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: 811-08268
FIRSTHAND FUNDS
(Exact name of registrant as specified in charter)
150 Almaden Blvd., Suite 1250 San Jose, California 95113 |
(Address of principal executive offices)(Zip code)
(Name and Address of Agent for Service) | ||
Kevin M. Landis SiVest Group, Incorporated 150 Almaden Blvd., Suite 1250 San Jose, California 95113 | ||
| With copy to: | ||
Kelvin K. Leung, Esq. SiVest Group, Incorporated 150 Almaden Blvd., Suite 1250 San Jose, CA 95113 | Ellen Blanchard, Esq. BNY Mellon Asset Servicing One Boston Place 201 Washington Street, 34th floor Boston, MA 02108 | David Hearth, Esq. Paul, Hastings, Janofsky & Walker LLP 55 Second Street Twenty-Fourth Floor San Francisco, CA 94105 |
Registrant’s telephone number, including area code: (408) 886-7096 |
Date of fiscal year end: December 31
Date of reporting period: July 1, 2010 – June 30, 2011
Item 1. Proxy Voting Record.
| Firsthand Alternative Energy Fund | |||||||||
| Company Name: | MOTECH INDUSTRIES CO LTD | ||||||||
| Ticker: | 6244.TWO | CUSIP: | TW0006244007 | ||||||
| Meeting Date: | 5/30/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 2.1 | To accept the 2010 business report and financial statements | For | No | None | |||||
| 2.2 | To approve the proposal for distribution of 2010 profits. (cash dividend of TWD5.5 per share, stock dividend of 150 shares per 1,000 shares from retained earnings subject to 20pct withholding tax) | For | No | None | |||||
| 3.1 | To approve the capitalization of 2010 dividends | For | No | None | |||||
| 3.2 | To revise the articles of incorporation | For | No | None | |||||
| 3.3 | To revise procedures for acquisition or disposal assets | For | No | None | |||||
| 3.4 | To revise policies and procedures for financial derivates transactions | For | No | None | |||||
| 3.5 | To revise procedures for endorsement and guarantee | For | No | ||||||
| 4 | Question and motions | For | No | None | |||||
| Company Name: | ADA-ES, Inc. | ||||||||
| Ticker: | ADES | CUSIP: | 5208103 | ||||||
| Meeting Date: | 6/7/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: ROBERT N. CARUSO | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: MICHAEL D. DURHAM | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: JOHN W. EAVES | For | No | None | |||||
| 1D | ELECTION OF DIRECTOR: DEREK C. JOHNSON | For | No | None | |||||
| 1E | ELECTION OF DIRECTOR: RONALD B. JOHNSON | For | No | None | |||||
| 1F | ELECTION OF DIRECTOR: W. PHILLIP MARCUM | For | No | None | |||||
| 1G | ELECTION OF DIRECTOR: MARK H. MCKINNIES | For | No | None | |||||
| 1H | ELECTION OF DIRECTOR: JEFFREY C. SMITH | For | No | None | |||||
| 1I | ELECTION OF DIRECTOR: RICHARD J. SWANSON | For | No | None | |||||
| 2 | PROPOSAL TO RATIFY THE AUDIT COMMITTEE'S SELECTION OF EHRHARDT KEEFE STEINER & HOTTMAN PC AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| Company Name: | A123 | ||||||||
| Ticker: | AONE | CUSIP: | 03739T108 | ||||||
| Meeting Date: | 5/25/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: GURURAJ DESHPANDE | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: PAUL E. JACOBS | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: MARK M. LITTLE | For | No | None | |||||
| 2 | APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DESCRIBED IN OUR PROXY STATEMENT RELATING TO OUR 2011 ANNUAL MEETING OF STOCKHOLDERS. | For | No | None | |||||
| 3 | NON-BINDING, ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | 1 Year | No | None | |||||
| 4 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| Company Name: | Amtech Systems, Inc. | ||||||||
| Ticker: | ASYS | CUSIP: | 32332504 | ||||||
| Meeting Date: | 1/20/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR JONG S. WHANG | For | Yes | For | |||||
| 1.2 | DIRECTOR MICHAEL GARNREITER | For | Yes | For | |||||
| 1.3 | DIRECTOR ALFRED W. GIESE | For | Yes | For | |||||
| 1.4 | DIRECTOR EGBERT J. G. GOUDENA | For | Yes | For | |||||
| 1.5 | DIRECTOR JEONG MO HWANG | For | Yes | For | |||||
| 1.6 | DIRECTOR ROBERT F. KING | For | Yes | For | |||||
| 2 | RATIFICATION OF THE APPOINTMENT OF MAYER HOFFMAN MCCANN P.C. AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2011 | For | Yes | For | |||||
| Company Name: | Gamesa | ||||||||
| Ticker: | BGAM.MC | CUSIP: | ES0143416115 | ||||||
| Meeting Date: | 5/25/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | Examination and approval, if applicable, of the individual Annual Accounts (balance sheet, profit and loss account, statement of changes in shareholders' equity, statement of cash flows and annual report) of Gamesa Corporacion Tecnologica, Sociedad Anonima, and of the consolidated Annual Accounts with its dependent companies (balance sheet, profit and loss account, statement of changes in shareholders' equity, statement of cash flows and annual report), for the fiscal year ended on December 31, 2010 | For | No | None | |||||
| 2 | Examination and approval, if applicable, of the individual management report of Gamesa Corporacion Tecnologica, Sociedad Anonima, and of the consolidated management report with its dependent companies for the fiscal year ended on December 31, 2010STATEMENT RELATING TO OUR 2011 ANNUAL MEETING OF STOCKHOLDERS. | For | No | None | |||||
| 3 | Examination and approval, if applicable, of the management and actions of the Board of Directors during the fiscal year ended on December 31, 2010 | For | No | None | |||||
| 4 | Appointment of the auditor of the Company and its consolidated Group for the fiscal years 2011, 2012 and 2013 | For | No | None | |||||
| 5 | Examination and approval, if applicable, of the proposal for the allocation of profit/losses and the distribution of dividends of Gamesa Corporacion Tecnologica, Sociedad Anonima for the fiscal year ended on December 31, 2010 | For | No | None | |||||
| 6 | Approval, for the free-of-charge allocation of the ordinary shares issued to the shareholders of the Company, of an increase in share capital by means of a scrip issue at a maximum reference market value of eleven (11) million euros. The shareholders will be offered the acquisition of their free-of-charge allocation rights at a guaranteed price. Express provision for the possibility of an incomplete allocation. Application for admission of the resulting shares to listing on the Bilbao, Madrid, Barcelona and Valencia Stock Exchanges, through the Automated Quotation System (Sistema de Interconexion Bursatil). Delegation of powers to the Board of Directors, including the power to amend Article 4 of the By-Laws | For | No | None | |||||
| 7 | Ratification of the appointment as Director of Mr. Jose Maria Aracama Yoldi made by cooption after the holding of the last Shareholders' General Meeting, as an External Independent Director | For | No | None | |||||
| 8 | Examination and approval, if applicable, of a Long Term Incentive Program through the delivery of shares of the company bound to the achievement of the key targets of the Business Plan 2011-2013 aimed to the Chairman of the Company, Senior Management, Managers and employees of Gamesa Corporacion Tecnologica, Sociedad Anonima, and if applicable, of its dependent companies, and the delegation to the Board of Directors, with the express faculty of substitution, to implement, develop, formalize and execute the aforementioned remuneration system | For | No | None | |||||
| 9.1 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of article 2 of the By-Laws to specify that the activities that constitute the corporate purpose are developed in the sector of renewable energies | For | No | None | |||||
| 9.2 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of articles 5, 6 and 7 of the By-Laws about the shareholder status and presentation and transfer of shares, with the aim to improve its order and systematics and complete its content | For | No | None | |||||
| 9.3 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: New articles 8, 9, 10 and 11 of the By-Laws that provide the set of rules of the By-Laws for share capital increase or decrease | For | No | None | |||||
| 9.4 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: New articles 12, 13 and 14 of the By-Laws that provide the set of rules of the By-Laws for the issue of debentures | For | No | None | |||||
| 9.5 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of articles 8, 9 and 10 (new articles 15, 16 and 17) of the By- Laws to improve the regulation of the general aspects of the Shareholders' General Meeting, as well as to enumerate its faculties | For | No | None | |||||
| 9.6 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of articles 11 and 12 (new articles 18, 19, 20, 21, 23, 24 and 25) of the By-Laws to improve the systematics and complete the content of the regulation of the call and constitution of the Shareholders' General Meeting and about the appointment of the General Meeting Bureau and to adapt it to the amendments of the Capital Companies Law | For | No | None | |||||
| 9.7 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of articles 13, 14, 15 and 16 (new articles 22, 26, 27, 28, 29 and 30) of the By-Laws to improve the writing and systematics of the set of rules of representation, voting and agreements adoption by the Shareholders' General Meeting | For | No | None | |||||
| 9.8 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of the articles 17, 18 and 19 (new articles 31, 32, 33, 34, 35, 36, 37, 38, 39 and 40) of the By-Laws with the aim to achieve a better fulfilment of the recommendations of the Corporate Governance Unified Code regarding the Board of Directors, adapt the set of rules of the By-Laws to the changes introduced in the Board of Directors Regulations and include some novelties in its content | For | No | None | |||||
| 9.9 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of article 22 (new article 43) of the By-Laws to adapt the set of rules of the By-Laws regarding the Audit and Compliance Committee to the amendments introduced by the Audit Law | For | No | None | |||||
| 9.10 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of article 23 (new article 44) of the By-Laws with the aim to complete the regulation of the Appointments and Remuneration Committee and provide an enumeration of faculties | For | No | None | |||||
| 9.11 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: New article 45 of the By-Laws that expressly provides the duties of the Directors | For | No | None | |||||
| 9.12 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of article 29 (new article 47) and new article 48 of the By- Laws to introduce the novelties of the Capital Companies Law and of the Audit Law regarding the Annual Corporate Governance Report, website of the Company and the Electronic Shareholders' Forum | For | No | None | |||||
| 9.13 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of article 29 (new article 47) and new article 48 of the By- Laws to introduce the novelties of the Capital Companies Law and of the Audit Law regarding the Annual Corporate Governance Report, website of the Company and the Electronic Shareholders' Forum | For | No | None | |||||
| 9.14 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Amendment of articles 26, 27 and 28 (new articles 49, 50, 51 and 52) of the By-Laws with the aim to complete and improve the regulation about Annual Accounts and allocation of the result | For | No | None | |||||
| 9.15 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: New article 54 of the By-Laws that establish that the conflicts between the shareholders and the company about the corporate affairs are submitted to the jurisdiction of the registered office of the Company | For | No | None | |||||
| 9.16 | Amendment of the By-Laws and approval, if applicable, of a new restated text of the By-Laws: Approval of a restated text of the By-Laws that includes the approved amendments and correlatively renumbers the titles, chapters and articles in which it is divided | For | No | None | |||||
| 10 | Amendment of the Shareholders' General Meeting Regulations and approval, if applicable, of a new restated text of the Shareholders' General Meeting Regulations | For | No | None | |||||
| 11 | Delegation of powers to formalize and execute all resolutions adopted by the Shareholders' General Meeting, for conversion thereof into a public instrument, and for the interpretation, correction and supplementation thereof or further elaboration thereon until the required registrations are made | For | No | None | |||||
| 12 | Approval, with a consultative character, of the annual report regarding the remuneration policy of the members of the Board of Directors of Gamesa Corporacion Tecnologica, Sociedad Anonima of the current fiscal year (2011) and the application of the remuneration policy in force in the previous fiscal year (2010) | For | No | None | |||||
| Company Name: | DAYSTAR TECHNOLOGIES, INC. | ||||||||
| Ticker: | DSTI | CUSIP: | 23962Q308 | ||||||
| Meeting Date: | 12/30/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR PETER A. LACEY | For | Yes | For | |||||
