UNITED STATES | ||
SECURITIES AND EXCHANGE COMMISSION | ||
Washington, DC 20549 | ||
FORM N-PX | ||
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED | ||
MANAGEMENT INVESTMENT COMPANY | ||
Investment Company Act File Number : | 811-7061 | |
Name of Registrant: | Putnam Capital Appreciation Fund | |
Address of Principal Executive Offices: | ||
One Post Office Square | ||
Boston, Massachusetts 02109 | ||
Name and address of agent of service: | ||
James P. Pappas, Vice President | ||
Putnam Capital Appreciation Fund | ||
One Post Office Square | ||
Boston, Massachusetts 02109 | ||
CC: | ||
John W. Gerstmayr, Esq. | ||
Ropes & Gray LLP | ||
One International Place | ||
Boston, Massachusetts 02110 | ||
Registrant's telephone number including area code: | ||
(617) 292-1000 | ||
Date of fiscal year end: | ||
05/31/2009 | ||
Date of reporting period: | ||
07/01/2008 - 06/30/2009 | ||
Item 1: Proxy Voting Record | ||||||
Registrant : Putnam Capital Appreciation Fund |
Putnam Capital Appreciation Fund merged into Putnam Investors Fund on December 29, 2008. The voting record for this fund represents votes for which the record date occurred prior to the merger.
Accenture Ltd. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACN | CUSIP9 G1150G111 | 02/12/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | RE-APPOINTMENT TO THE | Mgmt | For | For | For | |
BOARD OF DIRECTORS: | ||||||
CHARLES H. GIANCARLO | ||||||
2 | RE-APPOINTMENT TO THE | Mgmt | For | For | For | |
BOARD OF DIRECTORS: DINA | ||||||
DUBLON | ||||||
3 | RE-APPOINTMENT TO THE | Mgmt | For | For | For | |
BOARD OF DIRECTORS: WILLIAM | ||||||
D. GREEN | ||||||
4 | RE-APPOINTMENT TO THE | Mgmt | For | Against | Against | |
BOARD OF DIRECTORS: | ||||||
NOBUYUKI IDEI | ||||||
5 | RE-APPOINTMENT TO THE | Mgmt | For | For | For | |
BOARD OF DIRECTORS: | ||||||
MARJORIE MAGNER | ||||||
6 | Ratification of Auditor | Mgmt | For | Against | Against | |
Acxiom Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ACXM | CUSIP9 005125109 | 08/05/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect William Dillard, II | Mgmt | For | For | For | |
1.2 | Elect Thomas McLarty, III | Mgmt | For | For | For | |
1.3 | Elect Jeffrey Ubben | Mgmt | For | For | For | |
1.4 | Elect R. Halsey Wise | Mgmt | For | For | For | |
2 | APPROVAL OF AN AMENDMENT | Mgmt | For | For | For | |
TO THE 2005 EQUITY | ||||||
COMPENSATION PLAN. |
3 | RATIFICATION OF KPMG LLP AS | Mgmt | For | For | For | |
INDEPENDENT REGISTERED | ||||||
PUBLIC ACCOUNTANT. | ||||||
Air Methods Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AIRM | CUSIP9 009128307 | 07/01/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
SAMUEL H. GRAY | ||||||
2 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
MORAD TAHBAZ | ||||||
3 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
AARON D. TODD | ||||||
4 | ADOPTION OF AMENDMENT TO | Mgmt | For | For | For | |
INCREASE NUMBER OF | ||||||
AUTHORIZED SHARES | ||||||
Alliance One International, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AOI | CUSIP9 018772103 | 07/31/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect C. Richard Green, Jr. | Mgmt | For | For | For | |
1.2 | Elect Nigel Howard | Mgmt | For | For | For | |
1.3 | Elect Joseph Lanier, Jr. | Mgmt | For | For | For | |
1.4 | Elect William Sheridan | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Alliant Techsystems Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATK | CUSIP9 018804104 | 08/05/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Frances Cook | Mgmt | For | For | For | |
1.2 | Elect Martin Faga | Mgmt | For | For | For | |
1.3 | Elect Ronald Fogleman | Mgmt | For | For | For | |
1.4 | Elect Cynthia Lesher | Mgmt | For | For | For |
1.5 | Elect Douglas Maine | Mgmt | For | For | For | |
1.6 | Elect Roman Martinez IV | Mgmt | For | For | For | |
1.7 | Elect Daniel Murphy | Mgmt | For | For | For | |
1.8 | Elect Mark Ronald | Mgmt | For | For | For | |
1.9 | Elect Michael Smith | Mgmt | For | For | For | |
1.10 | Elect William Van Dyke | Mgmt | For | For | For | |
2 | APPOINTMENT OF | Mgmt | For | For | For | |
INDEPENDENT REGISTERED | ||||||
PUBLIC ACCOUNTING FIRM | ||||||
3 | Increase Authorized Shares | Mgmt | For | For | For | |
4 | Shareholder Proposal Regarding | ShrHoldr | Against | Against | For | |
Health Care Reform Principles | ||||||
American Woodmark Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AMWD | CUSIP9 030506109 | 08/21/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect William Brandt, Jr. | Mgmt | For | For | For | |
1.2 | Elect Martha Dally | Mgmt | For | For | For | |
1.3 | Elect James Davis | Mgmt | For | For | For | |
1.4 | Elect James Gosa | Mgmt | For | For | For | |
1.5 | Elect Kent Guichard | Mgmt | For | For | For | |
1.6 | Elect Daniel Hendrix | Mgmt | For | For | For | |
1.7 | Elect Kent Hussey | Mgmt | For | For | For | |
1.8 | Elect G. Thomas McKane | Mgmt | For | For | For | |
1.9 | Elect Carol Moerdyk | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | Amendment to the Shareholder | Mgmt | For | For | For | |
Value Plan for Employees | ||||||
AmerisourceBergen Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABC | CUSIP9 03073E105 | 02/19/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
RICHARD C. GOZON | ||||||
2 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
MICHAEL J. LONG | ||||||
3 | ELECTION OF DIRECTOR: J. | Mgmt | For | For | For | |
LAWRENCE WILSON |
4 | Ratification of Auditor | Mgmt | For | For | For | |
5 | Amendment to the 2002 | Mgmt | For | For | For | |
Management Stock Incentive Plan | ||||||
6 | STOCKHOLDER PROPOSAL TO | ShrHoldr | Against | For | Against | |
REDEEM COMPANY'S POISON | ||||||
PILL. | ||||||
Ansoft Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ANST | CUSIP9 036384105 | 07/23/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | For | For | |
2 | Right to Adjourn Meeting | Mgmt | For | Against | Against | |
3 | Transact Other Business | Mgmt | For | Against | Against | |
APPLIED BIOSYSTEMS INC. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ABI | CUSIP9 038149100 | 10/28/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | For | For | |
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Applied Industrial Technologies | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AIT | CUSIP9 03820C105 | 10/21/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect L. Thomas Hiltz | Mgmt | For | For | For | |
1.2 | Elect John Meier | Mgmt | For | For | For | |
1.3 | Elect David Pugh | Mgmt | For | For | For | |
1.4 | Elect Peter Wallace | Mgmt | For | For | For | |
2 | RATIFICATION OF APPOINTMENT | Mgmt | For | For | For | |
OF INDEPENDENT AUDITORS. |
Ashland Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ASH | CUSIP9 044209104 | 01/29/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Roger Hale | Mgmt | For | For | For | |
1.2 | Elect Vada Manager | Mgmt | For | For | For | |
1.3 | Elect George Schaefer, Jr. | Mgmt | For | For | For | |
1.4 | Elect John Turner | Mgmt | For | For | For | |
