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 811-08004
Aston Funds
(Exact name of registrant as specified in charter)
120 North LaSalle Street, 25
th Floor
Chicago, IL 60602
(Address of principal executive offices) (Zip code)
Kenneth C. Anderson, President
Aston Funds
120 North LaSalle Street, 25
th Floor
Chicago, IL 60602
(Name and address of agent for service)
Registrant’s telephone number, including area code: 312-268-1400
Date of fiscal year end: October 31
Date of reporting period: July 1, 2008 — January 29, 2009
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2008 TO JANUARY 29, 2009
Item 1: Proxy Voting Record — Item 1 Proxy Voting Record -
Registrant : Aston Funds
Fund Name : Aston/SGA International Small-Mid Cap Fund
07/01/2008 — 06/30/2009
In all markets, for all statuses, for
Key-
| | | | | | |
Air New Zealand Ltd. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
AIR | | ISIN NZAIRE0001S2 | | 09/24/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | New Zealand | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Elect John Palmer as Director | | Mgmt | | For | | For | | For |
2 | | Elect Roger France as Director | | Mgmt | | For | | For | | For |
3 | | Elect Paul Bingham as Director | | Mgmt | | For | | For | | For |
| | | | | | |
Arques Industries AG (frmly AG Bad Salzschlirf) |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN DE0005156004 | | 07/03/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Germany | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive Financial Statements and Statutory Reports for Fiscal 2007 (Non-Voting) | | Null | | Null | | Null | | N/A |
2 | | Approve Allocation of Income and Omission of Dividends | | Mgmt | | For | | Against | | Against |
3 | | Approve Discharge of Management Board for Fiscal 2007 | | Mgmt | | For | | For | | For |
4 | | Approve Discharge of Supervisory Board for Fiscal 2007 | | Mgmt | | For | | For | | For |
5 | | Ratify PricewaterhouseCoopers AG as Auditors for Fiscal 2008 | | Mgmt | | For | | For | | For |
6 | | Approve Stock Option Plan for Key Employees; Approve Creation of EUR 1.3 Million Pool of Conditional Capital to Guarantee Conversion Rights | | Mgmt | | For | | For | | For |
7 | | Amend Articles Re: Board-Related | | Mgmt | | For | | Against | | Against |
8 | | Authorize Share Repurchase Program and Reissuance or Cancellation of Repurchased Shares | | Mgmt | | For | | For | | For |
| | | | | | |
Bonduelle |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN FR0000063935 | | 12/04/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
MIX | | France | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Consolidated Financial Statements and Discharge Supervisory Board Members, General Manager and Auditors | | Mgmt | | For | | For | | For |
3 | | Approve Allocation of Income and Dividends of EUR 1.50 per Share | | Mgmt | | For | | For | | For |
4 | | Approve Special Auditors’ Report Regarding Related-Party Transactions | | Mgmt | | For | | For | | For |
5 | | Authorize Repurchase of Up to Ten Percent of Issued Share Capital | | Mgmt | | For | | Against | | Against |
6 | | Approve Remuneration of Directors in the Aggregate Amount of EUR 30,000 | | Mgmt | | For | | For | | For |
7 | | Reelect Stanislas Dalle as Supervisory Board Member | | Mgmt | | For | | Against | | Against |
8 | | Reelect Jean Gueguen as Supervisory Board Member | | Mgmt | | For | | Against | | Against |
9 | | Elect Louis Bonduelle as Supervisory Board Member | | Mgmt | | For | | Against | | Against |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
10 | | Authorize Capitalization of Reserves of Up to EUR 17.5 Million for Bonus Issue or Increase in Par Value | | Mgmt | | For | | For | | For |
11 | | Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of EUR 17.5 Million | | Mgmt | | For | | For | | For |
12 | | Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of EUR 17.5 Million | | Mgmt | | For | | Against | | Against |
13 | | Approve Employee Stock Purchase Plan | | Mgmt | | For | | For | | For |
14 | | Authorize Filling of Required Documents/Other Formalities | | Mgmt | | For | | For | | For |
| | | | | | |
Charter plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CHTR | | ISIN GB0001882637 | | 10/01/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Scheme of Arrangement; Auth. Directors to Carry Scheme into Effect; Approve Reduction and Subsequent Increase in Share Cap.; Capitalise Reserves to Charter International plc and/or Its Nominee(s); Issue Equity with Rights; Amend Articles of Assoc. | | Mgmt | | For | | For | | For |
|
2 | | Approve Distribution by Charter International plc from Time to Time of Reserves as Dividends; Approve Application by Charter International plc from Time to Time of Reserves Toward Any Other Lawful Purpose to Which such a Reserve May be Applied | | Mgmt | | For | | For | | For |
|
3 | | Approve Charter International plc Long Term Incentive Plan | | Mgmt | | For | | For | | For |
4 | | Approve Charter International plc Deferred Bonus Plan | | Mgmt | | For | | For | | For |
| | | | | | |
Charter plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CHTR | | ISIN GB0001882637 | | 10/01/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Court | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Scheme of Arrangement Proposed to be Made Between the Company and the Holders of the Old Charter Ordinary Shares | | Mgmt | | For | | For | | For |
| | | | | | |
Contact Energy Ltd. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CEN | | ISIN NZCENE0001S6 | | 10/23/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | New Zealand | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Authorization of the Board to Fix the Auditor’s Fees and Expenses | | Mgmt | | For | | For | | For |
2 | | Elect Phillip Pryke as Director | | Mgmt | | For | | Against | | Against |
3 | | Elect John Milne as Director | | Mgmt | | For | | Against | | Against |
4 | | Approve Increase in the Remuneration of Directors in the Amount of NZ$1.5 Million to take effect on July 1, 2008 | | Mgmt | | For | | Against | | Against |
| | | | | | |
CSL Ltd. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CSL | | ISIN AU000000CSL8 | | 10/15/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Australia | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive and Consider Financial Statements and the Report of the Directors and Auditors for the Year Ending June 30, 2008 | | Null | | Null | | Null | | N/A |
2.1 | | Elect David Anstice as Director | | Mgmt | | For | | For | | For |
2.2 | | Elect Elizabeth A. Alexander as Director | | Mgmt | | For | | For | | For |
2.3 | | Elect David J. Simpson as Director | | Mgmt | | For | | For | | For |
3 | | Approve Remuneration Report for the Year Ending June 30, 2008 | | Mgmt | | For | | For | | For |
| | | | | | |
Danisco A/S |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
DCO | | ISIN DK0010207497 | | 08/20/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Denmark | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive Report of Board | | Null | | Null | | Null | | N/A |
2 | | Approve Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
3 | | Approve Allocation of Income and Dividends of DKK 7.50 per Share | | Mgmt | | For | | For | | For |
4 | | Reelect Joergen Tandrup, Haakan Bjoerklund, and Kirsten Drejer as Directors | | Mgmt | | For | | For | | For |
5 | | Reappoint Deloitte as Auditors | | Mgmt | | For | | For | | For |
6.1 | | Approve Sale of Danisco Sugar A/S to a Subsidiary of Nordzucker AG | | Mgmt | | For | | For | | For |
6.2 | | Approve DKK 25 Million Reduction in Share Capital via Share Cancellation | | Mgmt | | For | | For | | For |
7.1 | | Amend Articles Re: Extend Authorization to Create DKK 250 Million Pool of Capital without Preemptive Rights for Five Years | | Mgmt | | For | | Against | | Against |
|
7.2 | | Amend Articles Re: Extend Authorization to Issue Convertible Bonds without Preemptive Rights up to Aggregate Nominal Amount of DKK 250 Million for Five Years; Approve Creation of DKK 250 Million Pool of Capital to Guarantee Conversion Rights | | Mgmt | | For | | Against | | Against |
