mgmt | For | For | For | |||||
4 | Elect Judith Richards Hope | Mgmt | For | For | For | |||||
5 | Elect John J. Koraleski | Mgmt | For | For | For | |||||
6 | Elect Charles C. Krulak | Mgmt | For | For | For | |||||
7 | Elect Michael R. McCarthy | Mgmt | For | For | For | |||||
8 | Elect Michael W. McConnell | Mgmt | For | For | For | |||||
9 | Elect Thomas F. McLarty III | Mgmt | For | For | For | |||||
10 | Elect Steven R. Rogel | Mgmt | For | For | For | |||||
11 | Elect Jose H. Villarreal | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
United Natural Foods, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNFI | CUSIP 911163103 | 12/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gail A. Graham | Mgmt | For | For | For | |||||
2 | Elect Ann Torre Bates | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Amendment to Certificate of Incorporation to Repeal Classified Board | Mgmt | For | For | For | |||||
6 | Amendment to Bylaws to Repeal Classified Board | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
Page 191
Verisk Analytics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRSK | CUSIP 92345Y106 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Frank J. Coyne | Mgmt | For | For | For | |||||
1.2 | Elect Christopher M. Foskett | Mgmt | For | For | For | |||||
1.3 | Elect David B. Wright | Mgmt | For | For | For | |||||
1.4 | Elect Thomas F. Motamed | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Visa Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
V | CUSIP 92826C839 | 01/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary B. Cranston | Mgmt | For | For | For | |||||
2 | Elect Francisco Javier Fernandez Carbajal | Mgmt | For | For | For | |||||
3 | Elect Alfred F. Kelly, Jr. | Mgmt | For | For | For | |||||
4 | Elect Robert W. Matschullat | Mgmt | For | For | For | |||||
5 | Elect Cathy E. Minehan | Mgmt | For | For | For | |||||
6 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
7 | Elect David J. PANG | Mgmt | For | For | For | |||||
8 | Elect Charles W. Scharf | Mgmt | For | For | For | |||||
9 | Elect William S. Shanahan | Mgmt | For | For | For | |||||
10 | Elect John A.C. Swainson | Mgmt | For | For | For | |||||
11 | Elect Maynard G. Webb, Jr. | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 192
VMware, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VMW | CUSIP 928563402 | 05/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Pamela J. Craig | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
WABCO Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WBC | CUSIP 92927K102 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect G. Peter D’Aloia | Mgmt | For | For | For | |||||
1.2 | Elect Juergen W. Gromer | Mgmt | For | For | For | |||||
1.3 | Elect Mary L. Petrovich | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 193
Westinghouse Air Brake Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WAB | CUSIP 929740108 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Emilio A. Fernandez | Mgmt | For | For | For | |||||
1.2 | Elect Lee B. Foster II | Mgmt | For | For | For | |||||
1.3 | Elect Gary C. Valade | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Whole Foods Market, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WFM | CUSIP 966837106 | 02/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John B. Elstrott | Mgmt | For | For | For | |||||
1.2 | Elect Gabrielle E. Greene | Mgmt | For | For | For | |||||
1.3 | Elect Hass Hassan | Mgmt | For | For | For | |||||
1.4 | Elect Stephanie Kugelman | Mgmt | For | For | For | |||||
1.5 | Elect John P. Mackey | Mgmt | For | For | For | |||||
1.6 | Elect Walter Robb | Mgmt | For | For | For | |||||
1.7 | Elect Jonathan A. Seiffer | Mgmt | For | For | For | |||||
1.8 | Elect Morris J. Siegel | Mgmt | For | For | For | |||||
1.9 | Elect Jonathan D. Sokoloff | Mgmt | For | For | For | |||||
1.10 | Elect Ralph Z. Sorenson | Mgmt | For | For | For | |||||
1.11 | Elect William A. Tindell | 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 Recoupment of Unearned Bonuses | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Voting Disclosure | ShrHoldr | Against | Against | For |
Page 194
Wisdomtree Investments, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WETF | CUSIP 97717P104 | 06/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect R. Jarrett Lilien | Mgmt | For | For | For | |||||
2 | Elect Frank Salerno | Mgmt | For | For | For | |||||
3 | Elect Jonathan Steinberg | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Approval of the 2014 Annual Incentive Compensation Plan | Mgmt | For | For | For |
Woodward, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WWD | CUSIP 980745103 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mary L. Petrovich | Mgmt | For | For | For | |||||
1.2 | Elect Larry E. Rittenberg | Mgmt | For | For | For | |||||
1.3 | Elect Paul Donovan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Workday Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDAY | CUSIP 98138H101 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Christa Davies | Mgmt | For | For | For | |||||
1.2 | Elect George J. Still Jr. | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 195
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW High Yield Bond Fund
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V | 12/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Isabel P. Dunst | Mgmt | For | For | For | |||||
1.2 | Elect Robin A. Melvin | Mgmt | For | For | For | |||||
1.3 | Elect Roslyn M. Watson | Mgmt | For | For | For |
Dynegy Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DYN | CUSIP 26817R108 | 05/29/2014 | 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 |
Page 196
Item 1: | Proxy Voting Record - Item1 Proxy Voting Record - |
Registrant | : |
Fund Name : TCW International Growth Fund
Agnico-Eagle Mines Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AEM | CUSIP 008474108 | 05/02/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Leanne M. Baker | Mgmt | For | For | For | |||||
1.2 | Elect Sean Boyd | Mgmt | For | For | For | |||||
1.3 | Elect Martine A. Celej | Mgmt | For | For | For | |||||
1.4 | Elect Clifford J Davis | Mgmt | For | For | For | |||||
1.5 | Elect Robert J. Gemmell | Mgmt | For | For | For | |||||
1.6 | Elect Bernard Kraft | Mgmt | For | For | For | |||||
1.7 | Elect Mel Leiderman | Mgmt | For | For | For | |||||
1.8 | Elect Deborah A. McCombe | Mgmt | For | For | For | |||||
1.9 | Elect James D. Nasso | Mgmt | For | For | For | |||||
1.10 | Elect Sean Riley | Mgmt | For | For | For | |||||
1.11 | Elect J. Merfyn Roberts | Mgmt | For | For | For | |||||
1.12 | Elect Howard R. Stockford | Mgmt | For | For | For | |||||
1.13 | Elect Pertti Voutilainen | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Amendment to Incentive Share Purchase Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Alaris Royalty Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AD | CUSIP 01163Q400 | 05/08/2014 | 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 | Share Option Plan Renewal | Mgmt | For | For | For | |||||
5 | Restricted Share Unit Plan Renewal | Mgmt | For | For | For |
Page 197
Alpha Bank A.E.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALPHA | CINS X1687N119 | 06/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | 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 Profits | Mgmt | For | For | For | |||||
3 | Ratification of Directors’ and Auditors’ 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 | Announcement of Board Appointments | Mgmt | For | For | For | |||||
7 | Election of Directors; Election of Audit Committee Members; Designation of Independent Candidates | Mgmt | For | For | For | |||||
8 | Authority to Issue Shares and/or Convertible Bonds w/ Preemptive Rights | Mgmt | For | For | For | |||||
9 | Board Transactions | Mgmt | For | For | For |
Page 198
Axis Bank Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AXISBANK | CINS Y0487S103 | 06/27/2014 | 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 K.N. Prithviraj | Mgmt | For | For | For | |||||
3 | Elect V. Srinivasan | 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 | Elect Usha Sangwan | Mgmt | For | For | For | |||||
7 | Approval of Revised Remuneration of Sanjiv Misra | Mgmt | For | For | For | |||||
8 | Approval of Revised Remuneration of Shikha Sharma | Mgmt | For | For | For | |||||
9 | Approval of Revised Remuneration of Somnath Sengupta | Mgmt | For | For | For | |||||
10 | Approval of Revised Remuneration of V. Srinivasan | Mgmt | For | For | For | |||||
11 | Amendment to the Employee Stock Option Scheme | Mgmt | For | For | For | |||||
12 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
13 | Authority to Issue Debt Instruments | Mgmt | For | For | For | |||||
14 | SUB-DIVISION OF EQUITY SHARES | Mgmt | For | For | For | |||||
15 | Amendments to Memorandum of Association | Mgmt | For | For | For | |||||
16 | Amendments to Articles of Association | Mgmt | For | For | For |
Page 199
Azimut Holding S.p.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AZM | CINS T0783G106 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | Italy |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports; Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
2 | Elect Paolo Martini | Mgmt | For | Against | Against | |||||
3 | Incentive Plan | Mgmt | For | For | For | |||||
4 | Authority to Repurchase and Reissue Shares | Mgmt | For | For | For | |||||
5 | Remuneration Report | 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 |
B2Gold Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BTO | CUSIP 11777Q209 | 06/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
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 | |||||
2.9 | Elect Kevin Bullock | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Amendment to the Stock Option Plan | Mgmt | For | For | For | |||||
5 | Amendment to the Restricted Unit Plan | Mgmt | For | For | For | |||||
6 | Advance Notice | Mgmt | For | For | For |
Page 200
Banco Espirito Santo S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BES | CINS X0346X153 | 05/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | 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 | Individual Accounts and Reports | Mgmt | For | For | For | |||||
3 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Ratification of Board and Supervisory Council Acts | ShrHoldr | N/A | Against | N/A | |||||
6 | Remuneration Report | Mgmt | For | For | For | |||||
7 | Continuance of Operation of Subsidiary | Mgmt | For | For | For | |||||
8 | Authority for the Company and Subsidiaries to Trade in Company Stock and Bonds | Mgmt | For | For | For | |||||
9 | Approval to Subject the Spanish Branch to Spanish Legislation | Mgmt | For | For | For | |||||
10 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
11 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
BB Seguridade Participacoes SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BBSE3 | CINS P1R1WJ103 | 04/30/2014 | 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 | Mgmt | For | For | For | |||||
6 | Election of Supervisory Council Members | Mgmt | For | For | For | |||||
7 | Supervisory Council Fees | Mgmt | For | For | For | |||||
8 | Elect Marcelo Augusto Dutra Labuto | Mgmt | For | For | For | |||||
9 | Remuneration Report | Mgmt | For | For | For | |||||
10 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 201
BHP Billiton Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BHP | CUSIP 088606108 | 11/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports (BHP Billiton plc & BHP Billiton Limited) | Mgmt | For | For | For | |||||
2 | Appoint Auditor (BHP Billiton plc) | Mgmt | For | For | For | |||||
3 | Authorise Board to Set Auditor’s Fees (BHP Billiton plc) | Mgmt | For | For | For | |||||
4 | Authorise Board to Issue Shares w/ Preemptive Rights (BHP Billiton plc) | Mgmt | For | For | For | |||||
5 | Authorise Board to Issue Shares w/o Preemptive Rights (BHP Billiton plc) | Mgmt | For | For | For | |||||
6 | Authorise Board to Repurchase Shares (BHP Billiton plc) | Mgmt | For | For | For | |||||
7 | Remuneration Report | Mgmt | For | For | For | |||||
8 | Adopt New Long Term Incentive Plan | Mgmt | For | For | For | |||||
9 | Equity Grant (CEO Andrew Mackenzie) | Mgmt | For | For | For | |||||
10 | Elect Andrew Mackenzie | Mgmt | For | For | For | |||||
11 | Re-elect Malcolm Broomhead | Mgmt | For | For | For | |||||
12 | Re-elect Sir John Buchanan | Mgmt | For | For | For | |||||
13 | Re-elect Carlos Cordeiro | Mgmt | For | For | For | |||||
14 | Re-elect David Crawford | Mgmt | For | For | For | |||||
15 | Re-elect Pat Davies | Mgmt | For | For | For | |||||
16 | Re-elect Carolyn Hewson | Mgmt | For | For | For | |||||
17 | Re-elect Lindsay P. Maxsted | Mgmt | For | For | For | |||||
18 | Re-elect Wayne Murdy | Mgmt | For | For | For | |||||
19 | Re-elect Keith C. Rumble | Mgmt | For | For | For | |||||
20 | Re-elect John Schubert | Mgmt | For | For | For | |||||
21 | Re-elect Shriti Vadera | Mgmt | For | For | For | |||||
22 | Re-elect Jacques Nasser | Mgmt | For | For | For | |||||
23 | Elect Ian Dunlop | ShrHoldr | Against | Against | For |
Page 202
Blinkx Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BLNX | CINS G13235109 | 07/11/2013 | 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 | Elect Suranga Chandratillake | Mgmt | For | For | For | |||||
3 | Elect Michael Lynch | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
6 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
7 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For |
BM&F BOVESPA SA Bolsa de Valores, Mercadorias e Futuros
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P73232103 | 03/24/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Remuneration Policy | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
BM&F BOVESPA SA Bolsa de Valores, Mercadorias e Futuros
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P73232103 | 04/07/2014 | 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 | Restricted Stock Plan | Mgmt | For | For | For | |||||
4 | Amendments to Articles | Mgmt | For | For | For | |||||
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 |
Page 203
BM&F BOVESPA SA Bolsa de Valores, Mercadorias e Futuros
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P73232103 | 05/13/2014 | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
4 | Restricted Stock Plan | Mgmt | For | For | For | |||||
5 | Amendments to Articles | Mgmt | For | For | For | |||||
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 |
BM&F BOVESPA SA Bolsa de Valores, Mercadorias e Futuros
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BVMF3 | CINS P1R0U2138 | 05/26/2014 | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
4 | Amendments to Articles | Mgmt | For | For | For |
Bolsas y Mercados Espanoles S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BME | CINS E8893G102 | 04/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Spain |
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; Ratification of Board Acts | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Amendments to Articles Regarding Board Size | Mgmt | For | For | For | |||||
5 | Elect Jose Alvaro Cuervo Garcia | Mgmt | For | For | For | |||||
6 | Elect Rosa Maria Garcia Garcia | Mgmt | For | For | For | |||||
7 | Elect Karel Lannoo | Mgmt | For | For | For | |||||
8 | Elect Manuel Olivencia Ruiz | Mgmt | For | For | For | |||||
9 | Elect Margarita Prat Rodrigo | Mgmt | For | For | For | |||||
10 | Ratification of the co-option of Ignacio Garralda Ruiz de Velasco | Mgmt | For | For | For | |||||
11 | Ratification of the co-option of Carlos Fernandez Gonzalez | Mgmt | For | For | For | |||||
12 | Board Size | Mgmt | For | For | For | |||||
13 | Chairman and CEO’s Remuneration | Mgmt | For | For | For | |||||
14 | Directors’ Fees | Mgmt | For | For | For | |||||
15 | Restricted Stock Plan | Mgmt | For | For | For | |||||
16 | Remuneration Report | Mgmt | For | For | For | |||||
17 | Authorization of Legal Formalities | Mgmt | For | For | For | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 204
BR Properties S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRPR3 | CINS P1909V120 | 04/16/2014 | 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 | Amendment to Articles Regarding Reconciliation of Share Capital | Mgmt | For | For | For | |||||
4 | Amendment to Articles Regarding Board Composition | Mgmt | For | For | For | |||||
5 | Amendment to Articles Regarding Board Meetings | Mgmt | For | For | For | |||||
6 | Amendment to Articles Regarding Wording | Mgmt | For | For | For | |||||
7 | Consolidation of Articles | Mgmt | For | For | For | |||||
8 | Spin-Off and Merger by Absorption Agreements | Mgmt | For | For | For | |||||
9 | Ratification of Appointment of Appraiser | Mgmt | For | For | For | |||||
10 | Valuation Reports | Mgmt | For | For | For | |||||
11 | Spin-Offs and Mergers by Absorption | Mgmt | For | For | For | |||||
12 | Authority to Carry Out Spin-Off and Merger by Absorption Formalities | Mgmt | For | For | For |
Page 205
BR Properties S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRPR3 | CINS P1909V120 | 04/30/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Capital Expenditure Budget | Mgmt | For | For | For | |||||
6 | Remuneration Policy | Mgmt | For | For | For | |||||
7 | Election of Directors | Mgmt | For | For | For | |||||
8 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
9 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Cairn India Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CAIRN | CINS Y1081B108 | 07/24/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Naresh Chandra | Mgmt | For | For | For | |||||
4 | Elect Edward T. Story | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Elect P. Elango; Approval of Compensation | Mgmt | For | For | For | |||||
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 | 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 |
Page 206
Caltex Australia Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTX | CINS Q19884107 | 05/08/2014 | 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 Greig Gailey | Mgmt | For | For | For | |||||
4 | Elect Bruce W. D. Morgan | Mgmt | For | For | For |
Cetip S.A. - Mercados Organizados
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTIP3 | CINS P23840104 | 04/28/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Remuneration Report | Mgmt | For | For | For | |||||
6 | Election of Directors | 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 |
Cetip S.A. - Mercados Organizados
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTIP3 | CINS P23840104 | 04/28/2014 | 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 Option Plan | Mgmt | For | For | For |
Page 207
Chow Tai Fook Jewellery Group Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1929 | CINS G21146108 | 09/02/2013 | 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 Kent WONG Siu-Kee | Mgmt | For | For | For | |||||
6 | Elect Conroy CHENG Chi-Heng | Mgmt | For | For | For | |||||
7 | Elect Albert CHAN Hiu-Sang | Mgmt | For | For | For | |||||
8 | Elect Peter SUEN Chi-Keung | Mgmt | For | For | For | |||||
9 | Elect Paul CHENG Ming Fun | Mgmt | For | For | For | |||||
10 | Elect Jeffrey LAM Kin-Fung | 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/out 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 | Amendments to Articles | Mgmt | For | For | For |
Cielo SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CIEL3 | CINS P2859E100 | 03/31/2014 | 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 | Election of Board and Supervisory Council Member(s) Representatives of Minority Shareholders | Mgmt | For | Abstain | Against | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 208
Cielo SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CIEL3 | CINS P2859E100 | 03/31/2014 | 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 | Amendments Regarding Stock Option Plan | Mgmt | For | For | For |
Coronation Fund Managers Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CML | CINS S19537109 | 01/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | South Africa |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Re-elect Shams Pather | Mgmt | For | For | For | |||||
2 | Re-elect Alexandra Watson | Mgmt | For | For | For | |||||
3 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Elect Audit and Risk Committee Member (Alexandra Watson) | Mgmt | For | For | For | |||||
6 | Elect Audit and Risk Committee Member (Shams Pather) | Mgmt | For | For | For | |||||
7 | Elect Audit and Risk Committee Member (Jock McKenzie) | Mgmt | For | For | For | |||||
8 | Approve Financial Assistance | Mgmt | For | For | For | |||||
9 | Approve NEDs’ Fees | Mgmt | For | For | For | |||||
10 | Authority to Repurchase Shares | Mgmt | For | For | For |
Page 209
Don Quijote
Ticker | Security ID: | Meeting Date | Meeting Status | |||
7532 | CINS J1235L108 | 09/26/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Yukihiko Inoue as Statutory Auditor | Mgmt | For | For | For | |||||
4 | Retirement Allowances for Statutory Auditor(s) | Mgmt | For | For | For |
Don Quijote Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
7532 | CINS J1235L108 | 11/29/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 | Shift to Holding Company | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Elect Kenji Sekiguchi as Director | Mgmt | For | For | For | |||||
5 | Elect Yasunori Yoshimura as Statutory Auditor | Mgmt | For | For | For |
EEN Energy Holdings Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2688 | CINS G3066L101 | 12/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 | Supplemental Deed of Non-Competition | Mgmt | For | For | For |
Page 210
Eldorado Gold Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELD | CUSIP 284902103 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ross Cory | Mgmt | For | For | For | |||||
1.2 | Elect Robert Gilmore | Mgmt | For | For | For | |||||
1.3 | Elect Geoffrey A. Handley | Mgmt | For | For | For | |||||
1.4 | Elect Michael A. Price | Mgmt | For | For | For | |||||
1.5 | Elect Steven P. Reid | Mgmt | For | For | For | |||||
1.6 | Elect Jonathan A. Rubenstein | Mgmt | For | For | For | |||||
1.7 | Elect Donald Shumka | Mgmt | For | For | For | |||||
1.8 | Elect Paul N. Wright | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
4 | Amendments to Bylaws (Bundled) | Mgmt | For | Against | Against | |||||
5 | Elimination of Convertible Non-Voting Shares | Mgmt | For | For | For | |||||
6 | Amendment to the Incentive Stock Option Plan (Employees) | Mgmt | For | For | For | |||||
7 | Amendment to the Incentive Stock Option Plan (Officers and Directors) | Mgmt | For | For | For | |||||
8 | Performance Share Unit Plan | Mgmt | For | For | For |
Page 211
F@N Communications Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2461 | CINS J14092100 | 03/27/2014 | 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 Yasuyoshi Yanagisawa | Mgmt | For | For | For | |||||
3 | Elect Hiroshi Matsumoto | Mgmt | For | For | For | |||||
4 | Elect Yoshikatsu Satoh | Mgmt | For | For | For | |||||
5 | Elect Hakaru Hirose | Mgmt | For | For | For | |||||
6 | Elect Shuji Idesawa as Statutory Auditor | Mgmt | For | For | For | |||||
7 | Elect Kenji Yamada as Alternate Statutory Auditor | Mgmt | For | For | For | |||||
8 | Equity Compensation Plan for Directors | Mgmt | For | For | For | |||||
9 | Equity Compensation Plan for Employees of the Company and Directors and Employees of Subsidiaries | Mgmt | For | For | For |
Franco-Nevada Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FNV | CUSIP 351858105 | 05/07/2014 | 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 Tom Albanese | Mgmt | For | For | For | |||||
1.4 | Elect Derek W. Evans | Mgmt | For | For | For | |||||
1.5 | Elect Graham Farquharson | Mgmt | For | For | For | |||||
1.6 | Elect Louis P. Gignac | Mgmt | For | For | For | |||||
1.7 | Elect Randall Oliphant | Mgmt | For | For | For | |||||
1.8 | 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 |
Page 212
Fresnillo Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FRES | CINS G371E2108 | 05/16/2014 | 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 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
4 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
5 | Elect Alberto Bailleres Gonzalez | Mgmt | For | For | For | |||||
6 | Elect Fernando Ruiz Sahagun | Mgmt | For | For | For | |||||
7 | Elect Guy Wilson | Mgmt | For | For | For | |||||
8 | Elect Juan Bordes Aznar | Mgmt | For | For | For | |||||
9 | Elect Arturo Fernandez Perez | Mgmt | For | For | For | |||||
10 | Elect Rafael MacGregor Anciola | Mgmt | For | For | For | |||||
11 | Elect Jaime Lomelin | Mgmt | For | For | For | |||||
12 | Elect Maria Asuncion Aramburuzabala Larregui | Mgmt | For | For | For | |||||
13 | Elect Alejandro Bailleres Gual | Mgmt | For | For | For | |||||
14 | Elect Barbara Garza Laguera Gonda | Mgmt | For | For | For | |||||
15 | Elect Jaime Serra | Mgmt | For | For | For | |||||
16 | Elect Charles Jacobs | 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 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For | |||||
23 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 213
Genel Energy Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GENL | CINS G3791G104 | 04/22/2014 | 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 | Remuneration Report (Binding) | Mgmt | For | For | For | |||||
3 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
4 | Elect Rodney F. Chase | Mgmt | For | For | For | |||||
5 | Elect Anthony B. Hayward | Mgmt | For | For | For | |||||
6 | Elect Julian Metherell | Mgmt | For | For | For | |||||
7 | Elect Sir Graham Hearne | Mgmt | For | For | For | |||||
8 | Elect James William Leng | Mgmt | For | For | For | |||||
9 | Elect Mehmet Ogutcu | Mgmt | For | For | For | |||||
10 | Elect Mark Parris | Mgmt | For | For | For | |||||
11 | Elect George Rose | Mgmt | For | For | For | |||||
12 | Elect Nathaniel P. Rothschild | Mgmt | For | For | For | |||||
13 | Elect Chakib Sbiti | Mgmt | For | For | For | |||||
14 | Elect Gulsun Nazli Karamehmet Williams | Mgmt | For | For | For | |||||
15 | Elect Murat Yazici | Mgmt | For | For | For | |||||
16 | Appointment of Auditor | Mgmt | For | For | For | |||||
17 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
18 | Authorisation of Political Donations | Mgmt | For | For | For | |||||
19 | Restricted Share Plan | Mgmt | For | For | For | |||||
20 | Waiver of Mandatory Takeover Requirement | Mgmt | For | For | For | |||||
21 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
22 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For | |||||
23 | Amendments to Articles | Mgmt | For | For | For | |||||
24 | Amendments to Articles | Mgmt | For | For | For |
Page 214
Goldcorp Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
G | CUSIP 380956409 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John P. Bell | Mgmt | For | For | For | |||||
1.2 | Elect Beverley A. Briscoe | Mgmt | For | For | For | |||||
1.3 | Elect Peter J. Dey | Mgmt | For | For | For | |||||
1.4 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.5 | Elect Charles A. Jeannes | Mgmt | For | For | For | |||||
1.6 | Elect Clement A. Pelletier | Mgmt | For | For | For | |||||
1.7 | Elect P. Randy Reifel | Mgmt | For | For | For | |||||
1.8 | Elect Ian W. Telfer | Mgmt | For | For | For | |||||
1.9 | Elect Blanca Triveno de Vega | Mgmt | For | For | For | |||||
1.10 | Elect Kenneth F. Williamson | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Amendment to the Restricted Share Plan | Mgmt | For | For | For | |||||
4 | Amendment to the Stock Option Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Growthpoint Properties Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GRT | CINS S3373C239 | 10/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | South Africa |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Specific Authority to Repurchase Shares (Unipalm) | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Specific Authority to Repurchase Shares (Phatsima) | Mgmt | For | For | For | |||||
4 | Authorisation of Legal Formalities | Mgmt | For | For | For |
Page 215
Growthpoint Properties Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GRT | CINS S3373C239 | 11/12/2013 | 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 | Elect Patrick Mngconkola | Mgmt | For | For | For | |||||
3 | Elect Gerald Volkel | Mgmt | For | For | For | |||||
4 | Re-elect Peter H. Fechter | Mgmt | For | For | For | |||||
5 | Re-elect Lynette A. Finlay | Mgmt | For | For | For | |||||
6 | Re-elect Nompumelelo B. P. Nkabinde | Mgmt | For | For | For | |||||
7 | Elect Audit Committee Member (Lynette Finlay) | Mgmt | For | For | For | |||||
8 | Elect Audit Committee Member (Peter Fechter) | Mgmt | For | For | For | |||||
9 | Elect Audit Committee Member (John Hayward) | Mgmt | For | For | For | |||||
10 | Elect Audit Committee Member (Colin Steyn) | Mgmt | For | For | For | |||||
11 | Appointment of Auditor | Mgmt | For | For | For | |||||
12 | Approve Remuneration Policy | Mgmt | For | For | For | |||||
13 | General Authority to Issue Shares | Mgmt | For | For | For | |||||
14 | Authority to Issue Shares Pursuant to Dividend Reinvestment | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares for Cash | Mgmt | For | For | For | |||||
16 | Social, Ethics and Transformation Committee Report | Mgmt | For | For | For | |||||
17 | Approve NEDs’ Fees | Mgmt | For | For | For | |||||
18 | Approve Financial Assistance | Mgmt | For | For | For | |||||
19 | Authority to Repurchase Shares | Mgmt | For | For | For |
Page 216
Hargreaves Lansdown Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HL | CINS G43940108 | 10/25/2013 | 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 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Elect Michael Evans | Mgmt | For | For | For | |||||
5 | Elect Ian Gorham | Mgmt | For | For | For | |||||
6 | Elect Tracey Taylor | Mgmt | For | For | For | |||||
7 | Elect Peter Hargreaves | Mgmt | For | For | For | |||||
8 | Elect Chris Barling | Mgmt | For | For | For | |||||
9 | Elect Stephen Robertson | Mgmt | For | For | For | |||||
10 | Elect Dharmash Mistry | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
12 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
13 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Hikari Tsushin Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
9435 | CINS J1949F108 | 06/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Yasumitsu Shigeta | Mgmt | For | For | For | |||||
2 | Elect Takeshi Tamamura | Mgmt | For | For | For | |||||
3 | Elect Hideaki Wada | Mgmt | For | For | For | |||||
4 | Elect Koh Gidoh | Mgmt | For | For | For |
Indocement Tunggal Prakarsa
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTP | CINS Y7127B135 | 12/06/2013 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Special | Indonesia |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Directors (Slate) | Mgmt | For | TNA | N/A |
Page 217
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKH | CINS Y4459Q103 | 08/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Colombo Waterfront Development Project | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKH | CINS Y4459Q103 | 10/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Issue Shares and Warrants w/ Preemptive Rights | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
JSL S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JSLG3 | CINS P6065E101 | 12/17/2013 | 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 | Amendment to Articles Regarding Corporate Purpose | Mgmt | For | For | For | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Consolidation of Articles | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 218
Kakaku.com Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2371 | CINS J29258100 | 06/24/2014 | 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 Kaoru Hayashi | Mgmt | For | For | For | |||||
5 | Elect Minoru Tanaka | Mgmt | For | For | For | |||||
6 | Elect Shohnosuke Hata | Mgmt | For | For | For | |||||
7 | Elect Taizoh Ieuji | Mgmt | For | For | For | |||||
8 | Elect Kenji Fujiwara | Mgmt | For | For | For | |||||
9 | Elect Hajime Uemura | Mgmt | For | For | For | |||||
10 | Elect Shingo Yuki | Mgmt | For | For | For | |||||
11 | Elect Atsuhiro Murakami | Mgmt | For | For | For | |||||
12 | Elect Ohki Matsumoto | Mgmt | For | For | For | |||||
13 | Elect Yoshiharu Hayakawa | Mgmt | For | For | For | |||||
14 | Elect Ryuhei Akiyama | Mgmt | For | For | For | |||||
15 | Elect Toshio Takano as Statutory Auditor | Mgmt | For | For | For |
Kangwon Land, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
035250 | CINS Y4581L105 | 07/25/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Korea, Republic of |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Non-independent Directors: LIM Sung Hwan | Mgmt | For | For | For | |||||
2 | Election of Independent Directors (Slate) | Mgmt | For | For | For | |||||
3 | Election of Audit Committee Member: PARK Soo Hoon | Mgmt | For | For | For | |||||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 219
Kroton Educacional SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KROT3 | CINS P6115V129 | 04/25/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits (Legal Reserve) | Mgmt | For | For | For | |||||
5 | Allocation of Dividends | Mgmt | For | For | For | |||||
6 | Allocation of Profits (Statutory Reserve) | Mgmt | For | For | For |
Kroton Educacional SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KROT3 | CINS P6115V129 | 04/25/2014 | 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 | Remuneration Policy | Mgmt | For | Against | Against | |||||
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 |
Larsen & Toubro Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNT | CINS Y5217N159 | 07/03/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Bonus Share Issue | Mgmt | For | For | For |
Page 220
Li & Fung Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0494 | CINS G5485F169 | 05/15/2014 | 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 William FUNG Kwok Lun | Mgmt | For | For | For | |||||
6 | Elect Allan WONG Chi Yun | Mgmt | For | For | For | |||||
7 | Elect Paul E. Selway-Swift | 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 Repurchase Shares | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
12 | Adoption of Share Option Scheme | Mgmt | For | For | For | |||||
13 | Reduction in Share Premium Account | Mgmt | For | For | For |
Morphosys AG
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MOR | CINS D55040105 | 05/23/2014 | Take No Action | |||
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 | 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 Agenda Item | N/A | N/A | TNA | N/A | |||||
5 | Allocation of Profits | Mgmt | For | TNA | N/A | |||||
6 | Ratification of Management Board Acts | Mgmt | For | TNA | N/A | |||||
7 | Ratification of Supervisory Board Acts | Mgmt | For | TNA | N/A | |||||
8 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
9 | Cancellation of Conditional Capital; Reduction in Conditional Capital | Mgmt | For | TNA | N/A | |||||
10 | Increase in Authorized Capital | Mgmt | For | TNA | N/A | |||||
11 | Elect Walter A. Blattler | Mgmt | For | TNA | N/A | |||||
12 | Authority to Repurchase Treasury Shares | Mgmt | For | TNA | N/A | |||||
13 | Supervisory Board Members’ Fees | Mgmt | For | TNA | N/A |
Page 221
Moscow Exchange Micex OJSC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MOEX | CINS X5504J102 | 02/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Adoption of New Charter | Mgmt | For | For | For | |||||
2 | Adoption of New Supervisory Board Regulations | Mgmt | For | For | For | |||||
3 | Adoption of New Regulations on Supervisory Board Remuneration | Mgmt | For | For | For | |||||