1.5 | Elect Mark Rohr | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | Adoption of a Majority Vote for | Mgmt | For | For | For | |
Election of Directors | ||||||
Atmos Energy Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ATO | CUSIP9 049560105 | 02/04/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Ruben Esquivel | Mgmt | For | For | For | |
1.2 | Elect Richard Cardin | Mgmt | For | For | For | |
1.3 | Elect Thomas Meredith | Mgmt | For | For | For | |
1.4 | Elect Nancy Quinn | Mgmt | For | For | For | |
1.5 | Elect Stephen Springer | Mgmt | For | For | For | |
1.6 | Elect Richard Ware II | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | SHAREHOLDER PROPOSAL | ShrHoldr | Against | For | Against | |
REGARDING DECLASSIFICATION | ||||||
OF BOARD OF DIRECTORS. | ||||||
AutoZone, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
AZO | CUSIP9 053332102 | 12/17/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect William Crowley | Mgmt | For | For | For | |
1.2 | Elect Sue Gove | Mgmt | For | For | For | |
1.3 | Elect Earl Graves, Jr. | Mgmt | For | For | For | |
1.4 | Elect Robert Grusky | Mgmt | For | For | For |
1.5 | Elect J.R. Hyde, III | Mgmt | For | For | For | |
1.6 | Elect W. Andrew McKenna | Mgmt | For | For | For | |
1.7 | Elect George Mrkonic, Jr. | Mgmt | For | For | For | |
1.8 | Elect Luis Nieto | Mgmt | For | For | For | |
1.9 | Elect William Rhodes, III | Mgmt | For | For | For | |
1.10 | Elect Theodore Ullyot | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Bank of America Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BAC | CUSIP9 060505104 | 12/05/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | For | For | |
2 | Amendment to the 2003 Key | Mgmt | For | For | For | |
Associate Stock Plan | ||||||
3 | Increase of Authorized Common | Mgmt | For | For | For | |
Stock | ||||||
4 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Blue Coat Systems, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BCSI | CUSIP9 09534T508 | 10/02/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Brian NeSmith | Mgmt | For | For | For | |
1.2 | Elect David Hanna | Mgmt | For | For | For | |
1.3 | Elect James Barth | Mgmt | For | For | For | |
1.4 | Elect Keith Geeslin | Mgmt | For | For | For | |
1.5 | Elect Timothy Howes | Mgmt | For | For | For | |
1.6 | Elect James Tolonen | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Blyth, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BTH | CUSIP9 09643P108 | 01/29/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Reverse Stock Split | Mgmt | For | For | For |
2 | Decrease in Authorized Common | Mgmt | For | For | For | |
Stock | ||||||
BMC Software, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BMC | CUSIP9 055921100 | 07/22/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect B.Garland Cupp | Mgmt | For | For | For | |
1.2 | Elect Robert Beauchamp | Mgmt | For | For | For | |
1.3 | Elect Jon Barfield | Mgmt | For | For | For | |
1.4 | Elect Gary Bloom | Mgmt | For | For | For | |
1.5 | Elect Meldon Gafner | Mgmt | For | For | For | |
1.6 | Elect P. Thomas Jenkins | Mgmt | For | For | For | |
1.7 | Elect Louis Lavigne, Jr. | Mgmt | For | For | For | |
1.8 | Elect Kathleen O'Neil | Mgmt | For | For | For | |
1.9 | Elect Tom Tinsley | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Bois d'Arc Energy, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BDE | CUSIP9 09738U103 | 08/27/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger | Mgmt | For | Against | Against | |
2 | Transaction of Other Business | Mgmt | For | Against | Against | |
Buckeye Technologies Inc | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BKI | CUSIP9 118255108 | 11/05/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect George Bryan | Mgmt | For | For | For | |
1.2 | Elect R. Howard Cannon | Mgmt | For | For | For | |
1.3 | Elect Katherine Buckman Gibson | Mgmt | For | For | For | |
2 | RATIFICATION OF APPOINTMENT | Mgmt | For | For | For | |
OF ERNST & YOUNG LLP AS | ||||||
INDEPENDENT AUDITORS. |
Burger King Holdings Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
BKC | CUSIP9 121208201 | 11/20/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect John Chidsey | Mgmt | For | Withhold | Against | |
1.2 | Elect Richard Boyce | Mgmt | For | Withhold | Against | |
1.3 | Elect David Brandon | Mgmt | For | Withhold | Against | |
1.4 | Elect Ronald Dykes | Mgmt | For | Withhold | Against | |
1.5 | Elect Peter Formanek | Mgmt | For | Withhold | Against | |
1.6 | Elect Manuel Garcia | Mgmt | For | Withhold | Against | |
1.7 | Elect Sanjeev Mehra | Mgmt | For | Withhold | Against | |
1.8 | Elect Stephen Pagliuca | Mgmt | For | Withhold | Against | |
1.9 | Elect Brian Swette | Mgmt | For | Withhold | Against | |
1.10 | Elect Kneeland Youngblood | Mgmt | For | Withhold | Against | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
CenturyTel, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CTL | CUSIP9 156700106 | 01/27/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Issuance of Stock Pursuant to | Mgmt | For | For | For | |
Merger | ||||||
2 | Article Amendment Regarding Votes | Mgmt | For | For | For | |
Per Share | ||||||
3 | Increase in Authorized Common | Mgmt | For | For | For | |
Stock | ||||||
4 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Christopher & Banks Corp. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CBK | CUSIP9 171046105 | 07/30/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Larry Barenbaum | Mgmt | For | For | For | |
1.2 | Elect Martin Bassett | Mgmt | For | For | For | |
1.3 | Elect Lorna Nagler | Mgmt | For | For | For |
2 | Amendment to the 2006 Equity | Mgmt | For | Against | Against | |
Incentive Plan for Non-Employee | ||||||
Directors | ||||||
3 | Amendment to the 2005 Stock | Mgmt | For | For | For | |
Incentive Plan | ||||||
4 | Ratification of Auditor | Mgmt | For | For | For | |
5 | Shareholder Proposal Regarding | ShrHoldr | Against | For | Against | |
Declassification of the Board | ||||||
6 | Transaction of Other Business | Mgmt | For | Against | Against | |
Cisco Systems, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSCO | CUSIP9 17275R102 | 11/13/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
CAROL A. BARTZ | ||||||
2 | ELECTION OF DIRECTOR: M. | Mgmt | For | For | For | |
MICHELE BURNS | ||||||
3 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
MICHAEL D. CAPELLAS | ||||||
4 | ELECTION OF DIRECTOR: LARRY | Mgmt | For | For | For | |
R. CARTER | ||||||
5 | ELECTION OF DIRECTOR: JOHN | Mgmt | For | For | For | |
T. CHAMBERS | ||||||
6 | ELECTION OF DIRECTOR: BRIAN | Mgmt | For | For | For | |
L. HALLA | ||||||
7 | ELECTION OF DIRECTOR: DR. | Mgmt | For | For | For | |
JOHN L. HENNESSY | ||||||
8 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
RICHARD M. KOVACEVICH | ||||||
9 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
RODERICK C. MCGEARY | ||||||
10 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
MICHAEL K. POWELL | ||||||
11 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
STEVEN M. WEST | ||||||
12 | ELECTION OF DIRECTOR: JERRY | Mgmt | For | Against | Against | |