7.3 | | Amend Articles Re: Delete Article 4.7 | | Mgmt | | For | | For | | For |
7.4 | | Amend Articles Re: Approve Use of Email to Notify Shareholders of General Meetings | | Mgmt | | For | | For | | For |
7.5 | | Amend Articles Re: Approve Minimum (2) and Maximum (5) Number of Members of Executive Board | | Mgmt | | For | | For | | For |
7.6 | | Amend Articles Re: Approve Use of Electronic Communication with Shareholders Including for Convening Of General Meetings | | Mgmt | | For | | For | | For |
|
8 | | Approve Remuneration of Directors | | Mgmt | | For | | For | | For |
9 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | Mgmt | | For | | For | | For |
10 | | Approve Stock Option Plan to Executives and Senior Managers; Approve Creation of Pool of Capital to Guarantee Conversion Rights | | Mgmt | | For | | For | | For |
11 | | Ensure that Workers at Grindstedvaerket who have Suffered Injury Will Receive Damages | | ShrHoldr | | Against | | Against | | For |
| | | | | | |
FBD Holdings Plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN IE0003290289 | | 08/26/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Waive Requirement for Mandatory Offer to All Shareholders | | Mgmt | | For | | For | | For |
2 | | Waive Requirement for Mandatory Offer to All Shareholders | | Mgmt | | For | | For | | For |
| | | | | | |
Golden Agri-Resources Ltd |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
GGR | | ISIN MU0117U00026 | | 10/24/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | Singapore | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve GAR Restricted Share Plan | | Mgmt | | For | | Against | | Against |
| | | | | | |
Hays plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
HAS | | ISIN GB0004161021 | | 11/12/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Final Dividend of 3.95 Pence Per Ordinary Share | | Mgmt | | For | | For | | For |
3 | | Approve Remuneration Report | | Mgmt | | For | | Against | | Against |
4 | | Elect Richard Smelt as Director | | Mgmt | | For | | For | | For |
|
5 | | Re-elect William Eccleshare as Director | | Mgmt | | For | | For | | For |
6 | | Re-elect Paul Stoneham as Director | | Mgmt | | For | | For | | For |
7 | | Re-elect Paul Venables as Director | | Mgmt | | For | | For | | For |
8 | | Reappoint Deloitte & Touche LLP as Auditors of the Company | | Mgmt | | For | | For | | For |
|
9 | | Authorise Board to Fix Remuneration of Auditors | | Mgmt | | For | | For | | For |
10 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 4,585,884 | | Mgmt | | For | | For | | For |
11 | | Subject to the Passing of Resolution 10, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 687,882 | | Mgmt | | For | | For | | For |
|
12 | | Authorise 206,364,799 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
|
13 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
Helphire Group plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
HHR | | ISIN GB0004195219 | | 09/08/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Increase Auth. Ordinary Share Capital from GBP 10M to GBP 11M; Issue Equity with Rights up to GBP 2.04M (Placing and Open Offer); Otherwise up to GBP 2.01M; Issue Equity without Rights up to GBP 2.04M (Placing and Open Offer); Otherwise up to GBP 0.45M | | Mgmt | | For | | For | | For |
| | | | | | |
Helphire Group plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
HHR | | ISIN GB0004195219 | | 11/13/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Final Dividend of 5.8 Pence Per Ordinary Share | | Mgmt | | For | | For | | For |
3 | | Re-elect Mark Jackson as Director | | Mgmt | | For | | For | | For |
4 | | Elect Mark Adams as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
5 | | Elect Dr Reiner Hagemann as Director | | Mgmt | | For | | For | | For |
6 | | Reappoint Deloitte & Touche LLP as Auditors and Authorise the Board to Determine Their Remuneration | | Mgmt | | For | | For | | For |
7 | | Approve Remuneration Report | | Mgmt | | For | | For | | For |
8 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
Huabao International Holdings Limited (formerly LEAPTEK LTD |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
336 | | ISIN BMG4639H1060 | | 08/01/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Hong Kong | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Directors’ and Auditors’ Reports | | Mgmt | | For | | For | | For |
|
2 | | Approve Final Dividend | | Mgmt | | For | | For | | For |
3.1 | | Reelect Mak Kin Kwong, Peter as Director and Authorize Board to Fix His Remuneration | | Mgmt | | For | | For | | For |
3.2 | | Reelect Poon Chiu Kwok as Director and Authorize Board to Fix His Remuneration | | Mgmt | | For | | For | | For |
3.3 | | Reelect Lee Luk Shiu as Director and Authorize Board to Fix His Remuneration | | Mgmt | | For | | For | | For |
3.4 | | Reelect Xiong Qing as Director and Authorize Board to Fix Hix Remuneration | | Mgmt | | For | | For | | For |
3.5 | | Reelect Lau Chi Tak as Director and Authorize Board to fix His Remuneration | | Mgmt | | For | | For | | For |
4 | | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | | Mgmt | | For | | For | | For |
5.1 | | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | | Mgmt | | For | | Against | | Against |
5.2 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | Mgmt | | For | | For | | For |
5.3 | | Authorize Reissuance of Repurchased Shares | | Mgmt | | For | | Against | | Against |
| | | | | | |
Huabao International Holdings Limited (formerly LEAPTEK LTD |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
336 | | ISIN BMG4639H1060 | | 08/07/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | Hong Kong | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Acquisition of 100 Percent Interests in Wealthy King Investments Ltd. from Longkey Ltd. Pursuant to the Acquisition Agreement | | Mgmt | | For | | For | | For |
| | | | | | |
Investec plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
INVP | | ISIN GB00B17BBQ50 | | 08/07/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Re-elect Samuel Abrahams as Director | | Mgmt | | For | | Against | | Against |
2 | | Re-elect Cheryl Carolus as Director | | Mgmt | | For | | For | | For |
3 | | Re-elect Haruko Fukuda as Director | | Mgmt | | For | | For | | For |
4 | | Re-elect Hugh Herman as Director | | Mgmt | | For | | For | | For |
5 | | Re-elect Geoffrey Howe as Director | | Mgmt | | For | | For | | For |
6 | | Re-elect Bernard Kantor as Director | | Mgmt | | For | | For | | For |
7 | | Re-elect Ian Kantor as Director | | Mgmt | | For | | For | | For |
8 | | Re-elect Sir Chips Keswick as Director | | Mgmt | | For | | For | | For |
9 | | Re-elect Peter Malungani as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
10 | | Re-elect Peter Thomas as Director | | Mgmt | | For | | Against | | Against |
11 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
12 | | Determine, Ratify and Approve the Remuneration Report | | Mgmt | | For | | For | | For |
13 | | Sanction Interim Dividend on the Ordinary Shares | | Mgmt | | For | | For | | For |
14 | | Sanction Interim Dividend on the Dividend Access (South African Resident) Redeemable Preference Share | | Mgmt | | For | | For | | For |
15 | | Approve Final Dividend on the Ordinary Shares and the Dividend Access (South African Resident) Redeemable Preference Share | | Mgmt | | For | | For | | For |
16 | | Reappoint Ernst & Young Inc as Auditors and Authorise the Board to Determine Their Remuneration | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
17 | | Reappoint KPMG Inc as Auditors and Authorise the Board to Determine Their Remuneration | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
18 | | Unless and Until Such Date that Resolution 24 Becomes Effective, Place 4,207,950 Ordinary Shares Under the Control of the Directors, or From the Date on Which Resolution 24 Becomes Effective, Place 6,457,950 Ordinary Shares | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