4 | Related Party Transactions (D&O Insurance) | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Moscow Exchange Micex OJSC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MICEX | CINS X5504J102 | 11/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Russian Federation |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reduction in Authorized Share Capital | Mgmt | For | For | For | |||||
2 | Board Size | Mgmt | For | For | For | |||||
3 | Adoption of New Articles | Mgmt | For | For | For | |||||
4 | Amendments to Board Provisions | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 222
Motherson Sumi Systems Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MOTHERSUMI | CINS Y6139B141 | 08/31/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Amarjit Singh | Mgmt | For | For | For | |||||
4 | Elect Arjun Puri | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Elect Sushil C. Tripathi | Mgmt | For | For | For | |||||
7 | Elect Gautam Mukherjee | Mgmt | For | For | For | |||||
8 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Naver Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
035420 | CINS Y62579100 | 03/21/2014 | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect KIM Sang Hun | Mgmt | For | For | For | |||||
4 | Elect HWANG In Jun | Mgmt | For | For | For | |||||
5 | Directors’ Fees | Mgmt | For | For | For | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 223
NMDC Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NMDCLTD | CINS Y62393114 | 09/25/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect C. S. Verma | Mgmt | For | For | For | |||||
4 | Elect Narendra K. Nanda | Mgmt | For | For | For | |||||
5 | Elect Swaminathan Thiagarajan | Mgmt | For | For | For | |||||
6 | Elect Subimal Bose | Mgmt | For | For | For | |||||
7 | Elect S. K. Das | Mgmt | For | For | For | |||||
8 | Elect Rabindra Singh | Mgmt | For | For | For | |||||
9 | Elect R.N. Aga | Mgmt | For | For | For | |||||
10 | Elect Parminder Hira Mathur | Mgmt | For | For | For | |||||
11 | Elect Darold D. Rath | Mgmt | For | For | For | |||||
12 | Elect S. J. Sibal | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Elect Vinod Kumar Thakral | Mgmt | For | For | For | |||||
15 | Elect Syedain Abbasi | Mgmt | For | For | For | |||||
16 | Elect Noor Mohammad | Mgmt | For | For | For | |||||
17 | Elect Vinai Kumar Agarwal | Mgmt | For | For | For | |||||
18 | Elect Mahesh Shah | Mgmt | For | For | For |
Page 224
Norsk Hydro ASA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NHY | CINS R61115102 | 05/07/2014 | 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 | Agenda | Mgmt | For | For | For | |||||
6 | Election of Individuals to Check Minutes | Mgmt | For | For | For | |||||
7 | Accounts and Reports; Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
9 | Corporate Governance Report | Mgmt | For | For | For | |||||
10 | Compensation Guidelines | Mgmt | For | For | For | |||||
11 | Amendments to Articles Regarding the Term Length of Board of Directors | Mgmt | For | For | For | |||||
12 | Amendments to Articles Regarding the Term Length of Nomination Committee Members | Mgmt | For | For | For | |||||
13 | Amendments to Articles Regarding the Term Length of Corporate Assembly Members | Mgmt | For | For | For | |||||
14 | Amendments to Articles Regarding Age Limits | Mgmt | For | For | For | |||||
15 | Elect Leif Teksum | Mgmt | For | For | For | |||||
16 | Elect Idar Kreutzer | Mgmt | For | For | For | |||||
17 | Elect Sten-Arthur Saelor | Mgmt | For | For | For | |||||
18 | Elect Anne-Margrethe Firing | Mgmt | For | For | For | |||||
19 | Elect Terje Venold | Mgmt | For | For | For | |||||
20 | Elect Unni Steinsmo | Mgmt | For | For | For | |||||
21 | Elect Tove Wangensten | Mgmt | For | For | For | |||||
22 | Elect Anne Kverneland Bogsnes | Mgmt | For | For | For | |||||
23 | Elect Birger Solberg | Mgmt | For | For | For | |||||
24 | Elect Susanne Munch Thore | Mgmt | For | For | For | |||||
25 | Elect Nils Bastiansen | Mgmt | For | For | For | |||||
26 | Elect Shahzad Abid | Mgmt | For | For | For | |||||
27 | Elect Jan Fredrik Meling | Mgmt | For | For | For | |||||
28 | Elect Ylva Lindberg | Mgmt | For | For | For | |||||
29 | Elect Berit Ledel Henriksen | Mgmt | For | For | For | |||||
30 | Elect Jorunn Saetre | Mgmt | For | For | For | |||||
31 | Elect Leif Teksum | Mgmt | For | For | For | |||||
32 | Elect Terje Venold | Mgmt | For | For | For | |||||
33 | Elect Mette I. Wikborg | Mgmt | For | For | For | |||||
34 | Elect Susanne Munch Thore | Mgmt | For | For | For | |||||
35 | Corporate Assembly Fees | Mgmt | For | For | For | |||||
36 | Nomination Committee Fees | Mgmt | For | For | For |
Page 225
OHL Mexico SAB de CV
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OHLMEX | CINS P7356Z100 | 04/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Presentation of Statutory Reports | Mgmt | For | Abstain | Against | |||||
2 | Report of the CEO; Report of the Board; Auditor’s Report; Report on Tax Compliance | Mgmt | For | Abstain | Against | |||||
3 | Financial Statements; Report on Board Activities; Report on Accounting Practices | Mgmt | For | Abstain | Against | |||||
4 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
5 | Allocation of Profits; Authority to Repurchase Shares | Mgmt | For | Abstain | Against | |||||
6 | Election of Directors; Election of Board Committee Chairmen; Fees | Mgmt | For | Abstain | Against | |||||
7 | Election of Meeting Delegates | Mgmt | For | For | For |
OHL Mexico SAB de CV
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OHLMEX | CINS P7356Z100 | 04/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Mexico |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendments to Articles | Mgmt | For | Abstain | Against | |||||
2 | Election of Meeting Delegates | Mgmt | For | For | For |
Oil Search Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OSH | CINS Y64695110 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Papua New Guinea |
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 Kostas G. Constantinou | Mgmt | For | For | For | |||||
3 | Re-elect Agu J. Kantsler | Mgmt | For | For | For | |||||
4 | Re-elect Ziggy E. Switkowski | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Equity Grant (MD Peter Botten - Performance Rights) | Mgmt | For | For | For | |||||
7 | Equity Grant (Executive Director Gerea Aopi - Performance Rights) | Mgmt | For | For | For | |||||
8 | Equity Grant (MD Peter Botten - Restricted Shares) | Mgmt | For | For | For | |||||
9 | Equity Grant (Executive Director - Restricted Shares) | Mgmt | For | For | For |
Page 226
Optimal Payments Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OPAY | CINS G6770D109 | 05/21/2014 | 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 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Brahm Gelfand | Mgmt | For | For | For | |||||
4 | Elect John Comerford | Mgmt | For | For | For | |||||
5 | Elect Stephen J. Shaper | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For | |||||
7 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Outokumpu Oyj
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OUT1V | CINS X61161109 | 06/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Finland |
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 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
12 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Page 227
Pandora A/S
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNDORA | CINS K7681L102 | 03/19/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Denmark |
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 Agenda Item | N/A | N/A | TNA | N/A | |||||
5 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
6 | Directors’ Fees for 2013 | Mgmt | For | TNA | N/A | |||||
7 | Directors’ Fees for 2014 | Mgmt | For | TNA | N/A | |||||
8 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
9 | Ratification of Board and Management Acts | Mgmt | For | TNA | N/A | |||||
10 | Shareholder Proposal Regarding Meeting Notice | ShrHoldr | Against | TNA | N/A | |||||
11 | Shareholder Proposal Regarding Website Disclosure | ShrHoldr | Against | TNA | N/A | |||||
12 | Shareholder Proposal Regarding Catering at Annual General Meeting | ShrHoldr | Against | TNA | N/A | |||||
13 | Cancellation of Shares and Authority to Reduce Share Capital | Mgmt | For | TNA | N/A | |||||
14 | Amendments to Articles Regarding Share Capital | Mgmt | For | TNA | N/A | |||||
15 | Amendments to Articles Regarding the Danish Business Authority | Mgmt | For | TNA | N/A | |||||
16 | Amendments to Articles Regarding Registration Dates | Mgmt | For | TNA | N/A | |||||
17 | Amendments to Articles Regarding Votes by Post | Mgmt | For | TNA | N/A | |||||
18 | Amendments to Articles Regarding Board Size | Mgmt | For | TNA | N/A | |||||
19 | Amendments to Articles Regarding Language of General Meetings | Mgmt | For | TNA | N/A | |||||
20 | Remuneration Guidelines | Mgmt | For | TNA | N/A | |||||
21 | Amendments to Incentive Guidelines | Mgmt | For | TNA | N/A | |||||
22 | Authority to Carry Out Formalities | Mgmt | For | TNA | N/A | |||||
23 | Elect Marcello V. Bottoli | Mgmt | For | TNA | N/A | |||||
24 | Elect Povl Christian L Frigast | Mgmt | For | TNA | N/A | |||||
25 | Elect Bjorn Gulden | Mgmt | For | TNA | N/A | |||||
26 | Elect Andrea D Alvey | Mgmt | For | TNA | N/A | |||||
27 | Elect Torben Ballegaard Sorensen | Mgmt | For | TNA | N/A | |||||
28 | Elect Nikolaj Vejlsgaard | Mgmt | For | TNA | N/A | |||||
29 | Elect Ronica Wang | Mgmt | For | TNA | N/A | |||||
30 | Elect Anders Boyer-Sogaard | Mgmt | For | TNA | N/A | |||||
31 | Elect Per Bank | Mgmt | For | TNA | N/A | |||||
32 | Elect Michael Hauge Sorensen | Mgmt | For | TNA | N/A | |||||
33 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
34 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
35 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A |
Page 228
Playtech Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PTEC | CINS G7132V100 | 05/21/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
3 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
5 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
6 | Elect Hilary Stewart-Jones | Mgmt | For | For | For | |||||
7 | Elect Andrew Thomas | Mgmt | For | For | For | |||||
8 | Elect Alan Jackson | Mgmt | For | For | For | |||||
9 | Elect Ron Hoffman | Mgmt | For | For | For | |||||
10 | Elect Mor Weizer | 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 | |||||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
14 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 229
Power Finance Corp. Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFC | CINS Y7082R109 | 06/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Authority to Issue Non-convertible Debentures | Mgmt | For | For | For | |||||
3 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
4 | Authority to Mortgage Assets | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 230
Punjab National Bank
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNB | ISIN INE160A01014 | 06/30/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | TNA | N/A |
Rakuten Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
4755 | CINS J64264104 | 03/28/2014 | 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 Hiroshi Mikitani | Mgmt | For | For | For | |||||
4 | Elect Atsushi Kunishige | Mgmt | For | For | For | |||||
5 | Elect Yoshihisa Yamada | Mgmt | For | For | For | |||||
6 | Elect Masatada Kobayashi | Mgmt | For | For | For | |||||
7 | Elect Tohru Shimada | Mgmt | For | For | For | |||||
8 | Elect Akio Sugihara | Mgmt | For | For | For | |||||
9 | Elect Kazunori Takeda | Mgmt | For | For | For | |||||
10 | Elect Kentaroh Hyakuno | Mgmt | For | For | For | |||||
11 | Elect Hiroaki Yasutake | Mgmt | For | For | For | |||||
12 | Elect Charles B. Baxter | Mgmt | For | For | For | |||||
13 | Elect Kohichi Kusano | Mgmt | For | For | For | |||||
14 | Elect Ken Kutaragi | Mgmt | For | For | For | |||||
15 | Elect Joshua G. James | Mgmt | For | For | For | |||||
16 | Elect Hiroshi Fukino | Mgmt | For | For | For | |||||
17 | Elect Jun Murai | Mgmt | For | For | For | |||||
18 | Elect Masayuki Hosaka | Mgmt | For | For | For | |||||
19 | Elect Hiroshi Takahashi as Alternate Statutory Auditor | Mgmt | For | For | For | |||||
20 | Equity Compensation Plan | Mgmt | For | For | For |
Page 231
Randgold Resources Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RRS | CUSIP 752344309 | 05/06/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
4 | Remuneration Policy (Advisory - Non-UK issuer) | 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 Jemal-ud-din Kassum | Mgmt | For | For | For | |||||
10 | Elect Jeanine Mabunda Lioko | Mgmt | For | For | For | |||||
11 | Elect Andrew Quinn | Mgmt | For | For | For | |||||
12 | Elect Graham Shuttleworth | Mgmt | For | For | For | |||||
13 | Elect Karl Voltaire | Mgmt | For | For | For | |||||
14 | Appointment of Auditor | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Increase in Authorised Capital | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
18 | Directors’ Fees (Share Grants) | Mgmt | For | For | For | |||||
19 | Directors’ Fees (Increase Fee Cap) | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
23 | Scrip Dividend | Mgmt | For | For | For | |||||
24 | Electronic Communications | Mgmt | For | For | For |
Page 232
Reliance Industries Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RIIL | CINS Y72596102 | 06/18/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | India |
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 | AUDITED FINANCIAL STATEMENT, REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS | Mgmt | For | For | For | |||||
3 | AUDITED CONSOLIDATED FINANCIAL STATEMENT | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Elect Nikhil R. Meswani | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Elect Nita M. Ambani | Mgmt | For | For | For | |||||
8 | Elect Adil Zainulbhai | Mgmt | For | For | For | |||||
9 | Elect Yogendra P. Trivedi | Mgmt | For | For | For | |||||
10 | Elect Ashok Misra | Mgmt | For | For | For | |||||
11 | Appointment of Mukesh D. Ambani (Managing Director); Approval of Remuneration | Mgmt | For | For | For | |||||
12 | Appointment of P.M.S. Prasad (Whole-Time Director); Approval of Remuneration | Mgmt | For | For | For | |||||
13 | Approval of Remuneration for Non-Executive Directors | Mgmt | For | For | For | |||||
14 | Approval of Remuneration for Executive Directors | Mgmt | For | For | For | |||||
15 | Cost Auditor’s Fees | Mgmt | For | For | For | |||||
16 | Authority to Issue Non-Convertible Debentures | Mgmt | For | For | For | |||||
17 | Adoption of New Articles of Association | Mgmt | For | For | For |
Page 233
Rural Electrification Corporation Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RECLTD | CINS Y73650106 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Authority to Issue Non-convertible Debentures | Mgmt | For | For | For | |||||
3 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
4 | Authority to Mortgage Assets | Mgmt | For | For | For |
Samsonite International SA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
1910 | CINS L80308106 | 06/05/2014 | 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 Kyle Francis Gendreau | Mgmt | For | For | For | |||||
7 | Elect YEH Ying | Mgmt | For | For | For | |||||
8 | Elect Tom Korbas | Mgmt | For | For | For | |||||
9 | Appointment of Approved Statutory Auditor | Mgmt | For | For | For | |||||
10 | Appointment of External Auditor | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Grant of Discharge for Directors and Auditors for Exercise of Their Mandates | Mgmt | For | For | For | |||||
14 | Directors’ Fees | Mgmt | For | For | For | |||||
15 | Authority to Set Auditor’s Fees | Mgmt | For | For | For |
Page 234
Silver Wheaton Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLW | CUSIP 828336107 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 Brough | Mgmt | For | For | For | |||||
1.4 | Elect R. Peter Gillin | Mgmt | For | For | For | |||||
1.5 | Elect Chantal Gosselin | Mgmt | For | For | For | |||||
1.6 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.7 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.8 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.9 | 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 | |||||
4 | Amendment to the Share Option Plan | Mgmt | For | For | For | |||||
5 | Advance Notice Provision | Mgmt | For | Against | Against | |||||
6 | Amendment to By-Laws Regarding Quorum Requirements | Mgmt | For | For | For | |||||
7 | Notice and Access Provision | Mgmt | For | For | For |
Simcorp A/S
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIM | CINS K8851Q129 | 03/31/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Denmark |
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 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
8 | Elect Jesper Brangaard | Mgmt | For | TNA | N/A | |||||
9 | Elect Peter Schutze | Mgmt | For | TNA | N/A | |||||
10 | Elect Herve Couturier | Mgmt | For | TNA | N/A | |||||
11 | Elect Simon Jeffreys | Mgmt | For | TNA | N/A | |||||
12 | Elect Patrice McDonald | Mgmt | For | TNA | N/A | |||||
13 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
14 | Cancellation of Shares | Mgmt | For | TNA | N/A | |||||
15 | Compensation Guidelines | Mgmt | For | TNA | N/A | |||||
16 | Directors’ Fees | Mgmt | For | TNA | N/A | |||||
17 | Authority to Repurchase Shares | Mgmt | For | TNA | N/A | |||||
18 | Amendments to Articles Regarding Financial Reports | Mgmt | For | TNA | N/A |
Page 235
Softbank Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
9984 | CINS J75963108 | 06/20/2014 | 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 Yoshimitsu Gotoh | Mgmt | For | For | For | |||||
4 | Elect Kazuhiko Fujiwara | Mgmt | For | For | For | |||||
5 | Elect Shigenobu Nagamori | Mgmt | For | For | For |
SOHO China Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
410 | CINS G82600100 | 05/13/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
3 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
4 | Elect Marita PAN ZHANG Xin | Mgmt | For | For | For | |||||
5 | Elect YAN Yan | 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/o Preemptive Rights | Mgmt | For | Against | Against | |||||
9 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
10 | Authority to Issue Repurchased Shares | Mgmt | For | Against | Against | |||||
11 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
12 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 236
Start Today Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3092 | CINS J7665M102 | 06/27/2014 | 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 Toshiaki Shimizu as Director | Mgmt | For | For | For |
State Bank of India Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBI | CINS Y8161Z129 | 06/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Directors | Mgmt | For | For | For | |||||
2 | Employee Stock Purchase Scheme 2014 | Mgmt | For | For | For | |||||
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 Meeting Note | N/A | N/A | N/A | N/A | |||||
7 | 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 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lorne B. Anderson | Mgmt | For | For | For | |||||
1.2 | Elect John P. Bell | Mgmt | For | For | For | |||||
1.3 | Elect Tanya M. Jakusconek | Mgmt | For | For | For | |||||
1.4 | Elect C. Kevin McArthur | Mgmt | For | For | For | |||||
1.5 | Elect A. Dan Rovig | Mgmt | For | For | For | |||||
1.6 | Elect Paul B. Sweeney | Mgmt | For | For | For | |||||
1.7 | Elect James S. Voorhees | Mgmt | For | For | For | |||||
1.8 | Elect Kenneth F. Williamson | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Shareholder Rights Plan | Mgmt | For | For | For |
Page 237
Taiwan Semiconductor Manufacturing Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2330 | CUSIP 874039100 | 06/24/2014 | 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 | Amendments to Procedural Rules | Mgmt | For | For | For |
Travelsky Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0696 | CINS Y8972V101 | 06/05/2014 | 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 |
Travelsky Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0696 | CINS Y8972V101 | 06/05/2014 | 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 | Director’s Report | Mgmt | For | For | For | |||||
4 | Supervisor’s 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 | Authority to Issue Domestic and H Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
9 | Authority to Repurchase H Shares | Mgmt | For | For | For |
Page 238
Turkiye Garanti Bankasi A.S.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GARAN | CINS M4752S106 | 04/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | Turkey |
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 | Opening; Election of Presiding Chairman; Minutes | Mgmt | For | For | For | |||||
4 | Presentation of the Board of Directors’ Report | Mgmt | For | For | For | |||||
5 | Presentation of the Independent Auditors’ Report | Mgmt | For | For | For | |||||
6 | Accounts | Mgmt | For | For | For | |||||
7 | Ratification of Board Acts | Mgmt | For | For | For | |||||
8 | Ratification of Statutory Auditors’ Acts | Mgmt | For | For | For | |||||
9 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Appointment of Auditor | Mgmt | For | For | For | |||||
12 | Presentation of Compensation Policy | Mgmt | For | For | For | |||||
13 | Charitable Donations | Mgmt | For | For | For | |||||
14 | Related Party Transactions | Mgmt | For | Against | Against |
Page 239
United Internet AG
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UTDI | CINS D8542B125 | 05/22/2014 | Take No Action | |||
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 | TNA | N/A | |||||
2 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||||
3 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||||
4 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||||
5 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||||
6 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
8 | Ratification of Management Board Acts | Mgmt | For | TNA | N/A | |||||
9 | Ratification of Supervisory Board Acts | Mgmt | For | TNA | N/A | |||||
10 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
11 | Authority to Repurchase Shares | Mgmt | For | TNA | N/A | |||||
12 | Authority to Issue Convertible Debt Instruments; Increase in Conditional Capital | Mgmt | For | TNA | N/A | |||||
13 | Amendments to Profit-and-Loss Transfer Agreement with United Internet Ventures AG | Mgmt | For | TNA | N/A | |||||
14 | Control Agreement with 1&1 Internet AG | Mgmt | For | TNA | N/A | |||||
15 | Control Agreement with United Internet Ventures AG | Mgmt | For | TNA | N/A | |||||
16 | Profit-and-Loss Agreement with 1&1 Telecommunication Service SE | Mgmt | For | TNA | N/A | |||||
17 | Control Agreement with 1&1 Telecommunication Service SE | Mgmt | For | TNA | N/A | |||||
18 | Amendments to Profit-and-Loss Transfer Agreement with 1&1 Telecom Service Holding Montabaur | Mgmt | For | TNA | N/A |
Page 240
Vestas Wind Systems A/S
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VWS | CINS K9773J128 | 03/24/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Denmark |
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 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
8 | Elect Bert Nordberg | Mgmt | For | TNA | N/A | |||||
9 | Elect Carsten Bjerg | Mgmt | For | TNA | N/A | |||||
10 | Elect Eija Pitkanen | Mgmt | For | TNA | N/A | |||||
11 | Elect Henrik Andersen | Mgmt | For | TNA | N/A | |||||
12 | Elect Henry Stenson | Mgmt | For | TNA | N/A | |||||
13 | Elect Jorn Ankaer Thomsen | Mgmt | For | TNA | N/A | |||||
14 | Elect Lars Olof Josefsson | Mgmt | For | TNA | N/A | |||||
15 | Elect Lykke Friis | Mgmt | For | TNA | N/A | |||||
16 | Directors’ Fees 2013 | Mgmt | For | TNA | N/A | |||||
17 | Directors’ Fees 2014 | Mgmt | For | TNA | N/A | |||||
18 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
19 | Amendments to Articles | Mgmt | For | TNA | N/A | |||||
20 | Amendments to Articles Regarding Reporting Language | Mgmt | For | TNA | N/A | |||||
21 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | TNA | N/A | |||||
22 | Authority to Repurchase Shares | Mgmt | For | TNA | N/A | |||||
23 | Shareholder Proposals Regarding a New Article 5(3) | ShrHoldr | Against | TNA | N/A | |||||
24 | Shareholder Proposals Regarding the Company’s Financial Reports and Company Announcements | ShrHoldr | Against | TNA | N/A | |||||
25 | Shareholder Proposal Regarding Website Accessibility | ShrHoldr | Against | TNA | N/A | |||||
26 | Shareholder Proposal Regarding Refreshments at Annual General Meetings | ShrHoldr | Against | TNA | N/A | |||||
27 | Authorization of Legal Formalities | Mgmt | For | TNA | N/A |
Page 241
Yahoo Japan Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
4689 | CINS J95402103 | 06/19/2014 | 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 Manabu Miyasaka | Mgmt | For | For | For | |||||
3 | Elect Masayoshi Son | Mgmt | For | For | For | |||||
4 | Elect Kentaroh Kawabe | Mgmt | For | For | For | |||||
5 | Elect Toshiki Ohya | Mgmt | For | For | For | |||||
6 | Elect Ken Miyauchi | Mgmt | For | For | For | |||||
7 | Elect Yasuyuki Imai | Mgmt | For | For | For | |||||
8 | Elect Kenneth Goldman | Mgmt | For | For | For |
Yamana Gold Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YRI | CUSIP 98462Y100 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
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 Carl L. Renzoni | Mgmt | For | For | For | |||||
1.8 | Elect Dino Titaro | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Approval of the New General By-Law | Mgmt | For | For | For | |||||
4 | Advisory vote on executive compensation | Mgmt | For | For | For |
Page 242
Yellow Media Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
Y | CUSIP 98552P100 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Julien Billot | Mgmt | For | For | For | |||||
1.2 | Elect Craig Forman | Mgmt | For | For | For | |||||
1.3 | Elect David A. Lazzarato | Mgmt | For | For | For | |||||
1.4 | Elect David G. Leith | Mgmt | For | For | For | |||||
1.5 | Elect Robert F. MacLellan | Mgmt | For | For | For | |||||
1.6 | Elect Juidth A. McHale | Mgmt | For | For | For | |||||
1.7 | Elect Donald H. Morrison | Mgmt | For | For | For | |||||
1.8 | Elect Martin Nisenholtz | Mgmt | For | For | For | |||||
1.9 | Elect Kalpana Raina | Mgmt | For | For | For | |||||
1.10 | Elect Michael G. Sifton | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 243
YPF S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YPFD | CUSIP 984245100 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Election of Meeting Delegates in Charge of Meeting Minutes | Mgmt | For | For | For | |||||
2 | Long-Term Incentive Plan | Mgmt | For | For | For | |||||
3 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Ratification of Auditor’s Fees | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Authority to Issue Debt Instruments | Mgmt | For | For | For | |||||
8 | Ratification of Board and Supervisory Council Acts | Mgmt | For | For | For | |||||
9 | Ratification of Directors’ Fees | Mgmt | For | For | For | |||||
10 | Ratification of Supervisory Council’s Fees | Mgmt | For | For | For | |||||
11 | Supervisory Council Size | Mgmt | For | For | For | |||||
12 | Election of Supervisory Council Members and Alternates (Class A) | Mgmt | For | For | For | |||||
13 | Election of Supervisory Council Members and Alternates (Class D) | Mgmt | For | For | For | |||||
14 | Board Size | Mgmt | For | For | For | |||||
15 | Election of Directors (Class A) | Mgmt | For | For | For | |||||
16 | Election of Director (Class D) | Mgmt | For | For | For | |||||
17 | Directors’ Fees; Supervisory Council’s Fees | Mgmt | For | For | For | |||||
18 | Withdrawal of Corporate Liability Action | Mgmt | For | For | For |
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893152 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 | Mgmt | For | For | For |
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893186 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 | Mgmt | For | For | For |
Page 244
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893152 | 06/12/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Mgmt | For | For | For |
Zee Entertainment Enterprises Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ZEEENTER | CINS Y98893152 | 10/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 | Bonus Share Issuance | Mgmt | For | For | For |
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW International Small Cap Fund
Accretive Co. Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
8423 | CINS J0007Q105 | 06/25/2014 | 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 Tohru Mukai | Mgmt | For | For | For | |||||
3 | Elect Takeshi Sugahara | Mgmt | For | For | For | |||||
4 | Elect Hiroshi Takayama | Mgmt | For | For | For | |||||
5 | Elect Mitsuo Takahashi | Mgmt | For | For | For | |||||
6 | Elect Keiji Nagoh | Mgmt | For | Against | Against | |||||
7 | Elect Nobuaki Miyata | Mgmt | For | Against | Against | |||||
8 | Elect Kiyotaka Sakakibara | Mgmt | For | For | For |
Page 245
Africa Hydrocarbons Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NFK | CUSIP 00830G100 | 03/14/2014 | 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 John R. Nelson | Mgmt | For | For | For | |||||
2.2 | Elect Gordon McKay | Mgmt | For | For | For | |||||
2.3 | Elect Binh Vu | Mgmt | For | For | For | |||||
2.4 | Elect David M. Anthony | 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 |
Amerisur Resources Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMER | CINS G0329T103 | 05/07/2014 | 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 | Elect Victor Valdovinos | Mgmt | For | For | For | |||||
3 | Elect Douglas Ellenor | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
6 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
7 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For |
Page 246
Augusta Resource Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AZC | CUSIP 050912203 | 05/02/2014 | 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 Timothy C. Baker | Mgmt | For | For | For | |||||
2.2 | Elect Lenard F. Boggio | Mgmt | For | For | For | |||||
2.3 | Elect Gilmour Clausen | Mgmt | For | For | For | |||||
2.4 | Elect W. Durand Eppler | Mgmt | For | For | For | |||||
2.5 | Elect Christopher M. H. Jennings | Mgmt | For | For | For | |||||
2.6 | Elect Robert P. Pirooz | Mgmt | For | For | For | |||||
2.7 | Elect Robert P. Wares | Mgmt | For | For | For | |||||
2.8 | Elect Richard W. Warke | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Continuation of the Shareholder Rights Plan | Mgmt | For | Against | Against |
B2Gold Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BTO | CUSIP 11777Q209 | 06/13/2014 | 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 | |||||
2.9 | Elect Kevin Bullock | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Amendment to the Stock Option Plan | Mgmt | For | For | For | |||||
5 | Amendment to the Restricted Unit Plan | Mgmt | For | For | For | |||||
6 | Advance Notice | Mgmt | For | For | For |
Page 247
Bajaj Finance Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BAJFINANC | CINS Y05473122 | 03/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
3 | Authority to Mortgage Assets | Mgmt | For | For | For | |||||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Bathurst Resources (New Zealand) Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRL | CINS Q1343W105 | 10/31/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | New Zealand |
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 Dave Frow | Mgmt | For | For | For | |||||
3 | Re-elect Craig Munro | Mgmt | For | For | For | |||||
4 | Re-elect Rob Lord | Mgmt | For | For | For | |||||
5 | Ratify Placement of Securities | Mgmt | For | For | For | |||||
6 | Approve 10% Placement Facility | Mgmt | For | For | For | |||||
7 | Equity Grant (MD Hamish Bohannan) | Mgmt | For | For | For | |||||
8 | Authorise Board to Set Auditor’s Fees | Mgmt | For | For | For |
Benefit One Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2412 | CINS J0447X108 | 06/26/2014 | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect Yasuyuki Nambu | Mgmt | For | For | For | |||||
4 | Elect Norio Shiraishi | Mgmt | For | For | For | |||||
5 | Elect Masako Suzuki | Mgmt | For | For | For | |||||
6 | Elect Kohji Nosohara | Mgmt | For | For | For | |||||
7 | Elect Tsutomu Ohta | 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 Nobuyasu Kubo | Mgmt | For | For | For | |||||
12 | Elect Takeshi Gotoh as Statutory Auditor | Mgmt | For | For | For | |||||
13 | Elect Kazufumi Nomura as Alternate Statutory Auditor | Mgmt | For | Against | Against |
Page 248
Blinkx Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BLNX | CINS G13235109 | 07/11/2013 | 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 | Elect Suranga Chandratillake | Mgmt | For | For | For | |||||
3 | Elect Michael Lynch | Mgmt | For | For | For | |||||
4 | Appointment of Auditor | Mgmt | For | For | For | |||||
5 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
6 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
7 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For |
Bloomage BioTechnology Corporation Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0963 | CINS G1179M107 | 12/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 | Conditional Warrant Subscription Agreement | Mgmt | For | For | For | |||||
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 | Equity Grant to JIN Xuekun | Mgmt | For | For | For | |||||
7 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 249
BR Properties S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRPR3 | CINS P1909V120 | 04/16/2014 | 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 | Amendment to Articles Regarding Reconciliation of Share Capital | Mgmt | For | For | For | |||||
4 | Amendment to Articles Regarding Board Composition | Mgmt | For | For | For | |||||
5 | Amendment to Articles Regarding Board Meetings | Mgmt | For | For | For | |||||
6 | Amendment to Articles Regarding Wording | Mgmt | For | For | For | |||||
7 | Consolidation of Articles | Mgmt | For | For | For | |||||
8 | Spin-Off and Merger by Absorption Agreements | Mgmt | For | For | For | |||||
9 | Ratification of Appointment of Appraiser | Mgmt | For | For | For | |||||
10 | Valuation Reports | Mgmt | For | For | For | |||||
11 | Spin-Offs and Mergers by Absorption | Mgmt | For | For | For | |||||
12 | Authority to Carry Out Spin-Off and Merger by Absorption Formalities | Mgmt | For | For | For |
BR Properties S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRPR3 | CINS P1909V120 | 04/30/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Capital Expenditure Budget | Mgmt | For | For | For | |||||
6 | Remuneration Policy | Mgmt | For | For | For | |||||
7 | Election of Directors | Mgmt | For | For | For | |||||
8 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
9 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 250
Broadleaf Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3673 | CINS J04642104 | 03/25/2014 | 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 Kenji Ohyama | Mgmt | For | For | For | |||||
4 | Elect Kenichi Yamanaka | Mgmt | For | For | For | |||||
5 | Elect Morio Kizawa | Mgmt | For | For | For | |||||
6 | Elect Masao Hirano | Mgmt | For | For | For | |||||
7 | Elect Kiichiroh Watanabe | Mgmt | For | For | For | |||||
8 | Elect Tomoji Ishii as Statutory Auditor | Mgmt | For | For | For |
Centamin Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CEY | CINS G2055Q105 | 05/16/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
3 | Elect Josef El-Raghy | Mgmt | For | For | For | |||||
4 | Elect Trevor Schultz | Mgmt | For | For | For | |||||
5 | Elect Gordon E. Haslam | Mgmt | For | For | For | |||||
6 | Elect G. Robert Bowker | Mgmt | For | For | For | |||||
7 | Elect Mark R. Arnesen | Mgmt | For | For | For | |||||
8 | Elect Mark Bankes | Mgmt | For | For | For | |||||
9 | Elect Kevin M. Tomlinson | Mgmt | For | For | For | |||||
10 | Appointment of Auditor | Mgmt | For | For | For | |||||
