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 811-08360
GUINNESS ATKINSON FUNDS
(Exact name of registrant as specified in charter)
21550 Oxnard Street, Suite 750
Woodland Hills, CA 91367
(Address of principal executive offices) (Zip code)
James J. Atkinson Jr.
21550 Oxnard Street, Suite 750
Woodland Hills, CA 91367
(Name and address of agent for service)
Registrant's telephone number, including area code: (800) 915-6566
Date of fiscal year end: December 31, 2006
Date of reporting period: June 30, 2006
Item 1. Proxy Voting Record.
Vote Summary Report (Long) | |||||||
July 1, 2005 - June 30, 2006 | |||||||
Sorted by Meeting Date. | |||||||
In All Markets, for all statuses, for GUINNESS ATKINSON ASIA FOCUS FUND. | |||||||
SURFACE MOUNT TECH | Shares Voted | 195,000 | Cusip/Sedol | B02X3H4 | Ticker | SMTW SP | |
Meeting Date | 7/21/2005 | Shares | 195,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Adopt Financial Statements and Directors' and Auditors' Reports | Mgmt | For | For | ||||
Declare Final Dividend of HK$0.12 Per Share for the Year Ended March 31, 2005 (March 31, 2004: HK$0.10) | Mgmt | For | For | ||||
Approve Directors' Fees of SGD 182,730 Payable to Daniel Cuthbert Ee Hock Huat, Lim Jiew Keng, and Antonio Chan for the Year Ending March 31, 2006 (March 31, 2005: SGD 175,875) | Mgmt | For | For | ||||
Reelect Man Kit Hoo as Director | Mgmt | For | For | ||||
Reappoint Deloitte & Touche, Singapore as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | ||||
Approve Issuance of Shares and Grant of Options Pursuant to the Surface Mount Technology Share Option Scheme II | Mgmt | For | For | ||||
Authorize Share Repurchase Program | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 195,000 | 195,000 | |||||
Total: | 195,000 | 195,000 | |||||
Giant Wireless technology Ltd | Shares Voted | 766,700 | Cusip/Sedol | 6243649 | Ticker | GWT SP | |
Meeting Date | 7/28/2005 | Shares | 766,700 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports (Voting) | Mgmt | For | For | ||||
Declare Dividend | Mgmt | For | For | ||||
Approve Director Remuneration | Mgmt | For | For | ||||
Elect Liu Yong Ling as Director | Mgmt | For | For | ||||
Reappoint Deloitte & Touche as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Special Business | |||||||
Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | ||||
Other Business (Voting) | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 766,700 | 766,700 | |||||
Total: | 766,700 | 766,700 | |||||
FIRST ENGINEERING LTD | Shares Voted | 630,000 | Cusip/Sedol | 6339593 | Ticker | FIRST SP | |
Meeting Date | 7/28/2005 | Shares | 630,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Adopt Financial Statements and Directors' and Auditors' Reports | Mgmt | For | For | ||||
Declare Final Dividend of SGD 0.005 Per Share | Mgmt | For | For | ||||
Declare Special Dividend of SGD 0.025 Per Share | Mgmt | For | For | ||||
Reelect Chua Keng Hiang as Director | Mgmt | For | For | ||||
Reelect Sim Beng Chye as Director | Mgmt | For | For | ||||
Reappoint Ernst & Young as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Directors' Fees of SGD 196,050 for the Year Ended Mar. 31, 2005 (2004: SGD 210,000) | Mgmt | For | For | ||||
Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | ||||
Approve Issuance of Shares and Grant of Options Pursuant to the First Engineering Share Option Scheme | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 630,000 | 630,000 | |||||
Total: | 630,000 | 630,000 | |||||
Giant Wireless technology Ltd | Shares Voted | 766,700 | Cusip/Sedol | 6243649 | Ticker | GWT SP | |
Meeting Date | 7/28/2005 | Shares | 766,700 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Bonus Issue of Shares | Mgmt | For | For | ||||
Approve Mandate for Transactions with Related Parties | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 766,700 | 766,700 | |||||
Total: | 766,700 | 766,700 | |||||
Singapore Telecommunications Ltd. | Shares Voted | 440,000 | Cusip/Sedol | B02PY22 | Ticker | ST SP | |
Meeting Date | 7/29/2005 | Shares | 440,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Adopt Financial Statements and Directors' and Auditors' Reports | Mgmt | For | For | ||||
Declare First and Final Dividend of SGD 0.08 Per Share and Special Dividend of SGD 0.05 Per Share | Mgmt | For | For | ||||
Reelect Heng Swee Keat as Director | Mgmt | For | For | ||||
Reelect Simon Israel as Director | Mgmt | For | For | ||||
Reelect Tommy Koh as Director | Mgmt | For | For | ||||
Reelect Nicky Tan Ng Kuang as Director | Mgmt | For | For | ||||
Approve Directors' Fees of SGD 1.2 Million for the Year Ended March 31, 2005 (2004: SGD 1.1 Million) | Mgmt | For | For | ||||
Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | ||||
Approve Issuance of Shares and Grant of Options Pursuant to the Singapore Telecom Share Option Scheme 1999 | Mgmt | For | For | ||||
Approve Issuance of Shares and Grant of Awards Pursuant to the SingTel Performance Share Plan | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 440,000 | 440,000 | |||||
Total: | 440,000 | 440,000 | |||||
Singapore Telecommunications Ltd. | Shares Voted | 440,000 | Cusip/Sedol | B02PY22 | Ticker | ST SP | |
Meeting Date | 7/29/2005 | Shares | 440,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Participation by the Relevant Person in the SingTel Performance Share Plan | Mgmt | For | For | ||||
Authorize Share Repurchase Program | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 440,000 | 440,000 | |||||
Total: | 440,000 | 440,000 | |||||
Global Bio-Chem Technology Group Co. Ltd. | Shares Voted | 694,000 | Cusip/Sedol | 6336527 | Ticker | 809 HK | |
Meeting Date | 8/8/2005 | Shares | 694,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Acquisition by Global Corn Bio-chem Technology Co. Ltd. of the Entire Equity Interest in Changchun Dacheng Industrial Group Co., Ltd. and All Related Transactions | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 694,000 | 694,000 | |||||
Total: | 694,000 | 694,000 | |||||
Petrochina Company Limited | Shares Voted | 1,288,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 8/16/2005 | Shares | 1,288,000 | Meeting Type | EGM | Record Date | 7/18/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Acquisition of a Total of 50 Percent Interest in the Enlarged Registered Capital of Zhong You Kan Tan Kai Fa Co. Ltd. (Newco) By Way of Capital Contribution to Newco in an Aggregate Amount of RMB 20.7 Billion | Mgmt | For | For | ||||
Approve Transfer by the Company of the Entire Issued Capital of PetroChina International Ltd. to Newco at a Cash Consideration of RMB 579.4 Million | Mgmt | For | For | ||||
Approve Supplemental Comprehensive Agreement and Continuing Connected Transactions | Mgmt | For | For | ||||
Approve Annual Limits of Continuing Connected Transactions | Mgmt | For | For | ||||
Authorize the Chief Financial Officer of the Company to Do All Acts Necessary to Implement the Supplemental Comprehensive Agreement, Continuing Connected Transactions, and Proposed Caps | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,288,000 | 1,288,000 | |||||
Total: | 1,288,000 | 1,288,000 | |||||
Yanzhou Coal Mining Company Limited | Shares Voted | 918,000 | Cusip/Sedol | 6109893 | Ticker | 1171 HK | |
Meeting Date | 8/19/2005 | Shares | 918,000 | Meeting Type | EGM | Record Date | 7/20/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Agreements Between the Company and Yankuang Corp. Group Ltd. (Parent Co.) in Relation to the Acquisition by the Company of the 95.67 Percent Equity Interest in Yanmei Heze Neng Hua from the Parent Co. | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 918,000 | 918,000 | |||||
Total: | 918,000 | 918,000 | |||||
VICTORY CITY INTERNATIONALHOLDINGS LTD | Shares Voted | 1,531,811 | Cusip/Sedol | 6179614 | Ticker | 539 HK | |
Meeting Date | 8/25/2005 | Shares | 1,531,811 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend of HK$0.055 Per Share | Mgmt | For | For | ||||
Reelect So Kam Wah as Director | Mgmt | For | For | ||||
Reelect Phaisalakani Vichai as Director | Mgmt | For | For | ||||
Reelect Lau Chung Kwan as Director | Mgmt | For | For | ||||
Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | ||||
Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Amend Bye-Laws Re: Director Rotation | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,531,811 | 1,531,811 | |||||
Total: | 1,531,811 | 1,531,811 | |||||
Chen Hsong Holdings Ltd. | Shares Voted | 470,000 | Cusip/Sedol | 6189646 | Ticker | 57 HK | |
Meeting Date | 8/30/2005 | Shares | 470,000 | Meeting Type | AGM | Record Date | 8/25/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend of HK$0.14 Per Share | Mgmt | For | For | ||||
Reelect Bernard Charnwut CHAN as Director | Mgmt | For | For | ||||
Reelect Chi Kin CHIANG as Director | Mgmt | For | For | ||||
Reelect Sam Hon Wah NG as Director | Mgmt | For | For | ||||
Approve Remuneration of Directors for the Year Ending Mar. 31, 2006 at an Aggregate Sum Not Exceeding HK$900,000 | Mgmt | For | For | ||||
Reappoint Ernst & Young as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 470,000 | 470,000 | |||||
Total: | 470,000 | 470,000 | |||||
China Telecom Corporation Ltd | Shares Voted | 2,076,000 | Cusip/Sedol | 6559335 | Ticker | 728 HK | |
Meeting Date | 9/9/2005 | Shares | 2,076,000 | Meeting Type | EGM | Record Date | 8/9/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Reelect Wang Xiaochu as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Leng Rongquan as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Wu Andi as Director and Authorize Board to Fix Her Remuneration | Mgmt | For | For | ||||
Reelect Zhang Jiping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Huang Wenlin as Director and Authorize Board to Fix Her Remuneration | Mgmt | For | For | ||||
Reelect Li Ping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Wei Leping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Yang Jie as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Sun Kangmin as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Li Jinming as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Zhang Youcai as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Vincent Lo Hong Sui as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Shi Wanpeng as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Elect Xu Erming as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Elect Tse Hau Yin, Aloysius as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Zhang Xiuqin as Supervisor and Authorize the Supervisory Committee to Fix Her Remuneration | Mgmt | For | For | ||||
Reelect Zhu Lihao as Supervisor and Authorize the Supervisory Committee to Fix Her Remuneration | Mgmt | For | For | ||||
Elect Li Jian as Supervisor and Authorize the Supervisory Committee to Fix His Remuneration | Mgmt | For | For | ||||
Elect Xu Cailiao as Supervisor and Authorize the Supervisory Committee to Fix His Remuneration | Mgmt | For | For | ||||
Amend Articles Re: Capital Structure | Mgmt | For | For | ||||
Amend Articles Re: Number of Independent Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 2,076,000 | 2,076,000 | |||||
Total: | 2,076,000 | 2,076,000 | |||||
Skyworth Digital Holdings Ltd | Shares Voted | 1,838,837 | Cusip/Sedol | 6228828 | Ticker | 751 HK | |
Meeting Date | 10/12/2005 | Shares | 1,838,837 | Meeting Type | AGM | Record Date | 10/3/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Reelect Wang Dianfu as Executive Director | Mgmt | For | For | ||||
Reelect Zhang Xuebin as Executive Director | Mgmt | For | For | ||||
Reelect Leung Chi Ching, Frederick as Executive Director | Mgmt | For | For | ||||
Reelect Wong Wang Sang, Stephen as Non-Executive Director | Mgmt | For | Against | ||||
Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Amend Bylaws Re: Appointment and Reelection of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,838,837 | 1,838,837 | |||||
Total: | 1,838,837 | 1,838,837 | |||||
China Telecom Corporation Ltd | Shares Voted | 2,076,000 | Cusip/Sedol | 6559335 | Ticker | 728 HK | |
Meeting Date | 10/18/2005 | Shares | 2,076,000 | Meeting Type | EGM | Record Date | 9/16/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
Authorize Issue of Short Term Commercial Paper in One or More Tranches with a Maximum Outstanding Repayment Amount of RMB30 Billion and the First Tranche of Issue Expected Not to Exceed RMB10 Billion | Mgmt | For | For | ||||
Authorize Board to Determine Specific Terms, Conditions and Other Matters Relating to the Issuance of the Short Term Commercial Paper and Do Acts and Take Steps Necessary for the Issuance of the Short Term Commercial Paper | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 2,076,000 | 2,076,000 | |||||
Total: | 2,076,000 | 2,076,000 | |||||
Victory City International Holdings Ltd | Shares Voted | 1,575,411 | Cusip/Sedol | 6179614 | Ticker | 539 HK | |
Meeting Date | 10/20/2005 | Shares | 1,575,411 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Continuing Connected Transactions and Annual Caps | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,575,411 | 1,575,411 | |||||
Total: | 1,575,411 | 1,575,411 | |||||
Global Bio-Chem Technology Group Co. Ltd. | Shares Voted | 694,000 | Cusip/Sedol | 6336527 | Ticker | 809 HK | |
Meeting Date | 10/24/2005 | Shares | 694,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Establishment of Global Corn Chemical Investment Ltd. (New SPV) and Changchun Dacheng Bio-Chemical Devt. Co., Ltd. and All Related Transactions Including the Grant of a Call Option for the Purchase of 3,025 Shares in the New SPV | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 694,000 | 694,000 | |||||
Total: | 694,000 | 694,000 | |||||
IOI Corporation Berhad | Shares Voted | 280,000 | Cusip/Sedol | 6464514 | Ticker | IOI MK | |
Meeting Date | 10/28/2005 | Shares | 280,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports for the Financial Year Ended June 30, 2005 | Mgmt | For | For | ||||
Elect Lee Shin Cheng as Director | Mgmt | For | For | ||||
Elect Yeo How as Director | Mgmt | For | For | ||||
Elect Chan Fong Ann as Director | Mgmt | For | For | ||||
Approve Remuneration of Directors in the Amount of MYR 350,000 for the Financial Year Ended June 30, 2005 | Mgmt | For | For | ||||