19 | | Authorise that 4,000,000 Class “A” Variable Rate Compulsorily Convertible Non-Cumulative Preference Shares Be Placed Under the Control of the Directors | | Mgmt | | For | | For | | For |
20 | | Authorise that All the Remaining Unissued Shares in the Authorised Share Capital, Excluding the Ordinary and Class “A” Variable Rate Compulorily Convertible Non-Cumulative Preference Shares, Be Placed Under the Control of Directors | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
21 | | Unless and Until Such Date that Resolution 24 Becomes Effective, Issue Equity without Pre-emptive Rights up to 4,207,950 Ordinary Shares, or From the Date on Which Resolution 24 Becomes Effective, up to 6,457,950 Ordinary Shares | | Mgmt | | For | | For | | For |
22 | | Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to 4,000,000 Class “A” Variable Rate Compulsorily Convertible Non-Cumulative Preference Shares | | Mgmt | | For | | For | | For |
23 | | Authorise up to 20 Percent of the Issued Ordinary Share Capital or the Issued Non-Redeemable, Non-Cumulative, Non-Participating Preference Share Capital for Market Purchase | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
24 | | Approve Increase in Authorised Ordinary Share Capital to 300,000,000 | | Mgmt | | For | | For | | For |
25 | | Amend Memorandum of Association | | Mgmt | | For | | For | | For |
26 | | Amend Articles of Association Re: Multiple Proxies | | Mgmt | | For | | For | | For |
27 | | Amend Articles of Association Re: Demand for a Poll | | Mgmt | | For | | For | | For |
28 | | Amend Articles of Association Re: Corporate Representation | | Mgmt | | For | | For | | For |
29 | | Amend Articles of Association Re: Timing for the Deposit of Form of Proxy | | Mgmt | | For | | For | | For |
30 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
31 | | Authorise Board to Ratify and Execute Approved Resolutions | | Mgmt | | For | | For | | For |
32 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
33 | | Approve Remuneration Report | | Mgmt | | For | | For | | For |
34 | | Sanction the Interim Dividend on the Ordinary Shares | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
35 | | Approve Final Dividend of 13.5 Pence Per Ordinary Share | | Mgmt | | For | | For | | For |
36 | | Reappoint Ernst & Young LLP as Auditors and Authorise the Board to Determine Their Remuneration | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
37 | | Unless and Until Such Date that Resolution 24 Becomes Effective, Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to GBP 866,660, or From the Date on Which Resolution 24 Becomes Effective, up to GBP 871,160 | | Mgmt | | For | | For | | For |
38 | | Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 6,596 | | Mgmt | | For | | For | | For |
39 | | Authorise 42,417,437 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
40 | | Authorise the Company and its Subsidiaries to Make EU Donations to Political Organisations up to GBP 25,000 and Incur EU Political Expenditure up to GBP 75,000 | | Mgmt | | For | | For | | For |
41 | | Approve Increase in the Authorised Special Converting Share Capital to 300,000,000 by the Creation of 22,500,000 New Special Converting Shares | | Mgmt | | For | | For | | For |
42 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
43 | | Authorise Board to Ratify and Execute Approved Resolutions | | Mgmt | | For | | For | | For |
| | | | | | |
Lenovo Group Limited (formerly Legend Group Limited) |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN HK0992009065 | | 07/25/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Hong Kong | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Final Dividend | | Mgmt | | For | | For | | For |
3.1 | | Reelect Tian Suning as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3.2 | | Reelect Woo Chia-Wei as Director | | Mgmt | | For | | For | | For |
3.3 | | Reelect Ting Lee Sen as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3.4 | | Reelect Liu Chuanzhi as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3.5 | | Reelect Zhu Linan as Director | | Mgmt | | For | | For | | For |
3.6 | | Authorize Board to Fix Remuneration of Directors | | Mgmt | | For | | For | | For |
4 | | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | | Mgmt | | For | | For | | For |
5 | | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | | Mgmt | | For | | Against | | Against |
6 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | Mgmt | | For | | For | | For |
7 | | Authorize Reissuance of Repurchased Shares | | Mgmt | | For | | Against | | Against |
| | | | | | |
Northern Foods plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
NFDS | | ISIN GB0006466089 | | 07/28/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Remuneration Report | | Mgmt | | For | | For | | For |
3 | | Approve Final Dividend of 2.95 Pence Per Ordinary Share | | Mgmt | | For | | For | | For |
4 | | Re-elect Anthony Hobson as Director | | Mgmt | | For | | For | | For |
5 | | Re-elect Orna Ni-Chionna as Director | | Mgmt | | For | | For | | For |
6 | | Re-elect David Nish as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
7 | | Reappoint Deloitte & Touche LLP as Auditors of the Company | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
8 | | Authorise Board to Fix Remuneration of Auditors | | Mgmt | | For | | For | | For |
9 | | Authorise the Company and its Subsidiaries to Make EU Political Donations to Political Parties and/or Independent Election Candidates, to Political Organisations Other Than Political Parties and Incur EU Political Expenditure up to GBP 50,000 | | Mgmt | | For | | For | | For |
10 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 40,416,885 | | Mgmt | | For | | For | | For |
11 | | Subject to the Passing of Resolution 10, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 6,062,533 | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
12 | | Authorise 48,500,262 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
13 | | Amend Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
Origin Energy Ltd. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
ORG | | ISIN AU000000ORG5 | | 10/15/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Australia | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive Financial Statements and Statutory Reports for the Financial Year Ended June 30, 2008 | | N/A | | N/A | | N/A | | N/A |
2 | | Approve Remuneration Report for the Financial Year Ended June 30, 2008 | | Mgmt | | For | | For | | For |
3.1 | | Elect Bruce G Beeren as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3.2 | | Elect H Kevin McCann as Director | | Mgmt | | For | | For | | For |
4 | | Approve Increase in Aggregate Remuneration of Non-Executive Directors from A$1.6 Million to A$2.2 Million | | Mgmt | | For | | For | | For |
5 | | Renew Partial Takeover Provision | | Mgmt | | For | | For | | For |
| | | | | | |
PMP Limited (Formerly PMP Communications Ltd) |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
PMP | | ISIN AU000000PMP4 | | 11/07/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Australia | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive Financial Statements, Directors’ Report and Auditor’s Report for the Financial Year Ended June 30, 2008 | | N/A | | N/A | | N/A | | N/A |
2 | | Approve Remuneration Report for the Financial Year Ended June 30, 2008 | | Mgmt | | For | | For | | For |
3.1 | | Elect Peter George as Director | | Mgmt | | For | | For | | For |
3.2 | | Elect Dató Ng Jui Sia as Director | | Mgmt | | For | | For | | For |
| | | | | | |
S.A. SIPEF N.V. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN BE0003361632 | | 12/01/2008 | | Unvoted |
Meeting Type | | Country of Trade | | | | |
Special | | Belgium | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Stock Split and Amend Articles Accordingly | | Mgmt | | For | | Null | | N/A |
2 | | Amend Articles Re: Dematerialization of Bearer Shares | | Mgmt | | For | | Null | | N/A |
Not voted due to shareblocking restriction. The potential impact on trading/loan share activities would outweigh the economic value of the vote.