11 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
12 | Authority to Issue Shares w/ Preemptive Rights | 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 |
Page 251
Centerra Gold Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CG | CUSIP 152006102 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ian Atkinson | Mgmt | For | For | For | |||||
1.2 | Elect Richard Connor | Mgmt | For | For | For | |||||
1.3 | Elect Raphael Girard | Mgmt | For | For | For | |||||
1.4 | Elect Stephen A. Lang | Mgmt | For | For | For | |||||
1.5 | Elect Emil Orozbaev | Mgmt | For | For | For | |||||
1.6 | Elect Michael Parrett | Mgmt | For | For | For | |||||
1.7 | Elect Sheryl K. Pressler | Mgmt | For | For | For | |||||
1.8 | Elect Terry V. Rogers | Mgmt | For | For | For | |||||
1.9 | Elect Kalinur Sadyrov | Mgmt | For | For | For | |||||
1.10 | Elect Kylychbek Shakirov | Mgmt | For | For | For | |||||
1.11 | Elect Bruce V. Walter | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Amendments to By-Laws (Bundled) | Mgmt | For | For | For |
Cetip S.A. - Mercados Organizados
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTIP3 | CINS P23840104 | 04/28/2014 | 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 | Accounts and Reports | Mgmt | For | For | For | |||||
4 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
5 | Remuneration Report | Mgmt | For | For | For | |||||
6 | Election of Directors | 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 |
Page 252
Cetip S.A. - Mercados Organizados
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTIP3 | CINS P23840104 | 04/28/2014 | 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 Option Plan | Mgmt | For | For | For |
Cyberagent Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
4751 | CINS J1046G108 | 12/13/2013 | 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 |
DCB Bank Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DCB | CINS Y2051L134 | 06/06/2014 | 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 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
4 | Elect Altaf Jiwani | Mgmt | For | For | For | |||||
5 | Elect Amin Manekia | Mgmt | For | For | For | |||||
6 | Elect Suhail Nathani | Mgmt | For | For | For | |||||
7 | Elect Sukh Dev Nayyar | Mgmt | For | For | For | |||||
8 | Elect Imran Contractor | Mgmt | For | For | For | |||||
9 | Elect Keki Elavia | Mgmt | For | For | For | |||||
10 | Elect C. Narasimhan | Mgmt | For | For | For | |||||
11 | Elect Nalin Shah | Mgmt | For | For | For | |||||
12 | Elect S. Sridhar | Mgmt | For | For | For | |||||
13 | Elect Jamal Pradhan | Mgmt | For | For | For | |||||
14 | Amendments to Articles | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares and/or Debt Instruments w/o Preemptive Rights | Mgmt | For | For | For |
Page 253
Development Credit Bank Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DCB | CINS Y2051L134 | 10/07/2013 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Other | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Non-Voting Meeting Note | N/A | N/A | TNA | N/A | |||||
2 | Change in Company Name | Mgmt | For | TNA | N/A |
ElectroMagnetic GeoServices ASA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EMGS | CINS R21868105 | 06/03/2014 | 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 | For | For | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Authority to Issue Shares Pursuant to General Business Purposes | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares Pursuant to Incentive Plans | Mgmt | For | For | For | |||||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
13 | Directors’ Fees | Mgmt | For | For | For | |||||
14 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
15 | Amendments to Articles Regarding Notice Period | Mgmt | For | For | For | |||||
16 | Elect New Director | Mgmt | For | For | For | |||||
17 | Elect Berit Svendsen | Mgmt | For | For | For | |||||
18 | Elect Jeffrey A. Harris | Mgmt | For | For | For |
Page 254
Electrovaya Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EFL | CUSIP 28617B101 | 03/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dr. Sankar Das Gupta | Mgmt | For | For | For | |||||
1.2 | Elect Bejoy Das Gupta | Mgmt | For | For | For | |||||
1.3 | Elect Ralph Lean | Mgmt | For | For | For | |||||
1.4 | Elect Dr. Alexander McClean | Mgmt | For | For | For | |||||
1.5 | Elect Dr. Bernard Fleet | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to the Bonus/162(m) Plan | Mgmt | For | For | For |
Enigmo Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3665 | CINS J13589106 | 04/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Shohkei Suda | Mgmt | For | For | For | |||||
2 | Elect Hideo Andoh | Mgmt | For | For | For | |||||
3 | Elect Yohichi Kaneda | Mgmt | For | For | For | |||||
4 | Elect Hiroki Totoki | Mgmt | For | For | For |
Enish Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3667 | CINS J1358A103 | 03/26/2014 | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect Kohhei Yasunori | Mgmt | For | For | For | |||||
4 | Elect Yoshiyuki Kumon | Mgmt | For | For | For | |||||
5 | Elect Masanori Sugiyama | Mgmt | For | For | For | |||||
6 | Elect Kohsuke Matsumoto | Mgmt | For | For | For | |||||
7 | Elect Shumpei Kumon | Mgmt | For | For | For | |||||
8 | Elect Hiroshi Satoh as Alternate Statutory Auditor | Mgmt | For | For | For |
Page 255
F@N Communications Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2461 | CINS J14092100 | 03/27/2014 | 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 Yasuyoshi Yanagisawa | Mgmt | For | For | For | |||||
3 | Elect Hiroshi Matsumoto | Mgmt | For | For | For | |||||
4 | Elect Yoshikatsu Satoh | Mgmt | For | For | For | |||||
5 | Elect Hakaru Hirose | Mgmt | For | For | For | |||||
6 | Elect Shuji Idesawa as Statutory Auditor | Mgmt | For | For | For | |||||
7 | Elect Kenji Yamada as Alternate Statutory Auditor | Mgmt | For | For | For | |||||
8 | Equity Compensation Plan for Directors | Mgmt | For | For | For | |||||
9 | Equity Compensation Plan for Employees of the Company and Directors and Employees of Subsidiaries | Mgmt | For | For | For |
GMO Internet Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
9449 | CINS J1727L103 | 03/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Masatoshi Kumagai | Mgmt | For | For | For | |||||
2 | Elect Masashi Yasuda | Mgmt | For | For | For | |||||
3 | Elect Hiroyuki Nishiyama | Mgmt | For | For | For | |||||
4 | Elect Tadashi Itoh | Mgmt | For | For | For | |||||
5 | Elect Kazuhiko Miyazaki | Mgmt | For | For | For | |||||
6 | Elect Hirofumi Yamashita | Mgmt | For | For | For | |||||
7 | Elect Shintaroh Takahashi | Mgmt | For | For | For | |||||
8 | Elect Toshihiko Sugaya | Mgmt | For | For | For | |||||
9 | Elect Katsumi Arisawa | Mgmt | For | For | For | |||||
10 | Elect Teruhiro Arai | Mgmt | For | For | For | |||||
11 | Elect Kentaroh Satoh | Mgmt | For | For | For | |||||
12 | Elect Toshiaki Horiuchi | Mgmt | For | For | For | |||||
13 | Elect Kimihiro Kodama | Mgmt | For | For | For | |||||
14 | Elect Masamitsu Nomura | Mgmt | For | For | For | |||||
15 | Elect Issei Ainoura | Mgmt | For | For | For | |||||
16 | Elect Masakazu Iwakura | Mgmt | For | For | For | |||||
17 | Elect Kaname Masuda as Statutory Auditor | Mgmt | For | For | For | |||||
18 | Elect Kohichi Tachibana as Alternate Statutory Auditor | Mgmt | For | For | For | |||||
19 | Directors’ Fees | Mgmt | For | For | For |
Page 256
Gulf Keystone Petroleum Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GKP | CINS G4209G108 | 07/25/2013 | 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 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Elect Ali Al Qabandi | Mgmt | For | For | For | |||||
4 | Elect Mehdi Varzi | Mgmt | For | Against | Against | |||||
5 | Shareholder Proposal to Elect Dissident Nominee Jeremy Asher | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal to Elect Dissident Nominee Thomas Shull | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal to Elect Dissident Nominee John Bell | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal to Elect Dissident Nominee Philip Dimmock | ShrHoldr | Against | Against | For | |||||
9 | Elect Simon Murray | Mgmt | For | For | For |
Page 257
Indian Bank Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INDIANB | CINS Y39228112 | 06/27/2014 | 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 | Election of Shareholder Directors | Mgmt | For | For | For |
Infomart Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2492 | CINS J24436107 | 03/27/2014 | 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 Tomoyasu Hattori as Statutory Auditor | Mgmt | For | For | For |
Interpark Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
035080 | CINS Y4165S104 | 03/28/2014 | 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 | Amendments to Articles | Mgmt | For | For | For | |||||
3 | Elect KANG Dong Hwa | Mgmt | For | For | For | |||||
4 | Elect LEE Sang Kyu | Mgmt | For | For | For | |||||
5 | Elect KIM Dong Up | Mgmt | For | For | For | |||||
6 | Elect HAM Joon Ho | Mgmt | For | For | For | |||||
7 | Elect CHOI Chang Hae | Mgmt | For | For | For | |||||
8 | Election of Audit Committee Member: HAM Joon Ho | Mgmt | For | For | For | |||||
9 | Election of Audit Committee Member: CHOI Chang Hae | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For |
Page 258
Ivernia Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IVW | CUSIP 46582W108 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | 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 | |||||
1.7 | Elect Robert Metcalfe | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKH | CINS Y4459Q103 | 08/23/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Colombo Waterfront Development Project | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Page 259
John Keells Holdings PLC
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKH | CINS Y4459Q103 | 10/02/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Sri Lanka |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Authority to Issue Shares and Warrants w/ Preemptive Rights | Mgmt | For | For | For | |||||
2 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
3 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Kakaku.com Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2371 | CINS J29258100 | 06/24/2014 | 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 Kaoru Hayashi | Mgmt | For | For | For | |||||
5 | Elect Minoru Tanaka | Mgmt | For | For | For | |||||
6 | Elect Shohnosuke Hata | Mgmt | For | For | For | |||||
7 | Elect Taizoh Ieuji | Mgmt | For | For | For | |||||
8 | Elect Kenji Fujiwara | Mgmt | For | For | For | |||||
9 | Elect Hajime Uemura | Mgmt | For | For | For | |||||
10 | Elect Shingo Yuki | Mgmt | For | For | For | |||||
11 | Elect Atsuhiro Murakami | Mgmt | For | For | For | |||||
12 | Elect Ohki Matsumoto | Mgmt | For | For | For | |||||
13 | Elect Yoshiharu Hayakawa | Mgmt | For | For | For | |||||
14 | Elect Ryuhei Akiyama | Mgmt | For | For | For | |||||
15 | Elect Toshio Takano as Statutory Auditor | Mgmt | For | For | For |
Linx S.A.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LINX3 | CINS P6S933101 | 12/11/2013 | 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 | Amendments to Articles Regarding Reconciliation of Share Capital | Mgmt | For | For | For | |||||
4 | Amendments to Articles Regarding Meeting Powers | Mgmt | For | For | For | |||||
5 | Amendments to Articles Regarding Board of Director Powers | Mgmt | For | For | For | |||||
6 | Amendments to Articles Regarding Board of Director Powers | Mgmt | For | For | For | |||||
7 | Amendments to Articles Regarding Audit Committee Size | Mgmt | For | For | For | |||||
8 | Amendments to Articles Regarding Executive Board Size | Mgmt | For | For | For | |||||
9 | Amendments to Articles Regarding Executive Board Duties | Mgmt | For | For | For | |||||
10 | Consolidation of Articles | Mgmt | For | For | For | |||||
11 | Merger by Absorption | Mgmt | For | For | For |
Page 260
Luk Fook Holdings (International) Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0590 | CINS G5695X125 | 08/20/2013 | 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 TSE Moon Chuen | Mgmt | For | For | For | |||||
6 | Elect Pauline YEUNG Po Ling | Mgmt | For | For | For | |||||
7 | Elect Stephen HUI Chiu Chung | Mgmt | For | For | For | |||||
8 | Elect FOK Kwong Man | Mgmt | For | For | For | |||||
9 | Elect Alvin MAK Wing Sum | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
12 | Authority to Issue Shares w/out Preemptive Rights | Mgmt | For | For | For | |||||
13 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
14 | Authority to Issue Repurchased Shares | Mgmt | For | For | For |
Page 261
MAG Silver Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MAG | CUSIP 55903Q104 | 06/24/2014 | 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 George N. Paspalas | Mgmt | For | For | For | |||||
2.2 | Elect Jonathan A. Rubenstein | Mgmt | For | For | For | |||||
2.3 | Elect Richard M. Colterjohn | Mgmt | For | For | For | |||||
2.4 | Elect Derek C. White | Mgmt | For | For | For | |||||
2.5 | Elect Peter D. Barnes | Mgmt | For | For | For | |||||
2.6 | Elect Richard P. Clark | Mgmt | For | For | For | |||||
2.7 | Elect Daniel T. MacInnis | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Amendment to the Stock Option Plan | Mgmt | For | For | For | |||||
5 | Share Unit Plan | Mgmt | For | For | For | |||||
6 | Deferred Share Unit Plan | Mgmt | For | For | For |
Mawson Resources Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MAW | CUSIP 57776G106 | 08/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Private Placement | Mgmt | For | For | For | |||||
2 | Transaction of Other Business | Mgmt | For | Against | Against |
Monitise Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MONI | CINS G6258F105 | 10/17/2013 | 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 | Elect Colin Tucker | Mgmt | For | For | For | |||||
3 | Elect Michael Keyworth | Mgmt | For | For | For | |||||
4 | Elect Bradley Petzer | Mgmt | For | For | For | |||||
5 | Elect Victor W. Dahir | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For | |||||
7 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
8 | Directors’ Remuneration Report | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/ Preemptive Rights | 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 |
Page 262
Multi Commodity Exchange of India Limited (MCX)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCX | CINS Y5S057101 | 01/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 Memorandum | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For |
Multi Commodity Exchange of India Limited (MCX)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCX | CINS Y5S057101 | 06/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 Memorandum | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For |
Page 263
Nevsun Resources Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NSU | CUSIP 64156L101 | 05/22/2014 | 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 Ian R. Ashby | Mgmt | For | For | For | |||||
2.3 | Elect Clifford T. Davis | Mgmt | For | For | For | |||||
2.4 | Elect Robert Gayton | Mgmt | For | For | For | |||||
2.5 | Elect Gary E. German | Mgmt | For | For | For | |||||
2.6 | Elect Gerard E. Munera | Mgmt | For | For | For | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Shareholder Rights Plan Renewal | Mgmt | For | Against | Against | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Next Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2120 | CINS J4914W106 | 06/26/2014 | 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 Takashi Yamada | Mgmt | For | For | For | |||||
4 | Elect Yohsuke Hisamatsu | Mgmt | For | For | For |
Page 264
Nordic Semiconductor ASA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NOD | CINS R4988P103 | 04/10/2014 | 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 | Opening of Meeting | Mgmt | For | For | For | |||||
6 | Election of Presiding Chairman; Minutes | Mgmt | For | For | For | |||||
7 | Agenda | Mgmt | For | For | For | |||||
8 | Accounts and Reports; Allocation of Profit | Mgmt | For | For | For | |||||
9 | Directors and Auditors’ Fees | Mgmt | For | For | For | |||||
10 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
11 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
12 | Authority to Enter Into an Agreement with Employees Not to Establish a Corporate Assembly | Mgmt | For | For | For | |||||
13 | Board Size | Mgmt | For | For | For | |||||
14 | Election of Directors | Mgmt | For | For | For | |||||
15 | Election of Nominating Committee | Mgmt | For | For | For | |||||
16 | Compensation Guidelines | Mgmt | For | For | For |
Optimal Payments Plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OPAY | CINS G6770D109 | 05/21/2014 | 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 | Remuneration Report | Mgmt | For | For | For | |||||
3 | Elect Brahm Gelfand | Mgmt | For | For | For | |||||
4 | Elect John Comerford | Mgmt | For | For | For | |||||
5 | Elect Stephen J. Shaper | Mgmt | For | For | For | |||||
6 | Appointment of Auditor | Mgmt | For | For | For | |||||
7 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 265
Oriental Bank of Commerce
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OBC | CINS Y6495G114 | 06/19/2014 | 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 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
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 | 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 |
Phoenix Mills Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PHOENIX | CINS Y6973B132 | 08/21/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Amit K. Dabriwala | Mgmt | For | For | For | |||||
4 | Elect Suhail Nathani | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Elect Gautam Nayak | Mgmt | For | For | For | |||||
7 | Authority to Issue Shares and Convertible Debt Instruments | Mgmt | For | For | For | |||||
8 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
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 | |||||
15 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
16 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
17 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
18 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
19 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
20 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
21 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
22 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
23 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
24 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 266
Plus500 Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PLUS | CINS M7S2CK109 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Israel |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Alastair Gordon | Mgmt | For | For | For | |||||
2 | Elect Gal Haber | Mgmt | For | For | For | |||||
3 | Elect Alon Gonen | Mgmt | For | For | For | |||||
4 | Elect Inbal Marom | Mgmt | For | For | For | |||||
5 | Elect Henry Birch | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Raise in Salary of CEO | Mgmt | For | For | For | |||||
8 | Raise in Salary of Managing Director | Mgmt | For | For | For | |||||
9 | Grant of Share Appreciation Rights to the CFO | Mgmt | For | For | For | |||||
10 | Compensation Policy | Mgmt | For | Abstain | Against | |||||
11 | Authorize Board to Issue Shares | Mgmt | For | Against | Against |
Power Finance Corp. Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFC | CINS Y7082R109 | 06/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Authority to Issue Non-convertible Debentures | Mgmt | For | For | For | |||||
3 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
4 | Authority to Mortgage Assets | Mgmt | For | For | For | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Primero Mining Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
P | CUSIP 74164W106 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.2 | Elect Joseph F. Conway | Mgmt | For | For | For | |||||
1.3 | Elect David R. Demers | Mgmt | For | For | For | |||||
1.4 | Elect Grant A. Edey | Mgmt | For | For | For | |||||
1.5 | Elect Rohan Hazelton | Mgmt | For | For | For | |||||
1.6 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.7 | Elect Robert A. Quartermain | Mgmt | For | For | For | |||||
1.8 | Elect Michael Riley | Mgmt | For | For | For | |||||
1.9 | Elect Brad Marchant | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Page 267
PTC India Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PTC | CINS Y7043E106 | 08/19/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect I.J. Kapoor | Mgmt | For | For | For | |||||
4 | Elect Hemant Bhargava | Mgmt | For | For | For | |||||
5 | Elect Ved Kumar Jain | Mgmt | For | For | For | |||||
6 | Elect Dipak Chatterjee | Mgmt | For | For | For | |||||
7 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
8 | Elect M.S. Babu | Mgmt | For | For | For | |||||
9 | Appointment of Mr. S.N. Goel as Executive Director; Approval of Remuneration | Mgmt | For | For | For | |||||
10 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
11 | Appointment of Mr. Deepak Amitabh as Chairman and Managing Director; Approval of Remuneration | Mgmt | For | For | For | |||||
12 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
13 | Appointment of Pallov Kapoor as an employee of the Company; Approval of Remuneration | Mgmt | For | For | For | |||||
14 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A |
Punjab National Bank
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNB | ISIN INE160A01014 | 06/30/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | India |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | TNA | N/A |
Page 268
Rural Electrification Corporation Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RECLTD | CINS Y73650106 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Authority to Issue Non-convertible Debentures | Mgmt | For | For | For | |||||
3 | Amendment to Borrowing Powers | Mgmt | For | For | For | |||||
4 | Authority to Mortgage Assets | Mgmt | For | For | For |
Sable Mining Africa Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBLM | CINS G7762V107 | 05/13/2014 | 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 James A.K. Cochrane | Mgmt | For | For | For | |||||
3 | Elect Andrew Burns | Mgmt | For | For | For | |||||
4 | Elect Philippe Edmonds | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Sandstorm Gold Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SSL | CUSIP 80013R206 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
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 | |||||
3 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
4 | Renew Shareholder Rights Plan | Mgmt | For | Against | Against | |||||
5 | Transaction of Other Business | Mgmt | For | Against | Against |
Page 269
Sarin Technologies Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
U77 | CINS M8234Z109 | 04/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Israel |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Accounts and Reports | Mgmt | For | For | For | |||||
2 | Elect Avraham Eshed | Mgmt | For | For | For | |||||
3 | Elect Daniel Benjamin Glinert | Mgmt | For | For | For | |||||
4 | Elect Ehud Harel | Mgmt | For | For | For | |||||
5 | Elect Uzi Levami | Mgmt | For | For | For | |||||
6 | Elect Eyal Mashiah | Mgmt | For | For | For | |||||
7 | Elect Hanoh Stark | Mgmt | For | For | For | |||||
8 | Elect Yehezkel Pinhas Blum | Mgmt | For | For | For | |||||
9 | Elect CHAN Kam Loon | Mgmt | For | For | For | |||||
10 | Elect Valerie ONG Choo Lin | Mgmt | For | For | For | |||||
11 | Appointment of CHAN Kam Loon as Lead Independent Director | Mgmt | For | For | For | |||||
12 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
13 | Authority to Grant Awards to Independent Directors | Mgmt | For | For | For | |||||
14 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
15 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
16 | Authority to Grant Awards and Issue Shares under the Sarin Technologies Ltd. 2005 Share Option Plan | Mgmt | For | For | For | |||||
17 | Transaction of Other Business | Mgmt | For | Against | Against | |||||
18 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 270
Sarin Technologies Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
U77 | CINS M8234Z109 | 04/29/2014 | 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 |
Sarin Technologies Ltd
Ticker | Security ID: | Meeting Date | Meeting Status | |||
U77 | CINS M8234Z109 | 12/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 | Company Name Correction | Mgmt | For | For | For | |||||
3 | Amendments to Articles | Mgmt | For | For | For | |||||
4 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Semafo, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SMF | CUSIP 816922108 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Terence F. Bowles | Mgmt | For | For | For | |||||
1.2 | Elect Benoit Desormeaux | Mgmt | For | For | For | |||||
1.3 | Elect Jean Lamarre | Mgmt | For | For | For | |||||
1.4 | Elect John LeBoutillier | Mgmt | For | For | For | |||||
1.5 | Elect Gilles Masson | Mgmt | For | For | For | |||||
1.6 | Elect Lawrence I. McBrearty | Mgmt | For | For | For | |||||
1.7 | Elect Tertius Zongo | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Shareholder Rights Plan Renewal | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 271
Simcorp A/S
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIM | CINS K8851Q129 | 03/31/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Denmark |
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 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
8 | Elect Jesper Brangaard | Mgmt | For | TNA | N/A | |||||
9 | Elect Peter Schutze | Mgmt | For | TNA | N/A | |||||
10 | Elect Herve Couturier | Mgmt | For | TNA | N/A | |||||
11 | Elect Simon Jeffreys | Mgmt | For | TNA | N/A | |||||
12 | Elect Patrice McDonald | Mgmt | For | TNA | N/A | |||||
13 | Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
14 | Cancellation of Shares | Mgmt | For | TNA | N/A | |||||
15 | Compensation Guidelines | Mgmt | For | TNA | N/A | |||||
16 | Directors’ Fees | Mgmt | For | TNA | N/A | |||||
17 | Authority to Repurchase Shares | Mgmt | For | TNA | N/A | |||||
18 | Amendments to Articles Regarding Financial Reports | Mgmt | For | TNA | N/A |
Sourcenext Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
4344 | CINS J7655E102 | 06/23/2014 | 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 Noriyuki Matsuda | Mgmt | For | For | For | |||||
3 | Elect Satomi Matsuda | Mgmt | For | For | For | |||||
4 | Elect Fumihiko Aoyama | Mgmt | For | For | For | |||||
5 | Elect Tomoaki Kojima | Mgmt | For | For | For | |||||
6 | Elect Masaharu Ikuta | Mgmt | For | For | For | |||||
7 | Elect Hiroshi Takasawa | Mgmt | For | For | For | |||||
8 | Elect Hideaki Kubori | Mgmt | For | For | For | |||||
9 | Elect Tetsuya Kobayashi | Mgmt | For | For | For | |||||
10 | Elect Seisaburoh Takano | Mgmt | For | For | For | |||||
11 | Elect Takeshi Yamashita as Alternate Statutory Suditor | Mgmt | For | For | For |
Page 272
Spectrum ASA
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPU | CINS R8309K107 | 05/23/2014 | 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 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
7 | Election of Presiding Chairman and Individuals to Check Minutes | Mgmt | For | For | For | |||||
8 | Agenda | Mgmt | For | For | For | |||||
9 | Accounts and Reports; Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
10 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
11 | Elect Gunnar Hvammen | Mgmt | For | For | For | |||||
12 | Elect Linda Rudolfsen Myklebust | Mgmt | For | For | For | |||||
13 | Elect Jon Christian Syvertsen | Mgmt | For | For | For | |||||
14 | Directors’ Fees | Mgmt | For | For | For | |||||
15 | Nomination Committee Fees | Mgmt | For | For | For | |||||
16 | Compensation Guidelines | Mgmt | For | For | For | |||||
17 | Share Option Plan | Mgmt | For | For | For | |||||
18 | Authority to Issue Shares w/ or w/o Preemptive Rights | Mgmt | For | For | For | |||||
19 | Authority to Issue Shares Pursuant to Share Option Plan | Mgmt | For | For | For | |||||
20 | Authority to Issue Convertible Debt Instruments | Mgmt | For | For | For | |||||
21 | Authority to Repurchase Shares Pursuant to Share Option Plan | Mgmt | For | For | For | |||||
22 | Corporate Governance Report | Mgmt | For | For | For |
Page 273
Start Today Company Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
3092 | CINS J7665M102 | 06/27/2014 | 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 Toshiaki Shimizu as Director | Mgmt | For | For | For |
Sunteck Realty Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SUNTECK | CINS Y4091Z115 | 03/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Amendment to Borrowing Powers | Mgmt | For | Abstain | Against | |||||
3 | Authority to Mortgage Assets | Mgmt | For | Abstain | Against |
Page 274
Sunteck Realty Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SUNTECK | CINS Y4091Z115 | 09/27/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Kishore M. Vussonji | Mgmt | For | For | For | |||||
4 | Elect Ramakant M. Nayak | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
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 | 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 | |||||
15 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
16 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
17 | Reappointment of Kamal Khetan (Managing Director); Approval of Remuneration | Mgmt | For | For | For | |||||
18 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
19 | Amendment to Remuneration of Jignesh Sanghavi (Executive Director) | Mgmt | For | For | For | |||||
20 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
21 | 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 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lorne B. Anderson | Mgmt | For | For | For | |||||
1.2 | Elect John P. Bell | Mgmt | For | For | For | |||||
1.3 | Elect Tanya M. Jakusconek | Mgmt | For | For | For | |||||
1.4 | Elect C. Kevin McArthur | Mgmt | For | For | For | |||||
1.5 | Elect A. Dan Rovig | Mgmt | For | For | For | |||||
1.6 | Elect Paul B. Sweeney | Mgmt | For | For | For | |||||
1.7 | Elect James S. Voorhees | Mgmt | For | For | For | |||||
1.8 | Elect Kenneth F. Williamson | Mgmt | For | For | For | |||||
2 | Appointment of Auditor | Mgmt | For | For | For | |||||
3 | Shareholder Rights Plan | Mgmt | For | For | For |
Page 275
Tenpos Busters Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2751 | CINS J8299F109 | 07/20/2013 | 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 Shinobu Hirano | Mgmt | For | For | For | |||||
3 | Elect Kazumitsu Morishita | Mgmt | For | For | For | |||||
4 | Elect Yuichiroh Ueda | Mgmt | For | For | For | |||||
5 | Elect Kei Kobayashi | Mgmt | For | For | For | |||||
6 | Elect Tomohiro Sawada | Mgmt | For | For | For | |||||
7 | Elect Yohichi Masuda as Statutory Auditor | Mgmt | For | For | For | |||||
8 | Elect Minami Takeda as Alternate Statutory Auditor | Mgmt | For | For | For |
Teranga Gold Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TGZ | CUSIP 880797105 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Alan R. Hill | Mgmt | For | For | For | |||||
1.2 | Elect Richard S. Young | Mgmt | For | For | For | |||||
1.3 | Elect Christopher R. Lattanzi | Mgmt | For | For | For | |||||
1.4 | Elect Edward S. Goldenberg | Mgmt | For | For | For | |||||
1.5 | Elect Alan R. Thomas | Mgmt | For | For | For | |||||
1.6 | Elect Frank D. Wheatley | Mgmt | For | For | For | |||||
1.7 | Elect Jendayi Frazer | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Reapproval of Stock Option Plan | Mgmt | For | For | For |
Travelsky Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0696 | CINS Y8972V101 | 06/05/2014 | 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 276
Travelsky Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
0696 | CINS Y8972V101 | 06/05/2014 | 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 | Director’s Report | Mgmt | For | For | For | |||||
4 | Supervisor’s 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 | Authority to Issue Domestic and H Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
9 | Authority to Repurchase H Shares | Mgmt | For | For | For |
Tribhovandas Bhimji Zaveri Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TBZ | CINS Y8T71W108 | 08/30/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Kamlesh S. Vikamsey | Mgmt | For | For | For | |||||
4 | Elect Raashi Zaveri | Mgmt | For | For | For | |||||
5 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
6 | Directors’ Commission | Mgmt | For | For | For | |||||
7 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
8 | Approval of Remuneration of Binaisha Zaveri (Whole-Time Director) | Mgmt | For | For | For | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Approval of Remuneration of Raashi Zaveri (Director - finance) | Mgmt | For | For | For | |||||
11 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
12 | Approval of Borrowing | Mgmt | For | For | For | |||||
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 | |||||
15 | Authority to Mortgage Assets | Mgmt | For | For | For | |||||
16 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
17 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
18 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
19 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Page 277
TrustBuddy International AB
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TBDY | CINS W9680C106 | 04/10/2014 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | Sweden |
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 Agenda Item | N/A | N/A | TNA | N/A | |||||
5 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
6 | Election of Secretary of Meeting | Mgmt | For | TNA | N/A | |||||
7 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
8 | Non-Voting Agenda Item | N/A | N/A | 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 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A | |||||
12 | Accounts and Reports | Mgmt | For | TNA | N/A | |||||
13 | Allocation of Profits/Dividends | Mgmt | For | TNA | N/A | |||||
14 | Ratification of Board and Management Acts | Mgmt | For | TNA | N/A | |||||
15 | Directors and Auditors’ Fees | Mgmt | For | TNA | N/A | |||||
16 | Board Size | Mgmt | For | TNA | N/A | |||||
17 | Election of Directors; Appointment of Auditor | Mgmt | For | TNA | N/A | |||||
18 | Authority to Issue Shares and Convertible Securities w/ or w/o Preemptive Rights | Mgmt | For | TNA | N/A | |||||
19 | Non-Voting Agenda Item | N/A | N/A | TNA | N/A |
Page 278
TTK Prestige Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TTKPRES | CINS Y89993110 | 07/15/2013 | 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 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
3 | Elect Ajay I. Thakore | Mgmt | For | For | For | |||||
4 | Elect Vandana Walvekar | Mgmt | For | For | For | |||||
5 | Elect K. Shankaran | Mgmt | For | For | For | |||||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
7 | Elect T. T. Jagannathan | Mgmt | For | For | For | |||||
8 | Reappointment of T.T. Jagannathan as Executive Chairman; Approval of Remuneration | Mgmt | For | For | For | |||||
9 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
10 | Directors’ Commission | Mgmt | For | For | For |
TTK Prestige Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TTKPRES | CINS Y89993110 | 10/21/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Court | India |
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 (Kitchen Appliances Division of Triveni Bialetti Industries pvt Ltd) | Mgmt | For | For | For |
Page 279
ValueCommerce Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2491 | CINS J9451Q107 | 03/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Japan |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jin Kagawa | Mgmt | For | For | For | |||||