| 1.2 | DIRECTOR MAGNUS RYDE | For | Yes | For | |||||
| 1.3 | DIRECTOR JONATHAN W. FITZGERALD | For | Yes | For | |||||
| 1.4 | DIRECTOR RICHARD C. GREEN, JR. | For | Yes | For | |||||
| 1.5 | DIRECTOR WILLIAM S. STECKEL | For | Yes | For | |||||
| 1.6 | DIRECTOR KANG SUN | For | Yes | For | |||||
| 2 | TO APPROVE THE AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED 2006 EQUITY INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE UNDER THE PLAN FROM 1,216,667 TO 2,700,000. | Against | Yes | Against | |||||
| 3 | TO APPROVE THE TERMS OF CERTAIN CONVERTIBLE NOTES AND WARRANTS, INCLUDING THE ISSUANCE OF SHARES UPON CONVERSION OF SUCH NOTES OR EXERCISE OF SUCH WARRANTS. | For | Yes | For | |||||
| 4 | TO RATIFY THE SELECTION OF HEIN & ASSOCIATES LLP AS INDEPENDENT AUDITORS OF THE COMPANY FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2010. | For | Yes | For | |||||
| Company Name: | Echelon Corporation | ||||||||
| Ticker: | ELON | CUSIP: | 27874N105 | ||||||
| Meeting Date: | 5/24/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: M. KENNETH OSHMAN | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: RONALD A. SEGE | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR:LARRY W. SONSINI | For | No | None | |||||
| 2 | TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 3 | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. | For | No | None | |||||
| 4 | TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. | 3 years | No | None | |||||
| Company Name: | FuelCell Energy, Inc. | ||||||||
| Ticker: | FCEL | CUSIP: | 35952H106 | ||||||
| Meeting Date: | 4/7/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR ARTHUR A. BOTTONE | For | Yes | For | |||||
| 1.2 | DIRECTOR RICHARD A. BROMLEY | For | Yes | For | |||||
| 1.3 | DIRECTOR JAMES HERBERT ENGLAND | For | Yes | For | |||||
| 1.4 | DIRECTOR JAMES D. GERSON | For | Yes | For | |||||
| 1.5 | DIRECTOR WILLIAM A. LAWSON | For | Yes | For | |||||
| 1.6 | DIRECTOR GEORGE K. PETTY | For | Yes | For | |||||
| 1.7 | DIRECTOR JOHN A. ROLLS | For | Yes | For | |||||
| 1.8 | DIRECTOR TOGO DENNIS WEST, JR. | For | Yes | For | |||||
| 2 | TO RATIFY THE SELECTION OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2011. | For | Yes | For | |||||
| 3 | TO AMEND THE FUELCELL ENERGY, INC. AMENDED AND RESTATED SECTION 423 STOCK PURCHASE PLAN. | For | Yes | For | |||||
| 4 | TO AMEND THE FUELCELL ENERGY, INC. ARTICLES OF INCORPORATION INCREASING ITS AUTHORIZED COMMON STOCK FROM 150,000,000 TO 225,000,000 SHARES. | For | Yes | For | |||||
| 5 | TO VOTE, ON AN ADVISORY BASIS, ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS SET FORTH IN THE EXECUTIVE COMPENSATION SECTION OF THIS PROXY STATEMENT. | For | Yes | For | |||||
| 6 | TO VOTE, ON AN ADVISORY BASIS, ON THE FREQUENCY WITH WHICH FUTURE ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS WILL BE CONDUCTED. | 1 Year | Yes | Against | |||||
| Company Name: | Corning Inc. | ||||||||
| Ticker: | GLW | CUSIP: | 219350105 | ||||||
| Meeting Date: | 4/28/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: JOHN SEELY BROWN | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: JOHN A. CANNING, JR. | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: GORDON GUND | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: KURT M. LANDGRAF | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: H. ONNO RUDING | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: GLENN F. TILTON | For | Yes | For | |||||
| 2 | APPROVAL, BY NON-BINDING VOTE, ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 3 | APPROVAL, BY NON-BINDING, ON THE FREQUENCY OF FUTURE EXECUTIVE COMPENSATION VOTES. | 1 Year | Yes | For | |||||
| 4 | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS CORNING'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 5 | SHAREHOLDER PROPOSAL CONCERNING SPECIAL MEETINGS. | For | Yes | Against | |||||
| Company Name: | Honeywell International, Inc. | ||||||||
| Ticker: | HON | CUSIP: | 438516106 | ||||||
| Meeting Date: | 4/25/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: GORDON M. BETHUNE | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: KEVIN BURKE | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: JAIME CHICO PARDO | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: DAVID M. COTE | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: D. SCOTT DAVIS | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: LINNET F. DEILY | For | Yes | For | |||||
| 1G | ELECTION OF DIRECTOR: JUDD GREGG | For | Yes | For | |||||
| 1H | ELECTION OF DIRECTOR: CLIVE R. HOLLICK | For | Yes | For | |||||
| 1I | ELECTION OF DIRECTOR: GEORGE PAZ | For | Yes | For | |||||
| 1J | ELECTION OF DIRECTOR: BRADLEY T. SHEARES | For | Yes | For | |||||
| 2 | APPROVAL OF INDEPENDENT ACCOUNTANTS. | For | Yes | For | |||||
| 3 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 4 | ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| 5 | 2011 STOCK INCENTIVE PLAN OF HONEYWELL INTERNATIONAL INC. AND ITS AFFILIATES. | For | Yes | For | |||||
| 6 | HONEYWELL INTERNATIONAL INC. INCENTIVE COMPENSATION PLAN FOR EXECUTIVE EMPLOYEES, AMENDED AND RESTATED EFFECTIVE AS OF JANUARY 1, 2011. | For | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 7 | SHAREHOLDER ACTION BY WRITTEN CONSENT. | Against | Yes | For | |||||
| 8 | SPECIAL SHAREOWNER MEETINGS. | Against | Yes | For | |||||
| Company Name: | U.S. Geothermal Inc. | ||||||||
| Ticker: | HTM | CUSIP: | 90338S102 | ||||||
| Meeting Date: | 8/23/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR DOUGLAS J. GLASPEY | For | Yes | For | |||||
| 1.2 | DIRECTOR DANIEL J. KUNZ | For | Yes | For | |||||
| 1.3 | DIRECTOR PAUL A. LARKIN | For | Yes | For | |||||
| 1.4 | DIRECTOR LELAND L. MINK | For | Yes | For | |||||
| 1.5 | DIRECTOR JOHN H. WALKER | For | Yes | For | |||||
| 2 | PROPOSAL TO RATIFY THE SELECTION OF BEHLERMICK, P.S. AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING MARCH 31, 2011. | For | Yes | For | |||||
| Company Name: | Iberdrola | ||||||||
| Ticker: | IBE.SA | CUSIP: | ES0144580Y14 | ||||||
| Meeting Date: | 5/27/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | Approval of the individual annual financial statements of the Company and of the annual financial statements consolidated with those of its subsidiaries for the fiscal year ended on December 31, 2010 | For | No | None | |||||
| 2 | Approval of the individual management report of the Company and of the consolidated management report of the Company and its subsidiaries for the fiscal year ended on December 31, 2010 | For | No | None | |||||
| 3 | Approval of the management and activities of the Board of Directors during the fiscal year ended on December 31, 2010 and the strategic guidelines and foundations for the current fiscal year (2011) | For | No | None | |||||
| 4 | Re-election of the auditor of the Company and of its consolidated group for fiscal year 2011 | For | No | None | |||||
| 5 | Approval of the proposal for the allocation of profits/losses and the distribution of dividends for the fiscal year ended on December 31, 2010 | For | No | None | |||||
| 6 | Approval of an increase in share capital by means of a scrip issue at a maximum reference market value of one thousand nine hundred (1,909) million euros for the free-of-charge allocation of new shares to the shareholders of the Company. Offer to the shareholders for the acquisition of their free-of-charge allocation rights at a guaranteed price. Express provision for the possibility of an incomplete allocation. Application for admission of the shares issued to listing on the Bilbao, Madrid, Barcelona and Valencia Stock Exchanges, through the Automated Quotation System (Sistema de Interconexion Bursatil). Possible change in the maximum reference market value of the capital increase and of each installment thereof, all based on the capital increase subject to approval ofthe shareholders at this General Shareholders' Meeting under item fifteen on the agenda thereof. Delegation of powers to the Board of Directors, with the express power of substitution, including the power to implement the capital increase by means of a scrip issue on one or, at most, two occasions and the power to determine the maximum amount of the increase and each installment thereof based on such conditional capital increase and within the limits established in this resolution and the power to amend Article 5 of the By-Laws in each of the installments | For | No | None | |||||
| 7 | Approval of a Strategic Bonus intended for executive directors, senior managers and other management personnel tied to the achievement of strategic goals for the 2011-2013 period, and payment by means of the delivery of the Company's shares. Delegation to the Board of Directors of the power to implement, develop, formalize and execute such Strategic Bond | For | No | None | |||||
| 8 | Authorization to the Board of Directors, with the express power of substitution, for a term of five (5) years, to increase the share capital pursuant to the provisions of Section 297.1.b) of the Companies Law, by up to one-half of the share capital on the date of the authorization. Delegation of the power to exclude pre-emptive rights in connection with the capital increases that the Board may approve under this authorization, provided, however, that this power, together with the power contemplated in item nine, shall be limited to an aggregate maximum nominal amount equal to 20% of the share capital on the date of the authorization | For | No | None | |||||
| 9 | Authorization to the Board of Directors, with the express power of substitution, for a term of five (5) years, of the power to issue debentures or bonds that are exchangeable for and/or convertible into shares of the Company or of other companies within or outside of its Group, and warrants on newly-issued or outstanding shares of the Company or of other companies within or outside of its Group, up to a maximum limit of five (5) billion euros. Establishment of the standards for determining the basis for and terms and conditions applicable to the conversion, exchange or exercise. Delegation to the Board of Directors, with the express power of substitution, of the powers required to establish the basis for and terms and conditions applicable to the conversion, exchange orexercise, as well as, in the case of convertible debentures and bonds and warrants on newly-issued shares, of the power to increase share capital to the extent required to accommodate requests for the conversion of debentures or for the exercise of warrants, with the power in the case of issues of convertible and/or exchangeable securities to exclude the pre-emptive rights of the Company's shareholders, although this power, together with the power set forth in item eight, shall be limited to an aggregate maximum nominal amount equal to 20% of the share capital of the Company as of the date of authorization. Revocation of the authorization granted for such purposes by the shareholders at the General Shareholders' Meeting held on March 20, 2009 | For | No | None | |||||
| 10 | Authorization to the Board of Directors, with the express power of substitution, for a term of five (5) y ears, to issue: a) bonds or simple debentures and other fixed-income securities of a like nature (other than notes), as well as preferred stock, up to a maximum amount of twenty (20) billion euros, and b) notes up to a maximum amount at any given time, independently of the foregoing, of six (6) billion euros. Authorization for the Company to guarantee, within the limits set forth above, new issuances of securities by subsidiaries. Revocation, to the extent of the unused amount, of the delegation granted by the shareholders for such purpose at the General Shareholders' Meeting of March 26, 2010 | For | No | None | |||||
| 11 | Authorization to the Board of Directors, with the express power of substitution, to apply for the listing on and delisting from Spanish or foreign, official or unofficial, organized or other secondary markets of the shares, debentures, bonds, notes, preferred stock or any other securities issued or to be issued, and to adopt such resolutions as may be necessary to ensure the continued listing of the shares, debentures or other securities of the Company that may then be outstanding, for which purpose the authorization granted for such purpose by the shareholders at the General Shareholders' Meeting of March 26, 2010 is hereby deprived of effect | For | No | None | |||||
| 12 | Authorization to the Board of Directors, with the express power of substitution, to create and fund associations and foundations, pursuant to applicable legal provisions, for which purpose the authorization granted by the shareholders at the General Shareholders' Meeting of March 26, 2010 is hereby deprived of effect to the extent of the unused amount | For | No | None | |||||
| 13.1 | Amendment of Article 1 of the By-Laws to include concepts from the Corporate Governance System and in the corporate interest | For | No | None | |||||