| | | | | | |
Sarantis SA |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN GRS204003008 | | 11/11/2008 | | Unvoted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Amend Decision on Share Repurchase Program | | Mgmt | | For | | Null | | N/A |
Not voted due to shareblocking restriction. The potential impact on trading/loan share activities would outweigh the economic value of the vote.
| | | | | | |
Sarantis SA |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN GRS204003008 | | 11/18/2008 | | Unvoted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Authorize Debt Issuance | | Mgmt | | For | | Null | | N/A |
Not voted due to shareblocking restriction. The potential impact on trading/loan share activities would outweigh the economic value of the vote.
| | | | | | |
Sibir Energy plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN GB00B04M0Q71 | | 12/18/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | Against | | Against |
2 | | Re-elect Henry Cameron as Director | | Mgmt | | For | | For | | For |
3 | | Re-elect Chalva Tchigirinski as Director | | Mgmt | | For | | Against | | Against |
4 | | Reappoint Ernst & Young LLP as Auditors of the Company | | Mgmt | | For | | For | | For |
5 | | Authorise Board to Fix Remuneration of Auditors | | Mgmt | | For | | For | | For |
6 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 12,885,476 | | Mgmt | | For | | For | | For |
7 | | Subject to the Passing of Resolution 6, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 1,932,823 | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
8 | | Auth. Company and its Subsidiaries to Make EU Political Donations to Political Parties and/or Independent Election Candidates up to GBP 0.1M, to Political Org. Other Than Political Parties up to GBP 0.1M and Incur EU Political Expenditure up to GBP 0.1M | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
9 | | Authorise 38,656,469 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
10 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
Sibir Energy plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN GB00B04M0Q71 | | 12/18/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve the Extension of the Activities of the Company and its Subsidiaries into the Purchase, Development and Sale of Real Estate | | Mgmt | | For | | Against | | Against |
2 | | Approve Purchase by Company of 50 Percent of Issued Share Capital of OAO Korimos and All Actions Taken by Company in Contemplation of or in Connection with Purchase from, Amongst Others, Chalva Tchigirinski (Director), or Any Person Connected with Him | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
3 | | Approve Purchase by Company of OAO Avtocard and All Actions Taken by Company in Contemplation of or in Connection with Purchase from, Amongst Others, Chalva Tchigirinski (Director), or Any Person Connected with Him | | Mgmt | | For | | For | | For |
4 | | Affirm Entry Into of an Agreement Between the Company, Ionics Nominees Ltd, Mediterranean Link (Nominees) Ltd and Ledra Nominees Ltd (Companies Connected with C Tchigirinski) Relating to Acquisition of Conver Investments Ltd and Duchamp Investments Ltd | | Mgmt | | For | | Against | | Against |
| | | | | | | | | | |
5 | | Affirm Entry into of an Agreement Between the Company, Kea Enterprises Limited (a Company Connected with Chalva Tchigirinski), Metral Industries Inc, Cooperman Services S.A. and Mezuma Overseas Corp. Relating to the Acquisition of Sovetskaya Limited | | Mgmt | | For | | Against | | Against |
| | | | | | | | | | |
6 | | Approve Purchase by the Company or Any of its Subsidiaries of All or Any of the Real Estate Interests, Therein From, Amongst Others, Chalva Tchigirinski (Director), or Any Person Connected with Him | | Mgmt | | For | | Against | | Against |
| | | | | | |
Singapore Press Holdings Ltd. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SGX | | ISIN SG1P66918738 | | 12/04/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Singapore | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Adopt Financial Statements and Directors’ and Auditors’ Reports | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Declare Final Dividend of SGD 0.09 Per Ordinary Share and Special Dividend of SGD 0.10 Per Ordinary Share | | Mgmt | | For | | For | | For |
3.1 | | Reelect Ngiam Tong Dow as Director | | Mgmt | | For | | For | | For |
3.2 | | Reelect Yong Pung How as Director | | Mgmt | | For | | For | | For |
4.1 | | Reelect Cham Tao Soon as Director | | Mgmt | | For | | For | | For |
4.2 | | Reelect Chan Heng Loon Alan as Director | | Mgmt | | For | | For | | For |
4.3 | | Reelect Sum Soon Lim as Director | | Mgmt | | For | | For | | For |
5 | | Approve Directors’ Fees of SGD 983,000 (2007: SGD 980,000) | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
6 | | Appoint Auditors and Authorize Board to Fix Their Remuneration | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
7 | | Other Business | | Mgmt | | For | | Against | | Against |
8.1 | | Approve Issuance of Shares without Preemptive Rights | | Mgmt | | For | | For | | For |
8.2 | | Approve Issuance of Shares and Grant Awards Pursuant to the SPH Performance Share Plan | | Mgmt | | For | | Against | | Against |
| | | | | | | | | | |
8.3 | | Authorize Share Repurchase Program | | Mgmt | | For | | For | | For |
| | | | | | |
Spice plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SPI | | ISIN GB00B01YR877 | | 09/03/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Final Dividend of 4.5 Pence Per Ordinary Share | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
3 | | Reappoint PricewaterhouseCoopers LLP as Auditors and Authorise the Audit Committee to Determine Their Remuneration | | Mgmt | | For | | For | | For |
4 | | Re-elect Oliver Lightowlers as Director | | Mgmt | | For | | For | | For |
5 | | Re-elect John Taylor as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
6 | | Elect Andrew Catchpole as Director | | Mgmt | | For | | For | | For |
7 | | Elect Peter Cawdron as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
8 | | Subject to and Upon Admission, Approve Subdivision of Each of the 80,000,000 Existing Issued and Unissued Ordinary Shares of 10 Pence Each in the Capital of the Company Into Five Ordinary Shares of 2 Pence Each | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
9 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 1,980,266.44 | | Mgmt | | For | | For | | For |
10 | | Subject to the Passing of Resolution 9, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 300,040.38 | | Mgmt | | For | | For | | For |
| | | | | | |
Spice plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SPI | | ISIN GB00B3CG9C16 | | 09/29/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 980,392.20 for the Purposes of the Placing | | Mgmt | | For | | For | | For |
2 | | Subject to the Passing of Resolution 1, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 980,392.20 for the Purposes of the Placing | | Mgmt | | For | | For | | For |
| | | | | | |
Spirent Communications plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SPNUF | | ISIN GB0004726096 | | 10/14/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Authorise 71,428,571 Ordinary Shares for Market Purchase Pursuant to the Tender Offer | | Mgmt | | For | | For | | For |
2 | | Conditional Upon the Passing of Resolution 1, Authorise 101,112,861 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
| | | | | | |