Approve BDO Binder as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights in Any Amount Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Approve Implementation of Shareholders' Mandate for Recurrent Related Party Transactions | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 280,000 | 280,000 | |||||
Total: | 280,000 | 280,000 | |||||
IOI Corporation Berhad | Shares Voted | 280,000 | Cusip/Sedol | 6464514 | Ticker | IOI MK | |
Meeting Date | 10/28/2005 | Shares | 280,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve New Executive Share Option Scheme | Mgmt | For | For | ||||
Approve Allocation of Options to Lee Shin Cheng to Subscribe for New Shares in the Company | Mgmt | For | For | ||||
Approve Allocation of Options to Lee Yeow Chor to Subscribe for New Shares in the Company | Mgmt | For | For | ||||
Approve Allocation of Options to Yeo How to Subscribe for New Shares in the Company | Mgmt | For | For | ||||
Approve Allocation of Options to Lee Cheng Leang to Subscribe for New Shares in the Company | Mgmt | For | For | ||||
Approve Allocation of Options to Lee Yeow Seng, Lee Yoke Ling, Lee Yoke Har, Lee Yoke Hean, and Lee Yoke Hui to Subscribe for New Shares in the Company | Mgmt | For | For | ||||
Approve Implementation of Shareholders' Mandate for Recurrent Related Party Transactions | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 280,000 | 280,000 | |||||
Total: | 280,000 | 280,000 | |||||
Petrochina Company Limited | Shares Voted | 1,288,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 11/8/2005 | Shares | 1,288,000 | Meeting Type | EGM | Record Date | 10/10/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Elect Su Shulin as Director | Mgmt | For | For | ||||
Elect Gong Huazhang as Director | Mgmt | For | For | ||||
Elect Wang Yilin as Director | Mgmt | For | For | ||||
Elect Zeng Yukang as Director | Mgmt | For | For | ||||
Elect Jiang Fan as Director | Mgmt | For | For | ||||
Elect Chee-Chen Tung as Independent Director | Mgmt | For | For | ||||
Elect Liu Hongru as Independent Director | Mgmt | For | For | ||||
Elect Wang Fucheng as Supervisor | Mgmt | For | For | ||||
Elect Wen Qingshan as Supervisor | Mgmt | For | For | ||||
Elect Li Yongwu as Independent Supervisor | Mgmt | For | For | ||||
Elect Wu Zhipan as Independent Supervisor | Mgmt | For | For | ||||
Approve Second Supplemental Comprehensive Agreement | Mgmt | For | For | ||||
Approve CRMSC Products and Services Agreement | Mgmt | For | For | ||||
Approve Ongoing Connected Transactions | Mgmt | For | For | ||||
Approve Annual Caps of the Ongoing Connected Transactions Except the Annual Limit in Respect of the Products and Services to be Provided to China Railway Materials and Suppliers Corp. (CRMSC) Under the CRMSC Products and Services Agreement | Mgmt | For | For | ||||
Approve Annual Caps in Respect of the Products and Services to be Provided to CRMSC Under the CRMSC Products and Services Agreement | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,288,000 | 1,288,000 | |||||
Total: | 1,288,000 | 1,288,000 | |||||
Sinopec Zhenhai Refining & Chemical Co Ltd (formerly Zhenhai | Shares Voted | 460,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 11/11/2005 | Shares | 460,000 | Meeting Type | EGM | Record Date | 10/12/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Continuing Connected Transactions and Annual Caps | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 460,000 | 460,000 | |||||
Total: | 460,000 | 460,000 | |||||
EganaGoldpfeil (Holdings) Ltd | Shares Voted | 666,000 | Cusip/Sedol | 6541923 | Ticker | 48 HK | |
Meeting Date | 11/17/2005 | Shares | 666,000 | Meeting Type | AGM | Record Date | 11/11/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Reelect Peter Ka Yue LEE as Director | Mgmt | For | For | ||||
Reelect Michael Richard POIX as Director | Mgmt | For | For | ||||
Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | ||||
Appoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Amend Articles Re: Voting by Poll, Appointment, Reelection and Retirement by Rotation of Directors | Mgmt | For | For | ||||
Approve Adoption of Chinese Name of the Company | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 666,000 | 666,000 | |||||
Total: | 666,000 | 666,000 | |||||
Esprit Holdings | Shares Voted | 257,840 | Cusip/Sedol | 6321642 | Ticker | 330 HK | |
Meeting Date | 12/2/2005 | Shares | 257,840 | Meeting Type | AGM | Record Date | 11/29/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend of HK$0.66 Per Share | Mgmt | For | For | ||||
Approve Special Dividend of HK$0.84 Per Share | Mgmt | For | For | ||||
Reelect Michael Ying Lee Yuen as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Thomas Johannes Grote as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Raymond Or Ching Fai as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Approve Issuance of Shares Pursuant to the 2001 Share Option Scheme | Mgmt | For | For | ||||
Amend Bylaws Re: Voting By Poll and Appointment and Retirement by Rotation of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 257,840 | 257,840 | |||||
Total: | 257,840 | 257,840 | |||||
IOI Corporation Berhad | Shares Voted | 280,000 | Cusip/Sedol | 6464514 | Ticker | IOI MK | |
Meeting Date | 12/13/2005 | Shares | 280,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Privatization of IOI Oleochemical Industries Bhd (IOI Oleo) Via a Scheme of Arrangement Among IOI Corp Bhd (IOI), IOI Oleo and Shareholders of IOI Oleo Other than IOI; and Approve Issuance of New IOI Shares at an Issue Price of MYR 10.82 Per Share | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 280,000 | 280,000 | |||||
Total: | 280,000 | 280,000 | |||||
PTT Exploration & Production | Shares Voted | 94,000 | Cusip/Sedol | B1359J0 | Ticker | N/A | |
Meeting Date | 12/15/2005 | Shares | 94,000 | Meeting Type | EGM | Record Date | 11/25/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Minutes of Previous AGM | Mgmt | For | For | ||||
Approve Sale by PTTEP International Ltd. of 73 Million Shares in Thaioil Power Co., Ltd. to PTT Public Co., Ltd. for Baht 31.48 Per Share | Mgmt | For | For | ||||
Approve Termination of Shareholders' Resolution on April 28, 1997 Re: Selection of Company's Director and Adopt Nomination Procedures for the Board | Mgmt | For | For | ||||
Other Business | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 94,000 | 94,000 | |||||
Total: | 94,000 | 94,000 | |||||
Dongfang Electrical Machinery Company Ltd | Shares Voted | 634,000 | Cusip/Sedol | 6278566 | Ticker | N/A | |
Meeting Date | 12/22/2005 | Shares | 634,000 | Meeting Type | EGM | Record Date | 11/21/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Connected Transactions and Proposed Cap | Mgmt | For | Against | ||||
Appoint ShineWing (HK) CPA Ltd. as International Auditors | Mgmt | For | Abstain | ||||
Appoint Deloitte Touche Tohmatsu as Domestic Auditors | Mgmt | For | For | ||||
Elect Liu Shigang as Director | Mgmt | For | For | ||||
Elect Zhu Yuanchao as Director | Mgmt | For | For | ||||
Elect Li Hongdong as Director | Mgmt | For | For | ||||
Elect Gong Dan as Director | Mgmt | For | For | ||||
Elect Han Zhiqiao as Director | Mgmt | For | For | ||||
Elect Fu Haibo as Director | Mgmt | For | For | ||||
Elect Chen Zhangwu as Director | Mgmt | For | For | ||||
Elect Zheng Peimin as Director | Mgmt | For | For | ||||
Elect Xie Songlin as Director | Mgmt | For | For | ||||
Elect Fang Yunfu as Supervisor | Mgmt | For | For | ||||
Elect Wen Bingyou as Supervisor | Mgmt | For | For | ||||
Fix the Remuneration of Directors | Mgmt | For | For | ||||
Fix the Remuneration of Supervisors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 634,000 | 634,000 | |||||
Total: | 634,000 | 634,000 | |||||
Sinopec Shanghai Petrochemical Co. (formerly Shanghai Petroc | Shares Voted | 1,420,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 12/30/2005 | Shares | 1,420,000 | Meeting Type | EGM | Record Date | 11/25/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Revised Annual Caps of Connected Transactions | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,420,000 | 1,420,000 | |||||
Total: | 1,420,000 | 1,420,000 | |||||
CNOOC LTD | Shares Voted | 1,411,000 | Cusip/Sedol | B00G0S5 | Ticker | 883 HK | |
Meeting Date | 12/31/2005 | Shares | 1,411,000 | Meeting Type | EGM | Record Date | 12/23/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Reelect Fu Chengyu as Executive Director | Mgmt | For | For | ||||
Reelect Wu Guangqi as Executive Director | Mgmt | For | For | ||||
Reelect Tse Hau Yin, Aloysius as Independent Non-Executive Director | Mgmt | For | For | ||||
Authorize Board to Fix the Remuneration of Directors Subject to a Limit of HK$20 Million | Mgmt | For | For | ||||
Amend Articles Re: Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,411,000 | 1,411,000 | |||||
Total: | 1,411,000 | 1,411,000 | |||||
CNOOC LTD | Shares Voted | 1,411,000 | Cusip/Sedol | B00G0S5 | Ticker | 883 HK | |
Meeting Date | 12/31/2005 | Shares | 1,411,000 | Meeting Type | EGM | Record Date | 12/23/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Supplemental Agreement in Relation to Certain Amendements to Existing Non-Compete Undertaking | Mgmt | For | Against | ||||
Approve Revised Annual Caps | Mgmt | For | For | ||||
Approve Non-Exempt Continuing Connected Transactions | Mgmt | For | For | ||||
Approve Proposed Annual Caps | Mgmt | For | For | ||||
Approve Termination of Existing Share Option Scheme and Adoption of New Share Option Scheme | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,411,000 | 1,411,000 | |||||
Total: | 1,411,000 | 1,411,000 | |||||
Neptune Orient Lines | Shares Voted | 374,000 | Cusip/Sedol | 6628859 | Ticker | NOL SP | |
Meeting Date | 1/3/2006 | Shares | 374,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Capital Reduction and Cash Distribution to Shareholders | Mgmt | For | For | ||||
Amend Share Plans | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 374,000 | 374,000 | |||||
Total: | 374,000 | 374,000 | |||||
Sinopec Shanghai Petrochemical Co. (formerly Shanghai Petroc) | Shares Voted | 1,420,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 1/24/2006 | Shares | 1,420,000 | Meeting Type | EGM | Record Date | 12/23/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
Approve Issuance of Short-Term Commercial Papers with a Maximum Aggregate Principal Amount of RMB 2.0 Billion or Any Such Amount as Approved by the People's Bank of China | Mgmt | For | For | ||||
Authorize Board or Any Two or More Directors to Determine the Terms and Conditions and Any Relevant Matters in Relation to the Issue of Short-Term Commercial Papers | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,420,000 | 1,420,000 | |||||
Total: | 1,420,000 | 1,420,000 | |||||
POSCO (formerly Pohang Iron & Steel) | Shares Voted | 7,700 | Cusip/Sedol | 6693233 | Ticker | 0549 KS | |
Meeting Date | 2/24/2006 | Shares | 7,700 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Final Year-end Dividends of KRW 6000 Per Share | Mgmt | For | For | ||||
Amend Articles of Incorporation to Expand Its Business Objectives, to Separate Chairman from CEO, and to Abolish Stock Option System | Mgmt | For | For | ||||
Elect Independent Non-Executive Directors | Mgmt | For | For | ||||
Elect Member of Audit Committee | Mgmt | For | For | ||||
Elect Executive Directors | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Approve Waiver of Claim for Overpaid Employment Benefit for Retirees | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 7,700 | 7,700 | |||||
Total: | 7,700 | 7,700 | |||||
Samsung Electronics Co. Ltd. | Shares Voted | 5,410 | Cusip/Sedol | 6771720 | Ticker | 005930KS | |
Meeting Date | 2/28/2006 | Shares | 5,410 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Financial Statements and Appropriation of Income, with a Final Dividend of KRW 5000 Per Common Share | Mgmt | For | For | ||||
Elect Independent Non-Executive Directors | Mgmt | For | For | ||||
Elect Executive Directors | Mgmt | For | For | ||||
Elect Members of Audit Committee | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 5,410 | 5,410 | |||||
Total: | 5,410 | 5,410 | |||||
SKC Ltd. | Shares Voted | 27,000 | Cusip/Sedol | 6018085 | Ticker | 011790 KS | |
Meeting Date | 3/10/2006 | Shares | 27,000 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividends of KRW 250 Per Share | Mgmt | For | For | ||||
Elect Two Executive Directors | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 27,000 | 27,000 | |||||
Total: | 27,000 | 27,000 | |||||
Hyundai Mobis | Shares Voted | 15,250 | Cusip/Sedol | 6449544 | Ticker | 1233 KS | |
Meeting Date | 3/10/2006 | Shares | 15,250 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividends of KRW 1500 Per Common Share | Mgmt | For | For | ||||
Elect Directors | Mgmt | For | For | ||||
Elect Member of Audit Committee | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 15,250 | 15,250 | |||||
Total: | 15,250 | 15,250 | |||||
INI Steel Co. (frmrly. Inchon Iron Steel) | Shares Voted | 38,000 | Cusip/Sedol | 6461850 | Ticker | 004020 KS | |
Meeting Date | 3/10/2006 | Shares | 38,000 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividends of KRW 500 Per Common Share | Mgmt | For | For | ||||
Amend Articles of Incorporation to Change Company's Name | Mgmt | For | For | ||||
Elect Directors | Mgmt | For | For | ||||
Elect Member of Audit Committee | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 38,000 | 38,000 | |||||
Total: | 38,000 | 38,000 | |||||
LG Electronics Inc. | Shares Voted | 5,500 | Cusip/Sedol | 6520739 | Ticker | 066570 KS | |
Meeting Date | 3/10/2006 | Shares | 5,500 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividends of KRW 1250 Per Common Share | Mgmt | For | For | ||||
Elect Directors | Mgmt | For | For | ||||
Elect Member of Audit Committee | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 5,500 | 5,500 | |||||
Total: | 5,500 | 5,500 | |||||
KT&G Corp. (Formerly Korea Tobacco & Ginseng) | Shares Voted | 23,420 | Cusip/Sedol | 6175076 | Ticker | 3378 KS | |
Meeting Date | 3/17/2006 | Shares | 23,420 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividends of KRW 1700 Per Share | Mgmt | For | For | ||||
For Items 2.1 to 2.5, shareholders are asked to choose from amoung five candidates to fill two open board seats. Cumulative voting will apply for this contested election, so the two candidates with the highest levels of support will be elected. | |||||||