| 13.2 | Amendment of Articles 5 to 8, 9 to 15, 52 (which becomes Article 54), 53 (which becomes Article 55) and 57 to 62 (which become Articles 59 to 64) of the By-Laws to conform them to the latest statutory developments and to include technical and textual improvements | For | No | None | |||||
| 13.3 | Amendment of Articles 16 to 20, 22 to 28 and 31 of the By-Laws, to improve the rules for validly holding the General Shareholders' Meeting | For | No | None | |||||
| 13.4 | Amendment of Article 21 of the By-Laws to include technical and textual improvements to the rules for validly holding the General Shareholders' Meeting | For | No | None | |||||
| 13.5 | Amendment of Articles 29, 30 and 54 to 56 (the latter becoming Articles 56 to 58) of the By-Laws to include technical and textual improvements and to round out the rules for exercising voting rights in the event of conflicts of interest | For | No | None | |||||
| 13.6 | Amendment of Articles 32 to 51 (with Articles 46 and 47 becoming Articles 47 and 48, and Articles 48 to 51 becoming Articles 50 to 53) and inclusion of new Articles 46 and 49 of the By-Laws to improve the regulation of the Company's Board of Directors and the Committees thereof and to include the latest statutory developments | For | No | None | |||||
| 13.7 | Approval of a restated text of the By-Laws that includes the approved amendments and consecutively renumbers the titles, chapters, sections and articles into which the By-Laws are divided | For | No | None | |||||
| 14 | Amendment of the Rules for the General Shareholders' Meeting and Approval of a New Restated Text | For | No | None | |||||
| 15 | Information regarding any significant changes in the assets or liabilities of the companies participating in the merger (i.e., Iberdrola, S. A. (as absorbing company) and Iberdrola Renovables, S.A. (as absorbed company)) between the date of the common terms of merger and the holding of the General Shareholders' Meeting at which such merger is decided. Approval of the common terms of merger by absorption between Iberdrola, S.A. and Iberdrola Renovables, S.A. Approval as the merger balance sheet of the balance sheet of Iberdrola, S.A. as of December 31, 2010 . Approval of the merger by absorption between Iberdrola, S.A. and Iberdrola Renovables, S.A. through the absorption of the latter by the former, causing the termination without liquidation of Iberdrola Renovables, S.A. and the transfer en bloc and as a whole of all of its assets to Iberdrola, S.A., with an express provision for the exchange to be covered by the delivery of treasury shares of Iberdrola, S.A. and, if required, by newly-issued shares of Iberdrola, S.A. pursuant to a capital increase subject to the above, all in accordance with the common terms of merger. Conditional increase in the share capital of Iberdrola , S.A. in the nominal amount of one hundred forty-eight million four hundred seventy thousand eleven and twenty-five one-hundredth (148,470,011.25) euros, by means of the issuance of one hundred ninety-seven million nine hundred sixty thousand fifteen (197,960,015) shares with a par value of 0.75 euro each, of the same class and series as those currently outstanding, as a result of the merger by absorption of Iberdrola Renovables, S.A. by Iberdrola S. A. and resulting amendment of Article 5 of the By-Laws. Express provision for incomplete subscription. Request for admission to trading of the shares issued on the Bilbao, Madrid, Barcelona and Valencia Stock Exchanges through the Automated Quotation System (Sistema de Interconexion Bursatil) (Electronic Market). Delegation of powers. Establishment of procedure to facilitate the merger exchange. Adherence of the transaction to the special tax rules provided for in Chapter VIII of Title VII of the restated text of the Corporate Income Tax Law. Delegation of powers | For | No | None | |||||
| 16 | Delegation of powers to formalize and execute all resolutions adopted by the shareholders at the General Shareholders' Meeting, for conversion thereof into a public instrument, and for the interpretation, correction and supplementation thereof or further elaboration thereon until the required registrations are made | For | No | None | |||||
| 17 | Consultative vote regarding the Director compensation policy of the Company for the current fiscal year (2011) and the application of the current compensation policy during the preceding fiscal year (2010) | For | No | None | |||||
| Company Name: | Itron, Inc. | ||||||||
| Ticker: | ITRI | CUSIP: | 465741106 | ||||||
| Meeting Date: | 5/3/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: JON E. ELIASSEN | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: CHARLES H. GAYLORD JR. | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: GARY E. PRUITT | For | Yes | For | |||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | For | Yes | For | |||||
| 3 | PROPOSAL TO APPROVE THE ADVISORY (NON-BINDING) RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 4 | PROPOSAL TO DETERMINE (NON-BINDING) FREQUENCY OF FUTURE VOTES ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| Company Name: | Intevac, Inc. | ||||||||
| Ticker: | IVAC | CUSIP: | 461148108 | ||||||
| Meeting Date: | 5/18/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: NORMAN H. POND | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: KEVIN FAIRBAIRN | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: DAVID S. DURY | For | No | None | |||||
| 1D | ELECTION OF DIRECTOR: STANLEY J. HILL | For | No | None | |||||
| 1E | ELECTION OF DIRECTOR: THOMAS M. ROHRS | For | No | None | |||||
| 1F | ELECTION OF DIRECTOR: JOHN F. SCHAEFER | For | No | None | |||||
| 1G | ELECTION OF DIRECTOR: PING YANG | For | No | None | |||||
| 2 | PROPOSAL TO APPROVE AN AMENDMENT TO INCREASE THE MAXIMUM NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE UNDER THE COMPANY'S 2003 EMPLOYEE STOCK PURCHASE PLAN BY 300,000 SHARES. | For | No | None | |||||
| 3 | PROPOSAL TO APPROVE AN AMENDMENT TO INCREASE THE MAXIMUM NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE UNDER THE COMPANY'S 2004 EQUITY INCENTIVE PLAN BY 500,000 SHARES AND APPROVE THE MATERIAL TERMS OF THE PLAN. | For | No | None | |||||
| 4 | PROPOSAL TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS INDEPENDENT PUBLIC ACCOUNTANTS OF INTEVAC FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 5 | TO RECOMMEND, BY ADVISORY VOTE, EXECUTIVE COMPENSATION. | For | No | None | |||||
| 6 | TO RECOMMEND, BY ADVISORY VOTE, THE FREQUENCY OF HOLDING AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | 3 Years | No | None | |||||
| Company Name: | Johnson Controls, Inc. | ||||||||
| Ticker: | JCI | CUSIP: | 478366107 | ||||||
| Meeting Date: | 1/26/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR NATALIE A. BLACK | For | Yes | For | |||||
| 1.2 | DIRECTOR ROBERT A. CORNOG | For | Yes | For | |||||
| 1.3 | DIRECTOR WILLIAM H. LACY | For | Yes | For | |||||
| 1.4 | DIRECTOR STEPHEN A. ROELL | For | Yes | For | |||||
| 2 | RATIFICATION OF PRICEWATERHOUSECOOPERS AS INDEPENDENT AUDITORS FOR 2011 | For | Yes | For | |||||
| 3 | APPROVAL OF A PROPOSED AMENDMENT TO THE JOHNSON CONTROLS, INC. RESTATED ARTICLES OF INCORPORATION TO ALLOW FOR A MAJORITY VOTING STANDARD FOR UNCONTESTED ELECTIONS OF DIRECTORS | For | Yes | For | |||||
| 4 | APPROVAL OF THE JOHNSON CONTROLS, INC. ANNUAL INCENTIVE PERFORMANCE PLAN. | For | Yes | For | |||||
| 5 | APPROVAL OF THE JOHNSON CONTROLS, INC. LONG-TERM INCENTIVE PERFORMANCE PLAN | For | Yes | For | |||||
| 6 | ADVISORY VOTE ON COMPENSATON OF OUR NAMED EXECUTIVE OFFICERS | Against | Yes | Against | |||||
| 7 | ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | 1 Year | Yes | Against | |||||
| Company Name: | METABOLIX INC | ||||||||
| Ticker: | MBLX | CUSIP: | 591018809 | ||||||
| Meeting Date: | 5/19/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | ELECTION OF DIRECTOR: JAY KOUBA | 3 Years | No | None | |||||
| 1.2 | ELECTION OF DIRECTOR: OLIVER P. PEOPLES | For | No | None | |||||
| 2 | SAY ON PAY - ADVISORY NON-BINDING VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION. | For | No | None | |||||
| 3 | SAY ON FREQUENCY - ADVISORY NON-BINDING VOTE ON THE FREQUENCY OF SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. | For | No | None | |||||
| 4 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| Company Name: | Meyer Berger | ||||||||
| Ticker: | MBTN.SW | CUSIP: | CH0108503795 | ||||||
| Meeting Date: | 4/21/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | Approval of the annual report 2010, the annual financial statements 2010 and the consolidated financial statements 2010, presentation of the reports of the auditors | For | No | None | |||||
| 2 | Appropriation of balance sheet profit | For | No | None | |||||
| 3 | Release of the members of the board of directors and management | For | No | None | |||||
| 4 | Election to the board of directors: Peter Pauli | For | No | None | |||||
| 5 | Election of auditors: Pricewaterhousecoopers Ag, Thun | For | No | None | |||||
| Company Name: | Metalico Inc | ||||||||
| Ticker: | MEA | CUSIP: | 591176102 | ||||||
| Meeting Date: | 6/22/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: CARLOS E. AGUERO | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: MICHAEL J. DRURY | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: BRET R. MAXWELL | For | No | None | |||||
| 1D | ELECTION OF DIRECTOR: WALTER H. BARANDIARAN | For | No | None | |||||
| 1E | ELECTION OF DIRECTOR: PAUL A. GARRETT | For | No | None | |||||
| 1F | ELECTION OF DIRECTOR: SEAN P. DUFFY | For | No | None | |||||
| 2 | TO RATIFY THE APPOINTMENT OF J.H. COHN LLP BY THE COMPANY'S AUDIT COMMITTEE AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 3 | TO APPROVE, BY NON-BINDING VOTE, THE COMPANY'S EXECUTIVE COMPENSATION. | For | No | None | |||||
| 4 | TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. | 1 Year | No | None | |||||
| 5 | SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENT THEREOF. | For | No | None | |||||
| Company Name: | 3M CO | ||||||||
| Ticker: | MMM | CUSIP: | 88579Y101 | ||||||
| Meeting Date: | 5/10/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: LINDA G. ALVARADO | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: GEORGE W. BUCKLEY | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: VANCE D. COFFMAN | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: MICHAEL L. ESKEW | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: W. JAMES FARRELL | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: HERBERT L. HENKEL | For | Yes | For | |||||
| 1G | ELECTION OF DIRECTOR: EDWARD M. LIDDY | For | Yes | For | |||||
| 1H | ELECTION OF DIRECTOR: ROBERT S. MORRISON | For | Yes | For | |||||
| 1I | ELECTION OF DIRECTOR: AULANA L. PETERS | For | Yes | For | |||||
| 1J | ELECTION OF DIRECTOR: ROBERT J. ULRICH | For | Yes | For | |||||
| 2 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | For | Yes | For | |||||
| 3 | AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 4 | AN ADVISORY VOTE ON THE FREQUENCY OF ADVISORY VOTES ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 5 | STOCKHOLDER PROPOSAL ON POLITICAL CONTRIBUTIONS. | Against | Yes | For | |||||
| Company Name: | Orion Energy Systems, Inc. | ||||||||
| Ticker: | OESX | CUSIP: | 686275108 | ||||||
| Meeting Date: | 10/27/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR NEAL R. VERFUERTH | For | Yes | For | |||||
| 1.2 | DIRECTOR JAMES R. KACKLEY | For | Yes | For | |||||
| 1.3 | DIRECTOR THOMAS N. SCHUELLER | For | Yes | For | |||||
| 2 | PROPOSAL TO RATIFY THE APPOINTMENT OF GRANT THORNTON, LLP TO SERVE AS ORION ENERGY SYSTEMS, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2011. | For | Yes | For | |||||
| 3 | PROPOSAL TO AMEND THE ORION ENERGY SYSTEMS, INC. 2004 STOCK AND INCENTIVE AWARDS PLAN TO INCREASE THE NUMBER OF SHARES AUTHORIZED FOR ISSUANCE THEREUNDER. | Against | Yes | Against | |||||
| Company Name: | Koninklijke Philips Electronics | ||||||||
| Ticker: | PHG | CUSIP: | 500472303 | ||||||
| Meeting Date: | 3/31/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 2A | ADOPTION OF THE 2010 FINANCIAL STATEMENTS | For | Yes | For | |||||
| 2C | ADOPTION OF A DIVIDEND OF EUR 0.75 PER COMMON SHARE IN CASH OR SHARES, AT THE OPTION OF THE SHAREHOLDER, AGAINST THE NET INCOME FOR 2010 OF THE COMPANY | For | Yes | For | |||||
| 2D | DISCHARGE OF THE BOARD OF MANAGEMENT FOR THEIR RESPONSIBILITIES | For | Yes | For | |||||
| 2E | DISCHARGE OF THE SUPERVISORY BOARD FOR THEIR RESPONSIBILITIES | For | Yes | For | |||||
| 3A | APPOINTMENT OF MR. F.A. VAN HOUTEN AS PRESIDENT/CEO AND MEMBER OF THE BOARD OF MANAGEMENT WITH EFFECT FROM APRIL 1, 2011 | For | Yes | For | |||||
| 3B | APPOINTMENT OF MR. R.H. WIRAHADIRAKSA AS MEMBER OF THE BOARD OF MANAGEMENT WITH EFFECT FROM APRIL 1, 2011 | For | Yes | For | |||||
| 3C | APPOINTMENT OF MR. P.A.J. NOTA AS MEMBER OF THE BOARD OF MANAGEMENT WITH EFFECT FROM APRIL 1, 2011 | For | Yes | For | |||||
| 4A | RE-APPOINTMENT OF MR. C.J.A. VAN LEDE AS MEMBER OF THE SUPERVISORY BOARD WITH EFFECT FROM MARCH 31, 2011 | Against | Yes | Against | |||||