Spirent Communications plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SPNUF | | ISIN GB0004726096 | | 11/25/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Authorise 69,444,444 Ordinary Shares for Market Purchase Pursuant to the Tender Offer for Ordinary Shares | | Mgmt | | For | | For | | For |
2 | | Conditional Upon the Passing of Resolution 1, Authorise 98,824,685 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
| | | | | | |
Sportingbet plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SBT | | ISIN GB0009516252 | | 12/12/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Remuneration Report | | Mgmt | | For | | For | | For |
3 | | Reappoint Grant Thornton (UK) LLP as Auditors of the Company | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
4 | | Authorise Board to Fix Remuneration of Auditors | | Mgmt | | For | | For | | For |
5 | | Elect Peter Dicks as Director | | Mgmt | | For | | For | | For |
6 | | Elect James Wilkinson as Director | | Mgmt | | For | | For | | For |
7 | | Re-elect Andrew Mclver as Director | | Mgmt | | For | | For | | For |
8 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 158,316 | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
9 | | Subject to the Passing of Resolution 8, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 23,747 | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
10 | | Auth. Company and its Subsidiaries to Make EU Political Donations to Political Parties and/or Independent Election Candidates up to GBP 0.1M, to Political Org. Other Than Political Parties up to GBP 0.1M and Incur EU Political Expenditure up to GBP 0.1M | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
11 | | Authorise 47,494,863 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
12 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
Sun International Group Ltd. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN KYG857A41145 | | 08/08/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Cayman Islands | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports (Voting) | | Mgmt | | For | | For | | For |
2.1 | | Reelect Chui Bing Sun as Director | | Mgmt | | For | | For | | For |
2.2 | | Reelect Lee Chi Shing as Director | | Mgmt | | For | | For | | For |
2.3 | | Reelect Chau Cheok Wa as Director | | Mgmt | | For | | For | | For |
2.4 | | Reelect Cheng Mei Ching as Director | | Mgmt | | For | | For | | For |
2.5 | | Reelect Tang Hon Kwong as Director | | Mgmt | | For | | For | | For |
2.6 | | Approve Remuneration of Directors | | Mgmt | | For | | For | | For |
3 | | Approve Auditors and Authorize Board to Fix Their Remuneration | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
4.1 | | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | | Mgmt | | For | | Against | | Against |
4.2 | | Authorize Share Repurchase Program | | Mgmt | | For | | For | | For |
4.3 | | Authorize Reissuance of Repurchased Shares | | Mgmt | | For | | Against | | Against |
5 | | Approve Issuance of Shares Pursuant to the Share Option Scheme | | Mgmt | | For | | For | | For |
| | | | | | |
Syndicate Asset Management plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN GB00B0GR9291 | | 09/25/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | Against | | Against |
2 | | Re-elect John Morton as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
3 | | Re-elect David Pinckney as Director | | Mgmt | | For | | For | | For |
4 | | Elect Charles Gillow as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
5 | | Reappoint KPMG Audit plc as Auditors and Authorise the Board to Determine Their Remuneration | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
6 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 230,633 | | Mgmt | | For | | Against | | Against |
| | | | | | | | | | |
7 | | Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 100,000 | | Mgmt | | For | | Against | | Against |
8 | | Authorise up to Ten Percent of the Issued Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
9 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
The BSS Group plc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
BTSM | | ISIN GB00B09BY452 | | 07/24/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United Kingdom | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Accept Financial Statements and Statutory Reports | | Mgmt | | For | | For | | For |
2 | | Approve Remuneration Report | | Mgmt | | For | | For | | For |
3 | | Approve Final Dividend of 5.54 Pence Per Ordinary Share | | Mgmt | | For | | For | | For |
4 | | Re-elect Gavin Slark as Director | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
5 | | Re-elect Roy Harrison as Director | | Mgmt | | For | | For | | For |
6 | | Reappoint PricewaterhouseCoopers LLP as Auditors of the Company | | Mgmt | | For | | For | | For |
7 | | Authorise Board to Fix Remuneration of Auditors | | Mgmt | | For | | For | | For |
8 | | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of GBP 856,887 | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
9 | | Subject to the Passing of Resolution 8, Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of GBP 307,155 | | Mgmt | | For | | For | | For |
10 | | Authorise 12,286,226 Ordinary Shares for Market Purchase | | Mgmt | | For | | For | | For |
11 | | Adopt New Articles of Association | | Mgmt | | For | | For | | For |
| | | | | | |
The Link Real Estate Investment Trust |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
824 | | ISIN HK0823032773 | | 07/29/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Hong Kong | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive Financial Statements and Auditors’ Reports | | Null | | Null | | Null | | N/A |
2 | | Ratify Auditors | | Null | | Null | | Null | | N/A |
3.1 | | Reelect Ian David Murray Robins as Director of the Manager | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3.2 | | Reelect Ian Keith Griffiths as Director of the Manager | | Mgmt | | For | | For | | For |
3.3 | | Reelect Richard Wong Yue Chim as Director of the Manager | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
4.1 | | Reelect Patrick Fung Yuk Bun as Director of the Manager | | Mgmt | | For | | For | | For |
4.2 | | Reelect Stanley Ko Kam Chuen as Director of the Manager | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
5 | | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | | Mgmt | | For | | For | | For |
| | | | | | |
TOMTOM NV |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN NL0000387058 | | 09/19/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | Netherlands | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Open Meeting and Receive Announcements | | N/A | | N/A | | N/A | | N/A |
2 | | Elect Alain de Taeye to Management Board | | Mgmt | | For | | TNA | | N/A |
3 | | Elect Ben van der Veer to Supervisory Board | | Mgmt | | For | | TNA | | N/A |
4 | | Accept Resignation of Alexander Ribbink as a Management Board Member (Non-contentious) | | Mgmt | | For | | TNA | | N/A |
| | | | | | | | | | |
5 | | Amend Articles Re: Changes in Legislation and Technical Amendments | | Mgmt | | For | | TNA | | N/A |
6 | | Allow Questions | | Null | | Null | | Null | | N/A |
7 | | Close Meeting | | Null | | Null | | Null | | N/A |
| | | | | | |
USEN Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
4842 | | ISIN JP3946700006 | | 08/28/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | Japan | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Share Exchange Agreement with Intelligence Ltd. | | Mgmt | | For | | Against | | Against |
| | | | | | | | | | |