2 | Elect Masatomo Endoh | Mgmt | For | For | For | |||||
3 | Elect Masafumi Tsuru | Mgmt | For | For | For | |||||
4 | Elect Kohichiroh Tanabe | Mgmt | For | For | For | |||||
5 | Elect Shingo Inoue | Mgmt | For | For | For |
Vostok Nafta Investment Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VNILSDB | CINS G9391A132 | 10/17/2013 | 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 | Board Size | Mgmt | For | For | For | |||||
10 | Directors’ Fees | Mgmt | For | For | For | |||||
11 | Election of Directors | Mgmt | For | For | For | |||||
12 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
13 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A |
Western Areas Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WSA | CINS Q9618L100 | 06/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Ordinary | 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 Placement of Securities | Mgmt | For | For | For |
Page 280
Wirelessgate Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
9419 | CINS J95149100 | 03/26/2014 | 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 Yohichi Matsumoto | Mgmt | For | For | For | |||||
5 | Elect Takehiro Ikeda | Mgmt | For | For | For | |||||
6 | Elect Satoshi Kojima | Mgmt | For | For | For | |||||
7 | Elect Makie Satoh | Mgmt | For | For | For |
Xing AG
Ticker | Security ID: | Meeting Date | Meeting Status | |||
O1BC | CINS D9829E105 | 05/23/2014 | 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 Meeting Note | N/A | N/A | N/A | N/A | |||||
5 | Non-Voting Meeting Note | N/A | N/A | N/A | N/A | |||||
6 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
8 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
9 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
10 | Appointment of Auditor | Mgmt | For | For | For | |||||
11 | Elect Sabine Bendiek | Mgmt | For | For | For | |||||
12 | Supervisory Board Members’ Fees | Mgmt | For | For | For | |||||
13 | Increase in Authorized Capital | Mgmt | For | For | For | |||||
14 | Cancellation of Conditional Capital I 2006 and Conditional Capital 2009 | Mgmt | For | For | For | |||||
15 | Authority to Issue Convertible Debt Instruments; Increase in Conditional Capital | Mgmt | For | For | For | |||||
16 | Authority to Repurchase Shares | Mgmt | For | For | For |
Page 281
Yellow Media Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
Y | CUSIP 98552P100 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | Canada |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Julien Billot | Mgmt | For | For | For | |||||
1.2 | Elect Craig Forman | Mgmt | For | For | For | |||||
1.3 | Elect David A. Lazzarato | Mgmt | For | For | For | |||||
1.4 | Elect David G. Leith | Mgmt | For | For | For | |||||
1.5 | Elect Robert F. MacLellan | Mgmt | For | For | For | |||||
1.6 | Elect Juidth A. McHale | Mgmt | For | For | For | |||||
1.7 | Elect Donald H. Morrison | Mgmt | For | For | For | |||||
1.8 | Elect Martin Nisenholtz | Mgmt | For | For | For | |||||
1.9 | Elect Kalpana Raina | Mgmt | For | For | For | |||||
1.10 | Elect Michael G. Sifton | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
Yes Bank Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
YESBANK | CINS Y97636107 | 11/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Other | India |
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 | Amendment to Borrowing Powers | Mgmt | For | For | For |
Yumeshin Holdings Co., Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
2362 | CINS J9845R100 | 12/19/2013 | 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 Shingo Satoh | Mgmt | For | For | For | |||||
3 | Elect Daio Satoh | Mgmt | For | For | For | |||||
4 | Elect Naruo Tomomatsu | Mgmt | For | For | For | |||||
5 | Elect Tomohiko Ohhara | Mgmt | For | For | For |
Page 282
Item 1: | Proxy Voting Record - |
Registrant :
Fund Name : TCW Relative Value Large Cap Fund
AES Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AES | CUSIP 00130H105 | 04/17/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andres R. Gluski | Mgmt | For | For | For | |||||
2 | Elect Guo Bao Zhang | Mgmt | For | For | For | |||||
3 | Elect Charles Harrington | Mgmt | For | For | For | |||||
4 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
5 | Elect Tarun Khanna | Mgmt | For | For | For | |||||
6 | Elect Philip Lader | Mgmt | For | For | For | |||||
7 | Elect James H. Miller | Mgmt | For | For | For | |||||
8 | Elect Sandra O. Moose | Mgmt | For | For | For | |||||
9 | Elect John B. Morse, Jr. | Mgmt | For | For | For | |||||
10 | Elect Moises Naim | Mgmt | For | For | For | |||||
11 | Elect Charles O. Rossotti | Mgmt | For | For | For | |||||
12 | Elect Sven Sandstrom | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James C. Diggs | Mgmt | For | For | For | |||||
1.2 | Elect J. Brett Harvey | Mgmt | For | For | For | |||||
1.3 | Elect Louis J. Thomas | 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 |
Page 283
American Electric Power Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AEP | CUSIP 025537101 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Nicholas K. Akins | Mgmt | For | For | For | |||||
2 | Elect David J. Anderson | Mgmt | For | For | For | |||||
3 | Elect J. Barnie Beasley, Jr. | Mgmt | For | For | For | |||||
4 | Elect Ralph D. Crosby, Jr. | Mgmt | For | For | For | |||||
5 | Elect Linda A. Goodspeed | Mgmt | For | For | For | |||||
6 | Elect Thomas E. Hoaglin | Mgmt | For | For | For | |||||
7 | Elect Sandra Beach Lin | Mgmt | For | For | For | |||||
8 | Elect Richard C. Notebaert | Mgmt | For | For | For | |||||
9 | Elect Lionel L. Nowell, III | Mgmt | For | For | For | |||||
10 | Elect Stephen S. Rasmussen | Mgmt | For | For | For | |||||
11 | Elect Oliver G. Richard, III | Mgmt | For | For | For | |||||
12 | Elect Sara M. Tucker | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
American Express Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AXP | CUSIP 025816109 | 05/12/2014 | 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 Ursula M. Burns | Mgmt | For | For | For | |||||
3 | Elect Kenneth I. Chenault | Mgmt | For | For | For | |||||
4 | Elect Peter Chernin | Mgmt | For | For | For | |||||
5 | Elect Anne Lauvergeon | Mgmt | For | For | For | |||||
6 | Elect Theodore J. Leonsis | Mgmt | For | For | For | |||||
7 | Elect Richard C. Levin | Mgmt | For | For | For | |||||
8 | Elect Richard A. McGinn | Mgmt | For | For | For | |||||
9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||||
10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||||
11 | Elect Daniel L. Vasella | Mgmt | For | For | For | |||||
12 | Elect Robert D. Walter | Mgmt | For | For | For | |||||
13 | Elect Ronald A. Williams | 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 Employment Diversity Report | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Privacy and Data Security | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
19 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 284
Ameriprise Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMP | CUSIP 03076C106 | 04/30/2014 | 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 Dianne Neal Blixt | Mgmt | For | For | For | |||||
3 | Elect Amy DiGeso | Mgmt | For | For | For | |||||
4 | Elect Lon R. Greenberg | Mgmt | For | For | For | |||||
5 | Elect W. Walker Lewis | Mgmt | For | For | For | |||||
6 | Elect Siri S. Marshall | Mgmt | For | For | For | |||||
7 | Elect Jeffrey Noddle | Mgmt | For | For | For | |||||
8 | Elect H. Jay Sarles | Mgmt | For | For | For | |||||
9 | Elect Robert F. Sharpe, Jr. | Mgmt | For | For | For | |||||
10 | Elect William H. Turner | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Elimination of Supermajority Requirements | Mgmt | For | For | For | |||||
13 | Amendment to the 2005 Incentive Compensation Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 285
Applied Materials, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMAT | CUSIP 038222105 | 03/04/2014 | 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 Gary E. Dickerson | Mgmt | For | For | For | |||||
3 | Elect Stephen R. Forrest | Mgmt | For | For | For | |||||
4 | Elect Thomas J. Iannotti | Mgmt | For | For | For | |||||
5 | Elect Susan M. James | Mgmt | For | For | For | |||||
6 | Elect Alexander A. Karsner | Mgmt | For | For | For | |||||
7 | Elect Gerhard H. Parker | Mgmt | For | For | For | |||||
8 | Elect Dennis D. Powell | Mgmt | For | For | For | |||||
9 | Elect Willem P. Roelandts | Mgmt | For | For | For | |||||
10 | Elect James E. Rogers | Mgmt | For | For | For | |||||
11 | Elect Michael R. Splinter | Mgmt | For | For | For | |||||
12 | Elect Robert H. Swan | 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 Right to Call a Special Meeting | ShrHoldr | Against | Against | For |
Page 286
Applied Materials, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMAT | CUSIP 038222105 | 06/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Merger/Acquisition | Mgmt | For | For | For | |||||
2 | Advisory Vote on Golden Parachutes | Mgmt | For | Against | Against | |||||
3 | Right to Adjourn Meeting | Mgmt | For | For | For |
AT&T Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
T | CUSIP 00206R102 | 04/25/2014 | 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 Reuben V. Anderson | Mgmt | For | For | For | |||||
3 | Elect Jaime Chico Pardo | Mgmt | For | For | For | |||||
4 | Elect Scott T. Ford | Mgmt | For | For | For | |||||
5 | Elect James P. Kelly | Mgmt | For | For | For | |||||
6 | Elect Jon C. Madonna | Mgmt | For | For | For | |||||
7 | Elect Michael B. McCallister | Mgmt | For | For | For | |||||
8 | Elect John B. McCoy | Mgmt | For | For | For | |||||
9 | Elect Beth E. Mooney | Mgmt | For | For | For | |||||
10 | Elect Joyce M. Roche | Mgmt | For | For | For | |||||
11 | Elect Matthew K. Rose | Mgmt | For | For | For | |||||
12 | Elect Cynthia B. Taylor | 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 | Approval of AT&T Severance Policy | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
19 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 287
Baker Hughes Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BHI | CUSIP 057224107 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Larry D. Brady | Mgmt | For | For | For | |||||
2 | Elect Clarence P. Cazalot, Jr. | Mgmt | For | For | For | |||||
3 | Elect Martin S. Craighead | Mgmt | For | For | For | |||||
4 | Elect Lynn L. Elsenhans | Mgmt | For | For | For | |||||
5 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
6 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
7 | Elect Pierre J. Jungels | Mgmt | For | For | For | |||||
8 | Elect James A. Lash | Mgmt | For | For | For | |||||
9 | Elect J. Larry Nichols | Mgmt | For | For | For | |||||
10 | Elect James W. Stewart | Mgmt | For | For | For | |||||
11 | Elect Charles L. Watson | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Amendment to the 2002 Director and Officer long-Term Incentive Plan | Mgmt | For | For | For | |||||
15 | Amendment to the 2002 Employee Long-Term Incentive Plan | Mgmt | For | For | For |
Page 288
Chevron Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CVX | CUSIP 166764100 | 05/28/2014 | 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 Jon M. Huntsman, Jr. | Mgmt | For | For | For | |||||
6 | Elect George L. Kirkland | Mgmt | For | For | For | |||||
7 | Elect Charles W. Moorman, IV | Mgmt | For | For | For | |||||
8 | Elect Kevin W. Sharer | Mgmt | For | For | For | |||||
9 | Elect John G. Stumpf | Mgmt | For | For | For | |||||
10 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||||
11 | Elect Carl Ware | Mgmt | For | For | For | |||||
12 | Elect John S. Watson | 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 Charitable Contributions | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Hydraulic Fracturing | ShrHoldr | Against | For | Against | |||||
18 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Environmental Expertise on Board | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Country Selection Guidelines | ShrHoldr | Against | For | Against |
CIGNA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CI | CUSIP 125509109 | 04/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Eric J. Foss | Mgmt | For | For | For | |||||
2 | Elect Roman Martinez IV | Mgmt | For | For | For | |||||
3 | Elect William D. Zollars | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 289
Cisco Systems, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSCO | CUSIP 17275R102 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carol A. Bartz | Mgmt | For | For | For | |||||
2 | Elect Marc Benioff | Mgmt | For | For | For | |||||
3 | Elect Gregory Q. Brown | Mgmt | For | For | For | |||||
4 | Elect M. Michele Burns | Mgmt | For | For | For | |||||
5 | Elect Michael D. Capellas | Mgmt | For | For | For | |||||
6 | Elect John T. Chambers | Mgmt | For | For | For | |||||
7 | Elect Brian L. Halla | Mgmt | For | For | For | |||||
8 | Elect John L. Hennessy | Mgmt | For | For | For | |||||
9 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
10 | Elect Roderick C. McGeary | Mgmt | For | For | For | |||||
11 | Elect Arun Sarin | Mgmt | For | For | For | |||||
12 | Elect Steven M. West | Mgmt | For | For | For | |||||
13 | Amendment to the 2005 Stock Incentive Plan | 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 Proxy Advice Contest | ShrHoldr | Against | Against | For |
Page 290
Citigroup Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
C | CUSIP 172967424 | 04/22/2014 | 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 Duncan P. Hennes | Mgmt | For | For | For | |||||
3 | Elect Franz B. Humer | Mgmt | For | For | For | |||||
4 | Elect Eugene M. McQuade | Mgmt | For | For | For | |||||
5 | Elect Michael E. O’Neill | Mgmt | For | For | For | |||||
6 | Elect Gary M. Reiner | Mgmt | For | For | For | |||||
7 | Elect Judith Rodin | Mgmt | For | For | For | |||||
8 | Elect Robert L. Ryan | Mgmt | For | For | For | |||||
9 | Elect Anthony M. Santomero | Mgmt | For | For | For | |||||
10 | Elect Joan E. Spero | Mgmt | For | For | For | |||||
11 | Elect Diana L. Taylor | Mgmt | For | For | For | |||||
12 | Elect William S. Thompson, Jr. | Mgmt | For | For | For | |||||
13 | Elect James S. Turley | Mgmt | For | For | For | |||||
14 | Elect Ernesto Zedillo Ponce de Leon | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Approval of the 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For | |||||
19 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
20 | Shareholder Proposal Regarding Director Indemnification | ShrHoldr | Against | Against | For | |||||
21 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For |
Page 291
Comcast Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMCSA | CUSIP 20030N200 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/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 Edward D. Breen | Mgmt | For | For | For | |||||
1.4 | Elect Joseph J. Collins | Mgmt | For | For | For | |||||
1.5 | Elect J. Michael Cook | Mgmt | For | For | For | |||||
1.6 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||||
1.7 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||||
1.8 | Elect Eduardo G. Mestre | Mgmt | For | For | For | |||||
1.9 | Elect Brian L. Roberts | Mgmt | For | For | For | |||||
1.10 | Elect Ralph J. Roberts | Mgmt | For | For | For | |||||
1.11 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||||
1.12 | Elect Judith Rodin | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | �� | For | For | ||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
5 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | For | Against |
Corning Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GLW | CUSIP 219350105 | 04/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephanie A. Burns | Mgmt | For | For | For | |||||
2 | Elect John A. Canning Jr. | Mgmt | For | For | For | |||||
3 | Elect Richard T. Clark | Mgmt | For | For | For | |||||
4 | Elect Robert F. Cummings, Jr. | Mgmt | For | For | For | |||||
5 | Elect James B. Flaws | Mgmt | For | For | For | |||||
6 | Elect Deborah A. Henretta | Mgmt | For | For | For | |||||
7 | Elect Kurt M. Landgraf | Mgmt | For | For | For | |||||
8 | Elect Kevin J. Martin | Mgmt | For | For | For | |||||
9 | Elect Deborah D. Rieman | Mgmt | For | For | For | |||||
10 | Elect Hansel E. Tookes II | Mgmt | For | For | For | |||||
11 | Elect Wendell P. Weeks | Mgmt | For | For | For | |||||
12 | Elect Mark S. Wrighton | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | 2014 Variable Compensation Plan | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For |
Page 292
Dana Holding Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DAN | CUSIP 235825205 | 05/02/2014 | 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 R.Bruce McDonald | Mgmt | For | For | For | |||||
1.4 | Elect Joseph C. Muscari | Mgmt | For | For | For | |||||
1.5 | Elect Mark A. Schulz | 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 |
Ensco plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESV | CUSIP G3157S106 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect J. Roderick Clark | Mgmt | For | For | For | |||||
2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
3 | Elect Mary Francis | Mgmt | For | For | For | |||||
4 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
5 | Elect Gerald W. Haddock | Mgmt | For | For | For | |||||
6 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
7 | Elect Daniel W. Rabun | Mgmt | For | For | For | |||||
8 | Elect Keith O. Rattie | Mgmt | For | For | For | |||||
9 | Elect Paul E. Rowsey III | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
15 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Accounts and Reports | Mgmt | For | For | For | |||||
18 | Approval of Capital Reorganisation | Mgmt | For | For | For | |||||
19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 293
Gap Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPS | CUSIP 364760108 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
2 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
3 | Elect William S. Fisher | Mgmt | For | For | For | |||||
4 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
5 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
6 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
7 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
8 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
9 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
10 | Elect Padmasree Warrior | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 294
General Electric Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GE | CUSIP 369604103 | 04/23/2014 | 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 | For | For | |||||
2 | Elect John J. Brennan | Mgmt | For | For | For | |||||
3 | Elect James I. Cash, Jr. | Mgmt | For | For | For | |||||
4 | Elect Francisco D’Souza | Mgmt | For | For | For | |||||
5 | Elect Marijn E. Dekkers | Mgmt | For | For | For | |||||
6 | Elect Ann M. Fudge | Mgmt | For | For | For | |||||
7 | Elect Susan Hockfield | Mgmt | For | For | For | |||||
8 | Elect Jeffrey R. Immelt | Mgmt | For | For | For | |||||
9 | Elect Andrea Jung | Mgmt | For | For | For | |||||
10 | Elect Robert W. Lane | Mgmt | For | For | For | |||||
11 | Elect Rochelle B. Lazarus | Mgmt | For | For | For | |||||
12 | Elect James J. Mulva | Mgmt | For | For | For | |||||
13 | Elect James E. Rohr | Mgmt | For | For | For | |||||
14 | Elect Mary L. Schapiro | Mgmt | For | For | For | |||||
15 | Elect Robert J. Swieringa | Mgmt | For | For | For | |||||
16 | Elect James S. Tisch | Mgmt | For | For | For | |||||
17 | Elect Douglas A. Warner III | Mgmt | For | For | For | |||||
18 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
19 | Ratification of Auditor | Mgmt | For | For | For | |||||
20 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against | |||||
21 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
22 | Shareholder Proposal Regarding Double Board Nominees | ShrHoldr | Against | Against | For | |||||
23 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | Against | For | |||||
24 | Shareholder Proposal Regarding Cessation of All Stock Options and Bonuses | ShrHoldr | Against | Against | For | |||||
25 | Shareholder Proposal Regarding Sale of Company | ShrHoldr | Against | Against | For |
Page 295
Hartford Financial Services Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HIG | CUSIP 416515104 | 05/21/2014 | 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 Liam E. McGee | Mgmt | For | For | For | |||||
4 | Elect Kathryn A. Mikells | Mgmt | For | For | For | |||||
5 | Elect Michael G. Morris | Mgmt | For | For | For | |||||
6 | Elect Thomas A. Renyi | Mgmt | For | For | For | |||||
7 | Elect Julie G. Richardson | Mgmt | For | For | For | |||||
8 | Elect Virginia P. Ruesterholz | Mgmt | For | For | For | |||||
9 | Elect Charles B. Strauss | Mgmt | For | For | For | |||||
10 | Elect H. Patrick Swygert | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | 2014 Incentive Stock Plan | Mgmt | For | For | For | |||||
14 | Executive Bonus Program | Mgmt | For | For | For |
Hologic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOLX | CUSIP 436440101 | 03/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jonathan Christodoro | Mgmt | For | For | For | |||||
1.2 | Elect Sally W. Crawford | Mgmt | For | For | For | |||||
1.3 | Elect Scott T. Garrett | Mgmt | For | For | For | |||||
1.4 | Elect David R. LaVance, Jr. | 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 Stephen P. MacMillan | Mgmt | For | For | For | |||||
1.8 | Elect Samuel Merksamer | Mgmt | For | For | For | |||||
1.9 | Elect Christina Stamoulis | Mgmt | For | For | For | |||||
1.10 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
1.11 | Elect Wayne Wilson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 296
Home Depot, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HD | CUSIP 437076102 | 05/22/2014 | 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 Helena B. Foulkes | Mgmt | For | For | For | |||||
9 | Elect Wayne M. Hewett | Mgmt | For | For | For | |||||
10 | Elect Karen Katen | Mgmt | For | For | For | |||||
11 | Elect Mark Vadon | 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 Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | Against | For |
Intel Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTC | CUSIP 458140100 | 05/22/2014 | 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 Brian M. Krzanich | Mgmt | For | For | For | |||||
7 | Elect James D. Plummer | Mgmt | For | For | For | |||||
8 | Elect David S. Pottruck | Mgmt | For | For | For | |||||
9 | Elect Frank D. Yeary | Mgmt | For | For | For | |||||
10 | Elect David B. Yoffie | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 297
Johnson & Johnson
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JNJ | CUSIP 478160104 | 04/24/2014 | 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 Susan L. Lindquist | Mgmt | For | For | For | |||||
6 | Elect Mark B. McClellan | 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 |
JPMorgan Chase & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JPM | CUSIP 46625H100 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Linda B. Bammann | Mgmt | For | For | For | |||||
2 | Elect James A. Bell | Mgmt | For | For | For | |||||
3 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||||
4 | Elect Stephen B. Burke | 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 Laban P. Jackson, Jr. | Mgmt | For | For | For | |||||
9 | Elect Michael A. Neal | Mgmt | For | For | For | |||||
10 | Elect Lee R. Raymond | Mgmt | For | For | For | |||||
11 | Elect William C. Weldon | 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 Report | ShrHoldr | Against | For | Against | |||||
15 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Cumulative Voting | ShrHoldr | Against | For | Against |
Page 298
Lam Research Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LRCX | CUSIP 512807108 | 11/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Martin B. Anstice | Mgmt | For | For | For | |||||
1.2 | Elect Eric K. Brandt | Mgmt | For | For | For | |||||
1.3 | Elect Michael R. Cannon | Mgmt | For | For | For | |||||
1.4 | Elect Youssef A. El-Mansy | Mgmt | For | For | For | |||||
1.5 | Elect Christine A. Heckart | Mgmt | For | For | For | |||||
1.6 | Elect Grant M. Inman | Mgmt | For | For | For | |||||
1.7 | Elect Catherine P. Lego | Mgmt | For | For | For | |||||
1.8 | Elect Stephen G. Newberry | Mgmt | For | For | For | |||||
1.9 | Elect Krishna Saraswat | Mgmt | For | For | For | |||||
1.10 | Elect William R. Spivey | Mgmt | For | For | For | |||||
1.11 | Elect Abhijit Y. 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 | 04/09/2014 | 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 Teri P. McClure | Mgmt | For | For | For | |||||
1.9 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 299
Medtronic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDT | CUSIP 585055106 | 08/22/2013 | 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. Anderson | Mgmt | For | For | For | |||||
1.2 | Elect Scott C. Donnelly | Mgmt | For | For | For | |||||
1.3 | Elect Victor J. Dzau | Mgmt | For | For | For | |||||
1.4 | Elect Omar Ishrak | Mgmt | For | For | For | |||||
1.5 | Elect Shirley A. Jackson | Mgmt | For | For | For | |||||
1.6 | Elect Michael O. Leavitt | Mgmt | For | For | For | |||||
1.7 | Elect James T. Lenehan | Mgmt | For | For | For | |||||
1.8 | Elect Denise M. O’Leary | Mgmt | For | For | For | |||||
1.9 | Elect Kendall J. Powell | Mgmt | For | For | For | |||||
1.10 | Elect Robert C. Pozen | Mgmt | For | For | For | |||||
1.11 | Elect Preetha Reddy | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2013 Stock Award and Incentive Plan | Mgmt | For | For | For | |||||
5 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For | |||||
6 | Elimination of Supermajority Requirement for Changes to Board Size | Mgmt | For | For | For | |||||
7 | Elimination of Supermajority Requirement for Removal of Directors | Mgmt | For | For | For | |||||
8 | Elimination of Conforming Language Regarding Supermajority Requirements | Mgmt | For | For | For | |||||
9 | Repeal of Fair Price Provision | Mgmt | For | For | For |
Page 300
Merck & Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MRK | CUSIP 58933Y105 | 05/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Leslie A. Brun | Mgmt | For | For | For | |||||
2 | Elect Thomas R. Cech | Mgmt | For | For | For | |||||
3 | Elect Kenneth C. Frazier | Mgmt | For | For | For | |||||
4 | Elect Thomas H. Glocer | Mgmt | For | For | For | |||||
5 | Elect William B. Harrison, Jr. | Mgmt | For | For | For | |||||
6 | Elect C. Robert Kidder | Mgmt | For | For | For | |||||
7 | Elect Rochelle B. Lazarus | Mgmt | For | For | For | |||||
8 | Elect Carlos E. Represas | Mgmt | For | For | For | |||||
9 | Elect Patricia F. Russo | Mgmt | For | For | For | |||||
10 | Elect Craig B. Thompson | Mgmt | For | For | For | |||||
11 | Elect Wendell P. Weeks | Mgmt | For | For | For | |||||
12 | Elect Peter C. Wendell | 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 Right to Act by Written Consent | ShrHoldr | Against | For | Against | |||||
16 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | Against | For |
Microsoft Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSFT | CUSIP 594918104 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven A. Ballmer | Mgmt | For | For | For | |||||
2 | Elect Dina Dublon | Mgmt | For | For | For | |||||
3 | Elect William H. Gates III | Mgmt | For | For | For | |||||
4 | Elect Maria Klawe | Mgmt | For | For | For | |||||
5 | Elect Stephen J. Luczo | Mgmt | For | For | For | |||||
6 | Elect David F. Marquardt | Mgmt | For | For | For | |||||
7 | Elect Charles H. Noski | Mgmt | For | For | For | |||||
8 | Elect Helmut G. W. Panke | Mgmt | For | For | For | |||||
9 | Elect John W. Thompson | Mgmt | For | For | For | |||||
10 | Approval of the Material Terms of the Executive Officer 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 301
Mondelez International Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDLZ | CUSIP 50075N104 | 05/21/2014 | 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 Nelson Peltz | Mgmt | For | For | For | |||||
7 | Elect Fredric G. Reynolds | Mgmt | For | For | For | |||||
8 | Elect Irene B. Rosenfeld | Mgmt | For | For | For | |||||
9 | Elect Patrick T. Siewert | Mgmt | For | For | For | |||||
10 | Elect Ruth J. Simmons | Mgmt | For | For | For | |||||
11 | Elect Ratan N. Tata | Mgmt | For | For | For | |||||
12 | Elect Jean-Francois M. L. van Boxmeer | 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 | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Reporting on the Use of Non-Recyclable Packaging | ShrHoldr | Against | Against | For |
Page 302
Mylan Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MYL | CUSIP 628530107 | 04/11/2014 | 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 JoEllen Lyons Dillon | Mgmt | For | For | For | |||||
6 | Elect Neil F. Dimick | Mgmt | For | For | For | |||||
7 | Elect Melina Higgins | Mgmt | For | For | For | |||||
8 | Elect Douglas J. Leech | Mgmt | For | For | For | |||||
9 | Elect Rajiv Malik | Mgmt | For | For | For | |||||
10 | Elect Joseph C. Maroon | Mgmt | For | For | For | |||||
11 | Elect Mark Parrish | Mgmt | For | For | For | |||||
12 | Elect Rodney L. Piatt | 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 | 06/03/2014 | 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 John P. Kotts | Mgmt | For | For | For | |||||
1.3 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
1.4 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
1.5 | Elect Anthony G. Petrello | Mgmt | For | For | For | |||||
1.6 | Elect Howard Wolf | Mgmt | For | For | For | |||||
1.7 | Elect John Yearwood | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to Shareholder Rights Plan | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Sustainability Report | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
10 | Shareholder Proposal Regarding Counting Broker Non-Votes | ShrHoldr | Against | Against | For |
Page 303
Pentair Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNR | CUSIP H6169Q108 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Glynis A. Bryan | Mgmt | For | For | For | |||||
2 | Elect Jerry W. Burris | Mgmt | For | For | For | |||||
3 | Elect Carol Anthony Davidson | Mgmt | For | For | For | |||||
4 | Elect T. Michael Glenn | Mgmt | For | For | For | |||||
5 | Elect David H. Y. Ho | Mgmt | For | For | For | |||||
6 | Elect Randall J. Hogan | Mgmt | For | For | For | |||||
7 | Elect David A. Jones | Mgmt | For | For | For | |||||
8 | Elect Ronald L. Merriman | Mgmt | For | For | For | |||||
9 | Elect William T. Monahan | Mgmt | For | For | For | |||||
10 | Elect Billie Ida Williamson | Mgmt | For | For | For | |||||
11 | Elect Randall J. Hogan as Chairman of the Board of Directors | Mgmt | For | For | For | |||||
12 | Elect David A. Jones | Mgmt | For | For | For | |||||
13 | Elect Glynis A. Bryan | Mgmt | For | For | For | |||||
14 | Elect T. Michael Glenn | Mgmt | For | For | For | |||||
15 | Elect William T. Monahan | Mgmt | For | For | For | |||||
16 | Elect Proxy Voting Services Gmbh as the Independent Proxy | Mgmt | For | For | For | |||||
17 | Accounts and Reports | Mgmt | For | For | For | |||||
18 | Indemnification of Directors and Officers | Mgmt | For | For | For | |||||
19 | Appointment of Statutory Auditor | Mgmt | For | For | For | |||||
20 | Appointment of Independent Auditor | Mgmt | For | For | For | |||||
21 | Appointment of Special Auditor | Mgmt | For | For | For | |||||
22 | Allocation of Available Earnings | Mgmt | For | For | For | |||||
23 | Dividend from Capital Reserves | Mgmt | For | For | For | |||||
24 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
25 | Renewal of Authorized Capital | Mgmt | For | For | For |
Page 304
Pentair Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PNR | CUSIP H6169Q111 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Redomestication from Switzerland to Ireland | Mgmt | For | For | For | |||||
2 | Elimination of Voting Restrictions on 20% Holders | Mgmt | For | For | For | |||||
3 | Reduction in Share Premium Account | Mgmt | For | For | For |
Page 305
PepsiCo, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PEP | CUSIP 713448108 | 05/07/2014 | 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 Rona A. Fairhead | 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 | |||||
16 | Approval of Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
17 | Shareholder Proposal Regarding Approval of Political Contributions Policy | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Retention of Shares Until Retirement | ShrHoldr | Against | Against | For |
Page 306
Pfizer Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PFE | CUSIP 717081103 | 04/24/2014 | 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 W. Don Cornwell | Mgmt | For | For | For | |||||
3 | Elect Frances D. Fergusson | Mgmt | For | For | For | |||||
4 | Elect Helen H. Hobbs | Mgmt | For | For | For | |||||
5 | Elect Constance J. Horner | Mgmt | For | For | For | |||||
6 | Elect James M. Kilts | Mgmt | For | For | For | |||||
7 | Elect George A. Lorch | Mgmt | For | For | For | |||||
8 | Elect Shantanu Narayen | Mgmt | For | For | For | |||||
9 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
10 | Elect Ian C. Read | Mgmt | For | For | For | |||||
11 | Elect Stephen W. Sanger | Mgmt | For | For | For | |||||
12 | Elect Marc Tessier-Lavigne | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2014 Stock Plan | Mgmt | For | For | For | |||||
16 | SHAREHOLDER PROPOSAL REGARDING APPROVAL OF POLITICAL CONTRIBUTIONS POLICY | ShrHoldr | Against | Against | For | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | Against | For | |||||
18 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Sealed Air Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SEE | CUSIP 81211K100 | 05/22/2014 | 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 Jacqueline B. Kosecoff | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Manning | Mgmt | For | For | For | |||||
7 | Elect William J. Marino | Mgmt | For | For | For | |||||
8 | Elect Jerome A. Peribere | Mgmt | For | For | For | |||||
9 | Elect Richard L. Wambold | Mgmt | For | For | For | |||||
10 | Elect Jerry R. Whitaker | Mgmt | For | For | For | |||||
11 | 2014 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 307
SLM Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLM | CUSIP 78442P106 | 06/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Paul G. Child | Mgmt | For | For | For | |||||
2 | Elect Joseph A. DePaulo | Mgmt | For | For | For | |||||
3 | Elect Carter Warren Franke | Mgmt | For | For | For | |||||
4 | Elect Earl A. Goode | Mgmt | For | For | For | |||||
5 | Elect Ronald F. Hunt | Mgmt | For | For | For | |||||
6 | Elect Marianne M. Keler | Mgmt | For | For | For | |||||
7 | Elect Jed H. Pitcher | Mgmt | For | For | For | |||||
8 | Elect Frank C. Puleo | Mgmt | For | For | For | |||||
9 | Elect Raymond J. Quinlan | Mgmt | For | For | For | |||||
10 | Elect William N. Shiebler | Mgmt | For | For | For | |||||
11 | Elect Robert S. Strong | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Amendment to the Limited Liability Company Agreement of Navient, LLC | Mgmt | For | Against | Against | |||||
15 | Elimination of Cumulative Voting | Mgmt | For | Against | Against | |||||
16 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | N/A | Against | N/A | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 308
State Street Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STT | CUSIP 857477103 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jose E. Almeida | Mgmt | For | For | For | |||||
2 | Elect Kennett F. Burnes | Mgmt | For | For | For | |||||
3 | Elect Peter Coym | Mgmt | For | For | For | |||||
4 | Elect Patrick de Saint-Aignan | Mgmt | For | For | For | |||||
5 | Elect Amelia C. Fawcett | Mgmt | For | For | For | |||||
6 | Elect Linda A. Hill | Mgmt | For | For | For | |||||