YANG | ||||||
13 | Ratification of Auditor | Mgmt | For | For | For | |
14 | Shareholder Proposal Regarding | ShrHoldr | Against | Against | For | |
Formation of a Board Committee on | ||||||
Human Rights | ||||||
15 | Shareholder Proposal Regarding | ShrHoldr | Against | Against | For | |
Report on Internet Fragmentation |
Computer Sciences Corp. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSC | CUSIP9 205363104 | 08/04/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Irving Bailey, II | Mgmt | For | For | For | |
1.2 | Elect David Barram | Mgmt | For | For | For | |
1.3 | Elect Stephen Baum | Mgmt | For | For | For | |
1.4 | Elect Rodney Chase | Mgmt | For | For | For | |
1.5 | Elect Judith Haberkorn | Mgmt | For | For | For | |
1.6 | Elect Michael Laphen | Mgmt | For | For | For | |
1.7 | Elect F. Warren McFarlan | Mgmt | For | For | For | |
1.8 | Elect Chong Sup Park | Mgmt | For | For | For | |
1.9 | Elect Thomas Patrick | Mgmt | For | For | For | |
2 | TO RATIFY THE APPOINTMENT | Mgmt | For | For | For | |
OF INDEPENDENT AUDITORS | ||||||
CPI Corp. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CPY | CUSIP9 125902106 | 07/17/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect James Abel | Mgmt | For | For | For | |
1.2 | Elect Peter Feld | Mgmt | For | For | For | |
1.3 | Elect Michael Koeneke | Mgmt | For | For | For | |
1.4 | Elect David Meyer | Mgmt | For | For | For | |
1.5 | Elect Turner White | Mgmt | For | For | For | |
2 | APPROVAL OF THE CPI CORP. | Mgmt | For | For | For | |
OMNIBUS INCENTIVE PLAN. | ||||||
3 | Ratification of Auditor | Mgmt | For | For | For | |
Cracker Barrel Old Country Store | ||||||
Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CBRL | CUSIP9 12489V106 | 11/25/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect James Carreker | Mgmt | For | For | For | |
1.2 | Elect Robert Dale | Mgmt | For | For | For |
1.3 | Elect Richard Dobkin | Mgmt | For | For | For | |
1.4 | Elect Robert Hilton | Mgmt | For | For | For | |
1.5 | Elect Charles Jones, Jr. | Mgmt | For | For | For | |
1.6 | Elect B.F. Lowery | Mgmt | For | For | For | |
1.7 | Elect Martha Mitchell | Mgmt | For | For | For | |
1.8 | Elect Andrea Weiss | Mgmt | For | For | For | |
1.9 | Elect Jimmie White | Mgmt | For | For | For | |
1.10 | Elect Michael Woodhouse | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | Company Name Change | Mgmt | For | For | For | |
4 | Amendment to the Stock Option | Mgmt | For | For | For | |
Plan | ||||||
5 | Amendment to the 2002 Omnibus | Mgmt | For | For | For | |
Incentive Compensation Plan | ||||||
Regarding Performance Criteria | ||||||
6 | Amendment to the 2002 Omnibus | Mgmt | For | Against | Against | |
Incentive Compensation Plan | ||||||
Regarding Share Increase | ||||||
CSS Industries, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
CSS | CUSIP9 125906107 | 07/31/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Scott Beaumont | Mgmt | For | For | For | |
1.2 | Elect James Bromley | Mgmt | For | For | For | |
1.3 | Elect Jack Farber | Mgmt | For | For | For | |
1.4 | Elect John Gavin | Mgmt | For | For | For | |
1.5 | Elect Leonard Grossman | Mgmt | For | For | For | |
1.6 | Elect James Ksansnak | Mgmt | For | For | For | |
1.7 | Elect Rebecca Matthias | Mgmt | For | For | For | |
1.8 | Elect Christopher Munyan | Mgmt | For | For | For | |
2 | APPROVAL OF THE AMENDMENT | Mgmt | For | Against | Against | |
TO THE 2004 EQUITY | ||||||
COMPENSATION PLAN. | ||||||
3 | APPROVAL OF THE | Mgmt | For | For | For | |
MANAGEMENT INCENTIVE | ||||||
PROGRAM. | ||||||
Dyncorp International Inc | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status |
DCP | CUSIP9 26817C101 | 07/15/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect William Ballhaus | Mgmt | For | Withhold | Against | |
1.2 | Elect Michael Bayer | Mgmt | For | Withhold | Against | |
1.3 | Elect Charles Ream | Mgmt | For | Withhold | Against | |
1.4 | Elect Peter Schoomaker | Mgmt | For | Withhold | Against | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Embarq Corp. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EQ | CUSIP9 29078E105 | 01/27/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger | Mgmt | For | For | For | |
Emerson Electric Co. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
EMR | CUSIP9 291011104 | 02/03/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect August Busch III | Mgmt | For | Withhold | Against | |
1.2 | Elect Arthur Golden | Mgmt | For | Withhold | Against | |
1.3 | Elect Harriet Green | Mgmt | For | Withhold | Against | |
1.4 | Elect William Johnson | Mgmt | For | Withhold | Against | |
1.5 | Elect John Menzer | Mgmt | For | Withhold | Against | |
1.6 | Elect Vernon Loucks, Jr. | Mgmt | For | Withhold | Against | |
2 | RATIFICATION OF KPMG LLP AS | Mgmt | For | For | For | |
INDEPENDENT REGISTERED | ||||||
PUBLIC ACCOUNTING FIRM. | ||||||
Emulex Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ELX | CUSIP9 292475209 | 11/19/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Fred Cox | Mgmt | For | For | For | |
1.2 | Elect Michael Downey | Mgmt | For | For | For |
1.3 | Elect Bruce Edwards | Mgmt | For | For | For | |
1.4 | Elect Paul Folino | Mgmt | For | For | For | |
1.5 | Elect Robert Goon | Mgmt | For | For | For | |
1.6 | Elect Don Lyle | Mgmt | For | For | For | |
1.7 | Elect James McCluney | Mgmt | For | For | For | |
1.8 | Elect Dean Yoost | Mgmt | For | For | For | |
2 | Option Exchange Program | Mgmt | For | Against | Against | |
3 | Amendment to the 2005 Equity | Mgmt | For | Against | Against | |
Incentive Plan Regarding Share | ||||||
Increase | ||||||
4 | Amendment to the 2005 Equity | Mgmt | For | Against | Against | |
Incentive Plan Regarding | ||||||
Clarification | ||||||
5 | Amendment to the Employee Stock | Mgmt | For | For | For | |
Purchase Plan | ||||||
6 | Ratification of Auditor | Mgmt | For | For | For | |
FactSet Research Systems Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FDS | CUSIP9 303075105 | 12/16/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Michael DiChristina | Mgmt | For | For | For | |
1.2 | Elect Walter Siebecker | Mgmt | For | For | For | |
1.3 | Elect Joseph Zimmel | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | 2008 Non-Employee Directors' | Mgmt | For | Against | Against | |
Stock Option Plan | ||||||
4 | TO RATIFY THE ADOPTION OF | Mgmt | For | For | For | |
THE COMPANY'S 2008 | ||||||
EMPLOYEE STOCK PURCHASE | ||||||
PLAN. | ||||||
5 | Election of Directors | Mgmt | For | For | For | |
Fair Isaac Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FICDL | CUSIP9 303250104 | 02/03/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect A. George Battle | Mgmt | For | For | For | |
1.2 | Elect Nicholas Graziano | Mgmt | For | For | For | |
1.3 | Elect Mark Greene | Mgmt | For | For | For |
1.4 | Elect Alex Hart | Mgmt | For | For | For | |
1.5 | Elect James Kirsner | Mgmt | For | For | For | |
1.6 | Elect William Lansing | Mgmt | For | For | For | |
1.7 | Elect Allan Loren | Mgmt | For | For | For | |