2 | | Amend Articles To Expand Business Lines<p> | | Mgmt | | For | | Against | | Against |
3.1 | | Elect Director | | Mgmt | | For | | Against | | Against |
3.2 | | Elect Director | | Mgmt | | For | | Against | | Against |
| | | | | | |
USEN Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
4842 | | ISIN JP3946700006 | | 11/27/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Japan | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Amend Articles To Create New Class of Preferred Shares<p> | | Mgmt | | For | | Against | | Against |
2.1 | | Elect Director | | Mgmt | | For | | Against | | Against |
2.2 | | Elect Director | | Mgmt | | For | | For | | For |
2.3 | | Elect Director | | Mgmt | | For | | For | | For |
2.4 | | Elect Director | | Mgmt | | For | | Against | | Against |
2.5 | | Elect Director | | Mgmt | | For | | For | | For |
2.6 | | Elect Director | | Mgmt | | For | | For | | For |
3 | | Appoint Alternate Internal Statutory Auditor | | Mgmt | | For | | For | | For |
4 | | Approve Special Bonus for Family of Deceased Director | | Mgmt | | For | | For | | For |
| | | | | | |
Zumtobel AG |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
| | ISIN AT0000837307 | | 07/29/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | Austria | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Receive Financial Statements and Statutory Reports for Fiscal 2007/2008 | | Null | | Null | | Null | | N/A |
2 | | Approve Allocation of Income for Fiscal 2007/2008 | | Mgmt | | For | | TNA | | N/A |
3 | | Approve Discharge of Management and Supervisory Board for Fiscal 2007/2008 | | Mgmt | | For | | TNA | | N/A |
4 | | Approve Remuneration of Supervisory Board Members for Fiscal 2008/2009 | | Mgmt | | For | | TNA | | N/A |
5 | | Elect Supervisory Board Members | | Mgmt | | For | | TNA | | N/A |
6 | | Authorize Share Repurchase Program and Reissuance of Repurchased Shares | | Mgmt | | For | | TNA | | N/A |
7 | | Amend Articles Re: Second Deputy Chairman of Supervisory Board | | Mgmt | | For | | TNA | | N/A |
8 | | Ratify Auditors for Fiscal 2008/2009 | | Mgmt | | For | | TNA | | N/A |
Item 1: Proxy Voting Record
Registrant : Aston Funds
Fund Name : Aston/ClariVest Mid Cap Growth Fund
07/01/2008 — 06/30/2009
Key-
| | | | | | |
Activision Blizzard, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
ATVI | | CUSIP 004930202 | | 07/08/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Merger Agreement | | Mgmt | | For | | For | | For |
2 | | Change Company Name | | Mgmt | | For | | For | | For |
3 | | Increase Authorized Common Stock | | Mgmt | | For | | For | | For |
4 | | Eliminate Class of Preferred Stock | | Mgmt | | For | | For | | For |
5 | | Amend Quorum Requirements | | Mgmt | | For | | For | | For |
6 | | Adopt Supermajority Vote Requirement for Amendments | | Mgmt | | For | | For | | For |
7 | | Prohibit Board to Amend Bylaws Without Shareholder Consent | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
8 | | Permit Directors Designated by Vivendi Certain Voting Powers | | Mgmt | | For | | For | | For |
9 | | Amend Certificate of Incorporation to Limit Certain Business Activities | | Mgmt | | For | | For | | For |
10 | | Amend Certificate of Incorporation to Establish Procedures Allocating Certain Corporate Opportunities | | Mgmt | | For | | For | | For |
11 | | Amend Certificate of Incorporation to Require Vivendi or Activision Blizzard to Acquire all Outstanding Shares | | Mgmt | | For | | For | | For |
12 | | Amend Certificate of Incorporation to Approve a Affiliate Transactions Provision | | Mgmt | | For | | For | | For |
13 | | Amend Certificate of Incorporation to Restrict Business Combination Provision | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
14 | | Prohibit Board to Amend Bylaws Without Shareholder Consent | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
15 | | Adjourn Meeting | | Mgmt | | For | | For | | For |
| | | | | | |
Activision Blizzard, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
ATVI | | CUSIP 00507V109 | | 09/24/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Philippe G. H. Capron | | Mgmt | | For | | Withhold | | Against |
1.2 | | Elect Director Robert J. Corti | | Mgmt | | For | | Withhold | | Against |
1.3 | | Elect Director Frederic R. Crepin | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.4 | | Elect Director Bruce L. Hack | | Mgmt | | For | | Withhold | | Against |
1.5 | | Elect Director Brian G. Kelly | | Mgmt | | For | | Withhold | | Against |
1.6 | | Elect Director Robert A. Kotick | | Mgmt | | For | | Withhold | | Against |
1.7 | | Elect Director Jean-Bernard Levy | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.8 | | Elect Director Robert J. Morgado | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.9 | | Elect Director Douglas P. Morris | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.10 | | Elect Director Rene P. Penisson | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.11 | | Elect Director Richard Sarnoff | | Mgmt | | For | | Withhold | | Against |
2 | | Approve Omnibus Stock Plan | | Mgmt | | For | | For | | For |
3 | | Adopt Policy and Report on Board Diversity | | ShrHldr | | Against | | Against | | For |
4 | | Advisory Vote to Ratify Named Executive Officers’ Compensation | | ShrHldr | | Against | | For | | Against |
| | | | | | |
Applied Biosystems Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
ABI | | CUSIP 038149100 | | 10/28/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Approve Merger Agreement | | Mgmt | | For | | For | | For |
2 | | Adjourn Meeting | | Mgmt | | For | | For | | For |
| | | | | | |
Avnet, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
AVT | | CUSIP 053807103 | | 11/06/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Eleanor Baum | | Mgmt | | For | | For | | For |
1.2 | | Elect Director J. Veronica Biggins | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.3 | | Elect Director Lawrence W. Clarkson | | Mgmt | | For | | For | | For |
1.4 | | Elect Director Ehud Houminer | | Mgmt | | For | | For | | For |
1.5 | | Elect Director Frank R. Noonan | | Mgmt | | For | | For | | For |
1.6 | | Elect Director Ray M. Robinson | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.7 | | Elect Director William P. Sullivan | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.8 | | Elect Director Gary L. Tooker | | Mgmt | | For | | For | | For |
1.9 | | Elect Director Roy Vallee | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
BMC Software, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
BMC | | CUSIP 055921100 | | 07/22/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director B. Garland Cupp | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Robert E. Beauchamp | | Mgmt | | For | | For | | For |
1.3 | | Elect Director Jon E. Barfield | | Mgmt | | For | | For | | For |
1.4 | | Elect Director Gary Bloom | | Mgmt | | For | | For | | For |
1.5 | | Elect Director Meldon K. Gafner | | Mgmt | | For | | For | | For |
|
1.6 | | Elect Director P. Thomas Jenkins | | Mgmt | | For | | For | | For |
|
1.7 | | Elect Director Louis J. Lavigne, Jr. | | Mgmt | | For | | For | | For |
1.8 | | Elect Director Kathleen A. O’Neil | | Mgmt | | For | | For | | For |
|
1.9 | | Elect Director Tom C. Tinsley | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Broadridge Financial Solutions, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
BR | | CUSIP 11133T103 | | 11/13/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Leslie A. Brun | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Richard J. Daly | | Mgmt | | For | | For | | For |