7 | Elect Joseph L. Hooley | Mgmt | For | For | For | |||||
8 | Elect Robert S. Kaplan | Mgmt | For | For | For | |||||
9 | Elect Richard P. Sergel | Mgmt | For | For | For | |||||
10 | Elect Ronald L. Skates | Mgmt | For | For | For | |||||
11 | Elect Gregory L. Summe | Mgmt | For | For | For | |||||
12 | Elect Thomas J. Wilson | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
TE Connectivity Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEL | CUSIP H84989104 | 03/04/2014 | 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 | Elect Laura H. Wright | Mgmt | For | For | For | |||||
13 | Election of Chairman of the Board | Mgmt | For | For | For | |||||
14 | Election of Daniel J. Phelan | Mgmt | For | For | For | |||||
15 | Election of Paula A. Sneed | Mgmt | For | For | For | |||||
16 | Election of David P. Steiner | Mgmt | For | For | For | |||||
17 | Election of Independent Proxy | Mgmt | For | For | For | |||||
18 | Approval of Annual Report | Mgmt | For | For | For | |||||
19 | Approval of Statutory Financial Statement | Mgmt | For | For | For | |||||
20 | Approval of Consolidated Financial Statements | Mgmt | For | For | For | |||||
21 | Release of Board of Directors and Executive Officers | Mgmt | For | For | For | |||||
22 | Deloitte and Touche | Mgmt | For | For | For | |||||
23 | Deloitte AG, Zurich | Mgmt | For | For | For | |||||
24 | PricewaterhouseCoopers AG, Zurich | Mgmt | For | For | For | |||||
25 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
26 | Transfer of Reserves | Mgmt | For | For | For | |||||
27 | Declaration of Dividend | Mgmt | For | For | For | |||||
28 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
29 | Reduction of Share Capital Under the Share Repurchase Program | Mgmt | For | For | For | |||||
30 | Right to Adjourn Meeting | Mgmt | For | For | For |
Page 309
Terex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEX | CUSIP 880779103 | 05/08/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 310
Textron Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TXT | CUSIP 883203101 | 04/23/2014 | 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 Lord Powell of Bayswater KCMG | 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 | Against | Against | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
The ADT Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ADT | CUSIP 00101J106 | 03/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas J. Colligan | Mgmt | For | Against | Against | |||||
2 | Elect Richard J. Daly | Mgmt | For | For | For | |||||
3 | Elect Timothy M. Donahue | Mgmt | For | Abstain | Against | |||||
4 | Elect Robert M. Dutkowsky | Mgmt | For | Abstain | Against | |||||
5 | Elect Bruce S. Gordon | Mgmt | For | Against | Against | |||||
6 | Elect Naren K. Gursahaney | Mgmt | For | Against | Against | |||||
7 | Elect Bridgette Heller | Mgmt | For | Abstain | Against | |||||
8 | Elect Kathleen W. Hyle | Mgmt | For | Abstain | Against | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 311
Time Warner Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TWX | CUSIP 887317303 | 06/13/2014 | 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 Carlos M. Gutierrez | Mgmt | For | For | For | |||||
9 | Elect Fred Hassan | Mgmt | For | For | For | |||||
10 | Elect Kenneth J. Novack | Mgmt | For | For | For | |||||
11 | Elect Paul D. Wachter | Mgmt | For | For | For | |||||
12 | Elect Deborah C. Wright | 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 |
Travelers Companies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TRV | CUSIP 89417E109 | 05/27/2014 | 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 Philip T. Ruegger III | Mgmt | For | For | For | |||||
11 | Elect Donald J. Shepard | Mgmt | For | For | For | |||||
12 | Elect Laurie J. Thomsen | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
15 | 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 312
Tyco International Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYC | CUSIP H89128104 | 03/05/2014 | 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 | Elect Edward D. Breen | Mgmt | For | For | For | |||||
4 | Elect Herman E. Bulls | Mgmt | For | For | For | |||||
5 | Elect Michael E. Daniels | Mgmt | For | For | For | |||||
6 | Elect Frank M. Drendel | Mgmt | For | For | For | |||||
7 | Elect Brian Duperreault | Mgmt | For | For | For | |||||
8 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
9 | Elect George R. Oliver | Mgmt | For | For | For | |||||
10 | Elect Brendan R. O’Neill | Mgmt | For | For | For | |||||
11 | Elect Jurgen Tinggren | Mgmt | For | For | For | |||||
12 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
13 | Elect R. David Yost | Mgmt | For | For | For | |||||
14 | Election of Chairman of the Board | Mgmt | For | For | For | |||||
15 | Elect Rajiv L. Gupta | Mgmt | For | For | For | |||||
16 | Elect Sandra S. Wijnberg | Mgmt | For | For | For | |||||
17 | Elect R. David Yost | Mgmt | For | For | For | |||||
18 | Appointment of Deloitte AG | Mgmt | For | For | For | |||||
19 | Appointment of Deloitte and Touche | Mgmt | For | For | For | |||||
20 | Appointment of PricewaterhouseCoopers AG as Special Auditor | Mgmt | For | For | For | |||||
21 | Election Of Independent Proxy | Mgmt | For | For | For | |||||
22 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||||
23 | Approval of Ordinary Cash Dividend | Mgmt | For | For | For | |||||
24 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 313
Valero Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VLO | CUSIP 91913Y100 | 05/01/2014 | 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 Joseph W Gorder | Mgmt | For | For | For | |||||
3 | Elect William R. Klesse | Mgmt | For | For | For | |||||
4 | Elect Deborah P. Majoras | Mgmt | For | For | For | |||||
5 | Elect Donald L. Nickles | Mgmt | For | For | For | |||||
6 | Elect Phillip J. Pfeiffer | Mgmt | For | For | For | |||||
7 | Elect Robert A. Profusek | Mgmt | For | For | For | |||||
8 | Elect Susan K. Purcell | Mgmt | For | For | For | |||||
9 | Elect Stephen M. Waters | Mgmt | For | For | For | |||||
10 | Elect Randall J. Weisenburger | Mgmt | For | For | For | |||||
11 | Elect Rayford Wilkins Jr. | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Stockholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
15 | Shareholder Proposal Regarding Greenhouse Gas Emissions Reporting and Reduction Targets | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 314
Wellpoint Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WLP | CUSIP 94973V107 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect R. Kerry Clark | Mgmt | For | For | For | |||||
2 | Elect Robert L. Dixon, Jr. | Mgmt | For | For | For | |||||
3 | Elect Lewis Hay, III | Mgmt | For | For | For | |||||
4 | Elect William J. Ryan | 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 Prohibiting Political Spending | ShrHoldr | Against | Against | For |
Western Digital Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDC | CUSIP 958102105 | 11/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kathleen A. Cote | Mgmt | For | For | For | |||||
2 | Elect Henry T. DeNero | Mgmt | For | For | For | |||||
3 | Elect William L. Kimsey | Mgmt | For | For | For | |||||
4 | Elect Michael D. Lambert | Mgmt | For | For | For | |||||
5 | Elect Len J. Lauer | Mgmt | For | For | For | |||||
6 | Elect Matthew E. Massengill | Mgmt | For | For | For | |||||
7 | Elect Stephen D. Milligan | Mgmt | For | For | For | |||||
8 | Elect Roger H. Moore | Mgmt | For | For | For | |||||
9 | Elect Thomas E. Pardun | Mgmt | For | For | For | |||||
10 | Elect Arif Shakeel | Mgmt | For | For | For | |||||
11 | Elect Akio Yamamoto | Mgmt | For | For | For | |||||
12 | Elect Masahiro Yamamura | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 315
Item 1: | Proxy Voting Record - |
Registrant :
Fund Name : TCW Select Equities Fund
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 01/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Payment of Dividends from Legal Reserves | Mgmt | For | For | For | |||||
2 | Appoint Independent Proxy | Mgmt | For | For | For | |||||
3 | Vote with the position of the board of directors if a new or amended agenda item is put before the meeting | ShrHoldr | For | Against | Against |
Page 316
ACE Limited
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACE | CUSIP H0023R105 | 05/15/2014 | 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 DISPOSABLE PROFIT | Mgmt | For | For | For | |||||
3 | Ratification of Board Acts | Mgmt | For | For | For | |||||
4 | Elect John A. Edwardson | Mgmt | For | For | For | |||||
5 | Elect Kimberly Ross | Mgmt | For | For | For | |||||
6 | Elect Robert W. Scully | Mgmt | For | For | For | |||||
7 | Elect David H. Sidwell | Mgmt | For | For | For | |||||
8 | Elect Evan G. Greenberg | Mgmt | For | For | For | |||||
9 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
10 | Elect Michael G. Atieh | Mgmt | For | For | For | |||||
11 | Elect Mary A. Cirillo | Mgmt | For | For | For | |||||
12 | Elect Michael P. Connors | Mgmt | For | For | For | |||||
13 | Elect Peter Menikoff | Mgmt | For | For | For | |||||
14 | Elect Leo F. Mullin | Mgmt | For | For | For | |||||
15 | Elect Eugene B. Shanks, Jr. | Mgmt | For | For | For | |||||
16 | Elect Theodore Shasta | Mgmt | For | For | For | |||||
17 | Elect Olivier Steimer | Mgmt | For | For | For | |||||
18 | Election of Evan G. Greenberg as the Chairman of the Board | Mgmt | For | For | For | |||||
19 | Elect Michael Connors | Mgmt | For | For | For | |||||
20 | Elect Mary A. Cirillo | Mgmt | For | For | For | |||||
21 | Elect John A. Edwardson | Mgmt | For | For | For | |||||
22 | Elect Robert M. Hernandez | Mgmt | For | For | For | |||||
23 | Election of Homburger AG as independent proxy | Mgmt | For | For | For | |||||
24 | Election of Statutory Auditor | Mgmt | For | For | For | |||||
25 | Ratification of Auditor | Mgmt | For | For | For | |||||
26 | Election of Special Auditor | Mgmt | For | For | For | |||||
27 | Increase in Authorized Share Capital | Mgmt | For | For | For | |||||
28 | Approval of a Dividend Distribution Through Par Value Reduction | Mgmt | For | For | For | |||||
29 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
30 | Transaction of other business | Mgmt | For | For | For |
Page 317
Allergan, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGN | CUSIP 018490102 | 05/06/2014 | 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 Trevor M. Jones | Mgmt | For | For | For | |||||
5 | Elect Louis J. Lavigne, Jr. | Mgmt | For | For | For | |||||
6 | Elect Peter J. McDonnell | Mgmt | For | For | For | |||||
7 | Elect Timothy D. Proctor | Mgmt | For | For | For | |||||
8 | Elect Russell T. Ray | Mgmt | For | For | For | |||||
9 | Elect Henri A. Termeer | 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 Certificate of Incorporation Allowing Action by Written Consent | Mgmt | For | For | For | |||||
13 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Amazon.com, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMZN | CUSIP 023135106 | 05/21/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Shareholder Proposal Regarding Political Contributions and Expenditures Report | ShrHoldr | Against | For | Against |
Page 318
American Tower Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMT | CUSIP 03027X100 | 05/20/2014 | 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 |
ARM Holdings plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARM | CUSIP 042068106 | 05/01/2014 | 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 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
4 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
5 | Elect Stuart Chambers | Mgmt | For | For | For | |||||
6 | Elect Simon Segars | Mgmt | For | For | For | |||||
7 | Elect Andy Green | Mgmt | For | For | For | |||||
8 | Elect Larry Hirst | Mgmt | For | For | For | |||||
9 | Elect Mike Muller | Mgmt | For | For | For | |||||
10 | Elect Kathleen O’Donovan | Mgmt | For | For | For | |||||
11 | Elect Janice Roberts | Mgmt | For | For | For | |||||
12 | Elect Tim Score | Mgmt | For | For | For | |||||
13 | Appointment of Auditor | Mgmt | For | For | For | |||||
14 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
15 | Increase in Directors’ Fee Cap | Mgmt | For | For | For | |||||
16 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
17 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
18 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
19 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | Against | Against |
Page 319
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amy Abernethy | Mgmt | For | For | For | |||||
1.2 | Elect Jonathan Bush | Mgmt | For | For | For | |||||
1.3 | Elect Brandon H. Hull | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Biomarin Pharmaceutical Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMRN | CUSIP 09061G101 | 06/04/2014 | 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 | |||||
1.10 | Elect Dennis J. Slamon | Mgmt | For | For | For | |||||
2 | Amendment to the 2006 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 320
Celgene Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CELG | CUSIP 151020104 | 06/18/2014 | 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. Hugin | Mgmt | For | For | For | |||||
1.2 | Elect Richard W. Barker | Mgmt | For | For | For | |||||
1.3 | Elect Michael D. Casey | Mgmt | For | For | For | |||||
1.4 | Elect Carrie S. Cox | Mgmt | For | For | For | |||||
1.5 | Elect Rodman L. Drake | Mgmt | For | For | For | |||||
1.6 | Elect Michael A. Friedman | Mgmt | For | For | For | |||||
1.7 | Elect Gilla Kaplan | Mgmt | For | For | For | |||||
1.8 | Elect James J. Loughlin | Mgmt | For | For | For | |||||
1.9 | Elect Ernest Mario | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Amendment to the 2008 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Cerner Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CERN | CUSIP 156782104 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John C. Danforth | Mgmt | For | For | For | |||||
2 | Elect Neal L. Patterson | Mgmt | For | For | For | |||||
3 | Elect William D. Zollars | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 321
Charles Schwab Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SCHW | CUSIP 808513105 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Frank C. Herringer | Mgmt | For | For | For | |||||
2 | Elect Stephen T. McLin | Mgmt | For | For | For | |||||
3 | Elect Roger O. Walther | Mgmt | For | For | For | |||||
4 | Elect Robert N. Wilson | 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 Report on Political Spending | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Employment Diversity Report | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal: Accelerated vesting upon change in control | ShrHoldr | Against | For | Against |
Costco Wholesale Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
COST | CUSIP 22160K105 | 01/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Susan L. Decker | Mgmt | For | For | For | |||||
1.2 | Elect Richard M. Libenson | Mgmt | For | For | For | |||||
1.3 | Elect John W. Meisenbach | Mgmt | For | For | For | |||||
1.4 | Elect Charles T. Munger | 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 Simple Majority Vote | ShrHoldr | Against | For | Against | |||||
5 | Repeal of Classified Board | Mgmt | Abstain | For | Against |
Page 322
Dril-Quip, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DRQ | CUSIP 262037104 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Blake T. DeBerry | Mgmt | For | For | For | |||||
2 | Elect John V. Lovoi | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Remove Obsolete Language from the Certificate | Mgmt | For | For | For | |||||
5 | Remove Language Regarding Founders from the Business Combination Provision in the Certificate | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Equinix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EQIX | CUSIP 29444U502 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas 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 | Amend Company’s Charter to Include Ownership and Transfer Restrictions | Mgmt | For | Against | Against | |||||
5 | Amendment to the 2004 Employee Stock Purchase Plan | Mgmt | For | For | For |
Page 323
Fastenal Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FAST | CUSIP 311900104 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Willard D. Oberton | Mgmt | For | For | For | |||||
2 | Elect Michael M. Gostomski | Mgmt | For | For | For | |||||
3 | Elect Michael J. Dolan | Mgmt | For | For | For | |||||
4 | Elect Reyne K. Wisecup | Mgmt | For | For | For | |||||
5 | Elect Hugh L. Miller | Mgmt | For | For | For | |||||
6 | Elect Michael J. Ancius | Mgmt | For | For | For | |||||
7 | Elect Scott A. Satterlee | Mgmt | For | For | For | |||||
8 | Elect Rita J. Heise | Mgmt | For | For | For | |||||
9 | Elect Darren R. Jackson | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Google Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GOOG | CUSIP 38259P508 | 05/14/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||||
6 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Tax Policy Principles | ShrHoldr | Against | Against | For | |||||
8 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 324
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel M. Bradbury | Mgmt | For | For | For | |||||
1.2 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Roy A. Whitfield | Mgmt | For | For | For | |||||
1.4 | Elect Francis deSouza | 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 Exclusive Forum Provision Applicable to Derivative Lawsuits | Mgmt | For | Against | Against |
LinkedIn Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LNKD | CUSIP 53578A108 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Reid Hoffman | Mgmt | For | For | For | |||||
1.2 | Elect Stanley J. Meresman | Mgmt | For | For | For | |||||
1.3 | Elect David Sze | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Executive Bonus Compensation Plan | Mgmt | For | For | For |
Page 325
Mead Johnson Nutrition Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MJN | CUSIP 582839106 | 05/01/2014 | 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 Michael Grobstein | Mgmt | For | For | For | |||||
9 | Elect Peter K. Jakobsen | Mgmt | For | For | For | |||||
10 | Elect Peter G. Ratcliffe | Mgmt | For | For | For | |||||
11 | Elect Elliott Sigal | Mgmt | For | For | For | |||||
12 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect T. Jay Collins | Mgmt | For | For | For | |||||
1.2 | Elect D. Michael Hughes | 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 326
Praxair, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PX | CUSIP 74005P104 | 04/22/2014 | 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 de Paula Bernardes Neto | Mgmt | For | For | For | |||||
3 | Elect Nance K. Dicciani | Mgmt | For | For | For | |||||
4 | Elect Edward G. Galante | Mgmt | For | For | For | |||||
5 | Elect Claire W. Gargalli | Mgmt | For | For | For | |||||
6 | Elect Ira D. Hall | Mgmt | For | For | For | |||||
7 | Elect Raymond W. LeBoeuf | Mgmt | For | For | For | |||||
8 | Elect Larry D. McVay | Mgmt | For | For | For | |||||
9 | Elect Denise L. Ramos | 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 | Amendment and Restatement of the 2009 Long Term Incentive Plan | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Precision Castparts Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCP | CUSIP 740189105 | 08/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mark Donegan | Mgmt | For | For | For | |||||
1.2 | Elect Daniel J. Murphy | Mgmt | For | For | For | |||||
1.3 | Elect Vernon E. Oechsle | Mgmt | For | For | For | |||||
1.4 | Elect Rick Schmidt | Mgmt | For | For | For | |||||
1.5 | Elect Richard L. Wambold | 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 2001 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Adoption of Majority Vote for Election of Directors | Mgmt | For | For | For |
Page 327
Priceline Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCLN | CUSIP 741503403 | 06/05/2014 | 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 Darren R. Huston | Mgmt | For | For | For | |||||
1.8 | Elect Nancy B. Peretsman | Mgmt | For | For | For | |||||
1.9 | Elect Thomas E. Rothman | Mgmt | For | For | For | |||||
1.10 | 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 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
QUALCOMM Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QCOM | CUSIP 747525103 | 03/04/2014 | 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 Steven M. Mollenkopf | Mgmt | For | For | For | |||||
9 | Elect Duane A. Nelles | Mgmt | For | For | For | |||||
10 | Elect Clark T. Randt, Jr. | Mgmt | For | For | For | |||||
11 | Elect Francisco Ros | Mgmt | For | For | For | |||||
12 | Elect Jonathan J. Rubinstein | Mgmt | For | For | For | |||||
13 | Elect Brent Scowcroft | Mgmt | For | For | For | |||||
14 | Elect Marc I. Stern | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For |
Page 328
salesforce.com, inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CRM | CUSIP 79466L302 | 06/02/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Marc Benioff | Mgmt | For | For | For | |||||
2 | Elect Keith Block | Mgmt | For | For | For | |||||
3 | Elect Craig A. Conway | Mgmt | For | For | For | |||||
4 | Elect Alan G. Hassenfeld | Mgmt | For | For | For | |||||
5 | Elect Colin Powell | Mgmt | For | For | For | |||||
6 | Elect John V. Roos | Mgmt | For | For | For | |||||
7 | Elect Lawrence Tomlinson | Mgmt | For | For | For | |||||
8 | Elect Robin L. Washington | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Schlumberger N.V. (Schlumberger Limited)
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLB | CUSIP 806857108 | 04/09/2014 | 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 Tony Isaac | Mgmt | For | For | For | |||||
3 | Elect K.V. Kamath | Mgmt | For | For | For | |||||
4 | Elect Maureen Kempston Darkes | Mgmt | For | For | For | |||||
5 | Elect Paal Kibsgaard | Mgmt | For | For | For | |||||
6 | Elect Nikolay Kudryavtsev | 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 | Appointment of Auditor | Mgmt | For | For | For |
Page 329
Silver Wheaton Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLW | CUSIP 828336107 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | 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 Brough | Mgmt | For | For | For | |||||
1.4 | Elect R. Peter Gillin | Mgmt | For | For | For | |||||
1.5 | Elect Chantal Gosselin | Mgmt | For | For | For | |||||
1.6 | Elect Douglas M. Holtby | Mgmt | For | For | For | |||||
1.7 | Elect Eduardo Luna | Mgmt | For | For | For | |||||
1.8 | Elect Wade D. Nesmith | Mgmt | For | For | For | |||||
1.9 | 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 | |||||
4 | Amendment to the Share Option Plan | Mgmt | For | For | For | |||||
5 | Advance Notice Provision | Mgmt | For | Against | Against | |||||
6 | Amendment to By-Laws Regarding Quorum Requirements | Mgmt | For | For | For | |||||
7 | Notice and Access Provision | Mgmt | For | For | For |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John G. Connors | Mgmt | For | For | For | |||||
1.2 | Elect Patricia B. Morrison | Mgmt | For | For | For | |||||
1.3 | Elect Nicholas G. Sturiale | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 330
Starbucks Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBUX | CUSIP 855244109 | 03/19/2014 | 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 | Ratification of Auditor | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Prohibition of Political Spending | ShrHoldr | Against | Against | For | |||||
16 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Tiffany & Co.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TIF | CUSIP 886547108 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael J. Kowalski | Mgmt | For | For | For | |||||
2 | Elect Rose Marie Bravo | Mgmt | For | For | For | |||||
3 | Elect Gary E. Costley | Mgmt | For | For | For | |||||
4 | Elect Frederic P. Cumenal | Mgmt | For | For | For | |||||
5 | Elect Lawrence K. Fish | Mgmt | For | For | For | |||||
6 | Elect Abby F. Kohnstamm | Mgmt | For | For | For | |||||
7 | Elect Charles K. Marquis | Mgmt | For | For | For | |||||
8 | Elect Peter W. May | Mgmt | For | For | For | |||||
9 | Elect William A. Shutzer | Mgmt | For | For | For | |||||
10 | Elect Robert S. Singer | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | 2014 Employee Incentive Plan | Mgmt | For | For | For |
Page 331
Verisk Analytics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VRSK | CUSIP 92345Y106 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Frank J. Coyne | Mgmt | For | For | For | |||||
1.2 | Elect Christopher M. Foskett | Mgmt | For | For | For | |||||
1.3 | Elect David B. Wright | Mgmt | For | For | For | |||||
1.4 | Elect Thomas F. Motamed | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Visa Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
V | CUSIP 92826C839 | 01/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary B. Cranston | Mgmt | For | For | For | |||||
2 | Elect Francisco Javier Fernandez Carbajal | Mgmt | For | For | For | |||||
3 | Elect Alfred F. Kelly, Jr. | Mgmt | For | For | For | |||||
4 | Elect Robert W. Matschullat | Mgmt | For | For | For | |||||
5 | Elect Cathy E. Minehan | Mgmt | For | For | For | |||||
6 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |||||
7 | Elect David J. PANG | Mgmt | For | For | For | |||||
8 | Elect Charles W. Scharf | Mgmt | For | For | For | |||||
9 | Elect William S. Shanahan | Mgmt | For | For | For | |||||
10 | Elect John A.C. Swainson | Mgmt | For | For | For | |||||
11 | Elect Maynard G. Webb, Jr. | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 332
VMware, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VMW | CUSIP 928563402 | 05/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Pamela J. Craig | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Whole Foods Market, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WFM | CUSIP 966837106 | 02/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John B. Elstrott | Mgmt | For | For | For | |||||
1.2 | Elect Gabrielle E. Greene | Mgmt | For | For | For | |||||
1.3 | Elect Hass Hassan | Mgmt | For | For | For | |||||
1.4 | Elect Stephanie Kugelman | Mgmt | For | For | For | |||||
1.5 | Elect John P. Mackey | Mgmt | For | For | For | |||||
1.6 | Elect Walter Robb | Mgmt | For | For | For | |||||
1.7 | Elect Jonathan A. Seiffer | Mgmt | For | For | For | |||||
1.8 | Elect Morris J. Siegel | Mgmt | For | For | For | |||||
1.9 | Elect Jonathan D. Sokoloff | Mgmt | For | For | For | |||||
1.10 | Elect Ralph Z. Sorenson | Mgmt | For | For | For | |||||
1.11 | Elect William A. Tindell | 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 Recoupment of Unearned Bonuses | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Voting Disclosure | ShrHoldr | Against | Against | For |
Page 333
Item 1: | Proxy Voting Record - |
Registrant :
Fund Name : TCW Short Term Bond Fund
Dreyfus Institutional Cash Advantage
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DADXX | CUSIP 26200V | 12/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Isabel P. Dunst | Mgmt | For | For | For | |||||
1.2 | Elect Robin A. Melvin | Mgmt | For | For | For | |||||
1.3 | Elect Roslyn M. Watson | Mgmt | For | For | For |
Page 334
Item 1: | Proxy Voting Record - |
Registrant :
Fund Name : TCW Small Cap Growth Fund
Agios Pharmaceuticals Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGIO | CUSIP 00847X104 | 05/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lewis C. Cantley | Mgmt | For | For | For | |||||
1.2 | Elect Perry Karsen | Mgmt | For | For | For | |||||
1.3 | Elect Paul J. Clancy | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Altra Holdings, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AIMC | CUSIP 02208R106 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edmund M. Carpenter | Mgmt | For | For | For | |||||
1.2 | Elect Carl R. Christenson | Mgmt | For | For | For | |||||
1.3 | Elect Lyle G. Ganske | Mgmt | For | For | For | |||||
1.4 | Elect Michael S. Lipscomb | Mgmt | For | For | For | |||||
1.5 | Elect Larry McPherson | Mgmt | For | For | For | |||||
1.6 | Elect Thomas W. Swidarski | Mgmt | For | For | For | |||||
1.7 | Elect James H. Woodward, Jr. | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | 2014 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 335
Annie’s, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BNNY | CUSIP 03600T104 | 09/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Repeal of Classified Board | Mgmt | For | For | For | |||||
2.1 | Elect Molly F. Ashby | Mgmt | For | For | For | |||||
2.2 | Elect John M. Foraker | Mgmt | For | For | For | |||||
2.3 | Elect Julie D. Klapstein | Mgmt | For | For | For | |||||
2.4 | Elect Lawrence S. Peiros | Mgmt | For | For | For | |||||
2.5 | Elect Bettina M. Whyte | Mgmt | For | For | For | |||||
2.6 | Elect Billie Ida Williamson | Mgmt | For | For | For | |||||
2.7 | Elect Bettina M. Whyte | Mgmt | For | For | For | |||||
2.8 | Elect Billie Ida Williamson | Mgmt | For | For | For | |||||
3 | Amendment to Certificate of Incorporation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Arcos Dorados Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARCO | CUSIP G0457F107 | 04/21/2014 | 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 | Mgmt | For | For | For | |||||
3.1 | Elect Sergio Alonso | Mgmt | For | For | For | |||||
3.2 | Elect Michael Chu | Mgmt | For | For | For | |||||
3.3 | Elect Jose Alberto Velez Cadavid | Mgmt | For | For | For | |||||
3.4 | Elect Jose Fernandez | Mgmt | For | For | For |
Page 336
Arctic Cat Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACAT | CUSIP 039670104 | 08/08/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Claude J. Jordan | Mgmt | For | For | For | |||||
1.2 | Elect Susan E. Lester | Mgmt | For | For | For | |||||
2 | 2013 Omnibus Stock and Incentive Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Aruba Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARUN | CUSIP 043176106 | 12/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dominic P. 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 T. Hernandez | Mgmt | For | For | For | |||||
1.5 | Elect Michael R. Kourey | Mgmt | For | For | For | |||||
1.6 | Elect Willem P. Roelandts | Mgmt | For | For | For | |||||
1.7 | Elect Juergen Rottler | Mgmt | For | For | For | |||||
1.8 | Elect Daniel J. Warmenhoven | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 337
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amy Abernethy | Mgmt | For | For | For | |||||
1.2 | Elect Jonathan Bush | Mgmt | For | For | For | |||||
1.3 | Elect Brandon H. Hull | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Athlon Energy Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHL | CUSIP 047477104 | 05/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Rakesh Wilson | 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 | 3 Years | 3 Years | For |
Black Diamond Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BDE | CUSIP 09202G101 | 06/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Warren B. Kanders | Mgmt | For | For | For | |||||
1.2 | Elect Robert R. Schiller | Mgmt | For | For | For | |||||
1.3 | Elect Peter R. Metcalf | Mgmt | For | For | For | |||||
1.4 | Elect Donald L. House | Mgmt | For | For | For | |||||
1.5 | Elect Nicholas Sokolow | Mgmt | For | For | For | |||||
1.6 | Elect Michael A. Henning | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 338
Boston Beer Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SAM | CUSIP 100557107 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David A. Burwick | Mgmt | For | For | For | |||||
1.2 | Elect Pearson C. Cummin, III | Mgmt | For | For | For | |||||
1.3 | Elect Jean-Michel Valette | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert J. Easton | Mgmt | For | For | For | |||||
2 | Elect Hollings C. Renton | Mgmt | For | For | For | |||||
3 | Elect Glenn D. Steele, Jr. | Mgmt | For | For | For | |||||
4 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
5 | Amendment to the 2006 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 |
Chart Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GTLS | CUSIP 16115Q308 | 05/22/2014 | 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 Terrence J. Keating | Mgmt | For | For | For | |||||
1.5 | Elect Steven W. Krablin | Mgmt | For | For | For | |||||
1.6 | Elect Michael W. Press | Mgmt | For | For | For | |||||
1.7 | Elect Elizabeth G. Spomer | Mgmt | For | For | For | |||||
1.8 | 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 | |||||
4 | Cash Incentive Plan | Mgmt | For | For | For |
Page 339
Cognex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CGNX | CUSIP 192422103 | 04/29/2014 | 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 Theodor Krantz | Mgmt | For | For | For | |||||
1.3 | Elect J. Bruce Robinson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Cornerstone OnDemand Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSOD | CUSIP 21925Y103 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Adam L. Miller | Mgmt | For | For | For | |||||
1.2 | Elect R.C. Mark Baker | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
DexCom, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DXCM | CUSIP 252131107 | 05/29/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jonathan T. Lord | Mgmt | For | For | For | |||||
2 | Elect Eric Topol | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 340
Dorman Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DORM | CUSIP 258278100 | 05/16/2014 | 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. Berman | Mgmt | For | For | For | |||||
1.2 | Elect Robert M. Lynch | Mgmt | For | For | For | |||||
1.3 | Elect Paul R. Lederer | Mgmt | For | For | For | |||||
1.4 | Elect Edgar W. Levin | Mgmt | For | For | For | |||||
1.5 | Elect Richard T. Riley | Mgmt | For | For | For | |||||
1.6 | Elect Mathias J. Barton | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the Executive Cash Bonus Plan and the 2008 Stock Option and Stock Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
DXP Enterprises, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DXPE | CUSIP 233377407 | 06/19/2014 | 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 | |||||
1.4 | Elect Bryan Wimberly | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
eHealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EHTH | CUSIP 28238P109 | 06/12/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William T. Shaughnessy | Mgmt | For | For | For | |||||
1.2 | Elect Randall S. Livingston | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Performance Bonus Plan | Mgmt | For | For | For | |||||
5 | 2014 Equity Incentive Plan | Mgmt | For | For | For |
Page 341
Endologix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELGX | CUSIP 29266S106 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel Lemaitre | 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 |
Envestnet, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ENV | CUSIP 29404K106 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ross K. Chapin | Mgmt | For | For | For | |||||
1.2 | Elect Cynthia Egan | Mgmt | For | For | For | |||||
1.3 | Elect Gates Hawn | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Approval of the 2010 Long-Term Incentive Plan | Mgmt | For | For | For |
EPAM Systems Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EPAM | CUSIP 29414B104 | 06/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ronald P. Vargo | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 342
ExamWorks Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EXAM | CUSIP 30066A105 | 06/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect J. Thomas Presby | Mgmt | For | For | For | |||||
1.2 | Elect David B. Zenoff | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Exar Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EXAR | CUSIP 300645108 | 09/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Behrooz Abdi | Mgmt | For | For | For | |||||