Elect Independent Non-Executive Director | Mgmt | For | Against | ||||
Elect Independent Non-Executive Director | Mgmt | For | Against | ||||
Elect a Shareholder-Nominee to the Board | ShrHoldr | Against | For | ||||
Elect a Shareholder-Nominee to the Board | ShrHoldr | Against | For | ||||
Elect a Shareholder-Nominee to the Board | ShrHoldr | Against | For | ||||
Elect Four Members of Audit Committee | Mgmt | For | Against | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 23,420 | 23,420 | |||||
Total: | 23,420 | 23,420 | |||||
Daelim Industrial | Shares Voted | 10,500 | Cusip/Sedol | 6249584 | Ticker | 000210 KS | |
Meeting Date | 3/17/2006 | Shares | 10,500 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividends of KRW 2000 Per Common Share | Mgmt | For | Abstain | ||||
Amend Articles of Incorporation to Add Newspaper for Meeting Notices, and to Allow Sub-Committees | Mgmt | For | Abstain | ||||
Elect Directors | Mgmt | For | Abstain | ||||
Elect Members of Audit Committee | Mgmt | For | Abstain | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 10,500 | 10,500 | |||||
Total: | 10,500 | 10,500 | |||||
KT&G Corp. (formerly Korea Tobacco & Ginseng) | Shares Voted | 0 | Cusip/Sedol | 6175076 | Ticker | 3378 KS | |
Meeting Date | 3/17/2006 | Shares | 23,420 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Dissident agenda by Steel Partners and the Icahn Group: Legal validity of this alternative agenda is still subject to Korean court approval. Thus these are presented as shareholder proposals w/ no mgmt recs although dissidents present as voting items. | |||||||
Approve Appropriation of Income and Dividends | |||||||
Dissident agenda proposes to choose from among 9 candidates to fill 6 board seats. Cumulative voting will apply for this contested election. | |||||||
Elect An Yong Chan as an Outside Director | |||||||
Elect Kim Byong Kyun as an Outside Director | |||||||
Elect Kim Jin Hyun as an Outside Director | |||||||
Elect Lee Yoon Jae as an Outside Director | |||||||
Elect Lee Chang Woo as an Outside Director | |||||||
Elect Soh Soon Moo as an Outside Director | |||||||
Elect Warren Lichtenstein as an Outside Director | |||||||
Elect Howard Lorber as an Outside Director | |||||||
Elect Steven Wolosky as an Outside Director | |||||||
Dissident agenda proposes to choose from among 5 candidates to fill 2 board seats. Cumulative voting will apply for this contested election. | |||||||
Elect An Yong Chan as an Outside Director | |||||||
Elect Kim Byong Kyun as an Outside Director | |||||||
Elect Warren Lichtenstein as an Outside Director | |||||||
Elect Howard Lorber as an Outside Director | |||||||
Elect Steven Wolosky as an Outside Director | |||||||
Elect Kim Jin Hyun as an Outside Director to Serve as an Audit Committee Member | |||||||
Elect Lee Yoon Jae as an Outside Director to Serve as an Audit Committee Member | |||||||
Elect Lee Chang Woo as an Outside Director to Serve as an Audit Committee Member | |||||||
Elect Soh Soon Moo as an Outside Director to Serve as an Audit Committee Member | |||||||
Cumulative voting will apply for this contested election | |||||||
Elect Kim Jin Hyun as an Outside Director to Serve as an Audit Committee Member | |||||||
Elect Lee Yoon Jae as an Outside Director to Serve as an Audit Committee Member | |||||||
Elect Lee Chang Woo as an Outside Director to Serve as an Audit Committee Member | |||||||
Elect Soh Soon Moo as an Outside Director to Serve as an Audit Committee Member | |||||||
Approve Cap on Remuneration of the Directors | |||||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 23,420 | 0 | |||||
Total: | 23,420 | 0 | |||||
Siam Cement Public Co. Ltd. | Shares Voted | 119,000 | Cusip/Sedol | 7583537 | Ticker | TCM1 GR | |
Meeting Date | 3/22/2006 | Shares | 119,000 | Meeting Type | AGM | Record Date | 3/1/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Minutes of Previous AGM | Mgmt | For | For | ||||
Accept Report on Company Performance in 2005 | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends of Baht 15 Per Share | Mgmt | For | For | ||||
Elect Mr. Snoh Unakul, Mr. Panas Simasathien, Mr. Arsa Sarasin, and Mr. Chumpol Nalamlieng as Directors | Mgmt | For | For | ||||
Approve KPMG Phoomchai Audit Ltd as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Remuneration of Sub-Committees | Mgmt | For | For | ||||
Approve Remuneration of Directors | Mgmt | For | For | ||||
Other Business | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 119,000 | 119,000 | |||||
Total: | 119,000 | 119,000 | |||||
Denway Motors Ltd. (formerly Denway Investment) | Shares Voted | 1,346,000 | Cusip/Sedol | 6263766 | Ticker | 203 HK | |
Meeting Date | 3/23/2006 | Shares | 1,346,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Disposal of a 50 Percent Equity Interest in Guangzhou Denway Bus Co. Ltd. to China Lounge Investments Ltd. at a Consideration of HK$18.9 Million | Mgmt | For | For | ||||
Authorize Board to Do All Acts and Things Necessary to Give Effect to the Disposal | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,346,000 | 1,346,000 | |||||
Total: | 1,346,000 | 1,346,000 | |||||
Yanzhou Coal Mining Company Limited | Shares Voted | 1,782,800 | Cusip/Sedol | 6109893 | Ticker | 1171 HK | |
Meeting Date | 3/24/2006 | Shares | 1,782,800 | Meeting Type | EGM | Record Date | 2/22/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Provision of Materials and Water Supply Agreement and Annual Caps | Mgmt | For | For | ||||
Approve Provision of Labour and Services Agreement and Annual Caps | Mgmt | For | For | ||||
Approve Provision of Electricity Agreement and Annual Caps | Mgmt | For | For | ||||
Approve Provision of Equipment Maintenance and Repair Works Agreement and Annual Caps | Mgmt | For | For | ||||
Approve Provision of Products and Materials Agreement and Annual Caps | Mgmt | For | For | ||||
Approve Amendment to The Procedural Rules of the Supervisory Committee | Mgmt | For | For | ||||
Amend Articles Re: Voting on Connected Transactions | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,782,800 | 1,782,800 | |||||
Total: | 1,782,800 | 1,782,800 | |||||
Honam Petrochemical Corporation | Shares Voted | 10,000 | Cusip/Sedol | 6440020 | Ticker | 011170 KS | |
Meeting Date | 3/24/2006 | Shares | 10,000 | Meeting Type | AGM | Record Date | 12/31/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Appropriation of Income and Dividend of KRW 1000 Per Share | Mgmt | For | For | ||||
Elect Executive Director | Mgmt | For | For | ||||
Approve Limit on Remuneration of Directors | Mgmt | For | For | ||||
Amend Terms of Severance Payments to Executives | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 10,000 | 10,000 | |||||
Total: | 10,000 | 10,000 | |||||
PTT Exploration & Production PCL | Shares Voted | 112,000 | Cusip/Sedol | B1359J0 | Ticker | N/A | |
Meeting Date | 4/5/2006 | Shares | 112,000 | Meeting Type | AGM | Record Date | 3/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Minutes of Previous EGM | Mgmt | For | For | ||||
Accept 2005 Performance Result and 2006 Work Plan | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Allocation of Income and Payment of Dividend of Baht 13.5 Per Share | Mgmt | For | For | ||||
Elect Directors | Mgmt | For | For | ||||
Approve Remuneration of Directors | Mgmt | For | For | ||||
Approve Office of the Auditor General of Thailand as Auditor and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Reduce Par Value of Common Stock to Baht 1 Per Share from Baht 5 Per Share | Mgmt | For | For | ||||
Amend Clause 4 of the Memorandum of Association to Conform with the Increase in Registered Capital | Mgmt | For | For | ||||
Approve Issuance of 2.8 Million Units of Warrants to Management and Employees of the Company | Mgmt | For | For | ||||
Approve Issuance of 2.8 Million Ordinary Shares Reserved for the Conversion of Warrants | Mgmt | For | For | ||||
Other Business | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 112,000 | 112,000 | |||||
Total: | 112,000 | 112,000 | |||||
Midland Holdings Ltd (formerly Midland Realty Holdings Ltd) | Shares Voted | 980,000 | Cusip/Sedol | 6597700 | Ticker | 1200 HK | |
Meeting Date | 4/20/2006 | Shares | 980,000 | Meeting Type | AGM | Record Date | 4/11/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend of HK$0.016 Per Share | Mgmt | For | For | ||||
Reelect Directors and Fix Their Remuneration | Mgmt | For | For | ||||
Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Fix Maximum Number of Directors at Nine and Authorize Board to Appoint Directors up to such Maximun Number | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 980,000 | 980,000 | |||||
Total: | 980,000 | 980,000 | |||||
Electricity Generating Public Co Ltd | Shares Voted | 247,500 | Cusip/Sedol | 6304643 | Ticker | N/A | |
Meeting Date | 4/24/2006 | Shares | 247,500 | Meeting Type | AGM | Record Date | 4/3/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Minutes of Previous AGM | Mgmt | For | For | ||||
Acknowledge Annual Report and Payment of Interim Dividend | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Allocation of Income and Payment of Dividend | Mgmt | For | For | ||||
Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Elect Directors | Mgmt | For | For | ||||
Approve Remuneration of Directors | Mgmt | For | For | ||||
Authorize Issuance of Debentures | Mgmt | For | For | ||||
Other Business | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 247,500 | 247,500 | |||||
Total: | 247,500 | 247,500 | |||||
Jurong Technologies Industrial Corp Ltd | Shares Voted | 666,000 | Cusip/Sedol | 6231150 | Ticker | JTL SP | |
Meeting Date | 4/25/2006 | Shares | 666,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Adopt Financial Statements and Directors' and Auditors' Reports | Mgmt | For | For | ||||
Declare Final Dividend of SGD 0.03 Per Share | Mgmt | For | For | ||||
Approve Directors' Fees of SGD 196,000 | Mgmt | For | For | ||||
Reelect Wee Sing Guan as Director | Mgmt | For | For | ||||
Reelect Yeo Pek Heng as Director | Mgmt | For | For | ||||
Reelect Chung Siang Joon as Director | Mgmt | For | For | ||||
Reappoint Ernst & Young, CPAs as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Share Repurchase Program | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 666,000 | 666,000 | |||||
Total: | 666,000 | 666,000 | |||||
SOLOMON SYSTECH INTERNATIONAL LTD | Shares Voted | 2,274,000 | Security | B00G568 | Ticker | 2878 HK | |
Meeting Date | 4/27/2006 | Shares | 2,274,000 | Meeting Type | AGM | Record Date | 4/20/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend of HK$0.15 Per Share | Mgmt | For | For | ||||
Reelect Lai Woon Ching as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Lo Wai Ming as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Lam Pak Lee as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Approve PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Amend Articles Re: Voting at Meetings & Retirement of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 2,274,000 | 2,274,000 | |||||
Total: | 2,274,000 | 2,274,000 | |||||
HIGH TECH COMPUTER CORP | Shares Voted | 70,200 | Cusip/Sedol | 6510536 | Ticker | 2498 TT | |
Meeting Date | 5/2/2006 | Shares | 70,200 | Meeting Type | AGM | Record Date | 3/3/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Approve Increase of Registered Capital and Issuance of Ordinary Shares to Participate in the Issuance of Global Depository Receipt or Domestic Rights Issue | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Amend Operating Procedures for Loan of Funds to Other Parties | Mgmt | For | For | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | For | ||||
Amend Procedures Governing Derivative Financial Instruments | Mgmt | For | For | ||||
Amend Election Rules of Directors and Supervisors | Mgmt | For | For | ||||
Other Business | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 70,200 | 70,200 | |||||
Total: | 70,200 | 70,200 | |||||
ALUMINUM CORPORATION OF CHINA LTD | Shares Voted | 1,556,000 | Cusip/Sedol | 6425395 | Ticker | 2600 HK | |
Meeting Date | 5/10/2006 | Shares | 1,556,000 | Meeting Type | AGM | Record Date | 4/10/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend and Profit Distribution Plan | Mgmt | For | For | ||||
Approve Remuneration of Directors and Supervisors | Mgmt | For | For | ||||
Approve PricewaterhouseCoopers, Hong Kong CPAs and PricewaterhouseCoopers Zhong Tian CPAs Ltd. Co. as International and PRC Auditors, Respectively, and Authorize Audit Committee to Fix Their Remuneration | Mgmt | For | For | ||||
Other Business (Voting) | Mgmt | For | For | ||||
Authorize Issuance of Short-Term Bonds with a Principal Amount of Up to RMB 5.0 Billion | Mgmt | For | For | ||||
Approve Extension of Validity Period for Implementation of Resolution in Relation to the A Share Issue Passed at the AGM Held on June 9, 2005 | Mgmt | For | For | ||||
Amend Articles Re: Issue of A Shares | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,556,000 | 1,556,000 | |||||
Total: | 1,556,000 | 1,556,000 | |||||
Taiwan Semiconductor Manufacturing Co. | Shares Voted | 886,743 | Cusip/Sedol | 6889106 | Ticker | 2330 TT | |
Meeting Date | 5/16/2006 | Shares | 886,743 | Meeting Type | AGM | Record Date | 3/17/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Business Report and Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Payment of Cash Dividend of NTD 2.5 Per Share and Stock Dividend at the Ratio of 15 Shares Per 1,000 Shares Held | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends, Employee Profit Sharing, and Capitalization of Capital Surplus | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Elect Directors by Cumulative Voting | |||||||
Elect Morris Chang as Director with Shareholder No. 4515 | Mgmt | For | For | ||||
Elect JC Lobbezoo, a Representative of Koninklijke Philips Electronics NV, as Director with Shareholder No. 2 | Mgmt | For | For | ||||
Elect FC Tseng as Director with Shareholder No. 104 | Mgmt | For | For | ||||
Elect Stan Shih as Director with Shareholder No. 534770 | Mgmt | For | For | ||||
Elect Chintay Shih, a Representative of Development Fund, as Director with Shareholder No. 1 | Mgmt | For | For | ||||
Elect Sir Peter Leahy Bonfield as Director with ID No. 500166059 | Mgmt | For | For | ||||
Elect Lester Carl Thurow as Director with ID No. 102505482 | Mgmt | For | For | ||||