1.3 | | Elect Director Richard J. Haviland | | Mgmt | | For | | For | | For |
1.4 | | Elect Director Alexandra Lebenthal | | Mgmt | | For | | For | | For |
1.5 | | Elect Director Stuart R. Levine | | Mgmt | | For | | For | | For |
1.6 | | Elect Director Thomas E. McInerney | | Mgmt | | For | | For | | For |
1.7 | | Elect Director Alan J. Weber | | Mgmt | | For | | For | | For |
1.8 | | Elect Director Arthur F. Weinbach | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
3 | | Amend Omnibus Stock Plan | | Mgmt | | For | | For | | For |
| | | | | | |
CA Inc |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CA | | CUSIP 12673P105 | | 09/09/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Elect Director Raymond J. Bromark | | Mgmt | | For | | For | | For |
2 | | Elect Director Alfonse M. D’Amato | | Mgmt | | For | | For | | For |
3 | | Elect Director Gary J. Fernandes | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
4 | | Elect Director Robert E. La Blanc | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
5 | | Elect Director Christopher B. Lofgren | | Mgmt | | For | | For | | For |
6 | | Elect Director William E. McCracken | | Mgmt | | For | | For | | For |
7 | | Elect Director John A. Swainson | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
8 | | Elect Director Laura S. Unger | | Mgmt | | For | | For | | For |
9 | | Elect Director Arthur F. Weinbach | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
10 | | Elect Director Ron Zambonini | | Mgmt | | For | | For | | For |
11 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
CenturyTel, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CTL | | CUSIP 156700106 | | 01/27/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Issue Shares in Connection with Acquisition | | Mgmt | | For | | For | | For |
2 | | Amend Charter Eliminating Enhanced Voting Rights | | Mgmt | | For | | For | | For |
3 | | Increase Authorized Common Stock | | Mgmt | | For | | For | | For |
4 | | Adjourn Meeting | | Mgmt | | For | | For | | For |
| | | | | | |
Computer Sciences Corporation |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CSC | | CUSIP 205363104 | | 08/04/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Irving W. Bailey, II | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.2 | | Elect Director David J. Barram | | Mgmt | | For | | Withhold | | Against |
1.3 | | Elect Director Stephen L. Baum | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.4 | | Elect Director Rodney F. Chase | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.5 | | Elect Director Judith R. Haberkorn | | Mgmt | | For | | For | | For |
1.6 | | Elect Director Michael W. Laphen | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.7 | | Elect Director F. Warren McFarlan | | Mgmt | | For | | For | | For |
1.8 | | Elect Director Chong Sup Park | | Mgmt | | For | | For | | For |
1.9 | | Elect Director Thomas H. Patrick | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Compuware Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CPWR | | CUSIP 205638109 | | 08/26/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Directors Dennis W. Archer | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.2 | | Elect Directors Gurminder S. Bedi | | Mgmt | | For | | For | | For |
1.3 | | Elect Directors William O. Grabe | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.4 | | Elect Directors William R. Halling | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.5 | | Elect Directors Peter Karmanos, Jr | | Mgmt | | For | | For | | For |
1.6 | | Elect Directors Faye Alexander Nelson | | Mgmt | | For | | For | | For |
1.7 | | Elect Directors Glenda D. Price | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.8 | | Elect Directors W. James Prowse | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.9 | | Elect Directors G. Scott Romney | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Copart, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
CPRT | | CUSIP 217204106 | | 12/11/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Willis J. Johnson | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.2 | | Elect Director A. Jayson Adair | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.3 | | Elect Director James E. Meeks | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.4 | | Elect Director Steven D. Cohan | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.5 | | Elect Director Daniel J. Englander | | Mgmt | | For | | For | | For |
1.6 | | Elect Director Barry Rosenstein | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.7 | | Elect Director Thomas W. Smith | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
D.R. Horton, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
DHI | | CUSIP 23331A109 | | 01/29/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Donald R. Horton | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.2 | | Elect Director Bradley S. Anderson | | Mgmt | | For | | For | | For |
1.3 | | Elect Director Michael R. Buchanan | | Mgmt | | For | | For | | For |
1.4 | | Elect Director Michael W. Hewatt | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.5 | | Elect Director Bob G. Scott | | Mgmt | | For | | For | | For |
1.6 | | Elect Director Donald J. Tomnitz | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.7 | | Elect Director Bill W. Wheat | | Mgmt | | For | | For | | For |
2 | | Amend EEO Policy to Prohibit Discrimination based on Sexual Orientation and Gender Identity | | ShrHldr | | Against | | For | | Against |
| | | | | | | | | | |
3 | | Require a Majority Vote for the Election of Directors | | ShrHldr | | Against | | For | | Against |
4 | | Other Business | | Mgmt | | For | | Against | | Against |
| | | | | | |
Devry Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
DV | | CUSIP 251893103 | | 11/13/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director David S. Brown | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Lisa W. Pickrum | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.3 | | Elect Director Fernando Ruiz | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Hewitt Associates, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
HEW | | CUSIP 42822Q100 | | 02/04/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director William J. Conaty | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.2 | | Elect Director Michele M. Hunt | | Mgmt | | For | | For | | For |
1.3 | | Elect Director Cary D. McMillan | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Jabil Circuit, Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
JBL | | CUSIP 466313103 | | 01/22/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Laurence S. Grafstein | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Mel S. Lavitt | | Mgmt | | For | | For | | For |
1.3 | | Elect Director Timothy L. Main | | Mgmt | | For | | For | | For |
1.4 | | Elect Director William D. Morean | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.5 | | Elect Director Lawrence J. Murphy | | Mgmt | | For | | For | | For |
1.6 | | Elect Director Frank A. Newman | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.7 | | Elect Director Steven A. Raymund | | Mgmt | | For | | For | | For |
1.8 | | Elect Director Thomas A. Sansone | | Mgmt | | For | | For | | For |
1.9 | | Elect Director Kathleen A. Walters | | Mgmt | | For | | For | | For |
2 | | Amend Omnibus Stock Plan | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
3 | | Amend Qualified Employee Stock Purchase Plan | | Mgmt | | For | | For | | For |