| 4B | RE-APPOINTMENT OF MR. J.M. THOMPSON AS MEMBER OF THE SUPERVISORY BOARD WITH EFFECT FROM MARCH 31, 2011 | For | Yes | For | |||||
| 4C | RE-APPOINTMENT OF MR. H. VON PRONDZYNSKI AS MEMBER OF THE SUPERVISORY BOARD WITH EFFECT FROM MARCH 31, 2011 | Against | Yes | Against | |||||
| 4D | APPOINTMENT OF MR. J.P. TAI AS MEMBER OF THE SUPERVISORY BOARD WITH EFFECT FROM MARCH 31, 2011 | For | Yes | For | |||||
| 5 | RE-APPOINTMENT OF KPMG ACCOUNTANTS N.V. AS EXTERNAL AUDITOR OF THE COMPANY | For | Yes | For | |||||
| 6A | AUTHORIZATION OF THE BOARD OF MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER MARCH 31, 2011, AS THE BODY WHICH IS AUTHORIZED, WITH THE APPROVAL OF THE SUPERVISORY BOARD, TO ISSUE SHARES OR GRANT RIGHTS TO ACQUIRE SHARES WITHIN THE LIMITS LAID DOWN IN THE ARTIC | For | Yes | For | |||||
| 6B | AUTHORIZATION OF THE BOARD OF MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER MARCH 31, 2011, AS THE BODY WHICH IS AUTHORIZED, WITH THE APPROVAL OF THE SUPERVISORY BOARD, TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHT ACCRUING TO SHAREHOLDERS | For | Yes | For | |||||
| 7 | AUTHORIZATION OF THE BOARD OF MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER MARCH 31, 2011, WITHIN THE LIMITS OF THE LAW AND THE ARTICLES OF ASSOCIATION, AND WITH THE APPROVAL OF THE SUPERVISORY BOARD, TO ACQUIRE SHARES IN THE COMPANY PURSUANT TO AND SUBJECT | For | Yes | For | |||||
| Company Name: | Power Integrations, Inc. | ||||||||
| Ticker: | POWI | CUSIP: | 739276103 | ||||||
| Meeting Date: | 6/27/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | BALU BALAKRISHNAN | For | No | None | |||||
| 1.2 | ALAN D. BICKELL | For | No | None | |||||
| 1.3 | NICHOLAS E. BRATHWAITE | For | No | None | |||||
| 1.4 | JAMES FIEBIGER | For | No | None | |||||
| 1.5 | WILLIAM GEORGE | For | No | None | |||||
| 1.6 | BALAKRISHNAN S. IYER | For | No | None | |||||
| 1.7 | E. FLOYD KVAMME | For | No | None | |||||
| 1.8 | STEVEN J. SHARP | For | No | None | |||||
| 2 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF POWER INTEGRATIONS' NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| Company Name: | Power Integrations, Inc. | ||||||||
| Ticker: | POWI | CUSIP: | 739276103 | ||||||
| Meeting Date: | 6/27/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 3 | TO INDICATE, ON AN ADVISORY BASIS, THE PREFERRED FREQUENCY OF STOCKHOLDER ADVISORY VOTES ON THE COMPENSATION OF POWER INTEGRATIONS' NAMED EXECUTIVE OFFICERS. | None | No | None | |||||
| 4 | TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF POWER INTEGRATIONS, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| Company Name: | POWER ONE INC | ||||||||
| Ticker: | PWER | CUSIP: | 73930R102 | ||||||
| Meeting Date: | 5/3/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR KENDALL R. BISHOP | For | Yes | For | |||||
| 1.2 | DIRECTOR JON GACEK | For | Yes | For | |||||
| 1.3 | DIRECTOR KAMBIZ HOOSHMAND | For | Yes | For | |||||
| 1.4 | DIRECTOR MARK MELLIAR-SMITH | For | Yes | For | |||||
| 1.5 | DIRECTOR RICHARD M. SWANSON | For | Yes | For | |||||
| 1.6 | DIRECTOR RICHARD J. THOMPSON | For | Yes | For | |||||
| 1.7 | DIRECTOR JAY WALTERS | For | Yes | For | |||||
| 2 | ADVISORY RESOLUTION ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | For | |||||
| 3 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | 1 Year | Yes | Against | |||||
| 4 | AMENDMENT TO THE AMENDED AND RESTATED POWER-ONE, INC. 2004 STOCK INCENTIVE PLAN. | For | Yes | For | |||||
| 5 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS POWER-ONE'S INDEPENDENT AUDITORS FOR THE COMPANY FOR FISCAL 2011. | For | Yes | For | |||||
| Company Name: | Praxair, Inc. | ||||||||
| Ticker: | PX | CUSIP: | 74005P104 | ||||||
| Meeting Date: | 4/26/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR STEPHEN F. ANGEL | For | Yes | For | |||||
| 1.2 | DIRECTOR OSCAR BERNARDES | For | Yes | For | |||||
| 1.3 | DIRECTOR NANCE K. DICCIANI | For | Yes | For | |||||
| 1.4 | DIRECTOR EDWARD G. GALANTE | For | Yes | For | |||||
| 1.5 | DIRECTOR CLAIRE W. GARGALLI | For | Yes | For | |||||
| 1.6 | DIRECTOR IRA D. HALL | For | Yes | For | |||||
| 1.7 | DIRECTOR RAYMOND W. LEBOEUF | For | Yes | For | |||||
| 1.8 | DIRECTOR LARRY D. MCVAY | For | Yes | For | |||||
| 1.9 | DIRECTOR WAYNE T. SMITH | For | Yes | For | |||||
| 1.10 | DIRECTOR ROBERT L. WOOD | For | Yes | For | |||||
| 2 | APPROVE, ON AN ADVISORY AND NON-BINDING BASIS, THE COMPENSATION OF PRAXAIR'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE 2011 PROXY STATEMENT. | For | Yes | For | |||||
| 3 | RECOMMEND, ON AN ADVISORY AND NON-BINDING BASIS, THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | 1 Year | Yes | For | |||||
| 4 | TO APPROVE PERFORMANCE GOALS UNDER PRAXAIR'S SECTION 162(M) PLAN. | For | Yes | For | |||||
| 5 | TO APPROVE AMENDMENTS TO THE 2009 PRAXAIR, INC. LONG TERM INCENTIVE PLAN TO ADD NON-EMPLOYEE DIRECTORS AS ELIGIBLE PARTICIPANTS. | For | Yes | For | |||||
| 6 | TO RATIFY THE APPOINTMENT OF THE INDEPENDENT AUDITOR | For | Yes | For | |||||
| Company Name: | Sharp | ||||||||
| Ticker: | SHARP | CUSIP: | JP3359600008 | ||||||
| Meeting Date: | 6/23/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | Approve Appropriation of Retained Earnings | For | No | None | |||||
| 2 | Approve Payment of Bonuses to Corporate Officers | For | No | None | |||||
| 3.1 | Appoint a Director | For | No | None | |||||
| 3.2 | Appoint a Director | For | No | None | |||||
| 3.3 | Appoint a Director | For | No | None | |||||
| 3.4 | Appoint a Director | For | No | None | |||||
| 3.5 | Appoint a Director | For | No | None | |||||
| 3.6 | Appoint a Director | For | No | None | |||||
| 3.7 | Appoint a Director | For | No | None | |||||
| 3.8 | Appoint a Director | For | No | None | |||||
| 3.9 | Appoint a Director | For | No | None | |||||
| 3.10 | Appoint a Director | For | No | None | |||||
| 3.11 | Appoint a Director | For | No | None | |||||
| 4.1 | Appoint a Corporate Auditor | For | No | None | |||||
| 4.2 | Appoint a Corporate Auditor | For | No | None | |||||
| 5 | Continuation of Plan Regarding Large-Scale Purchases of Sharp Corporation Shares (Takeover Defense Plan) | For | No | None | |||||
| Company Name: | Solarfun Power Holdings Co., Ltd. | ||||||||
| Ticker: | SOLF | CUSIP: | 83415U108 | ||||||
| Meeting Date: | 12/20/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | APPOINTMENT OF THOMAS J. TOY, AS A DIRECTOR TO CONTINUE TO HOLD OFFICE FOR A THREE-YEAR TERM BEGINNING ON THE DATE OF THIS AGM OR UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | For | Yes | ||||||
| 2 | APPOINTMENT OF ERNST BUTLER, AS A DIRECTOR TO CONTINUE TO HOLD OFFICE FOR A THREE-YEAR TERM. | For | Yes | ||||||
| 3 | APPOINTMENT OF YINZHANG GU, AS A DIRECTOR TO CONTINUE TO HOLD OFFICE FOR A THREE-YEAR TERM BEGINNING ON THE DATE OF THIS AGM OR UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | For | Yes | ||||||
| 4 | APPOINTMENT OF KI-JOON HONG, AS A DIRECTOR TO HOLD OFFICE FOR A THREE-YEAR TERM. | For | Yes | ||||||
| 5 | APPOINTMENT OF DONG KWAN KIM, AS A DIRECTOR TO HOLD OFFICE FOR A THREE-YEAR TERM BEGINNING ON THE DATE OF THIS AGM OR UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | For | Yes | ||||||
| 6 | APPOINTMENT OF WOOK JIN YOON, AS A DIRECTOR TO HOLD OFFICE FOR A THREE-YEAR TERM. | For | Yes | ||||||
| 7 | THE ISSUANCE AND SALE BY THE COMPANY AT PAR VALUE OF 14,407,330 ORDINARY SHARES, WITH A PAR VALUE OF US$0.0001 EACH, TO HANWHA SOLAR HOLDINGS CO., LTD. BE APPROVED. | Abstain | Yes | ||||||
| 8 | APPOINTMENT OF ERNST & YOUNG HUA MING AS INDEPENDENT AUDITOR OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2010 BE APPROVED. | For | Yes | ||||||
| 9 | THE NAME OF THE COMPANY BE CHANGED FROM "SOLARFUN POWER HOLDINGS CO., LTD." TO "HANWHA SOLARONE CO., LTD." | Abstain | Yes | ||||||
| Company Name: | Solarfun Power Holdings Co., Ltd. | ||||||||
| Ticker: | SOLF | CUSIP: | 83415U108 | ||||||
| Meeting Date: | 2/21/2011 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | AS AN ORDINARY RESOLUTION THAT THE AUTHORIZED SHARE CAPITAL OF THE COMPANY BE INCREASED FROM US$50,000 DIVIDED INTO 500,000,000 ORDINARY SHARES OF A PAR VALUE OF US$0.0001 EACH TO US$100,000 DIVIDED INTO 1,000,000,000 ORDINARY SHARES OF A PAR VALUE OF US$ | Abstain | Yes | ||||||
| 2 | AS AN ORDINARY RESOLUTION THAT ERNST & YOUNG HUA MING BE APPOINTED AS INDEPENDENT AUDITOR OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2011 SUBJECT TO THE FINALIZATION OF THE TERMS OF THE ENGAGEMENT BY THE MANAGEMENT. | For | Yes | ||||||
| 3 | AS A SPECIAL RESOLUTION THAT THE AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE COMPANY CURRENTLY IN EFFECT BE AMENDED, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Abstain | Yes | ||||||
| 4 | IN ORDER TO FACILITATE THE COMPANY'S FINANCING OPTIONS FOR ITS GROWTH AND EXPANSION, AS A SPECIAL RESOLUTION THAT ARTICLE 4 OF THE ARTICLES OF ASSOCIATION IS DELETED IN ITS ENTIRETY AND REPLACED, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Abstain | Yes | ||||||
| Company Name: | GT Solar International, Inc. | ||||||||
| Ticker: | SOLR | CUSIP: | 3.62E+212 | ||||||
| Meeting Date: | 8/11/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR J. BRADFORD FORTH | For | Yes | For | |||||
| 1.2 | DIRECTOR FUSEN E.CHEN | For | Yes | For | |||||
| 1.3 | DIRECTOR J. MICHAL CONAWAY | For | Yes | For | |||||
| 1.4 | DIRECTOR ERNEST L. GODSHALK | For | Yes | For | |||||
| 1.5 | DIRECTOR THOMAS GUTIERREZ | For | Yes | For | |||||
| 1.6 | DIRECTOR MATTHEW E. MASSENGILL | For | Yes | For | |||||
| 1.7 | DIRECTOR R. CHAD VAN SWEDEN | For | Yes | For | |||||
| 1.8 | DIRECTOR NOEL G. WATSON | For | Yes | For | |||||
| Company Name: | SunPower Corp. | ||||||||
| Ticker: | SPWRA | CUSIP: | 867652307 | ||||||
| Meeting Date: | 5/3/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR THOMAS R. MCDANIEL | For | Yes | For | |||||
| 1.2 | DIRECTOR THOMAS H. WERNER | For | Yes | For | |||||
| 2 | THE PROPOSAL TO APPROVE, IN AN ADVISORY VOTE, OUR NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | For | |||||
| 3 | THE PROPOSAL TO APPROVE, IN AN ADVISORY VOTE, WHETHER A STOCKHOLDER ADVISORY VOTE ON OUR NAMED EXECUTIVE OFFICER COMPENSATION SHOULD BE HELD EVERY (A) YEAR, (B) TWO YEARS, OR (C) THREE YEARS. | 1 Year | Yes | Against | |||||
| Company Name: | Trina Solar Ltd. | ||||||||
| Ticker: | TSL | CUSIP: | 8.96E+108 | ||||||
| Meeting Date: | 8/6/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| O1 | RE-ELECTION OF MR. GAO JIFAN AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| O2 | RE-ELECTION OF MR. ZHAO QIAN AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| O3 | ELECTION OF MR. YEUNG KWOK AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| O4 | INCREASE OF THE NUMBER OF AUTHORIZED SHARES FOR GRANT UNDER THE COMPANY'S SHARE INCENTIVE PLAN FROM 202,718,350 ORDINARY SHARES TO 352,718,350 ORDINARY SHARES. | Against | Yes | Against | |||||
| O5 | APPOINTMENT OF THE INDEPENDENT AUDITOR DELOITTE TOUCHE TOHMATSU FOR THE FISCAL YEAR 2010. | For | Yes | For | |||||
| Company Name: | United Technologies Corporation | ||||||||
| Ticker: | UTX | CUSIP: | 913017109 | ||||||
| Meeting Date: | 4/13/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: LOUIS R. CHENEVERT | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: JOHN V. FARACI | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: JEAN-PIERRE GARNIER | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: JAMIE S. GORELICK | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: EDWARD A. KANGAS | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: ELLEN J. KULLMAN | For | Yes | For | |||||
| 1G | ELECTION OF DIRECTOR: CHARLES R. LEE | For | Yes | For | |||||
| 1H | ELECTION OF DIRECTOR: RICHARD D. MCCORMICK | For | Yes | For | |||||
| 1I | ELECTION OF DIRECTOR: HAROLD MCGRAW III | For | Yes | For | |||||
| 1J | ELECTION OF DIRECTOR: RICHARD B. MYERS | For | Yes | For | |||||
| 1K | ELECTION OF DIRECTOR: H. PATRICK SWYGERT | For | Yes | For | |||||
| 1L | ELECTION OF DIRECTOR: ANDRE VILLENEUVE | For | Yes | For | |||||
| 1M | ELECTION OF DIRECTOR: CHRISTINE TODD WHITMAN | For | Yes | For | |||||
| 2 | APPOINTMENT OF THE FIRM OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITOR | For | Yes | For | |||||
| 3 | APPROVAL OF AMENDMENT TO 2005 LONG-TERM INCENTIVE PLAN | For | Yes | For | |||||
| 4 | ADVISORY VOTE ON COMPENSATION OF NAMED EXECUTIVE OFFICERS | For | Yes | For | |||||
| 5 | ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTE ON COMPENSATION OF NAMED EXECUTIVE OFFICERS | 1 Year | Yes | ||||||
| Shareholder Proposal | |||||||||
| 6 | SHAREOWNER PROPOSAL CONCERNING ADDITIONAL SHARE RETENTION REQUIREMENT FOR SENIOR EXECUTIVES | Against | Yes | For | |||||
| Company Name: | Vestas Wind System AS | ||||||||
| Ticker: | VWSYF.PK | CUSIP: | DK0010268606 | ||||||
| Meeting Date: | 3/28/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | Report of the Board of Directors | For | No | None | |||||
| 2 | Presentation and adoption of the annual report | For | No | None | |||||
| 3.1 | Presentation and adoption of the remuneration of the Board of Directors: Remuneration for financial year 2010 | For | No | None | |||||