1.2 | Elect Izak Bencuya | Mgmt | For | For | For | |||||
1.3 | Elect Louis DiNardo | Mgmt | For | For | For | |||||
1.4 | Elect Pierre Guilbault | Mgmt | For | For | For | |||||
1.5 | Elect Brian Hilton | Mgmt | For | For | For | |||||
1.6 | Elect Richard L. Leza | Mgmt | For | For | For | |||||
1.7 | 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 |
FARO Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FARO | CUSIP 311642102 | 05/29/2014 | 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. Cole | Mgmt | For | For | For | |||||
1.2 | Elect Marvin R. Sambur | Mgmt | For | For | For | |||||
1.3 | Elect Jay W. Freeland | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2014 Incentive Plan | Mgmt | For | For | For | |||||
5 | Approval of the Performance Goals Under the 2014 Incentive Plan | Mgmt | For | For | For |
Page 343
Five Below Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FIVE | CUSIP 33829M101 | 06/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Stephen J. Collins | Mgmt | For | For | For | |||||
1.2 | Elect Thomas M. Ryan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Foundation Medicine Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FMI | CUSIP 350465100 | 06/18/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Brook H. Byers | Mgmt | For | For | For | |||||
2 | Elect Michael J. Pellini | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Approval of the 162(m) Goals Under the 2013 Stock Option and Incentive Plan | Mgmt | For | For | For |
Geospace Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GEOS | CUSIP 37364X109 | 02/06/2014 | 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. Davis | Mgmt | For | For | For | |||||
1.2 | Elect Richard F. Miles | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
5 | Approval of Material Terms of Performance Goals Under the 2014 Long-Term Incentive Plan | Mgmt | For | For | For |
Page 344
Geospace Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GEOS | CUSIP 37364X109 | 08/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Amendment to the 1997 Key Employee Stock Option Plan | Mgmt | For | For | For | |||||
2 | Approval of Options Granted After Expiration of Equity Plan | Mgmt | For | For | For |
Gogo Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GOGO | CUSIP 38046C109 | 05/29/2014 | 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. Small | Mgmt | For | For | For | |||||
1.2 | Elect Oakleigh Thorne | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Greenhill & Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GHL | CUSIP 395259104 | 04/23/2014 | 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 Steven F. Goldstone | Mgmt | For | For | For | |||||
1.5 | Elect Stephen L. Key | Mgmt | For | For | For | |||||
1.6 | Elect Karen P. Robards | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 345
Guidewire Software, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GWRE | CUSIP 40171V100 | 12/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John Cavoores | Mgmt | For | For | For | |||||
1.2 | Elect Guy Dubois | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Gulfport Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPOR | CUSIP 402635304 | 07/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Increase of Authorized Common Stock | Mgmt | For | For | For |
H&E Equipment Services, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HEES | CUSIP 404030108 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gary W. Bagley | Mgmt | For | For | For | |||||
1.2 | Elect John M. Engquist | Mgmt | For | For | For | |||||
1.3 | Elect Paul N. Arnold | Mgmt | For | For | For | |||||
1.4 | Elect Bruce C. Bruckmann | Mgmt | For | For | For | |||||
1.5 | Elect Patrick L. Edsell | Mgmt | For | For | For | |||||
1.6 | Elect Thomas J. Galligan III | Mgmt | For | For | For | |||||
1.7 | Elect Lawrence C. Karlson | Mgmt | For | For | For | |||||
1.8 | Elect John T. Sawyer | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 346
Hain Celestial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAIN | CUSIP 405217100 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irwin D. Simon | Mgmt | For | For | For | |||||
1.2 | Elect Richard C. Berke | Mgmt | For | For | For | |||||
1.3 | Elect Jack Futterman | Mgmt | For | For | For | |||||
1.4 | Elect Marina Hahn | Mgmt | For | For | For | |||||
1.5 | Elect Andrew R. Heyer | Mgmt | For | For | For | |||||
1.6 | Elect Roger Meltzer | Mgmt | For | For | For | |||||
1.7 | Elect Scott M. O’Neil | Mgmt | For | For | For | |||||
1.8 | Elect Lawrence S. Zilavy | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2002 Long Term Incentive and Stock Award Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adriane M. Brown | Mgmt | For | For | For | |||||
2 | Elect John W. Diercksen | Mgmt | For | For | For | |||||
3 | Elect Ann McLaughlin Korologos | Mgmt | For | For | For | |||||
4 | Elect Jiren Liu | Mgmt | For | For | For | |||||
5 | Elect Edward H. Meyer | Mgmt | For | For | For | |||||
6 | Elect Dinesh C. Paliwal | Mgmt | For | For | For | |||||
7 | Elect Kenneth M. Reiss | Mgmt | For | For | For | |||||
8 | Elect Hellene S. Runtagh | Mgmt | For | For | For | |||||
9 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
10 | Elect Gary G. Steel | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Amendment to the 2012 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
13 | 2014 Key Executive Officers Bonus Plan | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 347
Health Net, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HNT | CUSIP 42222G108 | 06/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Anne Citrino | Mgmt | For | For | For | |||||
2 | Elect Theodore F. Craver, Jr. | Mgmt | For | For | For | |||||
3 | Elect Vicki B. Escarra | Mgmt | For | For | For | |||||
4 | Elect Gale S. Fitzgerald | Mgmt | For | For | For | |||||
5 | Elect Patrick Foley | Mgmt | For | For | For | |||||
6 | Elect Jay M. Gellert | Mgmt | For | For | For | |||||
7 | Elect Roger F. Greaves | Mgmt | For | For | For | |||||
8 | Elect Douglas M. Mancino | Mgmt | For | For | For | |||||
9 | Elect Bruce G. Willison | Mgmt | For | For | For | |||||
10 | Elect Frederick C. Yeager | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
HEICO Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HEI | CUSIP 422806208 | 03/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Adolfo Henriques | Mgmt | For | For | For | |||||
1.2 | Elect Samuel L. Higginbottom | Mgmt | For | For | For | |||||
1.3 | Elect Mark H. Hildebrandt | Mgmt | For | For | For | |||||
1.4 | Elect Wolfgang Mayrhuber | Mgmt | For | For | For | |||||
1.5 | Elect Eric A. Mendelson | Mgmt | For | For | For | |||||
1.6 | Elect Laurans A. Mendelson | Mgmt | For | For | For | |||||
1.7 | Elect Victor H. Mendelson | Mgmt | For | For | For | |||||
1.8 | Elect Alan Schriesheim | Mgmt | For | For | For | |||||
1.9 | Elect Frank J. Schwitter | Mgmt | For | For | For | |||||
2 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 348
HMS Holdings Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HMSY | CUSIP 40425J101 | 07/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reincorporation | Mgmt | For | For | For | |||||
2 | Elect Daniel N. Mendelson | Mgmt | For | For | For | |||||
3 | Elect William F. Miller III | Mgmt | For | For | For | |||||
4 | Elect Ellen A. Rudnick | Mgmt | For | For | For | |||||
5 | Elect Richard H. Stowe | Mgmt | For | For | For | |||||
6 | Elect Cora M. Tellez | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Ratification of Auditor | Mgmt | For | For | For |
Idex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IEX | CUSIP 45167R104 | 04/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bradley J. Bell | Mgmt | For | For | For | |||||
1.2 | Elect Gregory F. Milzcik | Mgmt | For | For | For | |||||
1.3 | Elect Andrew K. Silvernail | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Imperva Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IMPV | CUSIP 45321L100 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Shlomo Kramer | Mgmt | For | For | For | |||||
1.2 | Elect Albert A. Pimentel | Mgmt | For | For | For | |||||
1.3 | Elect James R. Tolonen | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 349
Independent Bank Group Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IBTX | CUSIP 45384B106 | 04/14/2014 | 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 | Share Issuance | Mgmt | For | For | For | |||||
3.1 | Elect James D. Stein | Mgmt | For | For | For | |||||
3.2 | Elect Donald L. Poarch | Mgmt | For | For | For | |||||
3.3 | Elect J. Webb Jennings III | Mgmt | For | For | For | |||||
4 | Right to Adjourn Meeting | Mgmt | For | For | For |
Independent Bank Group Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IBTX | CUSIP 45384B106 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Torry Berntsen | Mgmt | For | For | For | |||||
1.2 | Elect Jack M. Radke | Mgmt | For | For | For | |||||
1.3 | Elect G. Stacy Smith | Mgmt | For | For | For | |||||
1.4 | Elect James D. Stein | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Transaction of Other Business | Mgmt | For | For | For |
John Bean Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JBT | CUSIP 477839104 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas W. Giacomini | Mgmt | For | For | For | |||||
1.2 | Elect Polly B. Kawalek | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Karyopharm Therapeutics Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KPTI | CUSIP 48576U106 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Barry Greene | Mgmt | For | For | For | |||||
1.2 | Elect Mansoor Raza Mirza | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 350
Kate Spade & Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KATE | CUSIP 485865109 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Bernard W. Aronson | Mgmt | For | For | For | |||||
2 | Elect Lawrence S. Benjamin | Mgmt | For | For | For | |||||
3 | Elect Raul J. Fernandez | Mgmt | For | For | For | |||||
4 | Elect Kenneth B. Gilman | Mgmt | For | For | For | |||||
5 | Elect Nancy J. Karch | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Kopelman | Mgmt | For | For | For | |||||
7 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
8 | Elect Craig A. Leavitt | Mgmt | For | For | For | |||||
9 | Elect Deborah J. Lloyd | Mgmt | For | For | For | |||||
10 | Elect Doreen A. Toben | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Transaction of Other Business | Mgmt | For | For | For |
LDR Holding Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LDRH | CUSIP 50185U105 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jospeh Aragona | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Lifeway Foods, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LWAY | CUSIP 531914109 | 06/12/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ludmila Smolyansky | Mgmt | For | For | For | |||||
1.2 | Elect Julie Smolyansky | Mgmt | For | For | For | |||||
1.3 | Elect Pol Sikar | Mgmt | For | For | For | |||||
1.4 | Elect Renzo Bernardi | Mgmt | For | For | For | |||||
1.5 | Elect Gustavo C. Valle | Mgmt | For | For | For | |||||
1.6 | Elect Paul Lee | Mgmt | For | For | For | |||||
1.7 | Elect Jason Scher | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 351
Marcus & Millichap, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MMI | CUSIP 566324109 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John J. Kerin | Mgmt | For | For | For | |||||
1.2 | Elect Norma J. Lawrence | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Executive Short-Term Incentive Plan | Mgmt | For | For | For |
MarketAxess Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MKTX | CUSIP 57060D108 | 06/05/2014 | 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 Jane Chwick | Mgmt | For | For | For | |||||
5 | Elect William F. Cruger | Mgmt | For | For | For | |||||
6 | Elect David G. Gomach | Mgmt | For | For | For | |||||
7 | Elect Carlos M. Hernandez | Mgmt | For | For | For | |||||
8 | Elect Ronald M. Hersch | Mgmt | For | For | For | |||||
9 | Elect John Steinhardt | Mgmt | For | For | For | |||||
10 | Elect James J. Sullivan | Mgmt | For | For | For | |||||
11 | Elect Lesley Daniels Webster | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Mellanox Technologies, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MLNX | CUSIP M51363113 | 01/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Compensation Policy | Mgmt | For | Against | Against |
Page 352
Mellanox Technologies, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MLNX | CUSIP M51363113 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Eyal Waldman | Mgmt | For | For | For | |||||
2 | Elect Irwin Federman | Mgmt | For | For | For | |||||
3 | Elect Dov Baharav | Mgmt | For | For | For | |||||
4 | Elect Glenda M Dorchak | Mgmt | For | For | For | |||||
5 | Elect Thomas Weatherford | Mgmt | For | For | For | |||||
6 | Elect David Perlmutter | Mgmt | For | For | For | |||||
7 | Cash Bonus to Eyal Waldman | Mgmt | For | For | For | |||||
8 | Grant of RSUs to Eyal Waldman | Mgmt | For | For | For | |||||
9 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
10 | Approval of Compensation to Irwin Federman | Mgmt | For | For | For | |||||
11 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For |
MicroStrategy Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSTR | CUSIP 594972408 | 04/23/2014 | 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 Robert H. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Stephen X. Graham | Mgmt | For | For | For | |||||
1.4 | Elect Jarrod M. Patten | Mgmt | For | For | For | |||||
1.5 | Elect Carl J. Rickertsen | Mgmt | For | For | For | |||||
2 | Approval of the 2013 Stock 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 353
Multimedia Games Holding Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MGAM | CUSIP 625453105 | 01/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen J. Greathouse | Mgmt | For | For | For | |||||
2 | Elect Stephen P. Ives | Mgmt | For | For | For | |||||
3 | Elect Neil E. Jenkins | Mgmt | For | For | For | |||||
4 | Elect Michael J. Maples, Sr. | Mgmt | For | For | For | |||||
5 | Elect Justin A. Orlando | Mgmt | For | For | For | |||||
6 | Elect Patrick J. Ramsey | Mgmt | For | For | For | |||||
7 | Elect Robert D. Repass | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For |
Novadaq Technologies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NDQ | CUSIP 66987G102 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Arun Menawat | Mgmt | For | For | For | |||||
1.2 | Elect Aaron Davidson | Mgmt | For | For | For | |||||
1.3 | Elect Anthony F. Griffiths | Mgmt | For | For | For | |||||
1.4 | Elect Harold O. Koch Jr. | Mgmt | For | For | For | |||||
1.5 | Elect William A. MacKinnon | Mgmt | For | For | For | |||||
1.6 | Elect Thomas Wellner | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Stock Option Plan Renewal | Mgmt | For | Against | Against |
Page 354
Ophthotech Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OPHT | CUSIP 683745103 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Nicholas G. Galakatos | Mgmt | For | For | For | |||||
1.2 | Elect Michael Ross | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Asheem Chandna | Mgmt | For | For | For | |||||
2 | Elect James J. Goetz | Mgmt | For | For | For | |||||
3 | Elect Mark D. McLaughlin | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Potbelly Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PBPB | CUSIP 73754Y100 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Peter A. Bassi | Mgmt | For | For | For | |||||
1.2 | Elect Marla C. Gottschalk | Mgmt | For | For | For | |||||
1.3 | Elect Aylwin B. Lewis | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Power Solutions International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSIX | CUSIP 73933G202 | 08/28/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gary Winemaster | Mgmt | For | For | For | |||||
1.2 | Elect Kenneth Landini | Mgmt | For | For | For | |||||
1.3 | Elect H. Samuel Greenawalt | Mgmt | For | For | For | |||||
1.4 | Elect Jay J. Hansen | Mgmt | For | For | For | |||||
1.5 | Elect Mary Vogt | Mgmt | For | For | For | |||||
2 | Amendment to the 2012 Incentive Compensation Plan | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 2 Years | 2 Years | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 355
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry S. Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine L. Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon C. Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Luis Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell G. Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert E. Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar A. Zurcher | Mgmt | For | For | For |
Proto Labs Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PRLB | CUSIP 743713109 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lawrence J. Lukis | Mgmt | For | For | For | |||||
1.2 | Elect Victoria M. Holt | Mgmt | For | For | For | |||||
1.3 | Elect Bradley A. Cleveland | Mgmt | For | For | For | |||||
1.4 | Elect Rainer Gawlick | Mgmt | For | For | For | |||||
1.5 | Elect John B. Goodman | Mgmt | For | For | For | |||||
1.6 | Elect Douglas W. Kohrs | Mgmt | For | For | For | |||||
1.7 | Elect Brian K. Smith | Mgmt | For | For | For | |||||
1.8 | Elect Sven A. Wehrwein | 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 356
Qualys Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
QLYS | CUSIP 74758T303 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald R. Dixon | Mgmt | For | For | For | |||||
1.2 | Elect General Peter Pace | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
RE/MAX Holdings Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RMAX | CUSIP 75524W108 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gilbert L. Baird | Mgmt | For | For | For | |||||
1.2 | Elect Roger J. Dow | Mgmt | For | For | For | |||||
1.3 | Elect Ronald E. Harrison | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Rocket Fuel Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FUEL | CUSIP 773111109 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Gardner | Mgmt | For | For | For | |||||
2 | Elect Monte Zweben | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 357
Sinclair Broadcast Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SBGI | CUSIP 829226109 | 06/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David D. Smith | Mgmt | For | For | For | |||||
1.2 | Elect Frederick G. Smith | Mgmt | For | For | For | |||||
1.3 | Elect J. Duncan Smith | Mgmt | For | For | For | |||||
1.4 | Elect Robert E. Smith | Mgmt | For | For | For | |||||
1.5 | Elect Lawrence E. McCanna | Mgmt | For | For | For | |||||
1.6 | Elect Daniel C. Keith | Mgmt | For | For | For | |||||
1.7 | Elect Martin R. Leader | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John G. Connors | Mgmt | For | For | For | |||||
1.2 | Elect Patricia B. Morrison | Mgmt | For | For | For | |||||
1.3 | Elect Nicholas G. Sturiale | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
SPS Commerce Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPSC | CUSIP 78463M107 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Archie C. Black | Mgmt | For | For | For | |||||
1.2 | Elect Michael B. Gorman | Mgmt | For | For | For | |||||
1.3 | Elect Martin J. Leestma | Mgmt | For | For | For | |||||
1.4 | Elect James B. Ramsey | Mgmt | For | For | For | |||||
1.5 | Elect Michael A. Smerklo | Mgmt | For | For | For | |||||
1.6 | Elect Philip E. Soran | Mgmt | For | For | For | |||||
1.7 | Elect Sven A. Wehrwein | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 358
Square 1 Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SQBK | CUSIP 85223W101 | 06/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Paul R. Burke | Mgmt | For | For | For | |||||
1.2 | Elect John T. Pietrzak | Mgmt | For | For | For | |||||
1.3 | Elect W. Kirk Wycoff | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Steven Madden, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SHOO | CUSIP 556269108 | 05/23/2014 | 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 Rose Peabody Lynch | Mgmt | For | For | For | |||||
1.3 | Elect John L. Madden | Mgmt | For | For | For | |||||
1.4 | Elect Peter Migliorini | Mgmt | For | For | For | |||||
1.5 | Elect Richard P. Randall | Mgmt | For | For | For | |||||
1.6 | Elect Ravi Sachdev | Mgmt | For | For | For | |||||
1.7 | Elect Thomas H. Schwartz | Mgmt | For | For | For | |||||
1.8 | Elect Robert Smith | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
The Female Health Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FHCO | CUSIP 314462102 | 03/20/2014 | 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. Bethune | Mgmt | For | For | For | |||||
1.2 | Elect Stephen M. Dearholt | Mgmt | For | For | For | |||||
1.3 | Elect Donna Felch | Mgmt | For | For | For | |||||
1.4 | Elect Mary Margaret Frank | Mgmt | For | For | For | |||||
1.5 | Elect William R. Gargiulo, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Karen King | Mgmt | For | For | For | |||||
1.7 | Elect Andrew S. Love | Mgmt | For | For | For | |||||
1.8 | Elect O.B. Parrish | Mgmt | For | For | For | |||||
1.9 | Elect Richard E. Wenninger | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 359
Trex Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TREX | CUSIP 89531P105 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jay M. Gratz | Mgmt | For | For | For | |||||
1.2 | Elect Ronald W. Kaplan | Mgmt | For | For | For | |||||
1.3 | Elect Gerald Volas | 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 | Approval of the 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Ultimate Software Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ULTI | CUSIP 90385D107 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect LeRoy A. Vander Putten | Mgmt | For | For | For | |||||
2 | Elect Robert A. Yanover | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 360
Wisdomtree Investments, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WETF | CUSIP 97717P104 | 06/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect R. Jarrett Lilien | Mgmt | For | For | For | |||||
2 | Elect Frank Salerno | Mgmt | For | For | For | |||||
3 | Elect Jonathan Steinberg | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Approval of the 2014 Annual Incentive Compensation Plan | Mgmt | For | For | For |
Wisdomtree Investments, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WETF | CUSIP 97717P104 | 07/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Steven L. Begleiter | Mgmt | For | For | For | |||||
2 | Elect Win Neuger | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Woodward, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WWD | CUSIP 980745103 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mary L. Petrovich | Mgmt | For | For | For | |||||
1.2 | Elect Larry E. Rittenberg | Mgmt | For | For | For | |||||
1.3 | Elect Paul Donovan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 361
Item 1: | Proxy Voting Record - |
Registrant :
Fund Name : TCW SMID Cap Growth Fund
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James C. Diggs | Mgmt | For | For | For | |||||
1.2 | Elect J. Brett Harvey | Mgmt | For | For | For | |||||
1.3 | Elect Louis J. Thomas | 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 |
AMC Networks Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMCX | CUSIP 00164V103 | 06/10/2014 | 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 Jonathan F. Miller | Mgmt | For | For | For | |||||
1.3 | Elect Alan D. Schwartz | Mgmt | For | For | For | |||||
1.4 | Elect Leonard Tow | Mgmt | For | For | For | |||||
1.5 | Elect Carl E. Vogel | Mgmt | For | For | For | |||||
1.6 | Elect Robert C. Wright | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Page 362
ANSYS, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANSS | CUSIP 03662Q105 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James E. Cashman III | Mgmt | For | For | For | |||||
2 | Elect Ajei S. Gopal | Mgmt | For | For | For | |||||
3 | Elect William R. McDermott | 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 | 04/21/2014 | 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 | Mgmt | For | For | For | |||||
3.1 | Elect Sergio Alonso | Mgmt | For | For | For | |||||
3.2 | Elect Michael Chu | Mgmt | For | For | For | |||||
3.3 | Elect Jose Alberto Velez Cadavid | Mgmt | For | For | For | |||||
3.4 | Elect Jose Fernandez | Mgmt | For | For | For |
Aruba Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ARUN | CUSIP 043176106 | 12/05/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dominic P. 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 T. Hernandez | Mgmt | For | For | For | |||||
1.5 | Elect Michael R. Kourey | Mgmt | For | For | For | |||||
1.6 | Elect Willem P. Roelandts | Mgmt | For | For | For | |||||
1.7 | Elect Juergen Rottler | Mgmt | For | For | For | |||||
1.8 | Elect Daniel J. Warmenhoven | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 363
Athenahealth, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATHN | CUSIP 04685W103 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amy Abernethy | Mgmt | For | For | For | |||||
1.2 | Elect Jonathan Bush | Mgmt | For | For | For | |||||
1.3 | Elect Brandon H. Hull | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
BE Aerospace, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BEAV | CUSIP 073302101 | 07/24/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Michael F. Senft | Mgmt | For | For | For | |||||
1.2 | Elect John T. Whates | 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 |
Boston Beer Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SAM | CUSIP 100557107 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect David A. Burwick | Mgmt | For | For | For | |||||
1.2 | Elect Pearson C. Cummin, III | Mgmt | For | For | For | |||||
1.3 | Elect Jean-Michel Valette | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 364
Cepheid
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPHD | CUSIP 15670R107 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert J. Easton | Mgmt | For | For | For | |||||
2 | Elect Hollings C. Renton | Mgmt | For | For | For | |||||
3 | Elect Glenn D. Steele, Jr. | Mgmt | For | For | For | |||||
4 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
5 | Amendment to the 2006 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 |
Chart Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GTLS | CUSIP 16115Q308 | 05/22/2014 | 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 Terrence J. Keating | Mgmt | For | For | For | |||||
1.5 | Elect Steven W. Krablin | Mgmt | For | For | For | |||||
1.6 | Elect Michael W. Press | Mgmt | For | For | For | |||||
1.7 | Elect Elizabeth G. Spomer | Mgmt | For | For | For | |||||
1.8 | 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 | |||||
4 | Cash Incentive Plan | Mgmt | For | For | For |
Page 365
Cognex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CGNX | CUSIP 192422103 | 04/29/2014 | 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 Theodor Krantz | Mgmt | For | For | For | |||||
1.3 | Elect J. Bruce Robinson | 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 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David M. Demshur | Mgmt | For | For | For | |||||
2 | Elect Michael C. Kearney | Mgmt | For | For | For | |||||
3 | Elect Jan W. Sodderland | 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 Repurchased Shares | Mgmt | For | For | For | |||||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||||
9 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||||
11 | 2014 Noneemployee Director Stock Incentive Plan | Mgmt | For | For | For | |||||
12 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For |
Page 366
Dril-Quip, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DRQ | CUSIP 262037104 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Blake T. DeBerry | Mgmt | For | For | For | |||||
2 | Elect John V. Lovoi | Mgmt | For | For | For | |||||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
4 | Remove Obsolete Language from the Certificate | Mgmt | For | For | For | |||||
5 | Remove Language Regarding Founders from the Business Combination Provision in the Certificate | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 06/18/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Carolee Friedlander | Mgmt | For | For | For | |||||
2 | Elect Harvey L. Sonnenberg | Mgmt | For | For | For | |||||
3 | Elect Allan J. Tanenbaum | Mgmt | For | For | For | |||||
4 | Amendment to the 2005 Equity Incentive Plan | Mgmt | For | For | For | |||||
5 | Amendment to the 2005 Cash Incentive Compensation Plan | Mgmt | For | For | For | |||||
6 | 2014 Equity Incentive Plan | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 367
DSW Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DSW | CUSIP 23334L102 | 10/14/2013 | 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 | |||||
2 | Split Class A Common Shares into Two Class A Common Shares and Class B Common Shares into One Class A Common Share and One Class B Common Share | Mgmt | For | For | For |
Endologix, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELGX | CUSIP 29266S106 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel Lemaitre | 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 |
Envestnet, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ENV | CUSIP 29404K106 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Ross K. Chapin | Mgmt | For | For | For | |||||
1.2 | Elect Cynthia Egan | Mgmt | For | For | For | |||||
1.3 | Elect Gates Hawn | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Approval of the 2010 Long-Term Incentive Plan | Mgmt | For | For | For |
Page 368
FARO Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FARO | CUSIP 311642102 | 05/29/2014 | 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. Cole | Mgmt | For | For | For | |||||
1.2 | Elect Marvin R. Sambur | Mgmt | For | For | For | |||||
1.3 | Elect Jay W. Freeland | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2014 Incentive Plan | Mgmt | For | For | For | |||||
5 | Approval of the Performance Goals Under the 2014 Incentive Plan | Mgmt | For | For | For |
FEI Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FEIC | CUSIP 30241L109 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Homa Bahrami | Mgmt | For | For | For | |||||
1.2 | Elect Arie Hujiser | Mgmt | For | For | For | |||||
1.3 | Elect Don R. Kania | Mgmt | For | For | For | |||||
1.4 | Elect Thomas F. Kelly | Mgmt | For | For | For | |||||
1.5 | Elect Jan C. Lobbezoo | Mgmt | For | For | For | |||||
1.6 | Elect Jami K. Nachtsheim | Mgmt | For | For | For | |||||
1.7 | Elect Gerhard H. Parker | Mgmt | For | For | For | |||||
1.8 | Elect James T. Richardson | Mgmt | For | For | For | |||||
1.9 | Elect Richard H. Wills | Mgmt | For | For | For | |||||
2 | Amendment to 1995 Stock Incentive Plan | Mgmt | For | For | For | |||||
3 | Amendment to the Employee Share Purchase Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 369
FireEye Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FEYE | CUSIP 31816Q101 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William M. Coughran Jr | Mgmt | For | For | For | |||||
1.2 | Elect Gaurav Garg | Mgmt | For | For | For | |||||
1.3 | Elect Promod Haque | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Frank’s International N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FI | CUSIP N33462107 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald Keith Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.2 | Elect Kirkland D. Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.3 | Elect Steven B. Mosing to the Supervisory Board | Mgmt | For | For | For | |||||
1.4 | Elect Sheldon R. Erikson to the Supervisory Board | Mgmt | For | For | For | |||||
1.5 | Elect Michael C. Kearney to the Supervisory Board | Mgmt | For | For | For | |||||
1.6 | Elect Gary P. Luquette to the Supervisory Board | Mgmt | For | For | For | |||||
2 | Accounts and Reports; Authority to Issue Report in English | Mgmt | For | For | For | |||||
3 | Ratification of Management Board Acts | Mgmt | For | For | For | |||||
4 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||||
5 | Appointment of Auditor | Mgmt | For | For | For | |||||
6 | Appointment of Auditor (Consolidated Accounts) | Mgmt | For | For | For | |||||
7 | Management Remuneration | Mgmt | For | Against | Against | |||||
8 | Supervisory Board Fees | Mgmt | For | For | For | |||||
9 | Dividends | Mgmt | For | For | For | |||||
10 | Amendment Article 4 of the Articles of Association | Mgmt | For | For | For | |||||
11 | Amendment Article 32 of the Articles of Association | Mgmt | For | For | For | |||||
12 | Amendment Article 35 of the Articles of Association | Mgmt | For | For | For | |||||
13 | Amendment Articles 40 and 41 of the Articles of Association | Mgmt | For | For | For | |||||
14 | Amendment Article 44 of the Articles of Association | Mgmt | For | For | For |
Page 370
Frank’s International N.V.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FI | CUSIP N33462107 | 11/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Gary P. Luquette | Mgmt | For | For | For | |||||
1.2 | Elect Michael C. Kearney | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 3 Years | 3 Years | For |
Page 371
Graco Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GGG | CUSIP 384109104 | 04/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Patrick J. McHale | Mgmt | For | For | For | |||||
2 | Elect Lee R. Mitau | Mgmt | For | For | For | |||||
3 | Elect Martha Morfitt | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Gulfport Energy Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPOR | CUSIP 402635304 | 07/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Hain Celestial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAIN | CUSIP 405217100 | 11/19/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Irwin D. Simon | Mgmt | For | For | For | |||||
1.2 | Elect Richard C. Berke | Mgmt | For | For | For | |||||
1.3 | Elect Jack Futterman | Mgmt | For | For | For | |||||
1.4 | Elect Marina Hahn | Mgmt | For | For | For | |||||
1.5 | Elect Andrew R. Heyer | Mgmt | For | For | For | |||||
1.6 | Elect Roger Meltzer | Mgmt | For | For | For | |||||
1.7 | Elect Scott M. O’Neil | Mgmt | For | For | For | |||||
1.8 | Elect Lawrence S. Zilavy | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2002 Long Term Incentive and Stock Award Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 372
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adriane M. Brown | Mgmt | For | For | For | |||||
2 | Elect John W. Diercksen | Mgmt | For | For | For | |||||
3 | Elect Ann McLaughlin Korologos | Mgmt | For | For | For | |||||
4 | Elect Jiren Liu | Mgmt | For | For | For | |||||
5 | Elect Edward H. Meyer | Mgmt | For | For | For | |||||
6 | Elect Dinesh C. Paliwal | Mgmt | For | For | For | |||||
7 | Elect Kenneth M. Reiss | Mgmt | For | For | For | |||||
8 | Elect Hellene S. Runtagh | Mgmt | For | For | For | |||||
9 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
10 | Elect Gary G. Steel | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Amendment to the 2012 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
13 | 2014 Key Executive Officers Bonus Plan | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Health Net, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HNT | CUSIP 42222G108 | 06/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Mary Anne Citrino | Mgmt | For | For | For | |||||
2 | Elect Theodore F. Craver, Jr. | Mgmt | For | For | For | |||||
3 | Elect Vicki B. Escarra | Mgmt | For | For | For | |||||
4 | Elect Gale S. Fitzgerald | Mgmt | For | For | For | |||||
5 | Elect Patrick Foley | Mgmt | For | For | For | |||||
6 | Elect Jay M. Gellert | Mgmt | For | For | For | |||||
7 | Elect Roger F. Greaves | Mgmt | For | For | For | |||||