Elect Rick Tsai as Director with Shareholder No. 7252 | Mgmt | For | For | ||||
Elect Carleton S. Fiorina as Director with ID No. 026323305 | Mgmt | For | For | ||||
Elect Supervisors by Cumulative Voting | |||||||
Elect James C. Ho, a Representative of Development Fund, as Supervisor with Shareholder No. 1 | Mgmt | For | For | ||||
Elect Michael E. Porter as Supervisor with ID No. 158611569 | Mgmt | For | For | ||||
Other Business | |||||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 886,743 | 886,743 | |||||
Total: | 886,743 | 886,743 | |||||
China Mobile (Hong Kong) Limited | Shares Voted | 302,000 | Cusip/Sedol | 6073556 | Ticker | 941 HK | |
Meeting Date | 5/18/2006 | Shares | 302,000 | Meeting Type | AGM | Record Date | 5/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend of HK$ 0.57 Per Share | Mgmt | For | For | ||||
Reelect Lu Xiangdong as Director | Mgmt | For | For | ||||
Reelect Xue Taohai as Director | Mgmt | For | For | ||||
Reelect Sha Yuejia as Director | Mgmt | For | For | ||||
Reelect Liu Aili as Director | Mgmt | For | For | ||||
Reelect Xin Fanfei as Director | Mgmt | For | For | ||||
Reelect Xu Long as Director | Mgmt | For | For | ||||
Reelect Lo Ka Shui as Director | Mgmt | For | For | ||||
Reelect Moses Cheng Mo Chi as Director | Mgmt | For | For | ||||
Reappoint KPMG as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Change Company Name from China Mobile (Hong Kong) Limited to China Mobile Limited | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 302,000 | 302,000 | |||||
Total: | 302,000 | 302,000 | |||||
Kingboard Chemical Holdings Ltd | Shares Voted | 204,000 | Cusip/Sedol | 6491318 | Ticker | 148 HK | |
Meeting Date | 5/18/2006 | Shares | 204,000 | Meeting Type | AGM | Record Date | 5/11/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Reelect Cheung Kwok Wing as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Chan Wing Kwan as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Cheung Kwok Ping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Cheung Kwok Keung as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Chang Wing Yiu as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reelect Henry Tan as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | ||||
Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 204,000 | 204,000 | |||||
Total: | 204,000 | 204,000 | |||||
China Petroleum & Chemical Corp. | Shares Voted | 1,706,000 | Cusip/Sedol | 6291819 | Ticker | 386 HK | |
Meeting Date | 5/24/2006 | Shares | 1,706,000 | Meeting Type | AGM | Record Date | 4/24/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept the Report of the Board of Directors | Mgmt | For | For | ||||
Accept the Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Profit Appropriation and Final Dividend | Mgmt | For | For | ||||
Approve PRC and International Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Elect Chen Tonghai as Director | Mgmt | For | For | ||||
Elect Zhou Yuan as Director | Mgmt | For | For | ||||
Elect Wang Tianpu as Director | Mgmt | For | For | ||||
Elect Zhang Jianhua as Director | Mgmt | For | For | ||||
Elect Wang Zhigang as Director | Mgmt | For | For | ||||
Elect Dai Houliang as Director | Mgmt | For | For | ||||
Elect Fan Yifei as Director | Mgmt | For | For | ||||
Elect Yao Zhongmin as Director | Mgmt | For | For | ||||
Elect Shi Wanpeng as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Liu Zhongli as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Li Deshui as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Wang Zuoran as Supervisor | Mgmt | For | For | ||||
Elect Zhang Youcai as Supervisor | Mgmt | For | For | ||||
Elect Kang Xianzhang as Supervisor | Mgmt | For | For | ||||
Elect Zou Huiping as Supervisor | Mgmt | For | For | ||||
Elect Li Yonggui as Supervisor | Mgmt | For | For | ||||
Approve the Service Contracts Between Sinopec Corp. and Directors and Supervisors | Mgmt | For | For | ||||
Approve Connected Transactions and Annual Caps | Mgmt | For | For | ||||
Authorize Issue of Commercial Paper with a Maximum Amount Not Exceeding 10 Percent of the Latest Audited Amount of the Net Assets | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,706,000 | 1,706,000 | |||||
Total: | 1,706,000 | 1,706,000 | |||||
CNOOC LTD | Shares Voted | 1,995,000 | Cusip/Sedol | B00G0S5 | Ticker | 883 HK | |
Meeting Date | 5/24/2006 | Shares | 1,995,000 | Meeting Type | AGM | Record Date | 5/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Ordinary Business | |||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Reelect Zhou Shouwei as Director | Mgmt | For | For | ||||
Reelect Evert Henkes as Director | Mgmt | For | For | ||||
Reelect Cao Xinghe as Director | Mgmt | For | For | ||||
Reelect Wu Zhenfang as Director | Mgmt | For | For | ||||
Reelect Yang Hua as Director | Mgmt | For | For | ||||
Reelect Lawrence J. Lau as Director | Mgmt | For | For | ||||
Elect Edgar W.K. Cheng as Independent Director | Mgmt | For | For | ||||
Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | ||||
Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Special Business | |||||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,995,000 | 1,995,000 | |||||
Total: | 1,995,000 | 1,995,000 | |||||
CNPC Hong Kong Ltd. | Shares Voted | 2,500,000 | Cusip/Sedol | 6340078 | Ticker | 135 HK | |
Meeting Date | 5/25/2006 | Shares | 2,500,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Dividend | Mgmt | For | For | ||||
Reelect Li Hualin as Director | Mgmt | For | For | ||||
Approve Remuneration of Directors | Mgmt | For | For | ||||
Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Amend Bylaws Re: Removal, Appointment, and Retirement by Rotation of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 2,500,000 | 2,500,000 | |||||
Total: | 2,500,000 | 2,500,000 | |||||
HSBC Holdings Plc | Shares Voted | 56,892 | Cusip/Sedol | 6158163 | Ticker | 5 HK | |
Meeting Date | 5/26/2006 | Shares | 56,892 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Remuneration Report | Mgmt | For | For | ||||
Re-elect Baroness Lydia Dunn as Director | Mgmt | For | For | ||||
Re-elect Michael Geoghegan as Director | Mgmt | For | For | ||||
Re-elect Stephen Green as Director | Mgmt | For | For | ||||
Re-elect Sir Mark Moody-Stuart as Director | Mgmt | For | For | ||||
Elect Simon Robertson as Director | Mgmt | For | For | ||||
Re-elect Helmut Sohmen as Director | Mgmt | For | For | ||||
Re-elect Sir Brian Williamson as Director | Mgmt | For | For | ||||
Reappoint KPMG Audit plc as Auditors and Authorise the Audit Committee to Determine Their Remuneration | Mgmt | For | For | ||||
Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of USD 1,137,200,000 | Mgmt | For | For | ||||
Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of USD 284,300,000 | Mgmt | For | For | ||||
Authorise 10 Percent of Ordinary Shares for Market Purchase | Mgmt | For | For | ||||
Approve Increase in Remuneration of Non-Executive Directors to GBP 65,000 | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 56,892 | 56,892 | |||||
Total: | 56,892 | 56,892 | |||||
Petrochina Company Limited | Shares Voted | 1,778,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 5/26/2006 | Shares | 1,778,000 | Meeting Type | AGM | Record Date | 4/25/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Authorize Board to Distribute Interim Dividend | Mgmt | For | For | ||||
Reappoint PricewaterhouseCoopers and PricewaterhouseCoopers Zhong Tian CPAs Company Limited as International and Domestic Auditors Respectively and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Reelect Zheng Hu as Director | Mgmt | For | For | ||||
Reelect Franco Bernabe as Independent Non-Executive Director | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Other Business | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,778,000 | 1,778,000 | |||||
Total: | 1,778,000 | 1,778,000 | |||||
China Shipping Development Co.(Formerly Shanghai Hai Xing) | Shares Voted | 1,258,000 | Cusip/Sedol | 6782045 | Ticker | 1138 HK | |
Meeting Date | 5/26/2006 | Shares | 1,258,000 | Meeting Type | AGM | Record Date | 4/26/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Profit Distribution Plan | Mgmt | For | For | ||||
Approve Remuneration of Directors and Supervisors | Mgmt | For | For | ||||
Reappoint Shanghai Zhonghua Huying CPA and Ernst & Young as Domestic adn International Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Reelect Li Shaode as Executive Director | Mgmt | For | For | ||||
Reelect Wang Daxiong as Executive Director | Mgmt | For | For | ||||
Reelect Mao Shijia as Executive Director | Mgmt | For | For | ||||
Reelect Wang Kunhe as Executive Director | Mgmt | For | For | ||||
Reelect Yao Zuozhi as Non-Executive Director | Mgmt | For | For | ||||
Reelect Hu Honggao as Independent Non-Executive Director | Mgmt | For | For | ||||
Reelect Xie Rong as Independent Non-Executive Director | Mgmt | For | For | ||||
Reelect Zhou Zhanqun as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Zhang Guofa as Executive Director | Mgmt | For | For | ||||
Reelect Kuo Laiqi as Supervisor | Mgmt | For | For | ||||
Elect Xu Hui as Supervisor | Mgmt | For | For | ||||
Elect Chen Xiuling as Supervisor | Mgmt | For | For | ||||
Amend Articles Re: Share Capital Structure | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,258,000 | 1,258,000 | |||||
Total: | 1,258,000 | 1,258,000 | |||||
Denway Motors Ltd. (formerly Denway Investment) | Shares Voted | 1,998,000 | Cusip/Sedol | 6263766 | Ticker | 203 HK | |
Meeting Date | 6/6/2006 | Shares | 1,998,000 | Meeting Type | AGM | Record Date | 5/30/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Approve Special Dividend | Mgmt | For | For | ||||
Reelect LU Zhifeng as Director | Mgmt | For | For | ||||
Reelect YANG Dadong as Director | Mgmt | For | For | ||||
Reelect DING Baoshan as Director | Mgmt | For | For | ||||
Authorize Board to Fix Remuneration of Directors | Mgmt | For | For | ||||
Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | ||||
Amend Articles Re: Appointment of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,998,000 | 1,998,000 | |||||
Total: | 1,998,000 | 1,998,000 | |||||
WISTRON CORP | Shares Voted | 1,201,000 | Cusip/Sedol | 6672481 | Ticker | 3231 TT | |
Meeting Date | 6/8/2006 | Shares | 1,201,000 | Meeting Type | AGM | Record Date | 4/9/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Financial Statements and Operating Results | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Approve Issuance of Non-Physical Shares Through the Book-Entry System | Mgmt | For | For | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | For | ||||
Approve Issuance of Ordinary Shares to Participate in the Issuance of Global Depository Receipt | Mgmt | For | For | ||||
Elect Directors By Cumulative Voting | |||||||
Elect Hsien-Ming Lin as Director with ID No. D101317339 | Mgmt | For | For | ||||
Elect Hong-Po Hsieh as Director with ID No. N101599142 | Mgmt | For | For | ||||
Elect Po-Tuan Huang as Director with ID No. A104294769 | Mgmt | For | For | ||||
Elect Chen-Jung Shih as Director with ID No. N100407449 | Mgmt | For | For | ||||
Elect Hung-I Lu as Director with ID No. D101292837 | Mgmt | For | For | ||||
Elect Kuo-Chih Tsai as Director with ID No. A100138304 | Mgmt | For | For | ||||
Elect Min-Chih Hsuan as Director with ID No. F100588265 | Mgmt | For | For | ||||
Elect Supervisors By Cumulative Voting | |||||||
Elect Chin-Bing Peng as Supervisor with ID No. J100569889 | Mgmt | For | For | ||||
Elect Kuo-Feng Wu as Supervisor with ID No. N100666626 | Mgmt | For | For | ||||
Elect Chung-Jen Cheng as Supervisor with ID No. J100515149 | Mgmt | For | For | ||||
Approve Release of Restrictions of Competitive Activities of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,201,000 | 1,201,000 | |||||
Total: | 1,201,000 | 1,201,000 | |||||
Compal Electronics | Shares Voted | 1,430,000 | Cusip/Sedol | 6225744 | Ticker | 2324 TT | |
Meeting Date | 6/9/2006 | Shares | 1,430,000 | Meeting Type | AGM | Record Date | 4/10/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends, Employee Profit Sharing, and Capitalization of Reserves for Bonus Issue | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | For | ||||
Amend Trading Procedures Governing Derivative Products | Mgmt | For | For | ||||
Elect Directors and Supervisors | Mgmt | For | For | ||||
Approve Release of Restrictions of Competitive Activities of Directors | Mgmt | For | For | ||||
Other Business | |||||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,430,000 | 1,430,000 | |||||
Total: | 1,430,000 | 1,430,000 | |||||
Sunplus Technology Co. Ltd. | Shares Voted | 1,009,000 | Cusip/Sedol | 6084503 | Ticker | 2401 TT | |
Meeting Date | 6/9/2006 | Shares | 1,009,000 | Meeting Type | AGM | Record Date | 4/10/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Operating Results and Financial Statements | Mgmt | For | Abstain | ||||
Approve Allocation of Income and Dividends | Mgmt | For | Abstain | ||||
Approve Capitalization of 2005 Dividends, Employee Profit Sharing, and Capitalization of Reserves for Bonus Issue | Mgmt | For | Abstain | ||||
Amend Articles of Association | Mgmt | For | Abstain | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | Abstain | ||||
Amend Operating Procedures for Loan of Funds to Other Parties | Mgmt | For | Abstain | ||||
Amend Trading Procedures Governing Derivative Products | Mgmt | For | Abstain | ||||
Amend Procedures Governing the Acquisition or Disposal of Assets | Mgmt | For | Abstain | ||||
Elect Directors and Supervisors | Mgmt | For | Abstain | ||||
Approve Release of Restrictions of Competitive Activities of Directors | Mgmt | For | Abstain | ||||
Other Business | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,009,000 | 1,009,000 | |||||
Total: | 1,009,000 | 1,009,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 1,800,000 | Cusip/Sedol | 6848743 | Tikcer | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 1,800,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Agreement Between the Company and Liquidation Committee of Qingyuan City Yueqing Highway Construction and Devt. Co. Ltd. Relating to the Acquisition of a 20.09 Percent Interest in Guangdong Qinglian Highway Devt. Co. Ltd. | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,800,000 | 1,800,000 | |||||