| 3.2 | Presentation and adoption of the remuneration of the Board of Directors: Remuneration for financial year 2011 | For | No | None | |||||
| 4 | Resolution for the application of profit | For | No | None | |||||
| 5.1 | Re-election of Bent Erik Carlsen | For | No | None | |||||
| 5.2 | Re-election of Torsten Erik Rasmussen | For | No | None | |||||
| 5.3 | Re-election of Freddy Frandsen | For | No | None | |||||
| 5.4 | Re-election of Hakan Eriksson | For | No | None | |||||
| 5.5 | Re-election of Jorgen Huno Rasmussen | For | No | None | |||||
| 5.6 | Re-election of Jorn Ankaer Thomsen | For | No | None | |||||
| 5.7 | Re-election of Kurt Anker Nielsen | For | No | None | |||||
| 5.8 | Election of Carsten Bjerg | For | No | None | |||||
| 6 | Reappointment of PricewaterhouseCoopers Statsautoriseret Revisionsaktieselskab as the Company's auditor | For | No | None | |||||
| 7.1 | The Board of Directors' proposal: Adoption of the remuneration policy for Vestas Wind System A/S'Board of Directors and Executive Management | For | No | None | |||||
| 7.2 | The Board of Directors' proposal: Prolongation of the Board of Directors' authorisation to increase the share capital - amendment to Article 3 of the Company's articles of association | For | No | None | |||||
| 7.3 | The Board of Directors' proposal: Authorisation for the Board of Directors to let the company acquire treasury shares | For | No | None | |||||
| 7.4 | The Shareholders proposal: The General Meeting decides that Vestas will not use the test centre in Oterild designated by the Danish Government | For | No | None | |||||
| Company Name: | WaterFurnace Renewable Energy Inc. | ||||||||
| Ticker: | WFI | CUSIP: | 9415EQ108 | ||||||
| Meeting Date: | 5/10/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | ELECTION OF DIRECTORS FOR THE COMPANY FOR THE ENSUING YEAR. | For | No | None | |||||
| 2 | APPOINTMENT OF GRANT THORNTON, LLP, CHARTERED ACCOUNTANTS, AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THE AUDITORS' REMUNERATION. | For | No | None | |||||
| Company Name: | MEMC Electronic Materials, Inc. | ||||||||
| Ticker: | WFR | CUSIP: | 552715104 | ||||||
| Meeting Date: | 4/28/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: PETER BLACKMORE | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: AHMAD R. CHATILA | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: MARSHALL TURNER | For | Yes | For | |||||
| 2 | RATIFICATION OF THE SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2011. | For | Yes | For | |||||
| 3 | NON-BINDING ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Against | Yes | Against | |||||
| 4 | NON-BINDING ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | 1 Year | Yes | Against | |||||
| Shareholder Proposal | |||||||||
| 5 | APPROVAL OF SHAREHOLDER PROPOSAL TO ELECT EACH DIRECTOR ANNUALLY. | Against | Yes | For | |||||
| Company Name: | YINGLI GREEN ENERGY HLDG CO LTD | ||||||||
| Ticker: | YGE | CUSIP: | 98584B103 | ||||||
| Meeting Date: | 8/13/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | ADOPTION OF AUDITED FINANCIAL STATEMENTS. | For | Yes | For | |||||
| 2A | ELECTION OF DIRECTOR: IAIN FERGUSON BRUCE | For | Yes | For | |||||
| 2B | ELECTION OF DIRECTOR: CHI PING MARTIN LAU | For | Yes | For | |||||
| 3 | RATIFICATION OF THE APPOINTMENT KPMG AS THE COMPANY'S INDEPENDENT AUDITORS. | For | Yes | For | |||||
| Firsthand Technology Leaders Fund | |||||||||
| Company Name: | Apple Inc. | ||||||||
| Ticker: | AAPL | CUSIP: | 37833100 | ||||||
| Meeting Date: | 2/23/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR WILLIAM V. CAMPBELL | For | Yes | For | |||||
| 1.2 | DIRECTOR MILLARD S. DREXLER | For | Yes | For | |||||
| 1.3 | DIRECTOR ALBERT A. GORE, JR. | For | Yes | For | |||||
| 1.4 | DIRECTOR STEVEN P. JOBS | For | Yes | For | |||||
| 1.5 | DIRECTOR ANDREA JUNG | For | Yes | For | |||||
| 1.6 | DIRECTOR ARTHUR D. LEVINSON | For | Yes | For | |||||
| 1.7 | DIRECTOR RONALD D. SUGAR | For | Yes | For | |||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2011. | For | Yes | For | |||||
| 3 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 4 | ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 5 | SHAREHOLDER PROPOSAL REGARDING SUCCESSION PLANNING, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For | |||||
| 6 | SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For | |||||
| Company Name: | Applied Materials, Inc. | ||||||||
| Ticker: | AMAT | CUSIP: | 38222105 | ||||||
| Meeting Date: | 3/8/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR AART J. DE GEUS | For | Yes | For | |||||
| 1.2 | DIRECTOR STEPHEN R. FORREST | For | Yes | For | |||||
| 1.3 | DIRECTOR THOMAS J. IANNOTTI | For | Yes | For | |||||
| 1.4 | DIRECTOR SUSAN M. JAMES | For | Yes | For | |||||
| 1.5 | DIRECTOR ALEXANDER A. KARSNER | For | Yes | For | |||||
| 1.6 | DIRECTOR GERHARD H. PARKER | For | Yes | For | |||||
| 1.7 | DIRECTOR DENNIS D. POWELL | For | Yes | For | |||||
| 1.8 | DIRECTOR WILLEM P. ROELANDTS | For | Yes | For | |||||
| 1.9 | DIRECTOR JAMES E. ROGERS | For | Yes | For | |||||
| 1.10 | DIRECTOR MICHAEL R. SPLINTER | For | Yes | For | |||||
| 1.11 | DIRECTOR ROBERT H. SWAN | For | Yes | For | |||||
| 2 | AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 3 | AN ADVISORY VOTE ON THE FREQUENCY OF AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| 4 | TO RATIFY THE APPOINTMENT OF KPMG LLP AS APPLIED MATERIALS' INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2011. | For | Yes | For | |||||
| Company Name: | ASML Holding N.V. | ||||||||
| Ticker: | asml | CUSIP: | N07059186 | ||||||
| Meeting Date: | 4/20/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 3 | DISCUSSION OF THE ANNUAL REPORT 2010 AND PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ("FY") 2010, AS PREPARED IN ACCORDANCE WITH DUTCH LAW. | For | No | None | |||||
| 4 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT ("BOM") FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2010. | For | No | None | |||||
| 5 | PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD ("SB") FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2010. | For | No | None | |||||
| 7 | PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.40 PER ORDINARY SHARE OF EUR 0.09. | For | No | None | |||||
| 8 | PROPOSAL TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY. | For | No | None | |||||
| 9 | APPROVAL OF THE NUMBER OF STOCK OPTIONS, RESPECTIVELY STOCK, AVAILABLE FOR ASML EMPLOYEES, AND AUTHORIZATION OF THE BOM TO ISSUE THE STOCK OPTIONS OR STOCK. | For | No | None | |||||
| 10A | PROPOSAL TO REAPPOINT MR. W.T. SIEGLE AS MEMBER OF THE SB EFFECTIVE APRIL 20, 2011. | For | No | None | |||||
| 10B | PROPOSAL TO REAPPOINT MR. J.W.B. WESTERBURGEN AS MEMBER OF THE SB EFFECTIVE APRIL 20, 2011. | For | No | None | |||||
| 12 | PROPOSAL TO ADJUST THE REMUNERATION OF THE SUPERVISORY BOARD. | For | No | None | |||||
| 13A | PROPOSAL TO AUTHORIZE THE BOM FOR A PERIOD OF 18 MONTHS FROM APRIL 20, 2011, TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES IN THE CAPITAL OF THE COMPANY, LIMITED TO 5% OF THE ISSUED SHARE CAPITAL AT THE TIME OF THE AUTHORIZATION. | For | No | None | |||||
| 13B | PROPOSAL TO AUTHORIZE THE BOM FOR A PERIOD OF 18 MONTHS FROM APRIL 20, 2011, TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH ITEM 13A. | For | No | None | |||||
| 13C | PROPOSAL TO AUTHORIZE THE BOM FOR A PERIOD OF 18 MONTHS FROM APRIL 20, 2011, TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES IN THE CAPITAL OF THE COMPANY, FOR AN ADDITIONAL 5% OF THE ISSUED SHARE CAPITAL AT THE TIME OF THE AUTHORIZATION, WHICH 5% CAN ONLY BE USED IN CONNECTION WITH OR ON THE OCCASION OF MERGERS AND/OR ACQUISITIONS. | For | No | None | |||||
| 13D | PROPOSAL TO AUTHORIZE THE BOM FOR A PERIOD OF 18 MONTHS FROM APRIL 20, 2011, TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH ITEM 13C. | For | No | None | |||||
| 14 | PROPOSAL TO AUTHORIZE THE BOM FOR A PERIOD OF 18 MONTHS FROM APRIL 20, 2011, TO ACQUIRE ORDINARY SHARES IN THE COMPANY'S SHARE CAPITAL. | For | No | None | |||||
| 15 | PROPOSAL TO CANCEL ORDINARY SHARES. | For | No | None | |||||
| 16 | PROPOSAL TO CANCEL ADDITIONAL ORDINARY SHARES. | For | No | None | |||||
| Company Name: | Cisco Systems, Inc. | ||||||||
| Ticker: | CSCO | CUSIP: | 17275R102 | ||||||
| Meeting Date: | 11/18/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: CAROL A. BARTZ | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: M. MICHELE BURNS | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: LARRY R. CARTER | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: JOHN T. CHAMBERS | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: BRIAN L. HALLA | For | Yes | For | |||||
| 1G | ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY | For | Yes | For | |||||
| 1H | ELECTION OF DIRECTOR: RICHARD M. KOVACEVICH | For | Yes | For | |||||
| 1I | ELECTION OF DIRECTOR: RODERICK C. MCGEARY | For | Yes | For | |||||
| 1J | ELECTION OF DIRECTOR: MICHAEL K. POWELL | For | Yes | For | |||||
| 1K | ELECTION OF DIRECTOR: ARUN SARIN | For | Yes | For | |||||
| 1L | ELECTION OF DIRECTOR: STEVEN M. WEST | For | Yes | For | |||||
| 1M | ELECTION OF DIRECTOR: JERRY YANG | For | Yes | For | |||||
| 2 | TO APPROVE A NON-BINDING ADVISORY RESOLUTION REGARDING EXECUTIVE COMPENSATION. | Against | Yes | Against | |||||
| 3 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS CISCO'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JULY 30, 2011. | For | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 4 | PROPOSAL SUBMITTED BY A SHAREHOLDER TO AMEND CISCO'S BYLAWS TO ESTABLISH A BOARD COMMITTEE ON ENVIRONMENTAL SUSTAINABILITY. | Against | Yes | For | |||||
| 5 | PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING THE BOARD TO PUBLISH A REPORT TO SHAREHOLDERS, WITHIN SIX MONTHS, PROVIDING A SUMMARIZED LISTING AND ASSESSMENT OF CONCRETE STEPS CISCO COULD REASONABLY TAKE TO REDUCE THE LIKELIHOOD THAT ITS BUSINESS PRACTICES MIGHT ENABLE OR ENCOURAGE THE VIOLATION OF HUMAN RIGHTS, AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. | Against | Yes | For | |||||
| 6 | PROPOSAL SUBMITTED BY A SHAREHOLDER REQUESTING THAT CISCO ADOPT AND IMPLEMENT A POLICY RESTRICTING CERTAIN SALES IN CHINA, ADOPT A RELATED OVERSIGHT AND COMPLIANCE SYSTEM WITH RESPECT TO HUMAN RIGHTS IMPACTS AND PROVIDE PUBLIC DISCLOSURE OF CISCO SALES TO CHINA AND CERTAIN OTHER GOVERNMENTS, AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. | Against | Yes | For | |||||
| Company Name: | Corning Inc. | ||||||||
| Ticker: | GLW | CUSIP: | 219350105 | ||||||
| Meeting Date: | 4/28/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: JOHN SEELY BROWN | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: JOHN A. CANNING, JR. | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: GORDON GUND | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: KURT M. LANDGRAF | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: H. ONNO RUDING | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: GLENN F. TILTON | For | Yes | For | |||||
| 2 | APPROVAL, BY NON-BINDING VOTE, ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 3 | APPROVAL, BY NON-BINDING, ON THE FREQUENCY OF FUTURE EXECUTIVE COMPENSATION VOTES. | 1 Year | Yes | For | |||||
| 4 | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS CORNING'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 5 | SHAREHOLDER PROPOSAL CONCERNING SPECIAL MEETINGS. | For | Yes | Against | |||||
| Company Name: | Google Inc | ||||||||
| Ticker: | GOOG | CUSIP: | 38259P508 | ||||||
| Meeting Date: | 6/2/2011 | Meeting Type: | Annual | ||||||
| �� | |||||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | DIRECTOR 1) LARRY PAGE 2) SERGEY BRIN 3) ERIC E. SCHMIDT 4) L. JOHN DOERR 5) JOHN L. HENNESSY 6) ANN MATHER 7) PAUL S. OTELLINI 8) K. RAM SHRIRAM 9) SHIRLEY M. TILGHMAN | For | No | None | |||||
| 2 | THE RATIFICATION OF ERNST & YOUNG LLP AS GOOGLE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 3 | THE APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 STOCK PLAN TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CLASS A COMMON STOCK ISSUABLE UNDER THE PLAN BY 1,500,000. | For | No | None | |||||
| 4 | THE APPROVAL OF 2010 COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| 5 | THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES REGARDING COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS. | 3 Years | No | None | |||||
| 6 | A STOCKHOLDER PROPOSAL REGARDING THE FORMATION OF A BOARD COMMITTEE ON SUSTAINABILITY, IF PROPERLY PRESENTED AT THE MEETING. | Against | No | None | |||||
| 7 | A STOCKHOLDER PROPOSAL REGARDING THE ADOPTION OF A SIMPLE MAJORITY VOTING STANDARD FOR STOCKHOLDER MATTERS, IF PROPERLY PRESENTED AT THE MEETING. | For | No | None | |||||
| 8 | A STOCKHOLDER PROPOSAL REGARDING A CONFLICT OF INTEREST AND CODE OF CONDUCT COMPLIANCE REPORT, IF PROPERLY PRESENTED AT THE MEETING. | For | No | None | |||||
| Company Name: | Hewlett-Packard Co. | ||||||||
| Ticker: | HPQ | CUSIP: | 428236103 | ||||||