1.8 | Elect John McFarlane | Mgmt | For | For | For | |
1.9 | Elect Margaret Taylor | Mgmt | For | For | For | |
1.10 | Elect Duane White | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Foamex International Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FMXL | CUSIP9 344123203 | 07/18/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Eugene Davis | Mgmt | For | Withhold | Against | |
1.2 | Elect Robert Burke | Mgmt | For | Withhold | Against | |
1.3 | Elect Seth Charnow | Mgmt | For | Withhold | Against | |
1.4 | Elect Thomas Hudgins | Mgmt | For | Withhold | Against | |
1.5 | Elect John Johnson, Jr. | Mgmt | For | Withhold | Against | |
1.6 | Elect David Lyon | Mgmt | For | Withhold | Against | |
1.7 | Elect Gregory Poling | Mgmt | For | Withhold | Against | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Forest Laboratories, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FRX | CUSIP9 345838106 | 08/11/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Howard Solomon | Mgmt | For | For | For | |
1.2 | Elect Lawrence Olanoff, MD., Ph.D. | Mgmt | For | For | For | |
1.3 | Elect Nesli Basgoz, MD | Mgmt | For | For | For | |
1.4 | Elect William Candee, III | Mgmt | For | For | For | |
1.5 | Elect George Cohan | Mgmt | For | For | For | |
1.6 | Elect Dan Goldwasser | Mgmt | For | For | For | |
1.7 | Elect Kenneth Goodman | Mgmt | For | For | For | |
1.8 | Elect Lester Salans, MD | Mgmt | For | For | For | |
2 | ADOPTION OF THE AMENDED | Mgmt | For | Against | Against | |
AND RESTATED CERTIFICATE OF | ||||||
INCORPORATION. | ||||||
3 | Ratification of Auditor | Mgmt | For | For | For |
Foundry Networks, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
FDRY | CUSIP9 35063R100 | 12/17/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approve Merger Agreement | Mgmt | For | For | For | |
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |
General Maritime Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GMR | CUSIP9 Y2692M103 | 12/16/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger | Mgmt | For | For | For | |
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |
General Mills, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GIS | CUSIP9 370334104 | 09/22/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | Against | Against | |
BRADBURY H. ANDERSON | ||||||
2 | ELECTION OF DIRECTOR: PAUL | Mgmt | For | For | For | |
DANOS | ||||||
3 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
WILLIAM T. ESREY | ||||||
4 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
RAYMOND V. GILMARTIN | ||||||
5 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
JUDITH RICHARDS HOPE | ||||||
6 | ELECTION OF DIRECTOR: HEIDI | Mgmt | For | For | For | |
G. MILLER | ||||||
7 | ELECTION OF DIRECTOR: HILDA | Mgmt | For | For | For | |
OCHOA-BRILLEMBOURG | ||||||
8 | ELECTION OF DIRECTOR: STEVE | Mgmt | For | For | For | |
ODLAND | ||||||
9 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
KENDALL J. POWELL | ||||||
10 | ELECTION OF DIRECTOR: LOIS | Mgmt | For | For | For | |
E. QUAM |
11 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
MICHAEL D. ROSE | ||||||
12 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
ROBERT L. RYAN | ||||||
13 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
DOROTHY A. TERRELL | ||||||
14 | Ratification of Auditor | Mgmt | For | For | For | |
Gillette Company | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PG | CUSIP9 742718109 | 10/14/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Kenneth Chenault | Mgmt | For | For | For | |
1.2 | Elect Scott Cook | Mgmt | For | For | For | |
1.3 | Elect Rajat Gupta | Mgmt | For | For | For | |
1.4 | Elect Alan Lafley | Mgmt | For | For | For | |
1.5 | Elect Charles Lee | Mgmt | For | For | For | |
1.6 | Elect Lynn Martin | Mgmt | For | For | For | |
1.7 | Elect W. James McNerney, Jr. | Mgmt | For | For | For | |
1.8 | Elect Johnathan Rodgers | Mgmt | For | For | For | |
1.9 | Elect Ralph Snyderman | Mgmt | For | For | For | |
1.10 | Elect Margaret Whitman | Mgmt | For | For | For | |
1.11 | Elect Patricia Woertz | Mgmt | For | For | For | |
1.12 | Elect Ernesto Zedillo | Mgmt | For | For | For | |
2 | RATIFY APPOINTMENT OF THE | Mgmt | For | For | For | |
INDEPENDENT REGISTERED | ||||||
PUBLIC ACCOUNTING FIRM | ||||||
3 | AMEND COMPANY'S AMENDED | Mgmt | For | For | For | |
ARTICLES OF INCORPORATION | ||||||
TO ADOPT MAJORITY VOTING | ||||||
4 | SHAREHOLDER PROPOSAL #1 - | ShrHoldr | Against | Against | For | |
ROTATE SITE OF ANNUAL | ||||||
MEETING | ||||||
5 | SHAREHOLDER PROPOSAL #2 - | ShrHoldr | Against | Against | For | |
ADVISORY VOTE ON EXECUTIVE | ||||||
COMPENSATION | ||||||
Global Payments Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GPN | CUSIP9 37940X102 | 09/26/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States |
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Paul Garcia | Mgmt | For | For | For | |
1.2 | Elect Gerald Wilkins | Mgmt | For | For | For | |
1.3 | Elect Michael Trapp | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Global Sources Ltd. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GSOL | CUSIP9 G39300101 | 08/22/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Removal of Auditor | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Grey Wolf, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
GW | CUSIP9 397888108 | 07/15/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | Against | Against | |
2 | TO APPROVE THE | Mgmt | For | For | For | |
HORSEPOWER HOLDINGS, INC. | ||||||
2008 EQUITY INCENTIVE PLAN. | ||||||
3 | Right to Adjourn Meeting | Mgmt | For | Against | Against | |
Harris Interactive Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
HPOL | CUSIP9 414549105 | 10/28/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Steven Fingerhood | Mgmt | For | For | For | |
1.2 | Elect Gregory Novak | Mgmt | For | For | For | |
1.3 | Elect James Riedman | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Helen Of Troy Limited | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status |
HELE | CUSIP9 G4388N106 | 08/19/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Gary Abromovitz | Mgmt | For | Withhold | Against | |
1.2 | Elect John Butterworth | Mgmt | For | Withhold | Against | |
1.3 | Elect Timothy Meeker | Mgmt | For | Withhold | Against | |
1.4 | Elect Byron Rubin | Mgmt | For | Withhold | Against | |
1.5 | Elect Gerald Rubin | Mgmt | For | Withhold | Against | |
1.6 | Elect Stanlee Rubin | Mgmt | For | Withhold | Against | |
1.7 | Elect Adolpho Telles | Mgmt | For | Withhold | Against | |
1.8 | Elect Darren Woody | Mgmt | For | Withhold | Against | |
2 | TO APPROVE THE HELEN OF | Mgmt | For | For | For | |
TROY LIMITED 2008 EMPLOYEE | ||||||
STOCK PURCHASE PLAN | ||||||
3 | TO APPROVE THE HELEN OF | Mgmt | For | Against | Against | |
TROY LIMITED 2008 STOCK | ||||||
INCENTIVE PLAN | ||||||
4 | 2008 Non-Employee Director Stock | Mgmt | For | Against | Against | |
Incentive Plan | ||||||
5 | Amendment to the 1997 Cash | Mgmt | For | For | For | |
Bonus Performance Plan | ||||||
6 | Ratification of Auditor | Mgmt | For | For | For | |