Total: | 1,800,000 | 1,800,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 1,800,000 | Cusip/Sedol | 6848743 | Tikcer | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 1,800,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Meeting For H Shareholders | |||||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,800,000 | 1,800,000 | |||||
Total: | 1,800,000 | 1,800,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 1,800,000 | Cusip/Sedol | 6848743 | Tikcer | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 1,800,000 | Meeting Type | AGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend and Profit Distribution Scheme | Mgmt | For | For | ||||
Approve Budget Plan for the Year 2006 | Mgmt | For | For | ||||
Approve Remuneration of Directors and Supervisors | Mgmt | For | For | ||||
Reappoint PricewaterhouseCoopers as International Auditors and PricewaterhouseCoopers Zhong Tian CPAs Co., Ltd. as Statutory Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,800,000 | 1,800,000 | |||||
Total: | 1,800,000 | 1,800,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 1,800,000 | Cusip/Sedol | 6848743 | Tikcer | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 1,800,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Meeting For Domestic Shareholders | |||||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,800,000 | 1,800,000 | |||||
Total: | 1,800,000 | 1,800,000 | |||||
Novatek Microelectronics Corp. Ltd. | Shares Voted | 114,588 | Cusip/Sedol | 6346333 | Tikcer | 3034 TT | |
Meeting Date | 6/12/2006 | Shares | 114,588 | Meeting Type | AGM | Record Date | 4/13/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Operating Results and Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Elect Directors by Cumulative Voting | |||||||
Elect Chitung Liu, a Representative of United Microelectronics Corp., as Director with Shareholder No. 1 | Mgmt | For | For | ||||
Elect Bellona Chen, a Representative of United Microelectronics Corp., as Director with Shareholder No. 1 | Mgmt | For | For | ||||
Elect T.S. Ho as Director with Shareholder No. 6 | Mgmt | For | For | ||||
Elect Y.C. Kung as Director with Shareholder No. 7 | Mgmt | For | For | ||||
Elect Tommy Chen as Director with Shareholder No. 9 | Mgmt | For | For | ||||
Elect Steve Wang as Director with Shareholder No. 8136 | Mgmt | For | For | ||||
Elect Max Wu as Director with ID No. D101448375 | Mgmt | For | For | ||||
Elect Supervisors by Cumulative Voting | |||||||
Elect Stan Hung as Supervisor with Shareholder No. 128 | Mgmt | For | For | ||||
Elect Gina Huang as Supervisor with Shareholder No. 2021 | Mgmt | For | For | ||||
Elect Honda Shih, a Representative of Hsun Chieh Investment Co. Ltd., as Supervisor with Shareholder No. 18598 | Mgmt | For | For | ||||
Approve Release of Restrictions of Competitive Activities of Directors | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 114,588 | 114,588 | |||||
Total: | 114,588 | 114,588 | |||||
Hon Hai Precision Industry | Shares Voted | 254,263 | Cusip/Sedol | 6438564 | Ticker | 2317 TT | |
Meeting Date | 6/14/2006 | Shares | 254,263 | Meeting Type | AGM | Record Date | 4/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Approve Increase of Registered Capital and Issuance of Ordinary Shares to Participate in the Issuance of Global Depository Receipt or Domestic Rights Issue | Mgmt | For | Abstain | ||||
Amend Operating Procedures for Endorsement and Guarantee | Mgmt | For | Abstain | ||||
Amend Operating Procedures for Loan of Funds to Other Parties | Mgmt | For | Abstain | ||||
Amend Articles of Association | Mgmt | For | Abstain | ||||
Other Business | |||||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 254,263 | 254,263 | |||||
Total: | 254,263 | 254,263 | |||||
Sinopec Shanghai Petrochemical Co. (formerly Shanghai Petroc | Shares Voted | 1,910,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 6/15/2006 | Shares | 1,910,000 | Meeting Type | AGM | Record Date | 5/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and 2006 Budget | Mgmt | For | For | ||||
Approve Profit Appropriation Plan | Mgmt | For | For | ||||
Reappoint KPMG Huazen and KPMG as Domestic and International Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Resignation of Wu Haijun as Director | Mgmt | For | For | ||||
Approve Resignation of Gao Jinping as Director | Mgmt | For | For | ||||
Elect Li Honggen as Director | Mgmt | For | For | ||||
Elect Dai Jinbao as Director | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,910,000 | 1,910,000 | |||||
Total: | 1,910,000 | 1,910,000 | |||||
Jiangxi Copper Company Ltd. | Shares Voted | 1,620,000 | Cusip/Sedol | 6000305 | Ticker | 358 HK | |
Meeting Date | 6/15/2006 | Shares | 1,620,000 | Meeting Type | AGM | Record Date | 5/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Auditors' Report | Mgmt | For | For | ||||
Approve Profit Distribution Proposal | Mgmt | For | For | ||||
Elect He Changming as Director | Mgmt | For | For | ||||
Elect Qi Huaiying as Director | Mgmt | For | For | ||||
Elect Li Yihuang as Director | Mgmt | For | For | ||||
Elect Wang Chiwei as Director | Mgmt | For | For | ||||
Elect Wu Jinxing as Director | Mgmt | For | For | ||||
Elect Gao Jianmin as Director | Mgmt | For | For | ||||
Elect Liang Qing as Director | Mgmt | For | For | ||||
Elect Kang Yi as Director | Mgmt | For | For | ||||
Elect Yin Hongshan as Director | Mgmt | For | For | ||||
Elect Tu Shutian as Director | Mgmt | For | For | ||||
Elect Zhang Rui as Director | Mgmt | For | For | ||||
Authorize Board to Fix Remuneration of Directors | Mgmt | For | For | ||||
Authorize Board to Enter into Service Contract and/or Appointment Letter with Each of the Newly Elected Directors | Mgmt | For | For | ||||
Elect Wang Maoxian as Supervisor | Mgmt | For | For | ||||
Elect Li Ping as Supervisor | Mgmt | For | For | ||||
Elect Gan Chengjiu as Supervisor | Mgmt | For | For | ||||
Elect Li Baomin as Supervisor | Mgmt | For | For | ||||
Elect Hu Failiang as Supervisor | Mgmt | For | For | ||||
Authorize Board to Fix Remuneration of Supervisors | Mgmt | For | For | ||||
Authorize Board to Enter into Service Contract or Appointment Letter with Each of the Newly Elected Supervisors | Mgmt | For | For | ||||
Reappoint Deloitte Touche Tohmatsu Shanghai CPAs Ltd. and Deloitte Touche Tohmatsu as PRC and International Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,620,000 | 1,620,000 | |||||
Total: | 1,620,000 | 1,620,000 | |||||
Dongfang Electrical Machinery Company Ltd | Shares Voted | 634,000 | Cusip/Sedol | 6278566 | Ticker | N/A | |
Meeting Date | 6/15/2006 | Shares | 634,000 | Meeting Type | AGM | Record Date | 5/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Approve Profit Distribution Proposal | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve 2006 Work Plan | Mgmt | For | For | ||||
Approve 2006 Connected Transactions Under the DEC Supply Agreement Between the Company and China Dongfang Electric Corp. and the Annual Caps | Mgmt | For | For | ||||
Approve Deloitte Deloitte Touche Tomants CPAs of Hong Kong and Deloitte Touche Tohmatsu CPAs as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve 2006 Connected Transactions Under the Supply Agreement Between the Company and Certain Subsidiaries of Dongfang Electric Machinery Works and the Annual Caps | Mgmt | For | For | ||||
Approve Connected Transactions Between the Company and China Dongfang Electric Corp. and Its Subsidiaries | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 634,000 | 634,000 | |||||
Total: | 634,000 | 634,000 | |||||
China Steel Corporation | Shares Voted | 1,387,796 | Cusip/Sedol | 6190950 | Ticker | 2002 TT | |
Meeting Date | 6/15/2006 | Shares | 1,387,796 | Meeting Type | AGM | Record Date | 4/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Operating Results and Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | Abstain | ||||
Amend Rules and Procedures Regarding Shareholder Meeting | Mgmt | For | Abstain | ||||
Approve Release of Restrictions of Competitive Activities of Director Y. C. Chiang | Mgmt | For | Abstain | ||||
Approve Release of Restrictions of Competitive Activities of Director L. M. Chung | Mgmt | For | Abstain | ||||
Other Business | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,387,796 | 1,387,796 | |||||
Total: | 1,387,796 | 1,387,796 | |||||
Angang New Steel Company | Shares Voted | 2,102,000 | Cusip/Sedol | 6015644 | Ticker | 347 HK | |
Meeting Date | 6/20/2006 | Shares | 2,102,000 | Meeting Type | AGM | Record Date | 5/19/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Proposed Profit Distribution Plan | Mgmt | For | For | ||||
Approve Remuneration of Directors and Supervisors | Mgmt | For | For | ||||
Approve Auditors for 2006 and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Elect Liu Jie as Executive Director | Mgmt | For | For | ||||
Elect Tang Fuping as Executive Director | Mgmt | For | For | ||||
Elect Yang Hua as Executive Director | Mgmt | For | For | ||||
Elect Wang Chunming as Executive Director | Mgmt | For | For | ||||
Elect Huang Haodong as Executive Director | Mgmt | For | For | ||||
Elect Lin Daqing as Executive Director | Mgmt | For | For | ||||
Elect Fu Wei as Executive Director | Mgmt | For | For | ||||
Elect Fu Jihui as Executive Director | Mgmt | For | For | ||||
Elect Yu Wanyuan as Non-Executive Director | Mgmt | For | For | ||||
Elect Wu Xichun as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Wang Linsen as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Liu Yongze as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Francis Li Chak Yan as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Wang Xiaobin as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Qi Cong as Supervisor | Mgmt | For | For | ||||
Elect Zhang Lifen as Supervisor | Mgmt | For | For | ||||
Elect Shan Mingyi as Supervisor | Mgmt | For | For | ||||
Change Company Name | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Amend Rules of Procedure for the General Meetings of the Shareholders | Mgmt | For | For | ||||
Amend Rules of Procedure for the Meetings of the Board of Directors | Mgmt | For | For | ||||
Amend Rules of Procedure for the Meeetings of the Supervisory Committee | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 2,102,000 | 2,102,000 | |||||
Total: | 2,102,000 | 2,102,000 | |||||
Resorts World Berhad | Shares Voted | 305,000 | Cusip/Sedol | 6731962 | Ticker | RNB MK | |
Meeting Date | 6/21/2006 | Shares | 305,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports for the Financial Year Ended Dec. 31, 2005 | Mgmt | For | For | ||||
Approve Final Dividend of MYR 0.14 Per Share Less 28 Percent Income Tax for the Financial Year Ended Dec. 31, 2005 | Mgmt | For | For | ||||
Approve Remuneration of Directors in the Amount of MYR 564,083 for the Financial Year Ended Dec. 31, 2005 | Mgmt | For | For | ||||
Elect Mohammed Hanif bin Omar as Director | Mgmt | For | For | ||||
Elect Quah Chek Tin as Director | Mgmt | For | For | ||||
Elect Mohd Zahidi bin Hj Zainuddin as Director | Mgmt | For | For | ||||
Elect Alwi Jantan as Director | Mgmt | For | For | ||||
Elect Wan Sidek bin Hj Wan Abdul Rahman as Director | Mgmt | For | For | ||||
Approve PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights in Any Amount Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 305,000 | 305,000 | |||||
Total: | 305,000 | 305,000 | |||||
Yanzhou Coal Mining Company Limited | Shares Voted | 1,782,800 | Cusip/Sedol | 6109893 | Ticker | 1171 HK | |
Meeting Date | 6/28/2006 | Shares | 1,782,800 | Meeting Type | AGM | Record Date | 5/29/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Profit Distribution Plan, Cash Dividend, and Special Cash Dividend | Mgmt | For | For | ||||
Approve Remuneration of Directors and Supervisors | Mgmt | For | For | ||||
Approve Deloitte Touche Tohmatsu and Deloitte Touche Tohmatsu CPAs Ltd. as International and Domestic Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Amend Rules of Procedure for Meetings of Shareholders | Mgmt | For | For | ||||
Amend Rules of Procedure for the Board of Directors | Mgmt | For | For | ||||
Amend Rules of Procedure for the Supervisory Committee | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,782,800 | 1,782,800 | |||||
Total: | 1,782,800 | 1,782,800 | |||||
PT Telekomunikasi Indonesia Tbk | Shares Voted | 1,812,000 | Cusip/Sedol | B031J46 | Ticker | N/A | |
Meeting Date | 6/30/2006 | Shares | 1,812,000 | Meeting Type | AGM | Record Date | 6/7/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Annual Report | Mgmt | For | For | ||||
Approve Financial Statements and Discharge of Directors and Commissioners | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends of IDR 152 Per Share | Mgmt | For | For | ||||
Approve Siddharta Siddharta & Widjaja as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Elect Commissioners | Mgmt | For | Abstain | ||||
Approve Remuneration of Directors and Commissioners | Mgmt | For | For | ||||
Elect Directors | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03504 GUINNESS ATKINSON ASIA FOCUS FUND | 1,812,000 | 1,812,000 | |||||
Total: | 1,812,000 | 1,812,000 | |||||
Vote Summary Report (Long) | |||||||
July 1, 2005 - June 30, 2006 | |||||||
Sorted by Meeting Date. | |||||||
In All Markets, for all statuses, for GUINNESS ATKINSON CHINA & HONG KONG FUND. | |||||||
SURFACE MOUNT TECH | Shares Voted | 1,052,000 | Cusip/Sedol | B02X3H4 | Ticker | SMTW SP | |
Meeting Date | 7/21/2005 | Shares | 1,052,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Adopt Financial Statements and Directors' and Auditors' Reports | Mgmt | For | For | |||
2 | Declare Final Dividend of HK$0.12 Per Share for the Year Ended March 31, 2005 (March 31, 2004: HK$0.10) | Mgmt | For | For | |||
3 | Approve Directors' Fees of SGD 182,730 Payable to Daniel Cuthbert Ee Hock Huat, Lim Jiew Keng, and Antonio Chan for the Year Ending March 31, 2006 (March 31, 2005: SGD 175,875) | Mgmt | For | For | |||
4 | Reelect Man Kit Hoo as Director | Mgmt | For | For | |||
5 | Reappoint Deloitte & Touche, Singapore as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6 | Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | |||
7 | Approve Issuance of Shares and Grant of Options Pursuant to the Surface Mount Technology Share Option Scheme II | Mgmt | For | For | |||
8 | Authorize Share Repurchase Program | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 1,052,000 | 1,052,000 | |||||
Total: | 1,052,000 | 1,052,000 | |||||