| Meeting Date: | 3/23/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: M.L. ANDREESSEN | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: L. APOTHEKER | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: L.T. BABBIO, JR. | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: S.M. BALDAUF | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: S. BANERJI | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: R.L. GUPTA | For | Yes | For | |||||
| 1G | ELECTION OF DIRECTOR: J.H. HAMMERGREN | For | Yes | For | |||||
| 1H | ELECTION OF DIRECTOR: R.J. LANE | For | Yes | For | |||||
| 1I | ELECTION OF DIRECTOR: G.M. REINER | For | Yes | For | |||||
| 1J | ELECTION OF DIRECTOR: P.F. RUSSO | For | Yes | For | |||||
| 1K | ELECTION OF DIRECTOR: D. SENEQUIER | For | Yes | For | |||||
| 1L | ELECTION OF DIRECTOR: G.K. THOMPSON | For | Yes | For | |||||
| 1M | ELECTION OF DIRECTOR: M.C. WHITMAN | For | Yes | For | |||||
| 2 | RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31, 2011. | For | Yes | For | |||||
| 3 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Against | Yes | Against | |||||
| 4 | ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| 5 | APPROVAL OF THE HEWLETT-PACKARD COMPANY 2011 EMPLOYEE STOCK PURCHASE PLAN. | For | Yes | For | |||||
| 6 | APPROVAL OF AN AMENDMENT TO THE HEWLETT-PACKARD COMPANY 2005 PAY-FOR-RESULTS PLAN TO EXTEND THE TERM OF THE PLAN. | Against | Yes | Against | |||||
| Company Name: | Intel Corp. | ||||||||
| Ticker: | INTC | CUSIP: | 458140100 | ||||||
| Meeting Date: | 5/19/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: CHARLENE BARSHEFSKY | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: SUSAN L. DECKER | For | No | None | |||||
| 1C | THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES REGARDING COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| 1D | ELECTION OF DIRECTOR: REED E. HUNDT | For | No | None | |||||
| 1E | ELECTION OF DIRECTOR: PAUL S. OTELLINI | For | No | None | |||||
| 1F | ELECTION OF DIRECTOR: JAMES D. PLUMMER | For | No | None | |||||
| 1H | ELECTION OF DIRECTOR: JANE E. SHAW | For | No | None | |||||
| 1I | ELECTION OF DIRECTOR: FRANK D. YEARY | For | No | None | |||||
| 1J | ELECTION OF DIRECTOR: DAVID B. YOFFIE | For | No | None | |||||
| 2 | AMENDMENT AND EXTENSION OF THE 2006 EQUITY INCENTIVE PLAN | For | No | None | |||||
| 3 | A STOCKHOLDER PROPOSAL REGARDING A CONFLICT OF INTEREST AND CODE OF CONDUCT COMPLIANCE REPORT, IF PROPERLY PRESENTED AT THE MEETING. | For | No | None | |||||
| 4 | AMENDMENT AND EXTENSION OF THE 2006 STOCK PURCHASE PLAN | For | No | None | |||||
| 5 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | For | No | None | |||||
| 6 | ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION | None | No | None | |||||
| Company Name: | LG.Philips LCD Co. | ||||||||
| Ticker: | LPL | CUSIP: | 50186V102 | ||||||
| Meeting Date: | 3/11/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO APPROVE SEPARATE STATEMENTS OF FINANCIAL POSITION, SEPARATE INCOME STATEMENTS & SEPARATE STATEMENTS OF APPROPRIATIONS OF RETAINED EARNINGS OF FISCAL YEAR 2010 (CASH DIVIDEND PER SHARE: KRW 500), AS SET FORTH IN THE COMPANY'S NOTICE OF MEETING ENCLOSED | For | Yes | For | |||||
| 2 | TO APPROVE THE AMENDMENT TO THE ARTICLES OF INCORPORATION, AS SET FORTH IN THE COMPANY'S NOTICE OF MEETING ENCLOSED HEREWITH. | For | Yes | For | |||||
| 3A | ELECTION OF DIRECTOR: YU SIG KANG | For | Yes | For | |||||
| 3B | ELECTION OF DIRECTOR: JAMES (HOYOUNG) JEONG | For | Yes | For | |||||
| 3C | ELECTION OF DIRECTOR: WILLIAM Y. KIM | For | Yes | For | |||||
| 3D | ELECTION OF DIRECTOR: JIN JANG | For | Yes | For | |||||
| 3E | ELECTION OF DIRECTOR: SEONG YONG LEE (SUNNY YI) | For | Yes | For | |||||
| 4A | APPOINTMENT OF AUDIT COMMITTEE MEMBER: WILLIAM Y. KIM | For | Yes | For | |||||
| 4B | APPOINTMENT OF AUDIT COMMITTEE MEMBER: SEONG YONG LEE (SUNNY YI) | For | Yes | For | |||||
| 5 | TO APPROVE THE REMUNERATION LIMIT FOR DIRECTORS IN 2011, AS SET FORTH IN THE COMPANY'S NOTICE OF MEETING ENCLOSED HEREWITH. | For | Yes | For | |||||
| Company Name: | McAfee, Inc. | ||||||||
| Ticker: | MFE | CUSIP: | 579064106 | ||||||
| Meeting Date: | 11/2/2010 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF AUGUST 18, 2010, AMONG INTEL CORPORATION, A DELAWARE CORPORATION, OR INTEL, JEFFERSON ACQUISITION CORPORATION, A DELAWARE CORPORATION AND WHOLLY-OWNED SUBSIDIARY OF INTEL, AND MCAFEE, INC., A DELAWARE CORPORATION, OR MCAFEE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | For | Yes | For | |||||
| 2 | A PROPOSAL TO ADJOURN OR POSTPONE THE SPECIAL MEETING TO A LATER DATE OR TIME, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO ADOPT THE MERGER AGREEMENT OR PURSUANT TO TO THE TERMS OF THE MERGER AGREEMENT. | For | Yes | For | |||||
| Company Name: | Microsoft Corp. | ||||||||
| Ticker: | MSFT | CUSIP: | 594918104 | ||||||
| Meeting Date: | 11/16/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | ELECTION OF DIRECTOR: STEVEN A. BALLMER | For | Yes | For | |||||
| 2 | ELECTION OF DIRECTOR: DINA DUBLON | For | Yes | For | |||||
| 3 | ELECTION OF DIRECTOR: WILLIAM H. GATES III | For | Yes | For | |||||
| 4 | ELECTION OF DIRECTOR: RAYMOND V. GILMARTIN | For | Yes | For | |||||
| 5 | ELECTION OF DIRECTOR: REED HASTINGS | For | Yes | For | |||||
| 6 | ELECTION OF DIRECTOR: MARIA M. KLAWE | For | Yes | For | |||||
| 7 | ELECTION OF DIRECTOR: DAVID F. MARQUARDT | For | Yes | For | |||||
| 8 | ELECTION OF DIRECTOR: CHARLES H. NOSKI | For | Yes | For | |||||
| 9 | ELECTION OF DIRECTOR: HELMUT PANKE | For | Yes | For | |||||
| 10 | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT AUDITOR | For | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 11 | SHAREHOLDER PROPOSAL - ESTABLISHMENT OF BOARD COMMITTEE ON ENVIRONMENTAL SUSTAINABILITY | Against | Yes | For | |||||
| Company Name: | Micron Technology, Inc. | ||||||||
| Ticker: | MU | CUSIP: | 595112103 | ||||||
| Meeting Date: | 12/16/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: STEVEN R. APPLETON | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: TERUAKI AOKI | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: JAMES W. BAGLEY | For | Yes | For | |||||
| 1D | ELECTION OF DIRECTOR: ROBERT L. BAILEY | For | Yes | For | |||||
| 1E | ELECTION OF DIRECTOR: MERCEDES JOHNSON | For | Yes | For | |||||
| 1F | ELECTION OF DIRECTOR: LAWRENCE N. MONDRY | For | Yes | For | |||||
| 1G | ELECTION OF DIRECTOR: ROBERT E. SWITZ | For | Yes | For | |||||
| 2 | TO APPROVE AN AMENDMENT TO THE COMPANY'S 2007 EQUITY INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES RESERVED FOR ISSUANCE THEREUNDER BY 20,000,000. | For | Yes | For | |||||
| 3 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING SEPTEMBER 1, 2011. | For | Yes | For | |||||
| Company Name: | Nokia Corp. | ||||||||
| Ticker: | NOK | CUSIP: | 654902204 | ||||||
| Meeting Date: | 5/3/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 7 | ADOPTION OF THE ANNUAL ACCOUNTS. | For | No | None | |||||
| 8 | RESOLUTION ON THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE PRESIDENT FROM LIABILITY. | For | No | None | |||||
| 9 | THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES REGARDING COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| 10 | RESOLUTION ON THE REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS. | For | No | None | |||||
| 11 | RESOLUTION ON THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS. | For | No | None | |||||
| 12 | DIRECTOR 1) STEPHEN ELOP 2) DR. BENGT HOLMSTROM 3) PROF. DR. H. KAGERMANN 4) PER KARLSSON 5) JOUKO KARVINEN 6) HELGE LUND 7) ISABEL MAREY-SEMPER 8) JORMA OLLILA 9) DAME MARJORIE SCARDINO 10) RISTO SIILASMAA 11) KARI STADIGH | For | No | None | |||||
| 13 | RESOLUTION ON THE REMUNERATION OF THE AUDITOR. | For | No | None | |||||
| 14 | ELECTION OF AUDITOR. | For | No | None | |||||
| 15 | AUTHORIZING THE BOARD OF DIRECTORS TO RESOLVE TO REPURCHASE THE COMPANY'S OWN SHARES. | For | No | None | |||||
| 16 | GRANT OF STOCK OPTIONS TO SELECTED PERSONNEL OF NOKIA. | For | No | None | |||||
| Company Name: | Oracle Corp. | ||||||||
| Ticker: | ORCL | CUSIP: | 68389X105 | ||||||
| Meeting Date: | 10/6/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR JEFFREY S. BERG | For | Yes | For | |||||
| 1.2 | DIRECTOR H. RAYMOND BINGHAM | For | Yes | For | |||||
| 1.3 | DIRECTOR MICHAEL J. BOSKIN | For | Yes | For | |||||
| 1.4 | DIRECTOR SAFRA A. CATZ | For | Yes | For | |||||
| 1.5 | DIRECTOR BRUCE R. CHIZEN | For | Yes | For | |||||
| 1.6 | DIRECTOR GEORGE H. CONRADES | For | Yes | For | |||||
| 1.7 | DIRECTOR LAWRENCE J. ELLISON | For | Yes | For | |||||
| 1.8 | DIRECTOR HECTOR GARCIA-MOLINA | For | Yes | For | |||||
| 1.9 | DIRECTOR JEFFREY O. HENLEY | For | Yes | For | |||||
| 1.10 | DIRECTOR MARK V. HURD | For | Yes | For | |||||
| 1.11 | DIRECTOR DONALD L. LUCAS | For | Yes | For | |||||
| 1.12 | DIRECTOR NAOMI O. SELIGMAN | For | Yes | For | |||||
| 2 | APPROVE THE ORACLE CORPORATION EXECUTIVE BONUS PLAN. | For | Yes | For | |||||
| 3 | APPROVE THE ORACLE CORPORATION AMENDED AND RESTATED 2000 LONG-TERM EQUITY INCENTIVE PLAN, INCLUDING AN AMENDMENT TO INCREASE THE AGGREGATE NUMBER OF SHARES AUTHORIZED FOR ISSUANCE UNDER THE PLAN BY 419,020,418 SHARES. | For | Yes | For | |||||
| 4 | RATIFY THE SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING MAY 31, 2011. | For | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 5 | ACT ON A STOCKHOLDER PROPOSAL TO AMEND THE CORPORATE BYLAWS TO ESTABLISH A BOARD COMMITTEE ON SUSTAINABILITY. | Against | Yes | For | |||||
| 6 | ACT ON A STOCKHOLDER PROPOSAL REGARDING MAJORITY VOTING IN DIRECTOR ELECTIONS. | Against | Yes | For | |||||
| 7 | ACT ON A STOCKHOLDER PROPOSAL REGARDING EQUITY RETENTION. | Against | Yes | For | |||||
| Company Name: | QUALCOMM Inc. | ||||||||
| Ticker: | QCOM | CUSIP: | 747525103 | ||||||
| Meeting Date: | 3/8/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR BARBARA T. ALEXANDER | For | Yes | For | |||||
| 1.2 | DIRECTOR STEPHEN M. BENNETT | For | Yes | For | |||||
| 1.3 | DIRECTOR DONALD G. CRUICKSHANK | For | Yes | For | |||||
| 1.4 | DIRECTOR RAYMOND V. DITTAMORE | For | Yes | For | |||||
| 1.5 | DIRECTOR THOMAS W. HORTON | For | Yes | For | |||||
| 1.6 | DIRECTOR IRWIN MARK JACOBS | For | Yes | For | |||||
| 1.7 | DIRECTOR PAUL E. JACOBS | For | Yes | For | |||||
| 1.8 | DIRECTOR ROBERT E. KAHN | For | Yes | For | |||||
| 1.9 | DIRECTOR SHERRY LANSING | For | Yes | For | |||||
| 1.10 | DIRECTOR DUANE A. NELLES | For | Yes | For | |||||
| 1.11 | DIRECTOR FRANCISCO ROS | For | Yes | For | |||||
| 1.12 | DIRECTOR BRENT SCOWCROFT | For | Yes | For | |||||
| 1.13 | DIRECTOR MARC I. STERN | For | Yes | For | |||||
| 2 | TO APPROVE THE 2006 LONG-TERM INCENTIVE PLAN, AS AMENDED, WHICH INCLUDES AN INCREASE IN THE SHARE RESERVE BY 65,000,000 SHARES. | Against | Yes | Against | |||||
| 3 | TO APPROVE AN AMENDMENT TO THE 2001 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE SHARE RESERVE BY 22,000,000 SHARES. | For | Yes | For | |||||
| 4 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING SEPTEMBER 25, 2011. | For | Yes | For | |||||
| 5 | TO HOLD AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 6 | TO HOLD AN ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | 1 Year | Yes | Against | |||||
| Shareholder Proposal | |||||||||
| 7 | TO ACT ON A STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE ANNUAL MEETING. | Against | Yes | For | |||||
| Company Name: | Sandisk Corp. | ||||||||
| Ticker: | SNDK | CUSIP: | 80004C101 | ||||||
| Meeting Date: | 6/7/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | MICHAEL MARKS | For | No | None | |||||
| 1.2 | KEVIN DENUCCIO | For | No | None | |||||
| 1.3 | IRWIN FEDERMAN | For | No | None | |||||
| 1.4 | STEVEN J. GOMO | For | No | None | |||||
| 1.5 | EDDY W. HARTENSTEIN | For | No | None | |||||
| 1.6 | DR. CHENMING HU | For | No | None | |||||
| 1.7 | CATHERINE P. LEGO | For | No | None | |||||
| 1.8 | SANJAY MEHROTRA | For | No | None | |||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JANUARY 1, 2012. | For | No | None | |||||
| 3 | TO APPROVE AMENDMENTS TO THE SANDISK CORPORATION 2005 INCENTIVE PLAN. | For | No | None | |||||
| 4 | TO APPROVE AMENDMENTS TO THE SANDISK CORPORATION 2005 EMPLOYEE STOCK PURCHASE PLANS. | For | No | None | |||||
| 5 | TO APPROVE AN ADVISORY RESOLUTION ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | No | None | |||||
| 6 | TO CONDUCT AN ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | 1 Year | No | None | |||||
| Firsthand Technology Opportunities Fund | |||||||||
| Company Name: | Apple Inc. | ||||||||
| Ticker: | AAPL | CUSIP: | 37833100 | ||||||
| Meeting Date: | 2/23/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR WILLIAM V. CAMPBELL | For | Yes | For | |||||
| 1.2 | DIRECTOR MILLARD S. DREXLER | For | Yes | For | |||||
| 1.3 | DIRECTOR ALBERT A. GORE, JR. | For | Yes | For | |||||
| 1.4 | DIRECTOR STEVEN P. JOBS | For | Yes | For | |||||
| 1.5 | DIRECTOR ANDREA JUNG | For | Yes | For | |||||
| 1.6 | DIRECTOR ARTHUR D. LEVINSON | For | Yes | For | |||||