Interactive Brokers Group, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IBKR | CUSIP9 45841N107 | 07/08/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | Against | Against | |
THOMAS PETERFFY | ||||||
2 | ELECTION OF DIRECTOR: EARL | Mgmt | For | Against | Against | |
H. NEMSER | ||||||
3 | ELECTION OF DIRECTOR: PAUL | Mgmt | For | Against | Against | |
J. BRODY | ||||||
4 | ELECTION OF DIRECTOR: MILAN | Mgmt | For | Against | Against | |
GALIK | ||||||
5 | ELECTION OF DIRECTOR: | Mgmt | For | Against | Against | |
LAWRENCE E. HARRIS | ||||||
6 | ELECTION OF DIRECTOR: HANS | Mgmt | For | Against | Against | |
R. STOLL | ||||||
7 | ELECTION OF DIRECTOR: IVERS | Mgmt | For | Against | Against | |
W. RILEY |
8 | APPROVAL OF THE 2007 STOCK | Mgmt | For | For | For | |
INCENTIVE PLAN | ||||||
9 | Ratification of Auditor | Mgmt | For | For | For | |
International Bancshares | ||||||
Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IBOC | CUSIP9 459044103 | 12/19/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Authorization of Preferred Stock | Mgmt | For | Against | Against | |
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Intervoice, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTV | CUSIP9 461142101 | 07/16/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect David Brandenburg | Mgmt | For | For | For | |
1.2 | Elect Timothy Harris | Mgmt | For | For | For | |
1.3 | Elect James Milton | Mgmt | For | For | For | |
1.4 | Elect Gerald Montry | Mgmt | For | For | For | |
1.5 | Elect George Platt | Mgmt | For | For | For | |
1.6 | Elect Donald Reed | Mgmt | For | For | For | |
1.7 | Elect Robert Ritchey | Mgmt | For | For | For | |
1.8 | Elect Michael Willner | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Intuit Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
INTU | CUSIP9 461202103 | 12/16/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Stephen Bennett | Mgmt | For | For | For | |
1.2 | Elect Christopher Brody | Mgmt | For | For | For | |
1.3 | Elect William Campbell | Mgmt | For | For | For | |
1.4 | Elect Scott Cook | Mgmt | For | For | For | |
1.5 | Elect Diane Greene | Mgmt | For | Withhold | Against | |
1.6 | Elect Michael Hallman | Mgmt | For | For | For | |
1.7 | Elect Edward Kangas | Mgmt | For | For | For |
1.8 | Elect Suzanne Nora Johnson | Mgmt | For | For | For | |
1.9 | Elect Dennis Powell | Mgmt | For | For | For | |
1.10 | Elect Stratton Sclavos | Mgmt | For | For | For | |
1.11 | Elect Brad Smith | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | APPROVE THE AMENDMENT TO | Mgmt | For | Against | Against | |
OUR 2005 EQUITY INCENTIVE | ||||||
PLAN. | ||||||
Jack Henry & Associates, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JKHY | CUSIP9 426281101 | 11/13/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Jerry Hall | Mgmt | For | For | For | |
1.2 | Elect Michael Henry | Mgmt | For | For | For | |
1.3 | Elect James Ellis | Mgmt | For | For | For | |
1.4 | Elect Craig Curry | Mgmt | For | For | For | |
1.5 | Elect Wesley Brown | Mgmt | For | For | For | |
1.6 | Elect Matthew Flanigan | Mgmt | For | For | For | |
1.7 | Elect Marla Shepard | Mgmt | For | For | For | |
1.8 | Elect John Prim | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
JAKKS Pacific, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JAKK | CUSIP9 47012E106 | 09/19/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Jack Friedman | Mgmt | For | For | For | |
1.2 | Elect Stephen Berman | Mgmt | For | For | For | |
1.3 | Elect Dan Almagor | Mgmt | For | For | For | |
1.4 | Elect David Blatte | Mgmt | For | For | For | |
1.5 | Elect Robert Glick | Mgmt | For | For | For | |
1.6 | Elect Michael Miller | Mgmt | For | For | For | |
1.7 | Elect Murray Skala | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | Amendment to the 2002 Stock | Mgmt | For | For | For | |
Award and Incentive Plan | ||||||
4 | Transaction of Other Business | Mgmt | For | Against | Against |
John Wiley & Sons, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
JWB | CUSIP9 968223206 | 09/18/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Kim Jones | Mgmt | For | Withhold | Against | |
1.2 | Elect Raymond McDaniel, Jr. | Mgmt | For | Withhold | Against | |
1.3 | Elect William Plummer | Mgmt | For | Withhold | Against | |
2 | PROPOSAL TO RATIFY THE | Mgmt | For | For | For | |
APPOINTMENT OF KPMG LLP AS | ||||||
INDEPENDENT ACCOUNTANTS. | ||||||
Korn/Ferry International | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
KFY | CUSIP9 500643200 | 09/23/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Debra Perry | Mgmt | For | For | For | |
1.2 | Elect Gerhard Schulmeyer | Mgmt | For | For | For | |
1.3 | Elect Harry You | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | TO APPROVE THE KORN/FERRY | Mgmt | For | Against | Against | |
INTERNATIONAL 2008 STOCK | ||||||
INCENTIVE PLAN. | ||||||
4 | Transaction of Other Business | Mgmt | For | Against | Against | |
La-Z-Boy Incorporated | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LZB | CUSIP9 505336107 | 08/20/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Kurt Darrow | Mgmt | For | Withhold | Against | |
1.2 | Elect James Johnston | Mgmt | For | Withhold | Against | |
1.3 | Elect H. George Levy | Mgmt | For | Withhold | Against | |
1.4 | Elect W. Alan McCollough | Mgmt | For | Withhold | Against | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | Elimination of Supermajority | Mgmt | For | For | For | |
Requirement for Amending Bylaws |
4 | Elimination of Supermajority | Mgmt | For | For | For | |
Requirement for Certain Mergers | ||||||
and Other Transactions | ||||||
5 | Shareholder Proposal Regarding | ShrHoldr | Against | For | Against | |
Declassification of the Board | ||||||
Life Technologies Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
IVGN | CUSIP9 46185R100 | 10/28/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger | Mgmt | For | For | For | |
2 | Increase of Authorized Common | Mgmt | For | For | For | |
Stock | ||||||
3 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Linear Technology Corp. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LLTC | CUSIP9 535678106 | 11/05/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Robert Swanson, Jr. | Mgmt | For | For | For | |
1.2 | Elect David Lee | Mgmt | For | For | For | |
1.3 | Elect Lothar Maier | Mgmt | For | For | For | |
1.4 | Elect Richard Moley | Mgmt | For | For | For | |
1.5 | Elect Thomas Volpe | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
LSI Industries | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LYTS | CUSIP9 50216C108 | 11/20/2008 | Take No Action | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Gary Kreider | Mgmt | For | TNA | N/A | |
1.2 | Elect Dennis Meyer | Mgmt | For | TNA | N/A | |
1.3 | Elect Wilfred O'Gara | Mgmt | For | TNA | N/A | |
1.4 | Elect Robert Ready | Mgmt | For | TNA | N/A | |
1.5 | Elect Mark Serrianne | Mgmt | For | TNA | N/A | |
1.6 | Elect James Sferra | Mgmt | For | TNA | N/A | |
2 | Ratification of Auditor | Mgmt | For | TNA | N/A |