Giant Wireless technology Ltd | Shares Voted | 4,628,200 | Cusip/Sedol | 6243649 | Ticker | GWT SP | |
Meeting Date | 7/28/2005 | Shares | 4,628,200 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports (Voting) | Mgmt | For | For | |||
2 | Declare Dividend | Mgmt | For | For | |||
3 | Approve Director Remuneration | Mgmt | For | For | |||
4 | Elect Liu Yong Ling as Director | Mgmt | For | For | |||
5 | Reappoint Deloitte & Touche as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
Special Business | |||||||
6 | Approve Issuance of Shares without Preemptive Rights | Mgmt | For | Against | |||
7 | Other Business (Voting) | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,628,200 | 4,628,200 | |||||
Total: | 4,628,200 | 4,628,200 | |||||
Giant Wireless technology Ltd | Shares Voted | 4,628,200 | Cusip/Sedol | 6243649 | Ticker | GWT SP | |
Meeting Date | 7/28/2005 | Shares | 4,628,200 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Bonus Issue of Shares | Mgmt | For | For | |||
2 | Approve Mandate for Transactions with Related Parties | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,628,200 | 4,628,200 | |||||
Total: | 4,628,200 | 4,628,200 | |||||
Global Bio-Chem Technology Group Co. Ltd. | Shares Voted | 2,700,000 | Cusip/Sedol | 6336527 | Ticker | 809 HK | |
Meeting Date | 8/8/2005 | Shares | 2,700,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Acquisition by Global Corn Bio-chem Technology Co. Ltd. of the Entire Equity Interest in Changchun Dacheng Industrial Group Co., Ltd. and All Related Transactions | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,700,000 | 2,700,000 | |||||
Total: | 2,700,000 | 2,700,000 | |||||
Petrochina Company Limited | Shares Voted | 8,256,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 8/16/2005 | Shares | 8,256,000 | Meeting Type | EGM | Record Date | 7/18/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Acquisition of a Total of 50 Percent Interest in the Enlarged Registered Capital of Zhong You Kan Tan Kai Fa Co. Ltd. (Newco) By Way of Capital Contribution to Newco in an Aggregate Amount of RMB 20.7 Billion | Mgmt | For | For | |||
2 | Approve Transfer by the Company of the Entire Issued Capital of PetroChina International Ltd. to Newco at a Cash Consideration of RMB 579.4 Million | Mgmt | For | For | |||
3a | Approve Supplemental Comprehensive Agreement and Continuing Connected Transactions | Mgmt | For | For | |||
3b | Approve Annual Limits of Continuing Connected Transactions | Mgmt | For | For | |||
4 | Authorize the Chief Financial Officer of the Company to Do All Acts Necessary to Implement the Supplemental Comprehensive Agreement, Continuing Connected Transactions, and Proposed Caps | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 8,256,000 | 8,256,000 | |||||
Total: | 8,256,000 | 8,256,000 | |||||
Group Sense (International) Limited | Shares Voted | 5,388,000 | Cusip/Sedol | 6392864 | Ticker | 601 HK | |
Meeting Date | 8/18/2005 | Shares | 5,388,000 | Meeting Type | AGM | Record Date | 8/12/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.03 Per Share | Mgmt | For | For | |||
3a | Reelect Tam Mui Ka Wai, Vivian as Director | Mgmt | For | For | |||
3b | Reelect Lee Koon Hung as Director | Mgmt | For | For | |||
3c | Reelect Wong Kon Man, Jason as Director | Mgmt | For | For | |||
3d | Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | |||
4 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
5b | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
6 | Amend Bylaws Re: Appointment, Retirement by Rotation and Reelection of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,388,000 | 5,388,000 | |||||
Total: | 5,388,000 | 5,388,000 | |||||
Yanzhou Coal Mining Company Limited | Shares Voted | 3,222,000 | Cusip/Sedol | 6109893 | Ticker | 1171 HK | |
Meeting Date | 8/19/2005 | Shares | 3,222,000 | Meeting Type | EGM | Record Date | 7/20/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Agreements Between the Company and Yankuang Corp. Group Ltd. (Parent Co.) in Relation to the Acquisition by the Company of the 95.67 Percent Equity Interest in Yanmei Heze Neng Hua from the Parent Co. | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,222,000 | 3,222,000 | |||||
Total: | 3,222,000 | 3,222,000 | |||||
VICTORY CITY INTERNATIONALHOLDINGS LTD | Shares Voted | 5,205,931 | Cusip/Sedol | 6179614 | Ticker | 539 HK | |
Meeting Date | 8/25/2005 | Shares | 5,205,931 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.055 Per Share | Mgmt | For | For | |||
3a | Reelect So Kam Wah as Director | Mgmt | For | For | |||
3b | Reelect Phaisalakani Vichai as Director | Mgmt | For | For | |||
3c | Reelect Lau Chung Kwan as Director | Mgmt | For | For | |||
3d | Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | |||
4 | Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Amend Bye-Laws Re: Director Rotation | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
8 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,205,931 | 5,205,931 | |||||
Total: | 5,205,931 | 5,205,931 | |||||
Chen Hsong Holdings Ltd. | Shares Voted | 3,510,000 | Cusip/Sedol | 6189646 | Ticker | 57 HK | |
Meeting Date | 8/30/2005 | Shares | 3,510,000 | Meeting Type | AGM | Record Date | 8/25/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.14 Per Share | Mgmt | For | For | |||
3a | Reelect Bernard Charnwut CHAN as Director | Mgmt | For | For | |||
3b | Reelect Chi Kin CHIANG as Director | Mgmt | For | For | |||
3c | Reelect Sam Hon Wah NG as Director | Mgmt | For | For | |||
3d | Approve Remuneration of Directors for the Year Ending Mar. 31, 2006 at an Aggregate Sum Not Exceeding HK$900,000 | Mgmt | For | For | |||
4 | Reappoint Ernst & Young as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,510,000 | 3,510,000 | |||||
Total: | 3,510,000 | 3,510,000 | |||||
Maanshan Iron & Steel Company Ltd. | Shares Voted | 4,880,000 | Cusip/Sedol | 6600879 | Ticker | 323 HK | |
Meeting Date | 8/31/2005 | Shares | 4,880,000 | Meeting Type | EGM | Record Date | 8/1/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
1 | Amend Articles of Association | Mgmt | For | For | |||
2 | Approve Order of Meeting for Shareholders General Meeting | Mgmt | For | For | |||
3 | Approve Order of Meeting for the Board of Directors | Mgmt | For | For | |||
4 | Approve Order of Meeting for the Supervisory Committee | Mgmt | For | For | |||
5 | Approve Proposed Amendments to the Articles of Association Submitted by the Board and Authorize the Board to Make Appropriate Modifications to the Wordings of the Articles Pursuant to Requirements, if Any, of Relevant State Regulatory Bodies | Mgmt | For | For | |||
6 | Approve Issuance of One-Year Short Term Debentures Not Exceeding the Aggregate Amount of RMB2 Billion | Mgmt | For | For | |||
Ordinary Business | |||||||
1a | Elect Gu Jianguo as Director | Mgmt | For | For | |||
1b | Elect Gu Zhanggen as Director | Mgmt | For | For | |||
1c | Elect Zhu Changqiu as Director | Mgmt | For | For | |||
1d | Elect Zhao Jianming as Director | Mgmt | For | For | |||
1e | Elect Su Jiangang as Director | Mgmt | For | For | |||
1f | Elect Gao Haijian as Director | Mgmt | For | For | |||
1g | Elect Wong Chun Wa as Director | Mgmt | For | For | |||
1h | Elect Su Yong as Director | Mgmt | For | For | |||
1i | Elect Hui Leung Wah as Director | Mgmt | For | For | |||
1j | Elect Han Yi as Director | Mgmt | For | For | |||
2a | Elect Fang Jinrong as Supervisor | Mgmt | For | For | |||
2b | Elect Cheng Shaoxiu as Supervisor | Mgmt | For | For | |||
2c | Elect An Qun as Supervisor | Mgmt | For | For | |||
3 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,880,000 | 4,880,000 | |||||
Total: | 4,880,000 | 4,880,000 | |||||
Glorious Sun Enterprises | Shares Voted | 820,000 | Cusip/Sedol | 6361756 | Ticker | 393 HK | |
Meeting Date | 9/1/2005 | Shares | 820,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve New Share Option Scheme and Terminate Existing Share Option Scheme | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 820,000 | 820,000 | |||||
Total: | 820,000 | 820,000 | |||||
China Telecom Corporation Ltd | Shares Voted | 9,200,000 | Cusip/Sedol | 6559335 | Ticker | 728 HK | |
Meeting Date | 9/9/2005 | Shares | 9,200,000 | Meeting Type | EGM | Record Date | 8/9/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1a | Reelect Wang Xiaochu as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1b | Reelect Leng Rongquan as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1c | Reelect Wu Andi as Director and Authorize Board to Fix Her Remuneration | Mgmt | For | For | |||
1d | Reelect Zhang Jiping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1e | Reelect Huang Wenlin as Director and Authorize Board to Fix Her Remuneration | Mgmt | For | For | |||
1f | Reelect Li Ping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1g | Reelect Wei Leping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1h | Reelect Yang Jie as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1i | Reelect Sun Kangmin as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1j | Reelect Li Jinming as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1k | Reelect Zhang Youcai as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1l | Reelect Vincent Lo Hong Sui as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1m | Reelect Shi Wanpeng as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1n | Elect Xu Erming as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
1o | Elect Tse Hau Yin, Aloysius as Independent Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
2a | Reelect Zhang Xiuqin as Supervisor and Authorize the Supervisory Committee to Fix Her Remuneration | Mgmt | For | For | |||
2b | Reelect Zhu Lihao as Supervisor and Authorize the Supervisory Committee to Fix Her Remuneration | Mgmt | For | For | |||
2c | Elect Li Jian as Supervisor and Authorize the Supervisory Committee to Fix His Remuneration | Mgmt | For | For | |||
2d | Elect Xu Cailiao as Supervisor and Authorize the Supervisory Committee to Fix His Remuneration | Mgmt | For | For | |||
3a | Amend Articles Re: Capital Structure | Mgmt | For | For | |||
3b | Amend Articles Re: Number of Independent Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 9,200,000 | 9,200,000 | |||||
Total: | 9,200,000 | 9,200,000 | |||||
China Petroleum & Chemical Corp. | Shares Voted | 3,570,000 | Cusip/Sedol | 6291819 | Ticker | 386 HK | |
Meeting Date | 9/19/2005 | Shares | 3,570,000 | Meeting Type | EGM | Record Date | 8/26/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
1 | Approve Issue of Short-Term Commercial Paper of a Total Principal Amount of Up to 10 Percent of Net Assets Value and Maximum Amount Approved by the Peoples Bank of China and Authorize Board to Determine Matters in Relation to Such Issuance | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,570,000 | 3,570,000 | |||||
Total: | 3,570,000 | 3,570,000 | |||||
CHINA SHIPPING CONTAINER LINES CO LTD | Shares Voted | 2,621,000 | Cusip/Sedol | B018L76 | Ticker | 2866 HK | |
Meeting Date | 10/12/2005 | Shares | 2,621,000 | Meeting Type | EGM | Record Date | 9/9/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Change in Use of Listing Proceeds | Mgmt | For | For | |||
2 | Elect Xu Hui as Non-Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3 | Elect Tu Shiming as Supervisor and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
4 | Approve H Share Appreciation Rights Scheme | Mgmt | For | For | |||
5 | Approve Supplemental Service Agreements Between the Company and Each of its Non-Executive Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,621,000 | 2,621,000 | |||||
Total: | 2,621,000 | 2,621,000 | |||||
Skyworth Digital Holdings Ltd | Shares Voted | 8,619,550 | Cusip/Sedol | 6228828 | Ticker | 751 HK | |
Meeting Date | 10/12/2005 | Shares | 8,619,550 | Meeting Type | AGM | Record Date | 10/3/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Reelect Wang Dianfu as Executive Director | Mgmt | For | For | |||
3b | Reelect Zhang Xuebin as Executive Director | Mgmt | For | For | |||
3c | Reelect Leung Chi Ching, Frederick as Executive Director | Mgmt | For | For | |||
3d | Reelect Wong Wang Sang, Stephen as Non-Executive Director | Mgmt | For | Against | |||
4 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5b | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
6 | Amend Bylaws Re: Appointment and Reelection of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 8,619,550 | 8,619,550 | |||||
Total: | 8,619,550 | 8,619,550 | |||||
China Telecom Corporation Ltd | Shares Voted | 9,200,000 | Cusip/Sedol | 6559335 | Ticker | 728 HK | |
Meeting Date | 10/18/2005 | Shares | 9,200,000 | Meeting Type | EGM | Record Date | 9/16/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
1 | Authorize Issue of Short Term Commercial Paper in One or More Tranches with a Maximum Outstanding Repayment Amount of RMB30 Billion and the First Tranche of Issue Expected Not to Exceed RMB10 Billion | Mgmt | For | For | |||
2 | Authorize Board to Determine Specific Terms, Conditions and Other Matters Relating to the Issuance of the Short Term Commercial Paper and Do Acts and Take Steps Necessary for the Issuance of the Short Term Commercial Paper | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 9,200,000 | 9,200,000 | |||||
Total: | 9,200,000 | 9,200,000 | |||||
Hopewell Holdings Ltd. | Shares Voted | 200,000 | Cusip/Sedol | 6140290 | Ticker | 54 HK | |
Meeting Date | 10/19/2005 | Shares | 200,000 | Meeting Type | AGM | Record Date | 10/10/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Reelect Josiah Chin Lai KWOK as Director | Mgmt | For | For | |||
3b | Reelect Guy Man Guy WU as Director | Mgmt | For | For | |||
3c | Reelect Lady Ivy Sau Ping KWOK WU as Director | Mgmt | For | For | |||
3d | Reelect Linda Lai Chuen LOKE as Director | Mgmt | For | For | |||
3e | Reelect Colin Henry WEIR as Director | Mgmt | For | For | |||
3f | Reelect Barry Chung Tat MOK as Director | Mgmt | For | For | |||
3g | Approve Remuneration of Directors | Mgmt | For | For | |||
4 | Reappoint Deloitte Touche Tohmatsu as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
5b | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
6 | Amend Articles Re: Appointment and Retirement by Rotation of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 200,000 | 200,000 | |||||
Total: | 200,000 | 200,000 | |||||