| 1.7 | DIRECTOR RONALD D. SUGAR | For | Yes | For | |||||
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2011. | For | Yes | For | |||||
| 3 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 4 | ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | 1 Year | Yes | For | |||||
| Shareholder Proposal | |||||||||
| 5 | SHAREHOLDER PROPOSAL REGARDING SUCCESSION PLANNING, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For | |||||
| 6 | SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For | |||||
| Company Name: | Akamai Technologies, Inc. | ||||||||
| Ticker: | AKAM | CUSIP: | 00971T101 | ||||||
| Meeting Date: | 5/18/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF CLASS III DIRECTOR: C. KIM GOODWIN | For | No | None | |||||
| 1B | ELECTION OF CLASS III DIRECTOR: DAVID W. KENNY | For | No | None | |||||
| 1C | ELECTION OF CLASS III DIRECTOR: PETER J. KIGHT | For | No | None | |||||
| 1D | ELECTION OF CLASS III DIRECTOR: FREDERIC V. SALERNO | For | No | None | |||||
| 2 | AMENDMENT TO 2009 STOCK INCENTIVE PLAN. | For | No | None | |||||
| 3 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| 4 | TO APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | 1 Year | No | None | |||||
| 5 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT AUDITORS OF AKAMAI TECHNOLOGIES, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| Company Name: | A123 | ||||||||
| Ticker: | AONE | CUSIP: | 03739T108 | ||||||
| Meeting Date: | 5/25/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: GURURAJ DESHPANDE | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: PAUL E. JACOBS | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: MARK M. LITTLE | For | No | None | |||||
| 2 | APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DESCRIBED IN OUR PROXY STATEMENT RELATING TO OUR 2011 ANNUAL MEETING OF STOCKHOLDERS. | For | No | None | |||||
| 3 | NON-BINDING, ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | 1 Year | No | None | |||||
| 4 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| Company Name: | ARM Holdings, PLC | ||||||||
| Ticker: | ARMH | CUSIP: | 42068106 | ||||||
| Meeting Date: | 5/12/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2010 | For | No | None | |||||
| 2 | TO DECLARE A FINAL DIVIDEND | For | No | None | |||||
| 3 | TO APPROVE THE DIRECTORS' REMUNERATION REPORT | For | No | None | |||||
| 4 | TO ELECT LARRY HIRST AS A DIRECTOR | For | No | None | |||||
| 5 | TO ELECT JANICE ROBERTS AS A DIRECTOR | For | No | None | |||||
| 6 | TO ELECT ANDY GREEN AS A DIRECTOR | For | No | None | |||||
| 7 | TO RE-ELECT DOUG DUNN AS A DIRECTOR | For | No | None | |||||
| 8 | TO RE-ELECT WARREN EAST AS A DIRECTOR | For | No | None | |||||
| 9 | TO RE-ELECT TUDOR BROWN AS A DIRECTOR | For | No | None | |||||
| 10 | TO RE-ELECT MIKE INGLIS AS A DIRECTOR | For | No | None | |||||
| 11 | TO RE-ELECT MIKE INGLIS AS A DIRECTOR | For | No | None | |||||
| 12 | TO RE-ELECT KATHLEEN O'DONOVAN AS A DIRECTOR | For | No | None | |||||
| 13 | TO RE-ELECT PHILIP ROWLEY AS A DIRECTOR | For | No | None | |||||
| 14 | TO RE-ELECT TIM SCORE AS A DIRECTOR | For | No | None | |||||
| 15 | TO RE-ELECT SIMON SEGARS AS A DIRECTOR | For | No | None | |||||
| 16 | TO RE-ELECT YOUNG SOHN AS A DIRECTOR | For | No | None | |||||
| 17 | TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY | For | No | None | |||||
| 18 | TO AUTHORISE THE DIRECTORS TO FIX THE REMUNERATION OF THE AUDITORS | For | No | None | |||||
| 19 | TO GRANT THE DIRECTORS AUTHORITY TO ALLOT SHARES | For | No | None | |||||
| 20 | TO DISAPPLY PRE-EMPTION RIGHTS | For | No | None | |||||
| 21 | TO AUTHORISE THE COMPANY TO MAKE MARKET PURCHASES OF ITS OWN SHARES | For | No | None | |||||
| 22 | TO AUTHORISE THE COMPANY TO HOLD GENERAL MEETINGS ON 14 DAYS' NOTICE | For | No | None | |||||
| Company Name: | ATHEROS COMMUNICATIONS, INC. | ||||||||
| Ticker: | ATHR | CUSIP: | 04743P108 | ||||||
| Meeting Date: | 3/18/2011 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JANUARY 5, 2011 (THE "MERGER AGREEMENT"), BY AND AMONG ATHEROS COMMUNICATIONS, INC., (THE "COMPANY"), QUALCOMM INCORPORATED, ("PARENT"), AND T MERGER SUB, INC., ("MERGER SUB"), ALL AS MORE FULLY DESCR | For | Yes | For | |||||
| 2 | TO APPROVE THE POSTPONEMENT OR ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO ADOPT THE MERGER AGREEMENT. | For | Yes | For | |||||
| Company Name: | BIGBAND NETWORKS INC | ||||||||
| Ticker: | BBND | CUSIP: | 89750509 | ||||||
| Meeting Date: | 10/18/2010 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | APPROVAL OF STOCK OPTION EXCHANGE PROGRAM | Against | Yes | Against | |||||
| Company Name: | Ciena | ||||||||
| Ticker: | CIEN | CUSIP: | 171779309 | ||||||
| Meeting Date: | 3/23/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: HARVEY B. CASH | For | Yes | For | |||||
| 1B | ELECTION OF DIRECTOR: JUDITH M. O'BRIEN | For | Yes | For | |||||
| 1C | ELECTION OF DIRECTOR: GARY B. SMITH | For | Yes | For | |||||
| 2 | APPROVAL OF AN INCREASE IN THE NUMBER OF SHARES OF OUR COMMON STOCK THAT MAY BE ISSUED UPON CONVERSION OF OUR OUTSTANDING 4.0% CONVERTIBLE SENIOR NOTES DUE 2015. | For | Yes | For | |||||
| 3 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31, 2011. | For | Yes | For | |||||
| 4 | ADVISORY VOTE ON OUR EXECUTIVE COMPENSATION, AS DESCRIBED IN THESE PROXY MATERIALS. | Against | Yes | Against | |||||
| 5 | ADVISORY VOTE ON THE FREQUENCY OF STOCKHOLDER ADVISORY VOTES ON OUR EXECUTIVE COMPENSATION IN THE FUTURE. | 1 Year | Yes | Against | |||||
| Company Name: | CyberSource Corporation | ||||||||
| Ticker: | CYBS | CUSIP: | 23251J106 | ||||||
| Meeting Date: | 7/20/2010 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF APRIL 20, 2010, BY AND AMONG VISA INC., MARKET ST. CORP. AND CYBERSOURCE CORPORATION, PURSUANT TO WHICH CYBERSOURCE WILL BE ACQUIRED BY VISA. | For | Yes | For | |||||
| 2 | PROPOSAL TO ADJOURN OR POSTPONE THE SPECIAL MEETING TO A LATER DATE OR TIME, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THAT THERE ARE INSUFFICIENT VOTES AT THE TIME OF SUCH ADJOURNMENT OR POSTPONEMENT TO ADOPT THE AGREEMENT A | For | Yes | For | |||||
| Company Name: | Equinix, Inc. | ||||||||
| Ticker: | EQIX | CUSIP: | 29444U502 | ||||||
| Meeting Date: | 6/9/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Director | |||||||||
| 1.1 | STEVEN T. CLONTZ | For | No | None | |||||
| 1.2 | GARY F. HROMADKO | For | No | None | |||||
| 1.3 | SCOTT G. KRIENS | For | No | None | |||||
| 1.4 | WILLIAM K. LUBY | For | No | None | |||||
| 1.5 | IRVING F. LYONS, III | For | No | None | |||||
| 1.6 | CHRISTOPHER B. PAISLEY | For | No | None | |||||
| 1.7 | STEPHEN M. SMITH | For | No | None | |||||
| 1.8 | PETER F. VAN CAMP | For | No | None | |||||
| 2 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 3 | TO APPROVE BY A NON-BINDING ADVISORY VOTE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| 4 | TO APPROVE BY A NON-BINDING ADVISORY VOTE THE FREQUENCY OF STOCKHOLDER NON-BINDING ADVISORY VOTES ON THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION. | 1 Year | No | None | |||||
| 5 | TO APPROVE AN AMENDMENT TO THE COMPANY'S CERTIFICATE OF INCORPORATION TO REDUCE THE CURRENT VOTING REQUIREMENT TO A MAJORITY OF THE OUTSTANDING SHARES ENTITLED TO VOTE TO AMEND, REPEAL OR ADOPT ANY PROVISION OF THE CERTIFICATE OF INCORPORATION. | For | No | None | |||||
| 6 | TO APPROVE AN AMENDMENT TO THE COMPANY'S BYLAWS TO REDUCE THE CURRENT VOTING REQUIREMENT TO A MAJORITY OF THE OUTSTANDING SHARES ENTITLED TO VOTE TO REMOVE ANY DIRECTORS OR THE ENTIRE BOARD FOR CAUSE. | For | No | None | |||||
| 7 | TO APPROVE AN AMENDMENT TO THE COMPANY'S BYLAWS TO REDUCE THE CURRENT VOTING REQUIREMENT TO A MAJORITY OF THE OUTSTANDING SHARES ENTITLED TO VOTE TO AMEND, ALTER, ADD TO OR RESCIND OR REPEAL THE BYLAWS. | For | No | None | |||||
| Company Name: | Giant Interactive | ||||||||
| Ticker: | GA | CUSIP: | 374511103 | ||||||
| Meeting Date: | 9/16/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | RE-ELECTION OF MS. WEI LIU AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| 2 | RE-ELECTION OF MR. LV ZHANG AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| 3 | AMENDMENT OF THE 2007 PERFORMANCE INCENTIVE PLAN TO INCREASE THE MAXIMUM NUMBER OF ORDINARY SHARES AVAILABLE FOR AWARDS TO 10,700,000 ORDINARY SHARES. | For | Yes | For | |||||
| 4 | AMENDMENT OF THE 2007 PERFORMANCE INCENTIVE PLAN TO ALLOW THE PLAN ADMINISTRATOR TO EFFECT REPRICING OF AWARDS UNDER THE PLAN. | Against | Yes | Against | |||||
| 5 | APPOINTMENT OF THE INDEPENDENT AUDITOR ERNST & YOUNG HUA MING FOR THE FISCAL YEAR 2010. | For | Yes | For | |||||
| Company Name: | Google Inc | ||||||||
| Ticker: | GOOG | CUSIP: | 38259P508 | ||||||
| Meeting Date: | 6/2/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Director | |||||||||
| 1.1 | LARRY PAGE | For | No | None | |||||
| 1.2 | SERGEY BRIN | For | No | None | |||||
| 1.3 | ERIC E. SCHMIDT | For | No | None | |||||
| 1.4 | L. JOHN DOERR | For | No | None | |||||
| 1.5 | JOHN L. HENNESSY | For | No | None | |||||
| 1.6 | ANN MATHER | For | No | None | |||||
| 1.7 | PAUL S. OTELLINI | For | No | None | |||||
| 1.8 | K. RAM SHRIRAM | For | No | None | |||||
| 1.9 | SHIRLEY M. TILGHMAN | For | No | None | |||||
| 2 | THE RATIFICATION OF ERNST & YOUNG LLP AS GOOGLE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 3 | THE APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 STOCK PLAN TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CLASS A COMMON STOCK ISSUABLE UNDER THE PLAN BY 1,500,000. | For | No | None | |||||
| 4 | THE APPROVAL OF 2010 COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS. | For | No | None | |||||
| 5 | THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES REGARDING COMPENSATION AWARDED TO NAMED EXECUTIVE OFFICERS. | 3 Years | No | None | |||||
| 6 | A STOCKHOLDER PROPOSAL REGARDING THE FORMATION OF A BOARD COMMITTEE ON SUSTAINABILITY, IF PROPERLY PRESENTED AT THE MEETING. | Against | No | None | |||||
| 7 | A STOCKHOLDER PROPOSAL REGARDING THE ADOPTION OF A SIMPLE MAJORITY VOTING STANDARD FOR STOCKHOLDER MATTERS, IF PROPERLY PRESENTED AT THE MEETING. | Against | No | None | |||||
| 8 | A STOCKHOLDER PROPOSAL REGARDING A CONFLICT OF INTEREST AND CODE OF CONDUCT COMPLIANCE REPORT, IF PROPERLY PRESENTED AT THE MEETING. | Against | No | None | |||||
| Company Name: | L-1 Identity Solutions Inc. | ||||||||
| Ticker: | ID | CUSIP: | 50212A106 | ||||||
| Meeting Date: | 2/3/2011 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF SEPTEMBER 19, 2010, BY AND AMONG L-1 IDENTITY SOLUTIONS, INC., A DELAWARE CORPORATION, SAFRAN SA, A FRENCH SOCIETE ANONYME, AND LASER ACQUISITION SUB INC., A DELAWARE CORPORATION AND A WHOLLY | For | Yes | For | |||||
| 2 | PROPOSAL TO ADJOURN OR POSTPONE THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO ADOPT THE MERGER AGREEMENT AND APPROVE THE MERGER. | For | Yes | For | |||||
| Company Name: | INTERNET BRANDS INC | ||||||||
| Ticker: | INET | CUSIP: | 460608102 | ||||||
| Meeting Date: | 12/16/2010 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO CONSIDER AND VOTE UPON A PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF SEPTEMBER 17, 2010, AS IT MAY BE AMENDED FROM TIME TO TIME, BY AND AMONG INTERNET BRANDS, INC., A DELAWARE CORPORATION, MICRO HOLDING CORP., A DELAWARE CORPORATION | For | Yes | For | |||||
| 2 | TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO ADOPT THE MERGER AGREEMENT. | For | Yes | For | |||||
| Company Name: | 51JOB INC | ||||||||
| Ticker: | JOBS | CUSIP: | 316827104 | ||||||
| Meeting Date: | 12/15/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO RE-ELECT MR. DAVID K. CHAO AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| 2 | TO RE-ELECT MR. HIROYUKI HONDA AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| 3 | TO ELECT MR. JAMES JIANZHANG LIANG AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| 4 | TO RE-ELECT MR. DONALD L. LUCAS AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| 5 | TO RE-ELECT MR. RICK YAN AS A DIRECTOR OF THE COMPANY. | For | Yes | For | |||||
| Company Name: | McAfee, Inc. | ||||||||
| Ticker: | MFE | CUSIP: | 579064106 | ||||||
| Meeting Date: | 11/2/2010 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF AUGUST 18, 2010, AMONG INTEL CORPORATION, A DELAWARE CORPORATION, OR INTEL, JEFFERSON ACQUISITION CORPORATION, A DELAWARE CORPORATION AND WHOLLY-OWNED SUBSIDIARY OF INTEL, AND MCAFEE, INC., A DELAWARE CORPORATION, OR MCAFEE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | For | Yes | For | |||||
| 2 | A PROPOSAL TO ADJOURN OR POSTPONE THE SPECIAL MEETING TO A LATER DATE OR TIME, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO ADOPT THE MERGER AGREEMENT OR PURSUANT TO TO THE TERMS OF THE MERGER AGREEMENT. | For | Yes | For | |||||
| Company Name: | MOTOROLA MOBILITY HLDGS | ||||||||
| Ticker: | MMI | CUSIP: | 620097105 | ||||||
| Meeting Date: | 5/9/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: SANJAY K. JHA | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: JON E. BARFIELD | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: WILLIAM R. HAMBRECHT | For | No | None | |||||