3 | Amendment to Regulations | Mgmt | For | TNA | N/A | |
Regarding Board Right to Amend | ||||||
Regulations | ||||||
Magma Design Automation, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
LAVA | CUSIP9 559181102 | 08/29/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Roy Jewell | Mgmt | For | For | For | |
1.2 | Elect Thomas Rohrs | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Matrix Service Company | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MTRX | CUSIP9 576853105 | 10/21/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Michael Bradley | Mgmt | For | For | For | |
1.2 | Elect Michael Hall | Mgmt | For | For | For | |
1.3 | Elect I. Edgar Hendrix | Mgmt | For | For | For | |
1.4 | Elect Paul Lackey | Mgmt | For | For | For | |
1.5 | Elect Tom Maxwell | Mgmt | For | For | For | |
1.6 | Elect David Tippeconnic | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Medtronic, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MDT | CUSIP9 585055106 | 08/21/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Victor Dzau | Mgmt | For | For | For | |
1.2 | Elect William Hawkins | Mgmt | For | For | For | |
1.3 | Elect Shirley Ann Jackson | Mgmt | For | For | For | |
1.4 | Elect Denise O'Leary | Mgmt | For | For | For | |
1.5 | Elect Jean-Pierre Rosso | Mgmt | For | For | For | |
1.6 | Elect Jack Schuler | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For |
3 | TO APPROVE THE MEDTRONIC, | Mgmt | For | For | For | |
INC. 2008 STOCK AWARD AND | ||||||
INCENTIVE PLAN. | ||||||
Mentor Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MNT | CUSIP9 587188103 | 09/29/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Reorganization from Minnesota to | Mgmt | For | For | For | |
Delaware | ||||||
2.1 | Elect Michael Emmons | Mgmt | For | For | For | |
2.2 | Elect Walter Faster | Mgmt | For | For | For | |
2.3 | Elect Margaret Jordan | Mgmt | For | For | For | |
2.4 | Elect Joshua Levine | Mgmt | For | For | For | |
2.5 | Elect Katherine Napier | Mgmt | For | For | For | |
2.6 | Elect Burt Rosen | Mgmt | For | For | For | |
2.7 | Elect Joseph Whitters | Mgmt | For | For | For | |
3 | Amendment to the 2005 Long-term | Mgmt | For | Against | Against | |
Incentive Plan | ||||||
4 | Ratification of Auditor | Mgmt | For | For | For | |
Methode Electronics | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MEI | CUSIP9 591520200 | 09/18/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Walter Aspatore | Mgmt | For | For | For | |
1.2 | Elect Warren Batts | Mgmt | For | For | For | |
1.3 | Elect J. Edward Colgate | Mgmt | For | For | For | |
1.4 | Elect Darren Dawson | Mgmt | For | For | For | |
1.5 | Elect Donald Duda | Mgmt | For | For | For | |
1.6 | Elect Isabelle Goossen | Mgmt | For | For | For | |
1.7 | Elect Christopher Hornung | Mgmt | For | For | For | |
1.8 | Elect Paul Shelton | Mgmt | For | For | For | |
1.9 | Elect Lawrence Skatoff | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | Abstain | Against | |
Micros Systems, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MCRS | CUSIP9 594901100 | 11/21/2008 | Voted |
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Louis Brown, Jr. | Mgmt | For | For | For | |
1.2 | Elect B. Gary Dando | Mgmt | For | For | For | |
1.3 | Elect A.L. Giannopoulos | Mgmt | For | For | For | |
1.4 | Elect F.Suzanne Jenniches | Mgmt | For | For | For | |
1.5 | Elect John Puente | Mgmt | For | For | For | |
1.6 | Elect Dwight Taylor | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
3 | Amendment to the 1991 Stock | Mgmt | For | For | For | |
Option Plan | ||||||
4 | Transaction of Other Business | Mgmt | For | Against | Against | |
Microsoft Corp. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MSFT | CUSIP9 594918104 | 11/19/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
STEVEN A. BALLMER | ||||||
2 | ELECTION OF DIRECTOR: JAMES | Mgmt | For | For | For | |
I. CASH JR. | ||||||
3 | ELECTION OF DIRECTOR: DINA | Mgmt | For | For | For | |
DUBLON | ||||||
4 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
WILLIAM H. GATES III | ||||||
5 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
RAYMOND V. GILMARTIN | ||||||
6 | ELECTION OF DIRECTOR: REED | Mgmt | For | For | For | |
HASTINGS | ||||||
7 | ELECTION OF DIRECTOR: DAVID | Mgmt | For | For | For | |
F. MARQUARDT | ||||||
8 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
CHARLES H. NOSKI | ||||||
9 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
HELMUT PANKE | ||||||
10 | Executive Officer Incentive Plan | Mgmt | For | For | For | |
11 | Amendment to the 1999 Stock | Mgmt | For | For | For | |
Option Plan for Non-Employee | ||||||
Directors | ||||||
12 | Ratification of Auditor | Mgmt | For | For | For | |
13 | SHAREHOLDER PROPOSAL - | ShrHoldr | Against | Against | For | |
ADOPTION OF POLICIES ON | ||||||
INTERNET CENSORSHIP. |
14 | SHAREHOLDER PROPOSAL - | ShrHoldr | Against | Against | For | |
ESTABLISHMENT OF BOARD | ||||||
COMMITTEE ON HUMAN RIGHTS. | ||||||
15 | SHAREHOLDER PROPOSAL - | ShrHoldr | Against | Against | For | |
DISCLOSURE OF CHARITABLE | ||||||
CONTRIBUTIONS. | ||||||
Monsanto Company | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MON | CUSIP9 61166W101 | 01/14/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
JANICE L. FIELDS | ||||||
2 | ELECTION OF DIRECTOR: HUGH | Mgmt | For | For | For | |
GRANT | ||||||
3 | ELECTION OF DIRECTOR: C. | Mgmt | For | For | For | |
STEVEN MCMILLAN | ||||||
4 | ELECTION OF DIRECTOR: | Mgmt | For | For | For | |
ROBERT J. STEVENS | ||||||
5 | Ratification of Auditor | Mgmt | For | For | For | |
MTS Systems Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
MTSC | CUSIP9 553777103 | 02/04/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Jean-Lou Chameau | Mgmt | For | For | For | |
1.2 | Elect Merlin Dewing | Mgmt | For | For | For | |
1.3 | Elect Laura Hamilton | Mgmt | For | For | For | |
1.4 | Elect Brendan Hegarty | Mgmt | For | For | For | |
1.5 | Elect Lois Martin | Mgmt | For | For | For | |
1.6 | Elect Joseph O'Donnell | Mgmt | For | For | For | |
1.7 | Elect Barb Samardzich | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
National City Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NCC | CUSIP9 635405103 | 12/23/2008 | Voted | |||
Meeting Type | Country of Trade |
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | For | For | |
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |
NetApp, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
NTAP | CUSIP9 64110D104 | 09/02/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Daniel Warmenhoven | Mgmt | For | For | For | |
1.2 | Elect Donald Valentine | Mgmt | For | For | For | |
1.3 | Elect Jeffry Allen | Mgmt | For | For | For | |
1.4 | Elect Carol Bartz | Mgmt | For | For | For | |
1.5 | Elect Alan Earhart | Mgmt | For | For | For | |
1.6 | Elect Thomas Georgens | Mgmt | For | For | For | |
1.7 | Elect Edward Kozel | Mgmt | For | For | For | |
1.8 | Elect Mark Leslie | Mgmt | For | For | For | |
1.9 | Elect Nicholas Moore | Mgmt | For | For | For | |
1.10 | Elect George Shaheen | Mgmt | For | For | For | |