Victory City International Holdings Ltd | Shares Voted | 5,354,109 | Cusip/Sedol | 6179614 | Ticker | 539 HK | |
Meeting Date | 10/20/2005 | Shares | 5,354,109 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Continuing Connected Transactions and Annual Caps | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,354,109 | 5,354,109 | |||||
Total: | 5,354,109 | 5,354,109 | |||||
Global Bio-Chem Technology Group Co. Ltd. | Shares Voted | 2,700,000 | Cusip/Sedol | 6336527 | Ticker | 809 HK | |
Meeting Date | 10/24/2005 | Shares | 2,700,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Establishment of Global Corn Chemical Investment Ltd. (New SPV) and Changchun Dacheng Bio-Chemical Devt. Co., Ltd. and All Related Transactions Including the Grant of a Call Option for the Purchase of 3,025 Shares in the New SPV | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,700,000 | 2,700,000 | |||||
Total: | 2,700,000 | 2,700,000 | |||||
Denway Motors Ltd. (formerly Denway Investment) | Shares Voted | 9,314,000 | Cusip/Sedol | 6263766 | Ticker | 203 HK | |
Meeting Date | 11/2/2005 | Shares | 9,314,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Acquisition by the Company of the Entire Issued Capital of Steed Full Devt. Ltd. and the Outstanding Shareholder's Loan in the Sum of HK$512.0 Million from Yue Lung Enterprise Ltd. at a Total Consideration of HK$710.0 Million (Agreement) | Mgmt | For | For | |||
2 | Authorize Board to Do Such Acts Considered to be Necessary in Order to Give Effect to the Agreement | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 9,314,000 | 9,314,000 | |||||
Total: | 9,314,000 | 9,314,000 | |||||
Petrochina Company Limited | Shares Voted | 8,256,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 11/8/2005 | Shares | 8,256,000 | Meeting Type | EGM | Record Date | 10/10/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Elect Su Shulin as Director | Mgmt | For | For | |||
2 | Elect Gong Huazhang as Director | Mgmt | For | For | |||
3 | Elect Wang Yilin as Director | Mgmt | For | For | |||
4 | Elect Zeng Yukang as Director | Mgmt | For | For | |||
5 | Elect Jiang Fan as Director | Mgmt | For | For | |||
6 | Elect Chee-Chen Tung as Independent Director | Mgmt | For | For | |||
7 | Elect Liu Hongru as Independent Director | Mgmt | For | For | |||
8 | Elect Wang Fucheng as Supervisor | Mgmt | For | For | |||
9 | Elect Wen Qingshan as Supervisor | Mgmt | For | For | |||
10 | Elect Li Yongwu as Independent Supervisor | Mgmt | For | For | |||
11 | Elect Wu Zhipan as Independent Supervisor | Mgmt | For | For | |||
12 | Approve Second Supplemental Comprehensive Agreement | Mgmt | For | For | |||
13 | Approve CRMSC Products and Services Agreement | Mgmt | For | For | |||
14 | Approve Ongoing Connected Transactions | Mgmt | For | For | |||
15 | Approve Annual Caps of the Ongoing Connected Transactions Except the Annual Limit in Respect of the Products and Services to be Provided to China Railway Materials and Suppliers Corp. (CRMSC) Under the CRMSC Products and Services Agreement | Mgmt | For | For | |||
16 | Approve Annual Caps in Respect of the Products and Services to be Provided to CRMSC Under the CRMSC Products and Services Agreement | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 8,256,000 | 8,256,000 | |||||
Total: | 8,256,000 | 8,256,000 | |||||
Sinopec Zhenhai Refining & Chemical Co Ltd (formerly Zhenhai | Shares Voted | 3,326,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 11/11/2005 | Shares | 3,326,000 | Meeting Type | EGM | Record Date | 10/12/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Continuing Connected Transactions and Annual Caps | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,326,000 | 3,326,000 | |||||
Total: | 3,326,000 | 3,326,000 | |||||
EganaGoldpfeil (Holdings) Ltd | Shares Voted | 2,322,000 | Cusip/Sedol | 6541923 | Ticker | 48 HK | |
Meeting Date | 11/17/2005 | Shares | 2,322,000 | Meeting Type | AGM | Record Date | 11/11/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a1 | Reelect Peter Ka Yue LEE as Director | Mgmt | For | For | |||
3a2 | Reelect Michael Richard POIX as Director | Mgmt | For | For | |||
3b | Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | |||
4 | Appoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5b | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
6 | Amend Articles Re: Voting by Poll, Appointment, Reelection and Retirement by Rotation of Directors | Mgmt | For | For | |||
7 | Approve Adoption of Chinese Name of the Company | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,322,000 | 2,322,000 | |||||
Total: | 2,322,000 | 2,322,000 | |||||
Datang International Power Generation Co. Ltd | Shares Voted | 2,000,000 | Cusip/Sedol | 6080716 | Ticker | 991 HK | |
Meeting Date | 11/28/2005 | Shares | 2,000,000 | Meeting Type | EGM | Record Date | 10/28/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Investment Plans of the Company | Mgmt | For | For | |||
2 | Elect Fang Qinghai as Non-Executive Director | Mgmt | For | For | |||
3 | Approve Accounting Treatments of Monetizing the Company's Internal Staff Quarter Allocation | Mgmt | For | For | |||
Special Business | |||||||
1 | Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,000,000 | 2,000,000 | |||||
Total: | 2,000,000 | 2,000,000 | |||||
Esprit Holdings | Shares Voted | 1,026,071 | Cusip/Sedol | 6321642 | Ticker | 330 HK | |
Meeting Date | 12/2/2005 | Shares | 1,026,071 | Meeting Type | AGM | Record Date | 11/29/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.66 Per Share | Mgmt | For | For | |||
3 | Approve Special Dividend of HK$0.84 Per Share | Mgmt | For | For | |||
4a | Reelect Michael Ying Lee Yuen as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
4b | Reelect Thomas Johannes Grote as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
4c | Reelect Raymond Or Ching Fai as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
5 | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6 | Approve Repurchase of Up to 10 Percent of Issued Capital | Mgmt | For | For | |||
7 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
8 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
9 | Approve Issuance of Shares Pursuant to the 2001 Share Option Scheme | Mgmt | For | For | |||
10 | Amend Bylaws Re: Voting By Poll and Appointment and Retirement by Rotation of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 1,026,071 | 1,026,071 | |||||
Total: | 1,026,071 | 1,026,071 | |||||
Cosco Pacific Limited | Shares Voted | 1,531,000 | Cusip/Sedol | 6354251 | Ticker | 1199 HK | |
Meeting Date | 12/5/2005 | Shares | 1,531,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Amend Share Option Plan | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 1,531,000 | 1,531,000 | |||||
Total: | 1,531,000 | 1,531,000 | |||||
Hongkong Electric Holdings Ltd. | Shares Voted | 299,000 | Cusip/Sedol | 6435327 | Ticker | 6 HK | |
Meeting Date | 12/13/2005 | Shares | 299,000 | Meeting Type | EGM | Record Date | 12/7/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Disposal by the Company of Interests in CKI/HEI Electricity Distribution Hldgs. (Australia) Pty. Ltd. and ETSA Utilities and All Related Transactions | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 299,000 | 299,000 | |||||
Total: | 299,000 | 299,000 | |||||
GOME ELECTRICAL APPLIANCES HOLDINGS LTD (formerly CHINA EAGL | Shares Voted | 300,000 | Cusip/Sedol | B01Z8S7 | Ticker | 493 HK | |
Meeting Date | 12/15/2005 | Shares | 300,000 | Meeting Type | EGM | Record Date | 12/13/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Sale of the Entire Issued Share Capital of and Outstanding Debts Due from Each of Artway Devt. Ltd. and Bestly Legend Ltd. | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 300,000 | 300,000 | |||||
Total: | 300,000 | 300,000 | |||||
China Southern Airlines Co. Ltd | Shares Voted | 2,140,000 | Cusip/Sedol | 6013693 | Ticker | 1055 HK | |
Meeting Date | 12/16/2005 | Shares | 2,140,000 | Meeting Type | EGM | Record Date | 11/16/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Aircraft Acquisition Agreement Between The Boeing Co. and Xiamen Airlines Co. Ltd. in Relation to the Acquisition of Three Boeing B787 Aircrafts | Mgmt | For | For | |||
2 | Approve Aircraft Acquisition Agreement Between The Boeing Co. and the Company in Relation to the Acquisition of 10 Boeing B787 Aircrafts | Mgmt | For | For | |||
3 | Approve Aircraft Acquisition Agreement Between Airbus SNC and the Company in Relation to the Acquisition of 10 Airbus A330 Aircrafts | Mgmt | For | For | |||
4 | Approve Removal of Peng An Fa as Director | Mgmt | For | For | |||
5 | Approve Retirement of Zhou Yong Jin as Director | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,140,000 | 2,140,000 | |||||
Total: | 2,140,000 | 2,140,000 | |||||
China Southern Airlines Co. Ltd | Shares Voted | 2,140,000 | Cusip/Sedol | 6013693 | Ticker | 1055 HK | |
Meeting Date | 12/16/2005 | Shares | 2,140,000 | Meeting Type | EGM | Record Date | 11/16/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Ordinary Business | |||||||
1 | Approve the Retirement of Liu Ming Qi as Director | Mgmt | For | For | |||
2 | Approve the Retirement of Wu Rong Nan as Director | Mgmt | For | For | |||
3 | Approve the Resignation of Simon To as Independent Non-Executive Director | Mgmt | For | For | |||
Special Business | |||||||
1 | Amend Articles Re: Composition of Board of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,140,000 | 2,140,000 | |||||
Total: | 2,140,000 | 2,140,000 | |||||
Dongfang Electrical Machinery Company Ltd | Shares Voted | 2,114,000 | Cusip/Sedol | 6278566 | Ticker | N/A | |
Meeting Date | 12/22/2005 | Shares | 2,114,000 | Meeting Type | EGM | Record Date | 11/21/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Connected Transactions and Proposed Cap | Mgmt | For | Against | |||
2a | Appoint ShineWing (HK) CPA Ltd. as International Auditors | Mgmt | For | Abstain | |||
2b | Appoint Deloitte Touche Tohmatsu as Domestic Auditors | Mgmt | For | For | |||
3a | Elect Liu Shigang as Director | Mgmt | For | For | |||
3b | Elect Zhu Yuanchao as Director | Mgmt | For | For | |||
3c | Elect Li Hongdong as Director | Mgmt | For | For | |||
3d | Elect Gong Dan as Director | Mgmt | For | For | |||
3e | Elect Han Zhiqiao as Director | Mgmt | For | For | |||
3f | Elect Fu Haibo as Director | Mgmt | For | For | |||
3g | Elect Chen Zhangwu as Director | Mgmt | For | For | |||
3h | Elect Zheng Peimin as Director | Mgmt | For | For | |||
3i | Elect Xie Songlin as Director | Mgmt | For | For | |||
4a | Elect Fang Yunfu as Supervisor | Mgmt | For | For | |||
4b | Elect Wen Bingyou as Supervisor | Mgmt | For | For | |||
5 | Fix the Remuneration of Directors | Mgmt | For | For | |||
6 | Fix the Remuneration of Supervisors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,114,000 | 2,114,000 | |||||
Total: | 2,114,000 | 2,114,000 | |||||
Sinopec Shanghai Petrochemical Co. (formerly Shanghai Petroc | Shares Voted | 4,204,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 12/30/2005 | Shares | 4,204,000 | Meeting Type | EGM | Record Date | 11/25/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Revised Annual Caps of Connected Transactions | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,204,000 | 4,204,000 | |||||
Total: | 4,204,000 | 4,204,000 | |||||
CNOOC LTD | Shares Voted | 10,957,000 | Cusip/Sedol | B00G0S5 | Ticker | 883 HK | |
Meeting Date | 12/31/2005 | Shares | 10,957,000 | Meeting Type | EGM | Record Date | 12/23/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1a | Reelect Fu Chengyu as Executive Director | Mgmt | For | For | |||
1b | Reelect Wu Guangqi as Executive Director | Mgmt | For | For | |||
1c | Reelect Tse Hau Yin, Aloysius as Independent Non-Executive Director | Mgmt | For | For | |||
1d | Authorize Board to Fix the Remuneration of Directors Subject to a Limit of HK$20 Million | Mgmt | For | For | |||
2 | Amend Articles Re: Remuneration of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 10,957,000 | 10,957,000 | |||||
Total: | 10,957,000 | 10,957,000 | |||||
CNOOC LTD | Shares Voted | 10,957,000 | Cusip/Sedol | B00G0S5 | Ticker | 883 HK | |
Meeting Date | 12/31/2005 | Shares | 10,957,000 | Meeting Type | EGM | Record Date | 12/23/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Supplemental Agreement in Relation to Certain Amendements to Existing Non-Compete Undertaking | Mgmt | For | Against | |||
2 | Approve Revised Annual Caps | Mgmt | For | For | |||
3 | Approve Non-Exempt Continuing Connected Transactions | Mgmt | For | For | |||
4 | Approve Proposed Annual Caps | Mgmt | For | For | |||
5 | Approve Termination of Existing Share Option Scheme and Adoption of New Share Option Scheme | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 10,957,000 | 10,957,000 | |||||
Total: | 10,957,000 | 10,957,000 | |||||
Sinopec Shanghai Petrochemical Co. (formerly Shanghai Petroc | Shares Voted | 4,204,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 1/24/2006 | Shares | 4,204,000 | Meeting Type | EGM | Record Date | 12/23/2005 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
1 | Approve Issuance of Short-Term Commercial Papers with a Maximum Aggregate Principal Amount of RMB 2.0 Billion or Any Such Amount as Approved by the People's Bank of China | Mgmt | For | For | |||
2 | Authorize Board or Any Two or More Directors to Determine the Terms and Conditions and Any Relevant Matters in Relation to the Issue of Short-Term Commercial Papers | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,204,000 | 4,204,000 | |||||
Total: | 4,204,000 | 4,204,000 | |||||
China Merchants Holdings (International) Co. Ltd. | Shares Voted | 1,314,983 | Cusip/Sedol | 6416139 | Ticker | 144 HK | |
Meeting Date | 1/25/2006 | Shares | 1,314,983 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Acquisition by the Company from Super Talent Group Ltd. of the Entire Issued Capital of Treasure Group Investments Ltd. and All Shareholder Loans; and Issue of Consideration Shares | Mgmt | For | For | |||
2 | Approve Increase in Authorized Capital from HK$300.0 Million to HK$500.0 Million by the Addition of HK$200.0 Million Divided into 2.0 Billion Shares of HK$0.10 Each | Mgmt | For | Against | |||
3 | Approve Connected Transactions | Mgmt | For | Abstain | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 1,314,983 | 1,314,983 | |||||
Total: | 1,314,983 | 1,314,983 | |||||