4 | | Ratify Auditors | | Mgmt | | For | | For | | For |
5 | | Other Business | | Mgmt | | For | | Against | | Against |
| | | | | | |
Jacobs Engineering Group Inc. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
JEC | | CUSIP 469814107 | | 01/22/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Elect Director Joseph R. Bronson | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Elect Director Thomas M.T. Niles | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3 | | Elect Director Noel G. Watson | | Mgmt | | For | | For | | For |
4 | | Elect Director John F. Coyne | | Mgmt | | For | | For | | For |
5 | | Amend Qualified Employee Stock Purchase Plan | | Mgmt | | For | | For | | For |
6 | | Amend Omnibus Stock Plan | | Mgmt | | For | | For | | For |
7 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Life Technologies Corp |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
LIFE | | CUSIP 46185R100 | | 10/28/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Special | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Issue Shares in Connection with Acquisition | | Mgmt | | For | | For | | For |
2 | | Increase Authorized Common Stock | | Mgmt | | For | | For | | For |
3 | | Adjourn Meeting | | Mgmt | | For | | For | | For |
| | | | | | |
National Fuel Gas Co. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
NFG | | CUSIP 636180101 | | 03/12/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director R. Don Cash | | Mgmt | | For | | Withhold | | Against |
1.2 | | Elect Director Stephen E. Ewing | | Mgmt | | For | | Withhold | | Against |
| | | | | | | | | | |
1.3 | | Elect Director George L. Mazanec | | Mgmt | | For | | Withhold | | Against |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
3 | | Approve Non-Employee Director Restricted Stock Plan | | Mgmt | | For | | For | | For |
| | | | | | |
Navistar International Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
NAV | | CUSIP 63934E108 | | 02/17/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Y. Marc Belton | | Mgmt | | For | | Withhold | | Against |
1.2 | | Elect Director Terry M. Endsley | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.3 | | Elect Director Michael N. Hammes | | Mgmt | | For | | Withhold | | Against |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
3 | | Amend Omnibus Stock Plan | | Mgmt | | For | | For | | For |
| | | | | | |
Parker-Hannifin Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
PH | | CUSIP 701094104 | | 10/22/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director William E. Kassling | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Joseph M. Scaminace | | Mgmt | | For | | For | | For |
1.3 | | Elect Director Wolfgang R. Schmitt | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Precision Castparts Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
PCP | | CUSIP 740189105 | | 08/12/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Don R. Graber | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Lester L. Lyles | | Mgmt | | For | | For | | For |
2 | | Approve Qualified Employee Stock Purchase Plan | | Mgmt | | For | | For | | For |
3 | | Amend Omnibus Stock Plan | | Mgmt | | For | | For | | For |
4 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
The J. M. Smucker Co. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
SJM | | CUSIP 832696405 | | 08/21/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Vincent C. Byrd | | Mgmt | | For | | For | | For |
1.2 | | Elect Director R. Douglas Cowan | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.3 | | Elect Director Elizabeth Valk Long | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
UGI Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
UGI | | CUSIP 902681105 | | 01/27/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director S.D. Ban | | Mgmt | | For | | For | | For |
1.2 | | Elect Director R.C. Gozon | | Mgmt | | For | | For | | For |
1.3 | | Elect Director L.R. Greenberg | | Mgmt | | For | | For | | For |
1.4 | | Elect Director M.O. Schlanger | | Mgmt | | For | | For | | For |
1.5 | | Elect Director A. Pol | | Mgmt | | For | | For | | For |
1.6 | | Elect Director E.E. Jones | | Mgmt | | For | | For | | For |
1.7 | | Elect Director J.L. Walsh | | Mgmt | | For | | For | | For |
1.8 | | Elect Director R.B. Vincent | | Mgmt | | For | | For | | For |
1.9 | | Elect Director M.S. Puccio | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Watson Wyatt Worldwide INC |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
WW | | CUSIP 942712100 | | 11/14/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Elect Director John J. Gabarro | | Mgmt | | For | | For | | For |
2 | | Elect Director John J. Haley | | Mgmt | | For | | For | | For |
3 | | Elect Director R. Michael McCullough | | Mgmt | | For | | For | | For |
4 | | Elect Director Brendan R. O’Neill | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
5 | | Elect Director Linda D. Rabbitt | | Mgmt | | For | | For | | For |
6 | | Elect Director Gilbert T. Ray | | Mgmt | | For | | For | | For |
7 | | Elect Director John C. Wright | | Mgmt | | For | | For | | For |
8 | | Ratify Auditors | | Mgmt | | For | | For | | For |
9 | | Amend Deferred Compensation Plan | | Mgmt | | For | | For | | For |
| | | | | | |
Western Digital Corp. |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
WDC | | CUSIP 958102105 | | 11/06/2008 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1 | | Elect Director Peter D. Behrendt | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
2 | | Elect Director Kathleen A. Cote | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
3 | | Elect Director John F. Coyne | | Mgmt | | For | | For | | For |
4 | | Elect Director Henry T. DeNero | | Mgmt | | For | | For | | For |
5 | | Elect Director William L. Kimsey | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
6 | | Elect Director Michael D. Lambert | | Mgmt | | For | | For | | For |
7 | | Elect Director Matthew E. Massengill | | Mgmt | | For | | For | | For |
8 | | Elect Director Roger H. Moore | | Mgmt | | For | | For | | For |
9 | | Elect Director Thomas E. Pardun | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
10 | | Elect Director Arif Shakeel | | Mgmt | | For | | For | | For |
11 | | Amend Qualified Employee Stock Purchase Plan | | Mgmt | | For | | For | | For |
12 | | Ratify Auditors | | Mgmt | | For | | For | | For |
| | | | | | |
Woodward Governor Company |
| | | | | | |
Ticker | | Security ID: | | Meeting Date | | Meeting Status |
WGOV | | CUSIP 980745103 | | 01/22/2009 | | Voted |
Meeting Type | | Country of Trade | | | | |
Annual | | United States | | | | |
| | | | | | | | | | |
| | | | | | | | | | For/Agnst |
Issue No. | | Description | | Proponent | | Mgmt Rec | | Vote Cast | | Mgmt |
1.1 | | Elect Director Paul Donovan | | Mgmt | | For | | For | | For |
1.2 | | Elect Director Thomas A. Gendron | | Mgmt | | For | | For | | For |
1.3 | | Elect Director John A. Halbrook | | Mgmt | | For | | For | | For |
| | | | | | | | | | |
1.4 | | Elect Director Dr. Ronald M. Sega | | Mgmt | | For | | For | | For |
2 | | Ratify Auditors | | Mgmt | | For | | For | | For |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| | | | |
Registrant | | Aston Funds |
| | |
| | | | |
By (Signature and Title)* | | /s/ Kenneth C. Anderson |
| | | | |
| | | | Kenneth C. Anderson, President |
| | | | (Principal Executive Officer) |
| | |
* | | Print the name and title of each signing officer under his or her signature. |