8 | Elect Douglas M. Mancino | Mgmt | For | For | For | |||||
9 | Elect Bruce G. Willison | Mgmt | For | For | For | |||||
10 | Elect Frederick C. Yeager | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 373
HEICO Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HEI | CUSIP 422806208 | 03/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Adolfo Henriques | Mgmt | For | For | For | |||||
1.2 | Elect Samuel L. Higginbottom | Mgmt | For | For | For | |||||
1.3 | Elect Mark H. Hildebrandt | Mgmt | For | For | For | |||||
1.4 | Elect Wolfgang Mayrhuber | Mgmt | For | For | For | |||||
1.5 | Elect Eric A. Mendelson | Mgmt | For | For | For | |||||
1.6 | Elect Laurans A. Mendelson | Mgmt | For | For | For | |||||
1.7 | Elect Victor H. Mendelson | Mgmt | For | For | For | |||||
1.8 | Elect Alan Schriesheim | Mgmt | For | For | For | |||||
1.9 | Elect Frank J. Schwitter | Mgmt | For | For | For | |||||
2 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
HMS Holdings Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HMSY | CUSIP 40425J101 | 07/10/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reincorporation | Mgmt | For | For | For | |||||
2 | Elect Daniel N. Mendelson | Mgmt | For | For | For | |||||
3 | Elect William F. Miller III | Mgmt | For | For | For | |||||
4 | Elect Ellen A. Rudnick | Mgmt | For | For | For | |||||
5 | Elect Richard H. Stowe | Mgmt | For | For | For | |||||
6 | Elect Cora M. Tellez | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
8 | Ratification of Auditor | Mgmt | For | For | For |
Page 374
Illumina, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ILMN | CUSIP 452327109 | 05/28/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Daniel M. Bradbury | Mgmt | For | For | For | |||||
1.2 | Elect Robert S. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Roy A. Whitfield | Mgmt | For | For | For | |||||
1.4 | Elect Francis deSouza | 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 Exclusive Forum Provision Applicable to Derivative Lawsuits | Mgmt | For | Against | Against |
Intuitive Surgical, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ISRG | CUSIP 46120E602 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Amal M. Johnson | Mgmt | For | For | For | |||||
1.2 | Elect Eric H. Halvorson | Mgmt | For | For | For | |||||
1.3 | Elect Alan J. Levy | Mgmt | For | For | For | |||||
1.4 | Elect Craig H. Barratt | Mgmt | For | For | For | |||||
1.5 | Elect Floyd D. Loop | Mgmt | For | For | For | |||||
1.6 | Elect George Stalk Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 375
IPG Photonics Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IPGP | CUSIP 44980X109 | 06/03/2014 | 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 Henry E. Gauthier | Mgmt | For | For | For | |||||
1.7 | Elect William S. Hurley | Mgmt | For | For | For | |||||
1.8 | Elect Eric Meurice | Mgmt | For | For | For | |||||
1.9 | Elect John R. Peeler | Mgmt | For | For | For | |||||
1.10 | Elect Thomas J. Seifert | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Ironwood Pharmaceuticals, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IRWD | CUSIP 46333X108 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bryan E. Roberts | Mgmt | For | For | For | |||||
1.2 | Elect Julie H McHugh | Mgmt | For | For | For | |||||
1.3 | Elect Peter M. Hecht | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Kansas City Southern
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KSU | CUSIP 485170302 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Henry R. Davis | Mgmt | For | For | For | |||||
1.2 | Elect Robert J. Druten | Mgmt | For | For | For | |||||
1.3 | Elect Rodney E. Slater | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Repeal of Classified Board | Mgmt | For | For | For | |||||
5 | Right to Call a Special Meeting | Mgmt | For | For | For |
Page 376
Karyopharm Therapeutics Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KPTI | CUSIP 48576U106 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Barry Greene | Mgmt | For | For | For | |||||
1.2 | Elect Mansoor Raza Mirza | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For |
Kate Spade & Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KATE | CUSIP 485865109 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Bernard W. Aronson | Mgmt | For | For | For | |||||
2 | Elect Lawrence S. Benjamin | Mgmt | For | For | For | |||||
3 | Elect Raul J. Fernandez | Mgmt | For | For | For | |||||
4 | Elect Kenneth B. Gilman | Mgmt | For | For | For | |||||
5 | Elect Nancy J. Karch | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Kopelman | Mgmt | For | For | For | |||||
7 | Elect Kay Koplovitz | Mgmt | For | For | For | |||||
8 | Elect Craig A. Leavitt | Mgmt | For | For | For | |||||
9 | Elect Deborah J. Lloyd | Mgmt | For | For | For | |||||
10 | Elect Doreen A. Toben | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Transaction of Other Business | Mgmt | For | For | For |
Page 377
MarketAxess Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MKTX | CUSIP 57060D108 | 06/05/2014 | 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 Jane Chwick | Mgmt | For | For | For | |||||
5 | Elect William F. Cruger | Mgmt | For | For | For | |||||
6 | Elect David G. Gomach | Mgmt | For | For | For | |||||
7 | Elect Carlos M. Hernandez | Mgmt | For | For | For | |||||
8 | Elect Ronald M. Hersch | Mgmt | For | For | For | |||||
9 | Elect John Steinhardt | Mgmt | For | For | For | |||||
10 | Elect James J. Sullivan | Mgmt | For | For | For | |||||
11 | Elect Lesley Daniels Webster | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Mellanox Technologies, Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MLNX | CUSIP M51363113 | 01/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Compensation Policy | Mgmt | For | Against | Against |
MicroStrategy Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSTR | CUSIP 594972408 | 04/23/2014 | 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 Robert H. Epstein | Mgmt | For | For | For | |||||
1.3 | Elect Stephen X. Graham | Mgmt | For | For | For | |||||
1.4 | Elect Jarrod M. Patten | Mgmt | For | For | For | |||||
1.5 | Elect Carl J. Rickertsen | Mgmt | For | For | For | |||||
2 | Approval of the 2013 Stock 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 378
MSC Industrial Direct Co., Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSM | CUSIP 553530106 | 01/16/2014 | 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 Erik Gershwind | Mgmt | For | For | For | |||||
1.4 | Elect Jonathan Byrnes | Mgmt | For | For | For | |||||
1.5 | Elect Roger Fradin | 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 |
NetSuite Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
N | CUSIP 64118Q107 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Zachary Nelson | Mgmt | For | For | For | |||||
2 | Elect Kevin B. Thompson | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Novadaq Technologies Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NDQ | CUSIP 66987G102 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Arun Menawat | Mgmt | For | For | For | |||||
1.2 | Elect Aaron Davidson | Mgmt | For | For | For | |||||
1.3 | Elect Anthony F. Griffiths | Mgmt | For | For | For | |||||
1.4 | Elect Harold O. Koch Jr. | Mgmt | For | For | For | |||||
1.5 | Elect William A. MacKinnon | Mgmt | For | For | For | |||||
1.6 | Elect Thomas Wellner | Mgmt | For | For | For | |||||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||||
3 | Stock Option Plan Renewal | Mgmt | For | Against | Against |
Page 379
NVIDIA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NVDA | CUSIP 67066G104 | 05/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert K. Burgess | Mgmt | For | For | For | |||||
2 | Elect Tench Coxe | Mgmt | For | For | For | |||||
3 | Elect James C. Gaither | Mgmt | For | For | For | |||||
4 | Elect Jen-Hsun Huang | Mgmt | For | For | For | |||||
5 | Elect Dawn Hudson | Mgmt | For | For | For | |||||
6 | Elect Harvey C. Jones | Mgmt | For | For | For | |||||
7 | Elect William J. Miller | Mgmt | For | For | For | |||||
8 | Elect Mark L. Perry | Mgmt | For | For | For | |||||
9 | Elect A. Brooke Seawell | Mgmt | For | For | For | |||||
10 | Elect Mark A. Stevens | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Amendment to the 2007 Equity Incentive Plan | Mgmt | For | For | For | |||||
14 | Amendment to the 2012 Employee Stock Purchase Plan | Mgmt | For | For | For |
Oceaneering International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
OII | CUSIP 675232102 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect T. Jay Collins | Mgmt | For | For | For | |||||
1.2 | Elect D. Michael Hughes | 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 380
Palo Alto Networks, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PANW | CUSIP 697435105 | 12/11/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Asheem Chandna | Mgmt | For | For | For | |||||
2 | Elect James J. Goetz | Mgmt | For | For | For | |||||
3 | Elect Mark D. McLaughlin | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Polaris Industries Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PII | CUSIP 731068102 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Kevin M. Farr | Mgmt | For | For | For | |||||
1.2 | Elect Gary E. Hendrickson | Mgmt | For | For | For | |||||
1.3 | Elect Mark Schreck | Mgmt | For | For | For | |||||
1.4 | Elect William G. Van Dyke | Mgmt | For | For | For | |||||
2 | Amendment to the Senior Executive Annual Incentive Compensation Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
PriceSmart, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PSMT | CUSIP 741511109 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Sherry S. Bahrambeygui | Mgmt | For | For | For | |||||
1.2 | Elect Gonzalo Barrutieta | Mgmt | For | For | For | |||||
1.3 | Elect Katherine L. Hensley | Mgmt | For | For | For | |||||
1.4 | Elect Leon C. Janks | Mgmt | For | For | For | |||||
1.5 | Elect Jose Luis Laparte | Mgmt | For | For | For | |||||
1.6 | Elect Mitchell G. Lynn | Mgmt | For | For | For | |||||
1.7 | Elect Robert E. Price | Mgmt | For | For | For | |||||
1.8 | Elect Edgar A. Zurcher | Mgmt | For | For | For |
Page 381
Proto Labs Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PRLB | CUSIP 743713109 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Lawrence J. Lukis | Mgmt | For | For | For | |||||
1.2 | Elect Victoria M. Holt | Mgmt | For | For | For | |||||
1.3 | Elect Bradley A. Cleveland | Mgmt | For | For | For | |||||
1.4 | Elect Rainer Gawlick | Mgmt | For | For | For | |||||
1.5 | Elect John B. Goodman | Mgmt | For | For | For | |||||
1.6 | Elect Douglas W. Kohrs | Mgmt | For | For | For | |||||
1.7 | Elect Brian K. Smith | Mgmt | For | For | For | |||||
1.8 | Elect Sven A. Wehrwein | 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 |
Rocket Fuel Inc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FUEL | CUSIP 773111109 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect John Gardner | Mgmt | For | For | For | |||||
2 | Elect Monte Zweben | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Splunk Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPLK | CUSIP 848637104 | 06/10/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect John G. Connors | Mgmt | For | For | For | |||||
1.2 | Elect Patricia B. Morrison | Mgmt | For | For | For | |||||
1.3 | Elect Nicholas G. Sturiale | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 382
Starwood Hotels & Resorts Worldwide, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOT | CUSIP 85590A401 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Frits van Paasschen | Mgmt | For | For | For | |||||
2 | Elect Bruce W. Duncan | Mgmt | For | For | For | |||||
3 | Elect Adam M. Aron | Mgmt | For | For | For | |||||
4 | Elect Charlene Barshefsky | Mgmt | For | For | For | |||||
5 | Elect Thomas E. Clarke | Mgmt | For | For | For | |||||
6 | Elect Clayton C. Daley, Jr. | Mgmt | For | For | For | |||||
7 | Elect Lizanne Galbreath | Mgmt | For | For | For | |||||
8 | Elect Eric Hippeau | Mgmt | For | For | For | |||||
9 | Elect Aylwin B. Lewis | Mgmt | For | For | For | |||||
10 | Elect Stephen R. Quazzo | Mgmt | For | For | For | |||||
11 | Elect Thomas O. Ryder | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Stifel Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SF | CUSIP 860630102 | 06/11/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Bruce A. Beda | Mgmt | For | For | For | |||||
1.2 | Elect Frederick O. Hanser | Mgmt | For | For | For | |||||
1.3 | Elect Ronald J. Kruszewski | Mgmt | For | For | For | |||||
1.4 | Elect Thomas P. Mulroy | Mgmt | For | For | For | |||||
1.5 | Elect Thomas W. Weisel | Mgmt | For | For | For | |||||
1.6 | Elect Kelvin R. Westbrook | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 383
SVB Financial Group
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIVB | CUSIP 78486Q101 | 04/24/2014 | 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 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Transaction of Other Business | Mgmt | For | For | For |
The Middleby Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MIDD | CUSIP 596278101 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Selim A. Bassoul | Mgmt | For | For | For | |||||
2 | Elect Sarah Palisi Chapin | Mgmt | For | For | For | |||||
3 | Elect Robert B. Lamb | Mgmt | For | For | For | |||||
4 | Elect John R. Miller III | Mgmt | For | For | For | |||||
5 | Elect Gordon O’Brien | Mgmt | For | For | For | |||||
6 | Elect Philip G. Putnam | Mgmt | For | For | For | |||||
7 | Elect Sabin C. Streeter | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For |
Page 384
Tyler Technologies, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TYL | CUSIP 902252105 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Donald R. Brattain | Mgmt | For | For | For | |||||
1.2 | Elect Glen A. Carter | Mgmt | For | For | For | |||||
1.3 | Elect Brenda A. Cline | Mgmt | For | For | For | |||||
1.4 | Elect J. Luther King, Jr. | Mgmt | For | For | For | |||||
1.5 | Elect John S. Marr, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Dustin R. Womble | Mgmt | For | For | For | |||||
1.7 | Elect John M. Yeaman | 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 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect LeRoy A. Vander Putten | Mgmt | For | For | For | |||||
2 | Elect Robert A. Yanover | 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 | 05/13/2014 | 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 Harvey L. Sanders | Mgmt | For | For | For | |||||
1.9 | Elect Thomas J. Sippel | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 385
United Natural Foods, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UNFI | CUSIP 911163103 | 12/18/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Gail A. Graham | Mgmt | For | For | For | |||||
2 | Elect Ann Torre Bates | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Amendment to Certificate of Incorporation to Repeal Classified Board | Mgmt | For | For | For | |||||
6 | Amendment to Bylaws to Repeal Classified Board | Mgmt | For | For | For | |||||
7 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For |
WABCO Holdings Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WBC | CUSIP 92927K102 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect G. Peter D’Aloia | Mgmt | For | For | For | |||||
1.2 | Elect Juergen W. Gromer | Mgmt | For | For | For | |||||
1.3 | Elect Mary L. Petrovich | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 386
Westinghouse Air Brake Technologies Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WAB | CUSIP 929740108 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Emilio A. Fernandez | Mgmt | For | For | For | |||||
1.2 | Elect Lee B. Foster II | Mgmt | For | For | For | |||||
1.3 | Elect Gary C. Valade | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Wisdomtree Investments, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WETF | CUSIP 97717P104 | 06/27/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect R. Jarrett Lilien | Mgmt | For | For | For | |||||
2 | Elect Frank Salerno | Mgmt | For | For | For | |||||
3 | Elect Jonathan Steinberg | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Approval of the 2014 Annual Incentive Compensation Plan | Mgmt | For | For | For |
Woodward, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WWD | CUSIP 980745103 | 01/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Mary L. Petrovich | Mgmt | For | For | For | |||||
1.2 | Elect Larry E. Rittenberg | Mgmt | For | For | For | |||||
1.3 | Elect Paul Donovan | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 387
Workday Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDAY | CUSIP 98138H101 | 06/03/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Christa Davies | Mgmt | For | For | For | |||||
1.2 | Elect George J. Still Jr. | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | 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 26200V | 12/06/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Isabel P. Dunst | Mgmt | For | For | For | |||||
1.2 | Elect Robin A. Melvin | Mgmt | For | For | For | |||||
1.3 | Elect Roslyn M. Watson | Mgmt | For | For | For |
Page 388
Item 1: | Proxy Voting Record - |
Registrant | : |
Fund Name : TCW Value Opportunities Fund
Activision Blizzard, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATVI | CUSIP 00507V109 | 06/05/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert J. Corti | Mgmt | For | For | For | |||||
2 | Elect Brian G. Kelly | Mgmt | For | For | For | |||||
3 | Elect Robert A. Kotick | Mgmt | For | For | For | |||||
4 | Elect Barry Meyer | Mgmt | For | For | For | |||||
5 | Elect Robert J. Morgado | Mgmt | For | For | For | |||||
6 | Elect Peter Nolan | Mgmt | For | For | For | |||||
7 | Elect Richard Sarnoff | Mgmt | For | For | For | |||||
8 | Elect Elaine P. Wynn | Mgmt | For | For | For | |||||
9 | 2014 Incentive Plan | Mgmt | For | For | For | |||||
10 | Amendment of Provisions Related to Company’s Relationship with Vivendi, S.A. | Mgmt | For | For | For | |||||
11 | Reduction of Supermajority Vote Requirements for Amending Certain Articles | Mgmt | For | For | For | |||||
12 | Amendment of Provisions Related to the Abilities of the Board and Shareholders to Amend Bylaws | Mgmt | For | Against | Against | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
AES Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AES | CUSIP 00130H105 | 04/17/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Andres R. Gluski | Mgmt | For | For | For | |||||
2 | Elect Guo Bao Zhang | Mgmt | For | For | For | |||||
3 | Elect Charles Harrington | Mgmt | For | For | For | |||||
4 | Elect Kristina M. Johnson | Mgmt | For | For | For | |||||
5 | Elect Tarun Khanna | Mgmt | For | For | For | |||||
6 | Elect Philip Lader | Mgmt | For | For | For | |||||
7 | Elect James H. Miller | Mgmt | For | For | For | |||||
8 | Elect Sandra O. Moose | Mgmt | For | For | For | |||||
9 | Elect John B. Morse, Jr. | Mgmt | For | For | For | |||||
10 | Elect Moises Naim | Mgmt | For | For | For | |||||
11 | Elect Charles O. Rossotti | Mgmt | For | For | For | |||||
12 | Elect Sven Sandstrom | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 389
Alere Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALR | CUSIP 01449J105 | 08/07/2013 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Proxy Contest | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Hakan Bjorklund | Mgmt | For | TNA | N/A | |||||
1.2 | Elect Stephen P. MacMillan | Mgmt | For | TNA | N/A | |||||
1.3 | Elect Brian A. Markison | Mgmt | For | TNA | N/A | |||||
1.4 | Elect Sir Tom McKillop | Mgmt | For | TNA | N/A | |||||
2 | Amendment to the 2010 Stock Option and Incentive Plan | Mgmt | For | TNA | N/A | |||||
3 | Approval of Stock Option Grant | Mgmt | For | TNA | N/A | |||||
4 | Amendment to the 2001 Employee Stock Purchase Plan | Mgmt | For | TNA | N/A | |||||
5 | Ratification of Auditor | Mgmt | For | TNA | N/A | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | For | TNA | N/A |
Alere Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ALR | CUSIP 01449J105 | 08/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Proxy Contest | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Dissident Nominee Curt R. Hartman | Mgmt | N/A | For | N/A | |||||
1.2 | Elect Dissident Nominee Theodore E. Martin | Mgmt | N/A | For | N/A | |||||
1.3 | Elect Dissident Nominee Jerome J. Lande | Mgmt | N/A | For | N/A | |||||
1.4 | Elect Management Nominee Hakan Bjorklund | Mgmt | N/A | For | N/A | |||||
2 | Amendment to the 2010 Stock Option and Incentive Plan | Mgmt | N/A | For | N/A | |||||
3 | Approval of Stock Option Grant | Mgmt | N/A | For | N/A | |||||
4 | Amendment to the 2001 Employee Stock Purchase Plan | Mgmt | N/A | For | N/A | |||||
5 | Ratification of Auditor | Mgmt | N/A | For | N/A | |||||
6 | Advisory Vote on Executive Compensation | Mgmt | N/A | For | N/A |
Page 390
Allegheny Technologies Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATI | CUSIP 01741R102 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect James C. Diggs | Mgmt | For | For | For | |||||
1.2 | Elect J. Brett Harvey | Mgmt | For | For | For | |||||
1.3 | Elect Louis J. Thomas | 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 |
American Airlines Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AAL | CUSIP 02376R102 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect James F. Albaugh | Mgmt | For | For | For | |||||
2 | Elect Jeffrey D. Benjamin | Mgmt | For | For | For | |||||
3 | Elect John T. Cahill | Mgmt | For | For | For | |||||
4 | Elect Michael J. Embler | Mgmt | For | For | For | |||||
5 | Elect Matthew J. Hart | Mgmt | For | For | For | |||||
6 | Elect Alberto Ibarguen | Mgmt | For | For | For | |||||
7 | Elect Richard C. Kraemer | Mgmt | For | For | For | |||||
8 | Elect Denise M. O’Leary | Mgmt | For | For | For | |||||
9 | Elect W. Douglas Parker | Mgmt | For | For | For | |||||
10 | Elect Ray M. Robinson | Mgmt | For | For | For | |||||
11 | Elect Richard P. Schifter | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 391
Ann Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANN | CUSIP 035623107 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Dale W. Hilpert | Mgmt | For | For | For | |||||
2 | Elect Ronald W. Hovsepian | Mgmt | For | For | For | |||||
3 | Elect Linda A. Huett | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 392
Arch Capital Group Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACGL | CUSIP G0450A105 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kewsong Lee | Mgmt | For | For | For | |||||
2 | Elect Brian S. Posner | Mgmt | For | For | For | |||||
3 | Elect John D. Vollaro | 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 Paul Cole | Mgmt | For | For | For | |||||
8 | Elect Michael Constantinides | Mgmt | For | For | For | |||||
9 | Elect Graham B.R. Collis | Mgmt | For | For | For | |||||
10 | Elect William J. Cooney | Mgmt | For | For | For | |||||
11 | Elect Nick Denniston | Mgmt | For | For | For | |||||
12 | Elect Michael Feetham | Mgmt | For | For | For | |||||
13 | Elect Stephen Fogarty | Mgmt | For | For | For | |||||
14 | Elect Elizabeth Fullerton-Rome | Mgmt | For | For | For | |||||
15 | Elect Marc Grandisson | Mgmt | For | For | For | |||||
16 | Elect Michael A. Greene | Mgmt | For | For | For | |||||
17 | Elect Jerome Halgan | Mgmt | For | For | For | |||||
18 | Elect Pet Hartman | 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 Pierre Jal | Mgmt | For | For | For | |||||
23 | Elect Wolbert H. Kamphuijs | Mgmt | For | For | For | |||||
24 | Elect Michael H. Kier | Mgmt | For | For | For | |||||
25 | Elect Lin Li-Williams | Mgmt | For | For | For | |||||
26 | Elect Mark D. Lyons | Mgmt | For | For | For | |||||
27 | Elect Adam Matteson | Mgmt | For | For | For | |||||
28 | Elect Robert McDowell | Mgmt | For | For | For | |||||
29 | Elect David H. McElroy | Mgmt | For | For | For | |||||
30 | Elect Rommel Mercado | Mgmt | For | For | For | |||||
31 | Elect David J. Mullholland | Mgmt | For | For | For | |||||
32 | Elect Michael R. Murphy | Mgmt | For | For | For | |||||
33 | Elect Martin J. Nilsen | Mgmt | For | For | For | |||||
34 | Elect Mark Nolan | Mgmt | For | For | For | |||||
35 | Elect Marita Oliver | Mgmt | For | For | For | |||||
36 | Elect Nicolas Papadopoulo | Mgmt | For | For | For | |||||
37 | Elect Elisabeth Quinn | Mgmt | For | For | For | |||||
38 | Elect Maamoun Rajeh | Mgmt | For | For | For | |||||
39 | Elect Andrew Rippert | Mgmt | For | For | For | |||||
40 | Elect Carla Santamaria-Sena | Mgmt | For | For | For | |||||
41 | 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 William A. Soares | Mgmt | For | For | For | |||||
46 | Elect Helmut Sohler | Mgmt | For | For | For | |||||
47 | Elect Ryan Taylor | Mgmt | For | For | For | |||||
48 | Elect Ross Totten | Mgmt | For | For | For | |||||
49 | Elect Iwan van Munster | Mgmt | For | For | For | |||||
50 | Elect Angus Watson | Mgmt | For | For | For | |||||
51 | Elect James R. Weatherstone | Mgmt | For | For | For | |||||
52 | Elect Gerald Wolfe | Mgmt | For | For | For | |||||
53 | Ratification of Auditor | Mgmt | For | For | For | |||||
54 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 393
Asbury Automotive Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABG | CUSIP 043436104 | 04/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Juanita T. James | Mgmt | For | For | For | |||||
1.2 | Elect Craig T. Monaghan | Mgmt | For | For | For | |||||
2 | Adoption of Exclusive Forum Provision | Mgmt | For | Against | Against | |||||
3 | Approve Key Executive Incentive Compensation Plan | Mgmt | For | For | For | |||||
4 | Advisory Approval on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Assured Guaranty Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AGO | CUSIP G0585R106 | 05/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Francisco L. Borges | Mgmt | For | For | For | |||||
1.2 | Elect G. Lawrence Buhl | Mgmt | For | For | For | |||||
1.3 | Elect Stephen A. Cozen | Mgmt | For | For | For | |||||
1.4 | Elect Dominic J. Frederico | Mgmt | For | For | For | |||||
1.5 | Elect Bonnie L. Howard | Mgmt | For | For | For | |||||
1.6 | Elect Patrick W. Kenny | Mgmt | For | For | For | |||||
1.7 | Elect Simon W. Leathes | Mgmt | For | For | For | |||||
1.8 | Elect Robin Monro-Davies | Mgmt | For | For | For | |||||
1.9 | Elect Michael T. O’Kane | Mgmt | For | For | For | |||||
1.10 | Elect Yukiko Omura | Mgmt | For | For | For | |||||
1.11 | Elect Wilbur L. Ross, Jr. | Mgmt | For | For | For | |||||
1.12 | Elect Howard W. Albert | Mgmt | For | For | For | |||||
1.13 | Elect Robert A. Bailenson | Mgmt | For | For | For | |||||
1.14 | Elect Russell B. Brewer, II | Mgmt | For | For | For | |||||
1.15 | Elect Gary Burnet | Mgmt | For | For | For | |||||
1.16 | Elect Stephen Donnarumma | Mgmt | For | For | For | |||||
1.17 | Elect Dominic J. Frederico | Mgmt | For | For | For | |||||
1.18 | Elect James M. Michener | Mgmt | For | For | For | |||||
1.19 | Elect Robert B. Mills | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2004 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Ratification of Auditor for Company Subsidiary | Mgmt | For | For | For |
Page 394
Atwood Oceanics, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATW | CUSIP 050095108 | 02/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Deborah A. Beck | Mgmt | For | For | For | |||||
1.2 | Elect George S. Dotson | Mgmt | For | For | For | |||||
1.3 | Elect Jack E. Golden | Mgmt | For | For | For | |||||
1.4 | Elect Hans Helmerich | Mgmt | For | For | For | |||||
1.5 | Elect Jeffrey A. Miller | Mgmt | For | For | For | |||||
1.6 | Elect James R. Montague | Mgmt | For | For | For | |||||
1.7 | Elect Robert J. Saltiel | Mgmt | For | For | For | |||||
1.8 | Elect Phil D. Wedemeyer | 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 |
Avista Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVA | CUSIP 05379B107 | 05/08/2014 | 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 John F. Kelly | Mgmt | For | For | For | |||||
5 | Elect Rebecca A. Klein | Mgmt | For | For | For | |||||
6 | Elect Scott L. Morris | Mgmt | For | For | For | |||||
7 | Elect Marc F. Racicot | Mgmt | For | For | For | |||||
8 | Elect Heidi B. Stanley | Mgmt | For | For | For | |||||
9 | Elect R. John Taylor | Mgmt | For | For | For | |||||
10 | Ratification of Auditor | Mgmt | For | For | For | |||||
11 | Reapproval of Material Terms of the Long-Term Incentive Plan | Mgmt | For | For | For | |||||
12 | Reduce Shareholder Vote Requirements to Amend Articles | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against |
Page 395
Avon Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AVP | CUSIP 054303102 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Douglas R. Conant | Mgmt | For | For | For | |||||
1.2 | Elect W. Don Cornwell | Mgmt | For | For | For | |||||
1.3 | Elect V. Ann Hailey | Mgmt | For | For | For | |||||
1.4 | Elect Nancy Killefer | Mgmt | For | For | For | |||||
1.5 | Elect Maria Elena Lagomasino | Mgmt | For | For | For | |||||
1.6 | Elect Sara Mathew | Mgmt | For | For | For | |||||
1.7 | Elect Sheri McCoy | Mgmt | For | For | For | |||||
1.8 | Elect Charles H. Noski | Mgmt | For | For | For | |||||
1.9 | Elect Gary M. Rodkin | Mgmt | For | For | For | |||||
1.10 | Elect Paula Stern | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||||
3 | Ratification of Auditor | Mgmt | For | For | For | |||||
4 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | Against | For | |||||
5 | Shareholder Proposal Regarding Product Safety | ShrHoldr | Against | Against | For |
Page 396
Axiall Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AXLL | CUSIP 05463D100 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Paul D. Carrico | Mgmt | For | For | For | |||||
2 | Elect T. Kevin DeNicola | Mgmt | For | For | For | |||||
3 | Elect Patrick J. Fleming | Mgmt | For | For | For | |||||
4 | Elect Robert M. Gervis | Mgmt | For | For | For | |||||
5 | Elect Victoria F. Haynes | Mgmt | For | For | For | |||||
6 | Elect Michael H. McGarry | Mgmt | For | For | For | |||||
7 | Elect William L. Mansfield | Mgmt | For | For | For | |||||
8 | Elect Mark L. Noetzel | Mgmt | For | For | For | |||||
9 | Elect Robert Ripp | Mgmt | For | For | For | |||||
10 | Elect David N. Weinstein | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
Beazer Homes USA, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BZH | CUSIP 07556Q881 | 02/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Elizabeth S. Acton | Mgmt | For | For | For | |||||
2 | Elect Laurent Alpert | Mgmt | For | For | For | |||||
3 | Elect Brian C. Beazer | Mgmt | For | For | For | |||||
4 | Elect Peter G. Leemputte | Mgmt | For | For | For | |||||
5 | Elect Allan P. Merrill | Mgmt | For | For | For | |||||
6 | Elect Norma A. Provencio | Mgmt | For | For | For | |||||
7 | Elect Larry T. Solari | Mgmt | For | For | For | |||||
8 | Elect Stephen P. 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 | Approval of 2014 Long-Term Incentive Plan | Mgmt | For | For | For |
Page 397
Broadcom Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRCM | CUSIP 111320107 | 05/13/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Brocade Communications Systems, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BRCD | CUSIP 111621306 | 04/08/2014 | 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 L. William Krause | Mgmt | For | For | For | |||||
8 | Elect David E. Roberson | Mgmt | For | For | For | |||||
9 | Elect Sanjay Vaswani | 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 Right to Call a Special Meeting | ShrHoldr | Against | Against | For |
Page 398
Campbell Soup Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPB | CUSIP 134429109 | 11/20/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Edmund M. Carpenter | Mgmt | For | For | For | |||||
1.2 | Elect Paul R. Charron | Mgmt | For | For | For | |||||
1.3 | Elect Bennett Dorrance | Mgmt | For | For | For | |||||
1.4 | Elect Lawrence C. Karlson | Mgmt | For | For | For | |||||
1.5 | Elect Randall W. Larrimore | Mgmt | For | For | For | |||||
1.6 | Elect Mary Alice D. Malone | Mgmt | For | For | For | |||||
1.7 | Elect Sara Mathew | Mgmt | For | For | For | |||||
1.8 | Elect Denise M. Morrison | Mgmt | For | For | For | |||||
1.9 | Elect Charles R. 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 D. van Beuren | Mgmt | For | For | For | |||||
1.14 | Elect Les C. Vinney | Mgmt | For | For | For | |||||
1.15 | Elect Charlotte C. Weber | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Celanese Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CE | CUSIP 150870103 | 04/24/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Jean S. Blackwell | Mgmt | For | For | For | |||||
2 | Elect Martin G. McGuinn | Mgmt | For | For | For | |||||
3 | Elect Daniel S. Sanders | Mgmt | For | For | For | |||||
4 | Elect John K. Wulff | 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 | 06/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Joseph Alutto | Mgmt | For | For | For | |||||
2 | Elect Joseph Gromek | Mgmt | For | For | For | |||||
3 | Elect Susan Sobbot | 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 | Provide Shareholders with Ability to Remove Directors With or Without Cause | Mgmt | For | For | For | |||||
8 | Company Name Change | Mgmt | For | For | For |
Page 399
CIGNA Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CI | CUSIP 125509109 | 04/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Eric J. Foss | Mgmt | For | For | For | |||||
2 | Elect Roman Martinez IV | Mgmt | For | For | For | |||||
3 | Elect William D. Zollars | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Comerica Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMA | CUSIP 200340107 | 04/22/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 400
Commercial Metals Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CMC | CUSIP 201723103 | 01/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert Guido | Mgmt | For | For | For | |||||
1.2 | Elect Sarah E. Raiss | Mgmt | For | For | For | |||||
1.3 | Elect J. David Smith | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Computer Sciences Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSC | CUSIP 205363104 | 08/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect David J. Barram | Mgmt | For | For | For | |||||
2 | Elect Erik Brynjolfsson | Mgmt | For | For | For | |||||
3 | Elect Rodney F. Chase | Mgmt | For | For | For | |||||
4 | Elect Judith R. Haberkorn | Mgmt | For | For | For | |||||
5 | Elect Nancy Killefer | Mgmt | For | For | For | |||||
6 | Elect J. Michael Lawrie | Mgmt | For | For | For | |||||
7 | Elect Brian P. MacDonald | Mgmt | For | For | For | |||||
8 | Elect Chong Sup Park | Mgmt | For | For | For | |||||
9 | Elect Lawrence A. Zimmerman | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Amendment to the 2010 Non-Employee Director Incentive Plan | Mgmt | For | For | For | |||||
12 | Amendment to the 2011 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Cytec Industries Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CYT | CUSIP 232820100 | 04/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Anthony G. Fernandes | Mgmt | For | For | For | |||||
2 | Elect Shane D. Fleming | Mgmt | For | For | For | |||||
3 | Elect Raymond P. Sharpe | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 401
Dana Holding Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DAN | CUSIP 235825205 | 05/02/2014 | 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 R.Bruce McDonald | Mgmt | For | For | For | |||||
1.4 | Elect Joseph C. Muscari | Mgmt | For | For | For | |||||
1.5 | Elect Mark A. Schulz | 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 |
Denbury Resources Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DNR | CUSIP 247916208 | 05/20/2014 | 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 John P. Dielwart | Mgmt | For | For | For | |||||
1.5 | Elect Ronald G. Greene | Mgmt | For | For | For | |||||