1.11 | Elect Robert Wall | Mgmt | For | For | For | |
2 | Amendment to the 1999 Stock | Mgmt | For | Against | Against | |
Option Plan to Allow For Equity | ||||||
Grants to Non-Employee Directors | ||||||
3 | Amendment to the 1999 Stock | Mgmt | For | Against | Against | |
Option Plan to Increase the Share | ||||||
Reserve | ||||||
4 | Amendment to the Employee Stock | Mgmt | For | For | For | |
Purchase Plan | ||||||
5 | Ratification of Auditor | Mgmt | For | For | For | |
NV Energy, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SRP | CUSIP9 826428104 | 11/19/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Company Name Change | Mgmt | For | For | For | |
Oracle Corporation |
Ticker | Security ID: | Meeting Date | Meeting Status | |||
ORCL | CUSIP9 68389X105 | 10/10/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Jeffrey Henley | Mgmt | For | For | For | |
1.2 | Elect Lawrence Ellison | Mgmt | For | For | For | |
1.3 | Elect Donald Lucas | Mgmt | For | Withhold | Against | |
1.4 | Elect Michael Boskin | Mgmt | For | For | For | |
1.5 | Elect Jack Kemp | Mgmt | For | For | For | |
1.6 | Elect Jeffrey Berg | Mgmt | For | For | For | |
1.7 | Elect Safra Catz | Mgmt | For | For | For | |
1.8 | Elect Hector Garcia-Molina | Mgmt | For | For | For | |
1.9 | Elect H. Raymond Bingham | Mgmt | For | For | For | |
1.10 | Elect Charles Phillips, Jr. | Mgmt | For | For | For | |
1.11 | Elect Naomi Seligman | Mgmt | For | For | For | |
1.12 | Elect George Conrades | Mgmt | For | For | For | |
1.13 | Elect Bruce Chizen | Mgmt | For | For | For | |
2 | 2009 Executive Bonus Plan | Mgmt | For | Against | Against | |
3 | Ratification of Auditor | Mgmt | For | For | For | |
4 | STOCKHOLDER PROPOSAL ON | ShrHoldr | Against | Against | For | |
ADVISORY VOTE ON EXECUTIVE | ||||||
COMPENSATION. | ||||||
Parker-Hannifin Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PH | CUSIP9 701094104 | 10/22/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect William Kassling | Mgmt | For | For | For | |
1.2 | Elect Joseph Scaminace | Mgmt | For | For | For | |
1.3 | Elect Wolfgang Schmitt | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Plantronics, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PLT | CUSIP9 727493108 | 07/23/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Marv Tseu | Mgmt | For | For | For | |
1.2 | Elect Ken Kannappan | Mgmt | For | For | For | |
1.3 | Elect Brian Dexheimer | Mgmt | For | For | For |
1.4 | Elect Greggory Hammann | Mgmt | For | For | For | |
1.5 | Elect John Hart | Mgmt | For | For | For | |
1.6 | Elect Marshall Mohr | Mgmt | For | For | For | |
1.7 | Elect Roger Wery | Mgmt | For | For | For | |
2 | RATIFY AND APPROVE | Mgmt | For | For | For | |
AMENDMENTS TO THE 2003 | ||||||
STOCK PLAN. | ||||||
3 | RATIFY AND APPROVE | Mgmt | For | For | For | |
AMENDMENTS TO THE 2002 | ||||||
EMPLOYEE STOCK PURCHASE | ||||||
PLAN. | ||||||
4 | Ratification of Auditor | Mgmt | For | For | For | |
Resources Connection Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RECN | CUSIP9 76122Q105 | 10/17/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Jolene Sykes-Sarkis | Mgmt | For | For | For | |
1.2 | Elect Anne Shih | Mgmt | For | For | For | |
1.3 | Elect Robert Kistinger | Mgmt | For | For | For | |
2 | Amendment to the 2004 | Mgmt | For | Against | Against | |
Performance Incentive Plan | ||||||
3 | Amendment to the Employee Stock | Mgmt | For | For | For | |
Purchase Plan | ||||||
4 | Ratification of Auditor | Mgmt | For | For | For | |
RTI Biologics Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
RTIX | CUSIP9 74975N105 | 07/29/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Peter Gearen | Mgmt | For | For | For | |
1.2 | Elect Michael Odrich | Mgmt | For | For | For | |
1.3 | Elect Adrian Smith | Mgmt | For | For | For | |
1.4 | Elect Udo Henseler | Mgmt | For | For | For | |
Safeco Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SAF | CUSIP9 786429100 | 07/29/2008 | Voted | |||
Meeting Type | Country of Trade |
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | For | For | |
2.1 | Elect Joseph Brown | Mgmt | For | For | For | |
2.2 | Elect Kerry Killinger | Mgmt | For | For | For | |
2.3 | Elect Gary Locke | Mgmt | For | For | For | |
2.4 | Elect Charles Rinehart | Mgmt | For | For | For | |
2.5 | Elect Gerardo I. Lopez | Mgmt | For | For | For | |
3 | Ratification of Auditor | Mgmt | For | For | For | |
4 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Sanmina-SCI Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SANM | CUSIP9 800907107 | 09/29/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Reverse Stock Split | Mgmt | For | For | For | |
Scotts Miracle-Gro Company | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SMG | CUSIP9 810186106 | 01/22/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Thomas Kelly, Jr. | Mgmt | For | For | For | |
1.2 | Elect Carl Kohrt | Mgmt | For | For | For | |
1.3 | Elect John Shiely | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Seagate Technology | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
STX | CUSIP9 G7945J104 | 10/30/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | ELECT WILLIAM D. WATKINS AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
2 | ELECT STEPHEN J. LUCZO AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
3 | ELECT FRANK J. BIONDI AS A | Mgmt | For | For | For | |
DIRECTOR |
4 | ELECT WILLIAM W. BRADLEY AS | Mgmt | For | For | For | |
A DIRECTOR | ||||||
5 | ELECT DONALD E. KIERNAN AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
6 | ELECT DAVID F. MARQUARDT AS | Mgmt | For | For | For | |
A DIRECTOR | ||||||
7 | ELECT LYDIA M. MARSHALL AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
8 | ELECT C.S. PARK AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
9 | ELECT GREGORIO REYES AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
10 | ELECT JOHN W. THOMPSON AS A | Mgmt | For | For | For | |
DIRECTOR | ||||||
11 | Amendment to the Executive Officer | Mgmt | For | For | For | |
Performance Bonus Plan | ||||||
12 | Ratification of Auditor | Mgmt | For | For | For | |
Secure Computing Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SCUR | CUSIP9 813705100 | 11/14/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of Merger | Mgmt | For | For | For | |
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |
Sigma Designs, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SIGM | CUSIP9 826565103 | 07/10/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Thinh Tran | Mgmt | For | Withhold | Against | |
1.2 | Elect William Almon | Mgmt | For | Withhold | Against | |
1.3 | Elect Julien Nguyen | Mgmt | For | Withhold | Against | |
1.4 | Elect Lung Tsai | Mgmt | For | Withhold | Against | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Sovereign Bancorp, Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SOV | CUSIP9 845905108 | 01/28/2009 | Take No Action | |||
Meeting Type | Country of Trade |
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger | Mgmt | For | TNA | N/A | |
2 | Right to Adjourn Meeting | Mgmt | For | TNA | N/A | |