| 1D | ELECTION OF DIRECTOR: JEANNE P. JACKSON | For | No | None | |||||
| 1E | ELECTION OF DIRECTOR: KEITH A. MEISTER | For | No | None | |||||
| 1F | ELECTION OF DIRECTOR: THOMAS J. MEREDITH | For | No | None | |||||
| 1G | ELECTION OF DIRECTOR: DANIEL A. NINIVAGGI | For | No | None | |||||
| 1H | ELECTION OF DIRECTOR: JAMES R. STENGEL | For | No | None | |||||
| 1I | ELECTION OF DIRECTOR: ANTHONY J. VINCIQUERRA | For | No | None | |||||
| 1J | ELECTION OF DIRECTOR: ANDREW J. VITERBI | For | No | None | |||||
| 2 | ADVISORY APPROVAL OF THE COMPANY'S EXECUTIVE COMPENSATION. | For | No | None | |||||
| 3 | ADVISORY APPROVAL OF THE FREQUENCY OF FUTURE STOCKHOLDER VOTES ON EXECUTIVE COMPENSATION. | 1 Year | No | None | |||||
| 4 | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | For | No | None | |||||
| Company Name: | Marvell Technology Group Ltd | ||||||||
| Ticker: | MRVL | CUSIP: | G5876H105 | ||||||
| Meeting Date: | 6/28/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | ELECTION OF DIRECTOR: KUO WEI (HERBERT) CHANG | For | No | None | |||||
| 1.2 | ELECTION OF DIRECTOR: DR. JUERGEN GROMER | For | No | None | |||||
| 1.3 | ELECTION OF DIRECTOR: ARTURO KRUEGER | For | No | None | |||||
| 2 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | No | None | |||||
| 3 | ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTE ON EXECUTIVE COMPENSATION. | 1 Year | No | None | |||||
| 4 | TO APPROVE THE REDUCTION OF OUR SHARE PREMIUM ACCOUNT BY TRANSFERRING US $3.1 BILLION TO OUR CONTRIBUTED SURPLUS ACCOUNT. | For | No | None | |||||
| 5 | TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE 2007 DIRECTOR STOCK INCENTIVE PLAN. | For | No | None | |||||
| 6 | TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS OUR AUDITORS AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AND TO AUTHORIZE THE AUDIT COMMITTEE, ACTING ON BEHALF OF THE BOARD OF DIRECTORS, TO FIX THE REMUNERATION OF THE AUDITORS AND INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, IN BOTH CASES FOR THE FISCAL YEAR ENDING JANUARY 28, 2012. | For | No | None | |||||
| Company Name: | Novell, Inc. | ||||||||
| Ticker: | NOVL | CUSIP: | 670006105 | ||||||
| Meeting Date: | 2/17/2011 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF NOVEMBER 21, 2010, BY AND AMONG NOVELL, INC., ATTACHMATE CORPORATION AND LONGVIEW SOFTWARE ACQUISITION CORP., AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME. | For | Yes | For | |||||
| 2 | TO AUTHORIZE THE BOARD OF DIRECTORS OF NOVELL, INC., IN ITS DISCRETION, TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THERE ARE NOT SUFFICIENT VOTES IN FAVOR OF ADOPTION OF THE AGREEMENT | For | Yes | For | |||||
| Company Name: | National Semiconductor Corp. | ||||||||
| Ticker: | NSM | CUSIP: | 637640103 | ||||||
| Meeting Date: | 6/2/2011 | Meeting Type: | Special | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO ADOPT THE AGREEMENT AND PLAN OF MERGER BY AND AMONG TEXAS INSTRUMENTS INCORPORATED, A DELAWARE CORPORATION, ORION MERGER CORP., A DELAWARE CORPORATION AND A WHOLLY OWNED SUBSIDIARY OF TEXAS INSTRUMENTS ("MERGER SUB"), & THE COMPANY, PROVIDING FOR MERGER OF MERGER SUB WITH AND INTO THE COMPANY, WITH THE COMPANY CONTINUING AS A WHOLLY OWNED SUBSIDIARY OF TEXAS INSTRUMENTS. | For | No | None | |||||
| 2 | TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE PROPOSAL TO ADOPT THE MERGER AGREEMENT. | For | No | None | |||||
| Company Name: | Riverbed Technology | ||||||||
| Ticker: | RVBD | CUSIP: | 768573107 | ||||||
| Meeting Date: | 6/1/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: MICHAEL R. KOUREY | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: MARK S. LEWIS | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: STEVEN MCCANNE, PH.D. | For | No | None | |||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF RIVERBED TECHNOLOGY, INC. FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
| 3 | TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE PROXY STATEMENT. | For | No | None | |||||
| 4 | TO RECOMMEND, ON A NON-BINDING ADVISORY BASIS, THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. | 3 Years | No | None | |||||
| Company Name: | COMSCORE, INC. | ||||||||
| Ticker: | SCOR | CUSIP: | 20564W105 | ||||||
| Meeting Date: | 7/20/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR GIAN M. FULGONI | For | Yes | For | |||||
| 1.2 | DIRECTOR JEFFREY GANEK | For | Yes | For | |||||
| 1.3 | DIRECTOR BRUCE GOLDEN | For | Yes | For | |||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2010 | For | Yes | For | |||||
| Company Name: | TENCENT HLDGS LTD | ||||||||
| Ticker: | SHS | CUSIP: | KYG875721485 | ||||||
| Meeting Date: | 5/11/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | To receive and consider the audited Financial Statements and the Reports of the Directors and Auditor for the year ended 31 December 2010 | For | No | None | |||||
| 2 | To declare a final dividend | For | No | None | |||||
| 3i.a | To re-elect Mr Lau Chi Ping Martin as director | For | No | None | |||||
| 3i.b | To re-elect Mr Antonie Andries Roux as director | For | No | None | |||||
| 3.ii | To authorise the Board of Directors to fix the Directors' remuneration | For | No | None | |||||
| 4 | To re-appoint Auditor and to authorise the Board of Directors to fix their remuneration | For | No | ||||||
| 5 | To grant a general mandate to the Directors to issue new shares (Ordinary Resolution 5 as set out in the notice of the AGM) | For | No | None | |||||
| 6 | To grant a general mandate to the Directors to repurchase shares (Ordinary Resolution 6 as set out in the notice of the AGM) | For | No | None | |||||
| 7 | To extend the general mandate to issue new shares by adding the number of shares repurchased (Ordinary Resolution 7 as set out in the notice of the AGM) | For | No | None | |||||
| 8 | To authorize the Board of Directors to establish further employee incentive schemes | For | No | None | |||||
| Company Name: | Sandisk Corp. | ||||||||
| Ticker: | SNDK | CUSIP: | 80004C101 | ||||||
| Meeting Date: | 6/7/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Director | |||||||||
| 1.1 | MICHAEL MARKS | For | No | None | |||||
| 1.2 | KEVIN DENUCCIO | For | No | None | |||||
| 1.3 | IRWIN FEDERMAN | For | No | None | |||||
| 1.4 | STEVEN J. GOMO | For | No | None | |||||
| 1.5 | EDDY W. HARTENSTEIN | For | No | None | |||||
| 1.6 | DR. CHENMING HU | For | No | None | |||||
| 1.7 | CATHERINE P. LEGO | For | No | None | |||||
| 1.8 | SANJAY MEHROTRA | For | No | None | |||||
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JANUARY 1, 2012. | For | No | None | |||||
| 3 | TO APPROVE AMENDMENTS TO THE SANDISK CORPORATION 2005 INCENTIVE PLAN. | For | No | None | |||||
| 4 | TO APPROVE AMENDMENTS TO THE SANDISK CORPORATION 2005 EMPLOYEE STOCK PURCHASE PLANS. | For | No | None | |||||
| 5 | TO APPROVE AN ADVISORY RESOLUTION ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | No | None | |||||
| 6 | TO CONDUCT AN ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | 1 Year | No | None | |||||
| Company Name: | Skyworks Solutions, Inc. | ||||||||
| Ticker: | SWKS | CUSIP: | 83088M102 | ||||||
| Meeting Date: | 5/11/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | TO AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION TO DECLASSIFY THE COMPANY'S BOARD OF DIRECTORS AND MAKE CERTAINOTHER RELATED CHANGES | For | No | None | |||||
| 2 | DIRECTOR *NOMINEES FOR TERMS EXPIRING AT THE NEXT ANNUAL MEETING IF PROPOSAL 1 IS APPROVED. **NOMINEES TO SERVE AS CLASS III DIRECTORS WITH TERMS EXPIRING AT THE 2014 ANNUAL MEETING IF PROPOSAL 1 IS NOT APPROVED. 1) DAVID J. MCLACHLAN* 2) DAVID J. ALDRICH* 3) KEVIN L. BEEBE* 4) MOIZ M. BEGUWALA* 5) TIMOTHY R. FUREY* 6) BALAKRISHNAN S. IYER* 7) THOMAS C. LEONARD* 8) DAVID P. MCGLADE* 9) ROBERT A. SCHRIESHEIM* 10) DAVID J. ALDRICH** 11) MOIZ M. BEGUWALA** 12) DAVID P. MCGLADE** | For | No | None | |||||
| 4 | TO APPROVE AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED 2005 LONG-TERM INCENTIVE PLAN | For | No | None | |||||
| 5 | TO APPROVE THE COMPANY'S AMENDED AND RESTATED 2008 DIRECTOR LONG-TERM INCENTIVE PLAN | For | No | None | |||||
| 6 | TO APPROVE AN AMENDMENT TO THE COMPANY'S 2002 EMPLOYEE STOCK PURCHASE PLAN | For | No | None | |||||
| 7 | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS, AS DESCRIBED IN THE COMPANY'S PROXY STATEMENT | For | No | None | |||||
| 8 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS, AS DESCRIBED INTHE COMPANY'S PROXY STATEMENT | 3 Years | No | None | |||||
| 9 | TO RATIFY THE SELECTION BY THE COMPANY'S AUDIT COMMITTEE OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THECOMPANY FOR FISCAL YEAR 2011 | For | No | None | |||||
| Company Name: | TIVO INC. | ||||||||
| Ticker: | TIVO | CUSIP: | 888706108 | ||||||
| Meeting Date: | 8/4/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR JEFFREY T. HINSON | For | Yes | For | |||||
| 1.2 | DIRECTOR WILLIAM CELLA | For | Yes | For | |||||
| 2 | TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JANUARY 31, 2011. | For | Yes | For | |||||
| 3 | TO APPROVE AN AMENDMENT TO THE AMENDED & RESTATED 2008 EQUITY INCENTIVE AWARD PLAN TO RESERVE AN ADDITIONAL 5,000,000 SHARES OF OUR COMMON STOCK FOR ISSUANCE. | Against | Yes | Against | |||||
| Company Name: | ValueClick, Inc. | ||||||||
| Ticker: | VCLK | CUSIP: | 92046N102 | ||||||
| Meeting Date: | 5/6/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1.1 | DIRECTOR JAMES R. ZARLEY | For | Yes | For | |||||
| 1.2 | DIRECTOR DAVID S. BUZBY | For | Yes | For | |||||
| 1.3 | DIRECTOR MARTIN T. HART | For | Yes | For | |||||
| 1.4 | DIRECTOR JEFFREY F. RAYPORT | For | Yes | For | |||||
| 1.5 | DIRECTOR JAMES R. PETERS | For | Yes | For | |||||
| 1.6 | DIRECTOR JAMES A. CROUTHAMEL | For | Yes | For | |||||
| 2 | TO APPROVE THE AMENDED AND RESTATED 2002 STOCK INCENTIVE PLAN. | For | Yes | For | |||||
| 3 | TO APPROVE, BY NON-BINDING VOTE, THE COMPANY'S EXECUTIVE COMPENSATION. | For | Yes | For | |||||
| 4 | TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPANY'S EXECUTIVE COMPENSATION. | 1 Year | Yes | Against | |||||
| Company Name: | VistaPrint NV | ||||||||
| Ticker: | VPRT | CUSIP: | N93540107 | ||||||
| Meeting Date: | 11/4/2010 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1 | THE BOARD OF DIRECTORS RECOMMENDS A VOTE "FOR" THE FOLLOWING PROPOSAL: A VOTE FOR THE ELECTION OF NOMINEE LOUIS R. PAGE (NOTE: AN ABSTENTION ON THIS PROPOSAL WILL BE A VOTE FOR NOMINEE RICHARD T. RILEY. A VOTE AGAINST THIS PROPOSAL WILL BE A VOTE AGAINST | For | Yes | For | |||||
| 2 | THE BOARD OF DIRECTORS RECOMMENDS A VOTE "FOR" THE FOLLOWING PROPOSAL: A VOTE FOR THE ELECTION OF NOMINEE RICHARD T. RILEY (NOTE: AN ABSTENTION ON THIS PROPOSAL WILL BE A VOTE FOR NOMINEE MARK T. THOMAS. A VOTE AGAINST THIS PROPOSAL WILL BE A VOTE AGAINST | For | Yes | For | |||||
| 3 | ADOPT OUR STATUTORY ANNUAL ACCOUNTS FOR THE FISCAL YEAR ENDED JUNE 30, 2010. | For | Yes | For | |||||
| 4 | DISCHARGE THE MEMBERS OF OUR MANAGEMENT BOARD FROM LIABILITY WITH RESPECT TO THE EXERCISE OF THEIR DUTIES DURING FISCAL 2010. | For | Yes | For | |||||
| 5 | DISCHARGE THE MEMBERS OF OUR SUPERVISORY BOARD FROM LIABILITY WITH RESPECT TO THE EXERCISE OF THEIR DUTIES DURING FISCAL 2010. | For | Yes | For | |||||
| 6 | AUTHORIZE THE MANAGEMENT BOARD TO REPURCHASE UP TO 10% OF OUR ISSUED AND OUTSTANDING ORDINARY SHARES UNTIL MAY 4, 2012. | For | Yes | For | |||||
| 7 | APPOINT ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2011. | For | Yes | For | |||||
| Company Name: | VeriSign Inc | ||||||||
| Ticker: | VRSN | CUSIP: | 9.23E+106 | ||||||
| Meeting Date: | 5/26/2011 | Meeting Type: | Annual | ||||||
| # | Description | Mgmt Rec | Voted | Vote Cast | |||||
| Management Proposal | |||||||||
| 1A | ELECTION OF DIRECTOR: D. JAMES BIDZOS | For | No | None | |||||
| 1B | ELECTION OF DIRECTOR: WILLIAM L. CHENEVICH | For | No | None | |||||
| 1C | ELECTION OF DIRECTOR: KATHLEEN A. COTE | For | No | None | |||||
| 1D | ELECTION OF DIRECTOR: MARK D. MCLAUGHLIN | For | No | None | |||||
| 1E | ELECTION OF DIRECTOR: ROGER H. MOORE | For | No | None | |||||
| 1F | ELECTION OF DIRECTOR: JOHN D. ROACH | For | No | None | |||||
| 1G | ELECTION OF DIRECTOR: LOUIS A. SIMPSON | For | No | None | |||||
| 1H | ELECTION OF DIRECTOR: TIMOTHY TOMLINSON | For | No | None | |||||
| 2 | TO CONDUCT A NON-BINDING, ADVISORY VOTE TO APPROVE VERISIGN, INC.'S EXECUTIVE COMPENSATION. | For | No | None | |||||
| 3 | TO CONDUCT A NON-BINDING, ADVISORY VOTE ON THE FREQUENCY OF NON-BINDING, STOCKHOLDER ADVISORY VOTES ON VERISIGN, INC.'S EXECUTIVE COMPENSATION. | 1 Year | No | None | |||||
| 4 | TO APPROVE THE AMENDED AND RESTATED VERISIGN, INC. 2006 EQUITY INCENTIVE PLAN. | For | No | None | |||||
| 5 | TO RATIFY THE SELECTION OF KPMG LLP AS VERISIGN, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2011. | For | No | None | |||||
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) | FIRSTHAND FUNDS | |
| By (Signature and Title) | /s/ Kevin M. Landis | |
| Kevin M. Landis | ||
| President | ||
| Date | August 31, 2010 |