1.6 | Elect Gregory L. McMichael | Mgmt | For | For | For | |||||
1.7 | Elect Kevin O. Meyers | Mgmt | �� | For | For | For | ||||
1.8 | Elect Phil Rykhoek | Mgmt | For | For | For | |||||
1.9 | Elect Randy Stein | Mgmt | For | For | For | |||||
1.10 | Elect Laura A. Sugg | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Page 402
DiamondRock Hospitality Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DRH | CUSIP 252784301 | 05/06/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect William W. McCarten | Mgmt | For | For | For | |||||
1.2 | Elect Daniel J. Altobello | Mgmt | For | For | For | |||||
1.3 | Elect W. Robert Grafton | Mgmt | For | For | For | |||||
1.4 | Elect Maureen L. McAvey | Mgmt | For | For | For | |||||
1.5 | Elect Gilbert T. Ray | Mgmt | For | For | For | |||||
1.6 | Elect Bruce D. Wardinski | Mgmt | For | For | For | |||||
1.7 | Elect Mark W. Brugger | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Dover Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DOV | CUSIP 260003108 | 05/01/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Robert W. Cremin | Mgmt | For | For | For | |||||
2 | Elect Jean-Pierre M. Ergas | Mgmt | For | For | For | |||||
3 | Elect Peter T. Francis | Mgmt | For | For | For | |||||
4 | Elect Kristiane C. Graham | Mgmt | For | For | For | |||||
5 | Elect Michael F. Johnston | Mgmt | For | For | For | |||||
6 | Elect Robert A. Livingston | Mgmt | For | For | For | |||||
7 | Elect Richard K. Lochridge | Mgmt | For | For | For | |||||
8 | Elect Bernard G. Rethore | Mgmt | For | For | For | |||||
9 | Elect Michael B. Stubbs | Mgmt | For | For | For | |||||
10 | Elect Stephen M. Todd | Mgmt | For | For | For | |||||
11 | Elect Stephen K. Wagner | Mgmt | For | For | For | |||||
12 | Elect Mary A. Winston | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Amendment to the Annual Incentive Plan | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | Eliminate Article 14 Supermajority Requirement | Mgmt | For | For | For | |||||
17 | Eliminate Article 15 Supermajority Requirement | Mgmt | For | For | For | |||||
18 | Eliminate Article 16 Supermajority Requirement | Mgmt | For | For | For | |||||
19 | Amendments to Bylaws Regarding Right to Call Special Meetings | Mgmt | For | For | For |
Page 403
Ensco plc
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ESV | CUSIP G3157S106 | 05/19/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect J. Roderick Clark | Mgmt | For | For | For | |||||
2 | Elect Roxanne J. Decyk | Mgmt | For | For | For | |||||
3 | Elect Mary Francis | Mgmt | For | For | For | |||||
4 | Elect C. Christopher Gaut | Mgmt | For | For | For | |||||
5 | Elect Gerald W. Haddock | Mgmt | For | For | For | |||||
6 | Elect Francis S Kalman | Mgmt | For | For | For | |||||
7 | Elect Daniel W. Rabun | Mgmt | For | For | For | |||||
8 | Elect Keith O. Rattie | Mgmt | For | For | For | |||||
9 | Elect Paul E. Rowsey III | Mgmt | For | For | For | |||||
10 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Ratification of Statutory Auditor | Mgmt | For | For | For | |||||
13 | Authority to Set Auditor’s Fees | Mgmt | For | For | For | |||||
14 | Remuneration Policy (Binding) | Mgmt | For | For | For | |||||
15 | Remuneration Report (Advisory) | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Accounts and Reports | Mgmt | For | For | For | |||||
18 | Approval of Capital Reorganisation | Mgmt | For | For | For | |||||
19 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For |
Page 404
EverBank Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EVER | CUSIP 29977G102 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect W. Blake Wilson | Mgmt | For | For | For | |||||
1.2 | Elect Mitchell M. Leidner | Mgmt | For | For | For | |||||
1.3 | Elect William Sanford | Mgmt | For | For | For | |||||
1.4 | Elect Richard P. Schifter | 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 |
First Niagara Financial Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FNFG | CUSIP 33582V108 | 04/30/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Thomas E. Baker | Mgmt | For | For | For | |||||
1.2 | Elect James R. Boldt | Mgmt | For | For | For | |||||
1.3 | Elect G. Thomas Bowers | Mgmt | For | For | For | |||||
1.4 | Elect Roxanne J. Coady | Mgmt | For | For | For | |||||
1.5 | Elect Gary M. Crosby | Mgmt | For | For | For | |||||
1.6 | Elect Carl A. Florio | Mgmt | For | For | For | |||||
1.7 | Elect Carlton L. Highsmith | Mgmt | For | For | For | |||||
1.8 | Elect George M. Philip | Mgmt | For | For | For | |||||
1.9 | Elect Peter B. Robinson | Mgmt | For | For | For | |||||
1.10 | Elect Nathaniel D. Woodson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2012 Equity Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Page 405
Freescale Semiconductor Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FSL | CUSIP G3727Q101 | 05/08/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Krishnan Balasubramanian | Mgmt | For | For | For | |||||
1.2 | Elect Chinh E. Chu | 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 Joanne M. Maguire | Mgmt | For | For | For | |||||
1.7 | Elect John W. Marren | 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 | |||||
4 | Amendment to 2011 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
5 | Amendment to the Employee Share Purchase Plan | Mgmt | For | For | For |
Page 406
Gap Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPS | CUSIP 364760108 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Domenico De Sole | Mgmt | For | For | For | |||||
2 | Elect Robert J. Fisher | Mgmt | For | For | For | |||||
3 | Elect William S. Fisher | Mgmt | For | For | For | |||||
4 | Elect Isabella D. Goren | Mgmt | For | For | For | |||||
5 | Elect Bob L. Martin | Mgmt | For | For | For | |||||
6 | Elect Jorge P. Montoya | Mgmt | For | For | For | |||||
7 | Elect Glenn K. Murphy | Mgmt | For | For | For | |||||
8 | Elect Mayo A. Shattuck III | Mgmt | For | For | For | |||||
9 | Elect Katherine Tsang | Mgmt | For | For | For | |||||
10 | Elect Padmasree Warrior | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Genworth Financial, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GNW | CUSIP 37247D106 | 05/15/2014 | 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 Melina E. Higgins | Mgmt | For | For | For | |||||
4 | Elect Nancy J. Karch | Mgmt | For | For | For | |||||
5 | Elect Thomas J. McInerney | Mgmt | For | For | For | |||||
6 | Elect Christine B. Mead | Mgmt | For | For | For | |||||
7 | Elect David M. Moffett | Mgmt | For | For | For | |||||
8 | Elect Thomas E. Moloney | Mgmt | For | For | For | |||||
9 | Elect James A. Parke | Mgmt | For | For | For | |||||
10 | Elect James S. Riepe | 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 Report on Political Spending | ShrHoldr | Against | For | Against |
Page 407
Geo Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GEO | CUSIP 36159R103 | 05/02/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Clarence E. Anthony | Mgmt | For | For | For | |||||
1.2 | Elect Norman A. Carlson | Mgmt | For | For | For | |||||
1.3 | Elect Anne N. Foreman | Mgmt | For | For | For | |||||
1.4 | Elect Richard H. Glanton | Mgmt | For | For | For | |||||
1.5 | CHRISTOPHER C. WHEELER | Mgmt | For | For | For | |||||
1.6 | Elect George C. Zoley | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | 2014 Stock Incentive Plan | Mgmt | For | For | For | |||||
5 | Transaction of Other Business | Mgmt | For | For | For |
Geo Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GEO | CUSIP 36159R103 | 05/02/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Reorganization | Mgmt | For | For | For | |||||
2 | Right to Adjourn Meeting | Mgmt | For | For | For |
Harman International Industries, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HAR | CUSIP 413086109 | 12/04/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Adriane M. Brown | Mgmt | For | For | For | |||||
2 | Elect John W. Diercksen | Mgmt | For | For | For | |||||
3 | Elect Ann McLaughlin Korologos | Mgmt | For | For | For | |||||
4 | Elect Jiren Liu | Mgmt | For | For | For | |||||
5 | Elect Edward H. Meyer | Mgmt | For | For | For | |||||
6 | Elect Dinesh C. Paliwal | Mgmt | For | For | For | |||||
7 | Elect Kenneth M. Reiss | Mgmt | For | For | For | |||||
8 | Elect Hellene S. Runtagh | Mgmt | For | For | For | |||||
9 | Elect Frank Sklarsky | Mgmt | For | For | For | |||||
10 | Elect Gary G. Steel | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | Amendment to the 2012 Stock Option and Incentive Plan | Mgmt | For | For | For | |||||
13 | 2014 Key Executive Officers Bonus Plan | Mgmt | For | For | For | |||||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 408
Hawaiian Electric Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HE | CUSIP 419870100 | 05/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Peggy Y. Fowler | Mgmt | For | For | For | |||||
1.2 | Elect Keith P. Russell | Mgmt | For | For | For | |||||
1.3 | Elect Barry K. Taniguchi | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Amendment to the 2010 Equity and Incentive Plan | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Health Care Reit, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HCN | CUSIP 42217K106 | 05/01/2014 | 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 (resigned April 13, 2014) | 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 Timothy J. Naughton | Mgmt | For | For | For | |||||
8 | Elect Sharon M. Oster | Mgmt | For | For | For | |||||
9 | Elect Judith C. Pelham | Mgmt | For | For | For | |||||
10 | Elect R. Scott Trumbull | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | Against | Against | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Increase of Authorized Common Stock | Mgmt | For | For | For |
Page 409
Hologic, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HOLX | CUSIP 436440101 | 03/04/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jonathan Christodoro | Mgmt | For | For | For | |||||
1.2 | Elect Sally W. Crawford | Mgmt | For | For | For | |||||
1.3 | Elect Scott T. Garrett | Mgmt | For | For | For | |||||
1.4 | Elect David R. LaVance, Jr. | 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 Stephen P. MacMillan | Mgmt | For | For | For | |||||
1.8 | Elect Samuel Merksamer | Mgmt | For | For | For | |||||
1.9 | Elect Christina Stamoulis | Mgmt | For | For | For | |||||
1.10 | Elect Elaine S. Ullian | Mgmt | For | For | For | |||||
1.11 | Elect Wayne Wilson | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Invesco Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IVZ | CUSIP G491BT108 | 05/15/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Repeal of Classified Board | Mgmt | For | For | For | |||||
2 | Elect Denis Kessler | Mgmt | For | For | For | |||||
3 | Elect G. Richard Wagoner Jr. | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Ratification of Auditor | Mgmt | For | For | For |
Page 410
J.C. Penney Company, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JCP | CUSIP 708160106 | 05/16/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Colleen C. Barrett | Mgmt | For | For | For | |||||
2 | Elect Thomas J. Engibous | Mgmt | For | For | For | |||||
3 | Elect Kent B. Foster | Mgmt | For | For | For | |||||
4 | Elect Leonard H. Roberts | Mgmt | For | For | For | |||||
5 | Elect Stephen I. Sadove | Mgmt | For | For | For | |||||
6 | Elect Javier G. Teruel | Mgmt | For | For | For | |||||
7 | Elect R. Gerald Turner | Mgmt | For | For | For | |||||
8 | Elect Ronald W. Tysoe | Mgmt | For | For | For | |||||
9 | Elect Myron E. Ullman III | Mgmt | For | For | For | |||||
10 | Elect Mary Beth West | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For | |||||
12 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
13 | Transfer Restrictions Applicable to Common Stock | Mgmt | For | Against | Against | |||||
14 | Amendment to Shareholder Rights Plan | Mgmt | For | Against | Against | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Jacobs Engineering Group Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JEC | CUSIP 469814107 | 01/23/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Juan Jose Suarez Coppel | Mgmt | For | For | For | |||||
2 | Elect John F. Coyne | Mgmt | For | For | For | |||||
3 | Elect Linda Fayne Levinson | Mgmt | For | For | For | |||||
4 | Elect Craig L. Martin | Mgmt | For | For | For | |||||
5 | Elect Chris M.T. Thompson | Mgmt | For | For | For | |||||
6 | Amendment to the 1999 Stock Incentive Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Repeal of Classified Board | Mgmt | For | For | For |
Page 411
Jones Lang LaSalle Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JLL | CUSIP 48020Q107 | 05/30/2014 | 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 Shailesh Rao | Mgmt | For | For | For | |||||
9 | Elect David B. Rickard | Mgmt | For | For | For | |||||
10 | Elect Roger T. Staubach | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | Ratification of Auditor | Mgmt | For | For | For |
KB Home
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KBH | CUSIP 48666K109 | 04/03/2014 | 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 Timothy W. Finchem | Mgmt | For | For | For | |||||
3 | Elect Thomas W. Gilligan | Mgmt | For | For | For | |||||
4 | Elect Kenneth M. Jastrow II | Mgmt | For | For | For | |||||
5 | Elect Robert L. Johnson | Mgmt | For | For | For | |||||
6 | Elect Melissa Lora | Mgmt | For | For | For | |||||
7 | Elect Michael G. McCaffery | Mgmt | For | For | For | |||||
8 | Elect Jeffrey T. Mezger | Mgmt | For | For | For | |||||
9 | Elect Luis G. Nogales | Mgmt | For | For | For | |||||
10 | Elect Michael M. Wood | Mgmt | For | For | For | |||||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
12 | 2014 Equity Incentive Plan | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 412
Kennametal Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KMT | CUSIP 489170100 | 10/22/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Carlos M. Cardoso | Mgmt | For | For | For | |||||
1.2 | Elect William J. Harvey | Mgmt | For | For | For | |||||
1.3 | Elect Cindy Davis | 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 Stock and Incentive Plan of 2010 | Mgmt | For | For | For |
Keycorp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KEY | CUSIP 493267108 | 05/22/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Joseph A. Carrabba | Mgmt | For | For | For | |||||
1.2 | Elect Charles P. Cooley | Mgmt | For | For | For | |||||
1.3 | Elect Alexander M. Cutler | Mgmt | For | For | For | |||||
1.4 | Elect H. James Dallas | Mgmt | For | For | For | |||||
1.5 | Elect Elizabeth R. Gile | Mgmt | For | For | For | |||||
1.6 | Elect Ruth Ann M. Gillis | Mgmt | For | For | For | |||||
1.7 | Elect William G. Gisel, Jr. | Mgmt | For | For | For | |||||
1.8 | Elect Richard J. Hipple | Mgmt | For | For | For | |||||
1.9 | Elect Kristen L. Manos | Mgmt | For | For | For | |||||
1.10 | Elect Beth E. Mooney | Mgmt | For | For | For | |||||
1.11 | Elect Demos Parneros | 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 | Shareholder Proposal Regarding Independent Board Chairman | ShrHoldr | Against | Against | For |
Page 413
Kimco Realty Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KIM | CUSIP 49446R109 | 05/06/2014 | 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 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Knowles Corp
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KN | CUSIP 49926D109 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Jeffrey S. Niew | Mgmt | For | For | For | |||||
1.2 | Elect Keith L. Barnes | Mgmt | For | For | For | |||||
1.3 | Elect Richard K. Lochridge | 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 414
Lam Research Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LRCX | CUSIP 512807108 | 11/07/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Martin B. Anstice | Mgmt | For | For | For | |||||
1.2 | Elect Eric K. Brandt | Mgmt | For | For | For | |||||
1.3 | Elect Michael R. Cannon | Mgmt | For | For | For | |||||
1.4 | Elect Youssef A. El-Mansy | Mgmt | For | For | For | |||||
1.5 | Elect Christine A. Heckart | Mgmt | For | For | For | |||||
1.6 | Elect Grant M. Inman | Mgmt | For | For | For | |||||
1.7 | Elect Catherine P. Lego | Mgmt | For | For | For | |||||
1.8 | Elect Stephen G. Newberry | Mgmt | For | For | For | |||||
1.9 | Elect Krishna Saraswat | Mgmt | For | For | For | |||||
1.10 | Elect William R. Spivey | Mgmt | For | For | For | |||||
1.11 | Elect Abhijit Y. 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 | 04/09/2014 | 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 Teri P. McClure | Mgmt | For | For | For | |||||
1.9 | Elect Jeffrey A. Sonnenfeld | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 415
Liberty Property Trust
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LPT | �� | CUSIP 531172104 | 05/08/2014 | Voted | ||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Frederick F. Buchholz | Mgmt | For | For | For | |||||
1.2 | Elect Thomas C. DeLoach, Jr. | Mgmt | For | For | For | |||||
1.3 | Elect Katherine E. Dietze | Mgmt | For | For | For | |||||
1.4 | Elect Daniel P. Garton | Mgmt | For | For | For | |||||
1.5 | Elect William P. Hankowsky | Mgmt | For | For | For | |||||
1.6 | Elect M. Leanne Lachman | Mgmt | For | For | For | |||||
1.7 | Elect David L. Lingerfelt | 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 | |||||
5 | Amendment to Share Incentive Plan | Mgmt | For | For | For |
Page 416
Marriott International, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MAR | CUSIP 571903202 | 05/09/2014 | 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 Arne M. Sorenson | 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 Stock and Cash Incentive Plan | Mgmt | For | For | For | |||||
15 | Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Against | For | Against |
Maxim Integrated Products, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MXIM | CUSIP 57772K101 | 11/13/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Tunc Doluca | Mgmt | For | For | For | |||||
1.2 | Elect B. Kipling Hagopian | Mgmt | For | For | For | |||||
1.3 | Elect James R. Bergman | Mgmt | For | For | For | |||||
1.4 | Elect Joseph R. Bronson | Mgmt | For | For | For | |||||
1.5 | Elect Robert E. Grady | Mgmt | For | For | For | |||||
1.6 | Elect William D. 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 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 417
Murphy Oil Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MUR | CUSIP 626717102 | 05/14/2014 | 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 T. Jay Collins | Mgmt | For | For | For | |||||
3 | Elect Steven A. Cosse | Mgmt | For | For | For | |||||
4 | Elect Claiborne P. Deming | Mgmt | For | For | For | |||||
5 | Elect Roger W. Jenkins | Mgmt | For | For | For | |||||
6 | Elect James V. Kelley | Mgmt | For | For | For | |||||
7 | Elect Walentin Mirosh | Mgmt | For | For | For | |||||
8 | Elect R. Madison Murphy | Mgmt | For | For | For | |||||
9 | Elect Jeffrey W. Nolan | Mgmt | For | For | For | |||||
10 | Elect Neal E. Schmale | Mgmt | For | For | For | |||||
11 | Elect Caroline G. Theus | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Mylan Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MYL | CUSIP 628530107 | 04/11/2014 | 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 JoEllen Lyons Dillon | Mgmt | For | For | For | |||||
6 | Elect Neil F. Dimick | Mgmt | For | For | For | |||||
7 | Elect Melina Higgins | Mgmt | For | For | For | |||||
8 | Elect Douglas J. Leech | Mgmt | For | For | For | |||||
9 | Elect Rajiv Malik | Mgmt | For | For | For | |||||
10 | Elect Joseph C. Maroon | Mgmt | For | For | For | |||||
11 | Elect Mark Parrish | Mgmt | For | For | For | |||||
12 | Elect Rodney L. Piatt | 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 418
Nabors Industries Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NBR | CUSIP G6359F103 | 06/03/2014 | 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 John P. Kotts | Mgmt | For | For | For | |||||
1.3 | Elect Michael C. Linn | Mgmt | For | For | For | |||||
1.4 | Elect John V. Lombardi | Mgmt | For | For | For | |||||
1.5 | Elect Anthony G. Petrello | Mgmt | For | For | For | |||||
1.6 | Elect Howard Wolf | Mgmt | For | For | For | |||||
1.7 | Elect John Yearwood | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Amendment to Shareholder Rights Plan | Mgmt | For | Against | Against | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Shareholder Proposal Regarding Shareholder Approval of Specific Performance Metrics in Equity Compensation Plans | ShrHoldr | Against | Against | For | |||||
6 | Shareholder Proposal Regarding Retention of Shares | ShrHoldr | Against | Against | For | |||||
7 | Shareholder Proposal Regarding Sustainability Report | ShrHoldr | Against | For | Against | |||||
8 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHoldr | Against | Against | For | |||||
9 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | Against | Against | For | |||||
10 | Shareholder Proposal Regarding Counting Broker Non-Votes | ShrHoldr | Against | Against | For |
Page 419
Newpark Resources, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NR | CUSIP 651718504 | 05/22/2014 | 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 Anthony J. Best | 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 Roderick A. Larson | Mgmt | For | For | For | |||||
1.6 | Elect James W. McFarland | Mgmt | For | For | For | |||||
1.7 | Elect Gary L. Warren | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | 2014 Non-Employee Directors’ Restricted Stock Plan | Mgmt | For | Against | Against | |||||
4 | Ratification of Auditor | Mgmt | For | For | For |
Partnerre Ltd.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PRE | CUSIP G6852T105 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Judith C. Hanratty | Mgmt | For | For | For | |||||
1.2 | Elect Costas Miranthis | Mgmt | For | For | For | |||||
1.3 | Elect Remy Sautter | Mgmt | For | For | For | |||||
1.4 | Elect Egbert William | Mgmt | For | For | For | |||||
2 | Ratification of Auditor | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 420
Polycom, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PLCM | CUSIP 73172K104 | 06/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Peter A. Leav | Mgmt | For | For | For | |||||
2 | Elect Betsy S. Atkins | Mgmt | For | For | For | |||||
3 | Elect Martha H. Bejar | Mgmt | For | For | For | |||||
4 | Elect Robert J. Frankenberg | Mgmt | For | For | For | |||||
5 | Elect John A. Kelley, Jr. | Mgmt | For | For | For | |||||
6 | Elect D. Scott Mercer | Mgmt | For | For | For | |||||
7 | Elect William A. Owens | Mgmt | For | For | For | |||||
8 | Elect Kevin T. Parker | Mgmt | For | For | For | |||||
9 | Amendment to the 2005 Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
11 | Ratification of Auditor | Mgmt | For | For | For |
Popular, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BPOP | CUSIP 733174700 | 05/13/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Maria Luisa Ferre | Mgmt | For | For | For | |||||
2 | Elect C. Kim Goodwin | Mgmt | For | For | For | |||||
3 | Elect William J. Teuber, Jr. | Mgmt | For | For | For | |||||
4 | Elect John W. Diercksen | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Quest Diagnostics Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
DGX | CUSIP 74834L100 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Timothy L. Main | Mgmt | For | For | For | |||||
2 | Elect Timothy M. Ring | Mgmt | For | For | For | |||||
3 | Elect Daniel C. Stanzione | Mgmt | For | For | For | |||||
4 | Ratification of Auditor | Mgmt | For | For | For | |||||
5 | Elimination of Supermajority Requirement | Mgmt | For | For | For | |||||
6 | Restoration of Right to Call a Special Meeting | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Page 421
Reinsurance Group of America, Incorporated
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RGA | CUSIP 759351604 | 05/21/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Christine R. Detrick | Mgmt | For | For | For | |||||
1.2 | Elect Joyce A. Phillips | Mgmt | For | For | For | |||||
1.3 | Elect Arnoud W.A. Boot | Mgmt | For | For | For | |||||
1.4 | Elect John F. Danahy | Mgmt | For | For | For | |||||
1.5 | Elect J. Cliff Eason | Mgmt | For | For | For | |||||
2 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Seagate Technology
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STX | CUSIP G7945M107 | 10/30/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Stephen J. Luczo | Mgmt | For | For | For | |||||
2 | Elect Frank J. Biondi, Jr. | Mgmt | For | For | For | |||||
3 | Elect Michael R. Cannon | Mgmt | For | For | For | |||||
4 | Elect Mei-Wei Cheng | Mgmt | For | For | For | |||||
5 | Elect William T. Coleman | Mgmt | For | For | For | |||||
6 | Elect Jay L. Geldmacher | Mgmt | For | For | For | |||||
7 | Elect Seh-Woong Jeong | Mgmt | For | For | For | |||||
8 | Elect Lydia M. Marshall | Mgmt | For | For | For | |||||
9 | Elect Kristen M. 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 Executive Officer Performance Bonus Plan | Mgmt | For | For | For | |||||
14 | Price Range for Issuance of Treasury Shares | Mgmt | For | For | For | |||||
15 | Authorize Shareholder Outside of Ireland | Mgmt | For | For | For | |||||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
17 | Amendments to Articles Regarding Annual Meeting Location | Mgmt | For | For | For | |||||
18 | Amendments to Articles Regarding Right to Multiple Proxies | Mgmt | For | For | For | |||||
19 | Amendments to Articles Regarding Escheatment | Mgmt | For | For | For | |||||
20 | Amendments to Articles Regarding Share Repurchases | Mgmt | For | For | For | |||||
21 | Ratification of Auditor | Mgmt | For | For | For |
Page 422
Sealed Air Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SEE | CUSIP 81211K100 | 05/22/2014 | 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 Jacqueline B. Kosecoff | Mgmt | For | For | For | |||||
6 | Elect Kenneth P. Manning | Mgmt | For | For | For | |||||
7 | Elect William J. Marino | Mgmt | For | For | For | |||||
8 | Elect Jerome A. Peribere | Mgmt | For | For | For | |||||
9 | Elect Richard L. Wambold | Mgmt | For | For | For | |||||
10 | Elect Jerry R. Whitaker | Mgmt | For | For | For | |||||
11 | 2014 Omnibus Incentive Plan | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For |
Page 423
SLM Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SLM | CUSIP 78442P106 | 06/25/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Paul G. Child | Mgmt | For | For | For | |||||
2 | Elect Joseph A. DePaulo | Mgmt | For | For | For | |||||
3 | Elect Carter Warren Franke | Mgmt | For | For | For | |||||
4 | Elect Earl A. Goode | Mgmt | For | For | For | |||||
5 | Elect Ronald F. Hunt | Mgmt | For | For | For | |||||
6 | Elect Marianne M. Keler | Mgmt | For | For | For | |||||
7 | Elect Jed H. Pitcher | Mgmt | For | For | For | |||||
8 | Elect Frank C. Puleo | Mgmt | For | For | For | |||||
9 | Elect Raymond J. Quinlan | Mgmt | For | For | For | |||||
10 | Elect William N. Shiebler | Mgmt | For | For | For | |||||
11 | Elect Robert S. Strong | Mgmt | For | For | For | |||||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Amendment to the Limited Liability Company Agreement of Navient, LLC | Mgmt | For | Against | Against | |||||
15 | Elimination of Cumulative Voting | Mgmt | For | Against | Against | |||||
16 | Shareholder Proposal Regarding Proxy Access | ShrHoldr | N/A | Against | N/A | |||||
17 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against |
Page 424
SPX Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SPW | CUSIP 784635104 | 05/07/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Patrick D. Campbell | Mgmt | For | For | For | |||||
2 | Elect Emerson U. Fullwood | Mgmt | For | For | For | |||||
3 | Elect Michael J. Mancuso | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||||
5 | Repeal of Classified Board | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For |
Synovus Financial Corp.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SNV | CUSIP 87161C105 | 04/24/2014 | 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 Tim E. Bentsen | Mgmt | For | For | For | |||||
3 | Elect Stephen T. Butler | Mgmt | For | For | For | |||||
4 | Elect Elizabeth W. Camp | Mgmt | For | For | For | |||||
5 | Elect T. Michael Goodrich | Mgmt | For | For | For | |||||
6 | Elect V. Nathaniel Hansford | Mgmt | For | For | For | |||||
7 | Elect Mason H. Lampton | Mgmt | For | For | For | |||||
8 | Elect Jerry W. Nix | Mgmt | For | For | For | |||||
9 | Elect Harry Pastides | Mgmt | For | For | For | |||||
10 | Elect Joseph J. Prochaska, Jr. | Mgmt | For | For | For | |||||
11 | Elect Kessel D. Stelling | Mgmt | For | For | For | |||||
12 | Elect Melvin T. Stith | Mgmt | For | For | For | |||||
13 | Elect Barry L. Storey | Mgmt | For | For | For | |||||
14 | Elect Philip W. Tomlinson | Mgmt | For | For | For | |||||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
16 | �� | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | ||||
17 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||||
18 | Reverse Stock Split | Mgmt | For | For | For | |||||
19 | Amendment to 2010 Tax Benefits Preservation Plan | Mgmt | For | Against | Against | |||||
20 | Ratification of Auditor | Mgmt | For | For | For |
Page 425
Tenneco, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEN | CUSIP 880349105 | 05/14/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Thomas C. Freyman | Mgmt | For | For | For | |||||
2 | Elect Dennis J. Letham | Mgmt | For | For | For | |||||
3 | Elect Hari N. Nair | Mgmt | For | For | For | |||||
4 | Elect Roger B. Porter | Mgmt | For | For | For | |||||
5 | Elect David B. Price, Jr. | Mgmt | For | For | For | |||||
6 | Elect Gregg M. Sherrill | Mgmt | For | For | For | |||||
7 | Elect Paul T. Stecko | Mgmt | For | For | For | |||||
8 | Elect Jane L. Warner | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For | |||||
10 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Teradyne, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TER | CUSIP 880770102 | 05/20/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Michael A. Bradley | Mgmt | For | For | For | |||||
2 | Elect Daniel W. Christman | Mgmt | For | For | For | |||||
3 | Elect Edwin J. Gillis | Mgmt | For | For | For | |||||
4 | Elect Timothy E. Guertin | Mgmt | For | For | For | |||||
5 | Elect Mark E. Jagiela | Mgmt | For | For | For | |||||
6 | Elect Paul J. Tufano | Mgmt | For | For | For | |||||
7 | Elect Roy A. Vallee | Mgmt | For | For | For | |||||
8 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
9 | Ratification of Auditor | Mgmt | For | For | For |
Page 426
Terex Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TEX | CUSIP 880779103 | 05/08/2014 | 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 | Advisory Vote on Executive Compensation | Mgmt | For | For | For |
Textron Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TXT | CUSIP 883203101 | 04/23/2014 | 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 Lord Powell of Bayswater KCMG | 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 | Against | Against | |||||
13 | Ratification of Auditor | Mgmt | For | For | For | |||||
14 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 427
Toll Brothers, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TOL | CUSIP 889478103 | 03/12/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1.1 | Elect Robert I. Toll | Mgmt | For | For | For | |||||
1.2 | Elect Bruce E. Toll | Mgmt | For | For | For | |||||
1.3 | Elect Douglas C. Yearley, Jr. | Mgmt | For | For | For | |||||
1.4 | Elect Robert S. Blank | Mgmt | For | For | For | |||||
1.5 | Elect Edward G. Boehne | Mgmt | For | For | For | |||||
1.6 | Elect Richard J. Braemer | Mgmt | For | For | For | |||||
1.7 | Elect Christine N. Garvey | Mgmt | For | For | For | |||||
1.8 | Elect Carl B. Marbach | Mgmt | For | For | For | |||||
1.9 | Elect Stephen Novick | Mgmt | For | For | For | |||||
1.10 | 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 | 2014 Stock Incentive Plan | Mgmt | For | For | For |
US Airways Group, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LCC | CUSIP 90341W108 | 07/12/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | 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 | Against | Against | |||||
3 | Right to Adjourn Meeting | Mgmt | For | For | For | |||||
4 | Elect Denise M. O’Leary | Mgmt | For | For | For | |||||
5 | Elect George M. Philip | Mgmt | For | For | For | |||||
6 | Ratification of Auditor | Mgmt | For | For | For | |||||
7 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against |
Page 428
Vulcan Materials Company
Ticker | Security ID: | Meeting Date | Meeting Status | |||
VMC | CUSIP 929160109 | 05/09/2014 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect O.B. Grayson Hall | Mgmt | For | For | For | |||||
2 | Elect Donald M. James | Mgmt | For | For | For | |||||
3 | Elect James T. Prokopanko | Mgmt | For | For | For | |||||
4 | Elect Kathleen Wilson-Thompson | Mgmt | For | For | For | |||||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
6 | Reapproval of Executive Incentive Plan | Mgmt | For | For | For | |||||
7 | Ratification of Auditor | Mgmt | For | For | For |
Western Digital Corporation
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WDC | CUSIP 958102105 | 11/14/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kathleen A. Cote | Mgmt | For | For | For | |||||
2 | Elect Henry T. DeNero | Mgmt | For | For | For | |||||
3 | Elect William L. Kimsey | Mgmt | For | For | For | |||||
4 | Elect Michael D. Lambert | Mgmt | For | For | For | |||||
5 | Elect Len J. Lauer | Mgmt | For | For | For | |||||
6 | Elect Matthew E. Massengill | Mgmt | For | For | For | |||||
7 | Elect Stephen D. Milligan | Mgmt | For | For | For | |||||
8 | Elect Roger H. Moore | Mgmt | For | For | For | |||||
9 | Elect Thomas E. Pardun | Mgmt | For | For | For | |||||
10 | Elect Arif Shakeel | Mgmt | For | For | For | |||||
11 | Elect Akio Yamamoto | Mgmt | For | For | For | |||||
12 | Elect Masahiro Yamamura | Mgmt | For | For | For | |||||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
14 | Ratification of Auditor | Mgmt | For | For | For |
Page 429
Windstream Holdings, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WIN | CUSIP 97382A101 | 05/07/2014 | 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 | Amendment to the 2006 Equity Incentive Plan | Mgmt | For | For | For | |||||
12 | Amendment to Certificate of Incorporation to Remove Voting Rights Relating to Company Subsidiaries | Mgmt | For | For | For | |||||
13 | Allow Stockholders to Call Special Meetings | Mgmt | For | For | For | |||||
14 | Elimination of Supermajority Voting Requirements | Mgmt | For | For | For | |||||
15 | Ratification of Auditor | Mgmt | For | For | For | |||||
16 | Shareholder Proposal Regarding Compensation in the Event of a Change in Control | ShrHoldr | Against | For | Against | |||||
17 | Shareholder Proposal Regarding Right to Act by Written Consent | ShrHoldr | Against | For | Against |
Page 430
Worthington Industries, Inc.
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WOR | CUSIP 981811102 | 09/26/2013 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Against Mgmt | |||||
1 | Elect Kerrii B. Anderson | Mgmt | For | For | For | |||||
2 | Elect John P. McConnell | Mgmt | For | For | For | |||||
3 | Elect Mary Schiavo | Mgmt | For | For | For | |||||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||||
5 | Approval of the Material Terms of the Performance Goals under the 1997 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
6 | Amendment to the 1997 Long-Term Incentive Plan | Mgmt | For | For | For | |||||
7 | Approval of Performance Criteria Under the Annual Incentive Plan | Mgmt | For | For | For | |||||
8 | Ratification of Auditor | Mgmt | For | For | For |
Page 431
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/ David DeVito | |
David DeVito | ||
President and Chief Executive Officer | ||
Date: August 20, 2014 |