Stone Energy Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SGY | CUSIP9 861642106 | 08/27/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Issuance of Shares Pursuant to | Mgmt | For | For | For | |
Merger | ||||||
Tidewater Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TDW | CUSIP9 886423102 | 07/31/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect M. Jay Allison | Mgmt | For | For | For | |
1.2 | Elect James Day | Mgmt | For | For | For | |
1.3 | Elect Richard du Moulin | Mgmt | For | For | For | |
1.4 | Elect J. Wayne Leonard | Mgmt | For | For | For | |
1.5 | Elect Richard Pattarozzi | Mgmt | For | For | For | |
1.6 | Elect Nicholas Sutton | Mgmt | For | For | For | |
1.7 | Elect Cindy Taylor | Mgmt | For | For | For | |
1.8 | Elect Dean Taylor | Mgmt | For | For | For | |
1.9 | Elect Jack Thompson | Mgmt | For | For | For | |
2 | APPROVAL OF THE TERMS OF | Mgmt | For | For | For | |
THE EXECUTIVE OFFICER | ||||||
ANNUAL INCENTIVE PLAN. | ||||||
3 | Ratification of Auditor | Mgmt | For | For | For | |
Trico Marine Services Inc. | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
TRMA | CUSIP9 896106200 | 08/12/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Issuance of Common Stock | Mgmt | For | For | For | |
Pursuant to the DeepOcean | ||||||
Acquisition |
2 | Increase of Authorized Common | Mgmt | For | For | For | |
Stock | ||||||
3 | Miscellaneous Proposal | Mgmt | Abstain | Abstain | For | |
Tutor Perini Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
PCRCP | CUSIP9 713839108 | 09/05/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Approval of the Merger Agreement | Mgmt | For | For | For | |
2 | Increase Authorized Shares | Mgmt | For | For | For | |
3.1 | Elect Marilyn Alexander | Mgmt | For | For | For | |
3.2 | Elect Peter Arkley | Mgmt | For | For | For | |
3.3 | Elect Raymond Oneglia | Mgmt | For | For | For | |
3.4 | Elect Donald Snyder | Mgmt | For | For | For | |
4 | Ratification of Auditor | Mgmt | For | For | For | |
5 | Amendment to the 2004 Stock | Mgmt | For | Against | Against | |
Option and Incentive Plan | ||||||
6 | Right to Adjourn Meeting | Mgmt | For | For | For | |
UGI Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UGI | CUSIP9 902681105 | 01/27/2009 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Stephen Ban | Mgmt | For | For | For | |
1.2 | Elect Richard Gozon | Mgmt | For | For | For | |
1.3 | Elect Lon Greenberg | Mgmt | For | For | For | |
1.4 | Elect Marvin Schlanger | Mgmt | For | For | For | |
1.5 | Elect Anne Pol | Mgmt | For | For | For | |
1.6 | Elect Ernest Jones | Mgmt | For | For | For | |
1.7 | Elect John Walsh | Mgmt | For | For | For | |
1.8 | Elect Roger Vincent | Mgmt | For | For | For | |
1.9 | Elect M. Shawn Puccio | Mgmt | For | For | For | |
2 | Ratification of Auditor | Mgmt | For | For | For | |
Universal Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
UVVHP | CUSIP9 913456109 | 08/05/2008 | Voted | |||
Meeting Type | Country of Trade |
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect George Freeman | Mgmt | For | For | For | |
1.2 | Elect Eddie Moore, Jr. | Mgmt | For | For | For | |
1.3 | Elect Hubert Stallard | Mgmt | For | For | For | |
VERITAS Software Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
SYMC | CUSIP9 871503108 | 09/22/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Michael Brown | Mgmt | For | For | For | |
1.2 | Elect William Coleman, III | Mgmt | For | For | For | |
1.3 | Elect Frank Dangeard | Mgmt | For | For | For | |
1.4 | Elect Geraldine Laybourne | Mgmt | For | For | For | |
1.5 | Elect David Mahoney | Mgmt | For | For | For | |
1.6 | Elect Robert Miller | Mgmt | For | For | For | |
1.7 | Elect George Reyes | Mgmt | For | For | For | |
1.8 | Elect Daniel Schulman | Mgmt | For | For | For | |
1.9 | Elect John Thompson | Mgmt | For | For | For | |
1.10 | Elect V. Paul Unruh | Mgmt | For | For | For | |
2 | Amendment to the 2004 Equity | Mgmt | For | Against | Against | |
Incentive Plan | ||||||
3 | 2008 Employee Stock Purchase | Mgmt | For | For | For | |
Plan | ||||||
4 | Amendment to the Senior Executive | Mgmt | For | For | For | |
Incentive Plan | ||||||
5 | Ratification of Auditor | Mgmt | For | For | For | |
Whitney Holding Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WTNY | CUSIP9 966612103 | 12/17/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Special | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1 | Authorization of Preferred Stock | Mgmt | For | Against | Against | |
2 | Increase in Authorized Common | Mgmt | For | For | For | |
Stock | ||||||
World Acceptance Corporation | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WRLD | CUSIP9 981419104 | 08/06/2008 | Voted |
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect A. Alexander McLean, lll | Mgmt | For | For | For | |
1.2 | Elect James R. Gilreath | Mgmt | For | For | For | |
1.3 | Elect William S. Hummers, lll | Mgmt | For | For | For | |
1.4 | Elect Charles Way | Mgmt | For | For | For | |
1.5 | Elect Ken R. Bramlett, Jr. | Mgmt | For | For | For | |
1.6 | Elect Mark C. Roland | Mgmt | For | For | For | |
1.7 | Elect Darrell Whitaker | Mgmt | For | For | For | |
2 | PROPOSAL TO APPROVE THE | Mgmt | For | For | For | |
2008 STOCK OPTION PLAN | ||||||
3 | Ratification of Auditor | Mgmt | For | For | For | |
Worthington Industries | ||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||
WOR | CUSIP9 981811102 | 09/24/2008 | Voted | |||
Meeting Type | Country of Trade | |||||
Annual | United States | |||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |
1.1 | Elect Michael Endres | Mgmt | For | For | For | |
1.2 | Elect Peter Karmanos, Jr. | Mgmt | For | For | For | |
1.3 | Elect Carl Nelson, Jr. | Mgmt | For | For | For | |
2 | Annual Incentive Plan for | Mgmt | For | For | For | |
Executives | ||||||
3 | Amendment to the 1997 Long-Term | Mgmt | For | For | For | |
Incentive Plan | ||||||
4 | Ratification of Auditor | Mgmt | For | For | For | |
5 | Shareholder Proposal Regarding | ShrHoldr | Against | Against | For | |
Implementing Equal Employment | ||||||
Opportunity Policies |
Any ballot marked 'Abstain' is considered to have been voted. Ballots marked 'Abstain' are considered to have been voted against management's recommendation if management's recommendation is 'For' or 'Against,' and for management’s recommendation if management’s recommendation is ‘Abstain.’ Where management has recommended that shareholders 'Abstain' from voting on a ballot item, a ballot marked 'For' or 'Against' is considered to have been voted against management's recommendation to 'Abstain.'
Where management has made no recommendation on a ballot item, 'NA' is used to indicate that there is no management recommendation that a shareholder may vote 'For' or 'Against.'
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Registrant: | Putnam Capital Appreciation Fund |
By: | /s/ Charles E. Porter |
Name: | Charles E. Porter |
Title: | Executive Vice President, Associate Treasurer, Principal Executive Officer and |
Compliance Liaison | |
Date: | August 3, 2009 |