Swire Pacific Limited | Shares Voted | 497,500 | Cusip/Sedol | 6867748 | Ticker | 19 HK | |
Meeting Date | 3/1/2006 | Shares | 497,500 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Acquisition by Swire Properties Ltd. of One Ordinary Share in the Issued Capital of Supreme Luck Investments Ltd. and the Relevant Shareholder's Loan | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 497,500 | 497,500 | |||||
Total: | 497,500 | 497,500 | |||||
Denway Motors Ltd. (formerly Denway Investment) | Shares Voted | 9,314,000 | Cusip/Sedol | 6263766 | Ticker | 203 HK | |
Meeting Date | 3/23/2006 | Shares | 9,314,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Disposal of a 50 Percent Equity Interest in Guangzhou Denway Bus Co. Ltd. to China Lounge Investments Ltd. at a Consideration of HK$18.9 Million | Mgmt | For | For | |||
2 | Authorize Board to Do All Acts and Things Necessary to Give Effect to the Disposal | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 9,314,000 | 9,314,000 | |||||
Total: | 9,314,000 | 9,314,000 | |||||
Yanzhou Coal Mining Company Limited | Shares Voted | 5,155,200 | Cusip/Sedol | 6109893 | Ticker | 1171 HK | |
Meeting Date | 3/24/2006 | Shares | 5,155,200 | Meeting Type | EGM | Record Date | 2/22/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Provision of Materials and Water Supply Agreement and Annual Caps | Mgmt | For | For | |||
2 | Approve Provision of Labour and Services Agreement and Annual Caps | Mgmt | For | For | |||
3 | Approve Provision of Electricity Agreement and Annual Caps | Mgmt | For | For | |||
4 | Approve Provision of Equipment Maintenance and Repair Works Agreement and Annual Caps | Mgmt | For | For | |||
5 | Approve Provision of Products and Materials Agreement and Annual Caps | Mgmt | For | For | |||
6 | Approve Amendment to The Procedural Rules of the Supervisory Committee | Mgmt | For | For | |||
7 | Amend Articles Re: Voting on Connected Transactions | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,155,200 | 5,155,200 | |||||
Total: | 5,155,200 | 5,155,200 | |||||
CHINA SHIPPING CONTAINER LINES CO LTD | Shares Voted | 2,621,000 | Cusip/Sedol | B018L76 | Ticker | 2866 HK | |
Meeting Date | 3/31/2006 | Shares | 2,621,000 | Meeting Type | EGM | Record Date | 3/1/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Connected Transactions and Annual Caps | Mgmt | For | For | |||
2 | Amend Articles Re: Board Composition | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,621,000 | 2,621,000 | |||||
Total: | 2,621,000 | 2,621,000 | |||||
Midland Holdings Ltd (formerly Midland Realty Holdings Ltd) | Shares Voted | 3,600,000 | Cusip/Sedol | 6597700 | Ticker | 1200 HK | |
Meeting Date | 4/20/2006 | Shares | 3,600,000 | Meeting Type | AGM | Record Date | 4/11/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.016 Per Share | Mgmt | For | For | |||
3 | Reelect Directors and Fix Their Remuneration | Mgmt | For | For | |||
4 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Fix Maximum Number of Directors at Nine and Authorize Board to Appoint Directors up to such Maximun Number | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
8 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,600,000 | 3,600,000 | |||||
Total: | 3,600,000 | 3,600,000 | |||||
Clp Holdings (Formerly China Light & Power) | Shares Voted | 431,000 | Cusip/Sedol | 6097017 | Ticker | 2 HK | |
Meeting Date | 4/25/2006 | Shares | 431,000 | Meeting Type | AGM | Record Date | 4/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2a | Approve Final Dividend of HK$0.83 Per Share | Mgmt | For | For | |||
2b | Approve Special Final Dividend of HK$0.11 Per Share | Mgmt | For | For | |||
3a | Elect Tsui Lam Sin Lai Judy as Director | Mgmt | For | For | |||
3b | Elect Roderick Ian Eddington as Director | Mgmt | For | For | |||
3c | Reelect Tan Puay Chiang as Director | Mgmt | For | For | |||
3d | Reelect Ronald James McAulay as Director | Mgmt | For | For | |||
3e | Reelect Fung Kwok Lun William as Director | Mgmt | For | For | |||
3f | Reelect Ian Duncan Boyce as Director | Mgmt | For | For | |||
3g | Reelect James Seymour Dickson Leach as Director | Mgmt | For | For | |||
3h | Reelect Lee Yui Bor as Director | Mgmt | For | For | |||
4 | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Amend Articles Re: Conduct of Meetings | Mgmt | For | For | |||
6 | Approve Remuneration of Chairmen and Members of the Social, Environmental & Ethics Committee and China Committee | Mgmt | For | For | |||
7 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | For | |||
8 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
9 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 431,000 | 431,000 | |||||
Total: | 431,000 | 431,000 | |||||
Wing Hang Bank Ltd | Shares Voted | 145,400 | Cusip/Sedol | 6972374 | Ticker | 302 HK | |
Meeting Date | 4/27/2006 | Shares | 145,400 | Meeting Type | AGM | Record Date | 4/21/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Reelect Ambrose H C Lau as Director | Mgmt | For | For | |||
3b | Reelect Frank J Wang as Director | Mgmt | For | For | |||
3c | Reelect Michael Y S Fung as Director | Mgmt | For | For | |||
4 | Authorize Board to Fix Remuneration of Directors | Mgmt | For | For | |||
5 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
8 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 145,400 | 145,400 | |||||
Total: | 145,400 | 145,400 | |||||
SOLOMON SYSTECH INTERNATIONAL LTD | Shares Voted | 7,816,000 | Cusip/Sedol | B00G568 | Ticker | 2878 HK | |
Meeting Date | 4/27/2006 | Shares | 7,816,000 | Meeting Type | AGM | Record Date | 4/20/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.15 Per Share | Mgmt | For | For | |||
3a | Reelect Lai Woon Ching as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3b | Reelect Lo Wai Ming as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3c | Reelect Lam Pak Lee as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
4 | Approve PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
5b | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
6 | Amend Articles Re: Voting at Meetings & Retirement of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 7,816,000 | 7,816,000 | |||||
Total: | 7,816,000 | 7,816,000 | |||||
Tianjin Development Holdings Ltd | Shares Voted | 3,724,000 | Cusip/Sedol | 6092357 | Ticker | N/A | |
Meeting Date | 5/8/2006 | Shares | 3,724,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Sale and Purchase Agreements Relating to the Acquisition of Land Use Rights, Berths, Railways, and Warehouses Located at the Port of Tianjin and Certain Equipment Including Two Portainers and 1 Transtainer, and All Related Transactions | Mgmt | For | For | |||
2 | Approve Spin-Off of Tianjin Port Container Terminal Co., Ltd. and Tianjin Harbour Second Stevedoring Co., Ltd., Separate Listing of Tianjin Port Devt. Hldgs. Ltd., and Reorganization of the Company in Preparation for the Separate Listing | Mgmt | For | For | |||
3 | Approve Share Option Scheme of Tianjin Port Devt. Hldgs. Ltd. | Mgmt | For | For | |||
4 | Reelect Zhang Wenli as Executive Director | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,724,000 | 3,724,000 | |||||
Total: | 3,724,000 | 3,724,000 | |||||
ALUMINUM CORPORATION OF CHINA LTD | Shares Voted | 4,000,000 | Cusip/Sedol | 6425395 | Ticker | 2600 HK | |
Meeting Date | 5/10/2006 | Shares | 4,000,000 | Meeting Type | AGM | Record Date | 4/10/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Final Dividend and Profit Distribution Plan | Mgmt | For | For | |||
5 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
6 | Approve PricewaterhouseCoopers, Hong Kong CPAs and PricewaterhouseCoopers Zhong Tian CPAs Ltd. Co. as International and PRC Auditors, Respectively, and Authorize Audit Committee to Fix Their Remuneration | Mgmt | For | For | |||
7 | Other Business (Voting) | Mgmt | For | For | |||
8 | Authorize Issuance of Short-Term Bonds with a Principal Amount of Up to RMB 5.0 Billion | Mgmt | For | For | |||
9 | Approve Extension of Validity Period for Implementation of Resolution in Relation to the A Share Issue Passed at the AGM Held on June 9, 2005 | Mgmt | For | For | |||
10 | Amend Articles Re: Issue of A Shares | Mgmt | For | For | |||
11 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,000,000 | 4,000,000 | |||||
Total: | 4,000,000 | 4,000,000 | |||||
Swire Pacific Limited | Shares Voted | 249,500 | Cusip/Sedol | 6867748 | Ticker | 19 HK | |
Meeting Date | 5/11/2006 | Shares | 249,500 | Meeting Type | AGM | Record Date | 5/8/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Final Dividend | Mgmt | For | For | |||
2a | Reelect D Ho as Director | Mgmt | For | For | |||
2b | Reelect J W J Hughes-Hallett as Director | Mgmt | For | For | |||
2c | Reelect K G Kerr as Director | Mgmt | For | For | |||
2d | Reelect C K M Kwok as Director | Mgmt | For | For | |||
2e | Reelect M M T Yang as Director | Mgmt | For | For | |||
2f | Elect P N L Chen as Director | Mgmt | For | For | |||
2g | Elect C D Pratt as Director | Mgmt | For | For | |||
3 | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
4 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
5 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 249,500 | 249,500 | |||||
Total: | 249,500 | 249,500 | |||||
GUANGZHOU R&F PROPERTIES CO., LTD | Shares Voted | 410,000 | Cusip/Sedol | B0C9GY0 | Ticker | 2777 HK | |
Meeting Date | 5/16/2006 | Shares | 410,000 | Meeting Type | AGM | Record Date | 4/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Final Dividend of RMB 0.66 Per Share | Mgmt | For | For | |||
5 | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6 | Authorize Board to Decide on Matters Relating to the Payment of Interim Dividend for the Six Months Ended 30 June 2006 | Mgmt | For | For | |||
7a | Reelect Li Sze Lim as Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
7b | Reelect Zhang Li as Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
7c | Reelect Zhou Yaonan as Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
7d | Reelect Lu Jing as Executive Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
8 | Reelect Feng Xiangyang as Supervisor and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
9 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
10 | Approve Issuance of Notes in an Amount Not Exceeding RMB 2.0 Billion | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 410,000 | 410,000 | |||||
Total: | 410,000 | 410,000 | |||||
China Mobile (Hong Kong) Limited | Shares Voted | 1,335,000 | Cusip/Sedol | 6073556 | Ticker | 941 HK | |
Meeting Date | 5/18/2006 | Shares | 1,335,000 | Meeting Type | AGM | Record Date | 5/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$ 0.57 Per Share | Mgmt | For | For | |||
3a | Reelect Lu Xiangdong as Director | Mgmt | For | For | |||
3b | Reelect Xue Taohai as Director | Mgmt | For | For | |||
3c | Reelect Sha Yuejia as Director | Mgmt | For | For | |||
3d | Reelect Liu Aili as Director | Mgmt | For | For | |||
3e | Reelect Xin Fanfei as Director | Mgmt | For | For | |||
3f | Reelect Xu Long as Director | Mgmt | For | For | |||
3g | Reelect Lo Ka Shui as Director | Mgmt | For | For | |||
3h | Reelect Moses Cheng Mo Chi as Director | Mgmt | For | For | |||
4 | Reappoint KPMG as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
8 | Change Company Name from China Mobile (Hong Kong) Limited to China Mobile Limited | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 1,335,000 | 1,335,000 | |||||
Total: | 1,335,000 | 1,335,000 | |||||
Kingboard Chemical Holdings Ltd | Shares Voted | 950,000 | Cusip/Sedol | 6491318 | Ticker | 148 HK | |
Meeting Date | 5/18/2006 | Shares | 950,000 | Meeting Type | AGM | Record Date | 5/11/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Reelect Cheung Kwok Wing as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3b | Reelect Chan Wing Kwan as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3c | Reelect Cheung Kwok Ping as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3d | Reelect Cheung Kwok Keung as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3e | Reelect Chang Wing Yiu as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
3f | Reelect Henry Tan as Director and Authorize Board to Fix His Remuneration | Mgmt | For | For | |||
4 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5b | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 950,000 | 950,000 | |||||
Total: | 950,000 | 950,000 | |||||
Cosco Pacific Limited | Shares Voted | 925,000 | Cusip/Sedol | 6354251 | Ticker | 1199 HK | |
Meeting Date | 5/18/2006 | Shares | 925,000 | Meeting Type | AGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a1 | Reelect WEI Jiafu as Director | Mgmt | For | For | |||
3a2 | Reelect CHEN Hongsheng as Director | Mgmt | For | For | |||
3a3 | Reelect SUN Jiakang as Director | Mgmt | For | For | |||
3a4 | Reelect WANG Zhi as Director | Mgmt | For | For | |||
3a5 | Reelect QIN Fuyan as Director | Mgmt | For | For | |||
3a6 | Reelect CHOW Kwong Fai, Edward as Director | Mgmt | For | For | |||
3a7 | Reelect Timothy George FRESHWATER as Director | Mgmt | For | For | |||
3b | Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | |||
4 | Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5b | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
6 | Amend Bylaws Re: Appointment of Director | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 925,000 | 925,000 | |||||
Total: | 925,000 | 925,000 | |||||
Dah Sing Financial Holdings Ltd. | Shares Voted | 253,850 | Cusip/Sedol | 6249799 | Ticker | N/A | |
Meeting Date | 5/19/2006 | Shares | 253,850 | Meeting Type | AGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Elect Chung-Kai Chow as Director | Mgmt | For | For | |||
3b | Elect Robert Tsai-To Sze as Director | Mgmt | For | For | |||
3c | Elect John Wai-Wai Chow as Director | Mgmt | For | For | |||
3d | Elect Yiu-Ming Ng as Director | Mgmt | For | For | |||
4 | Approve Remuneration of Directors | Mgmt | For | For | |||
5 | Appoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
8 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 253,850 | 253,850 | |||||
Total: | 253,850 | 253,850 | |||||
Techtronic Industries | Shares Voted | 2,110,000 | Cusip/Sedol | B0190C7 | Ticker | 669 HK | |
Meeting Date | 5/22/2006 | Shares | 2,110,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend of HK$0.126 Per Share | Mgmt | For | For | |||
3 | Reelect Patrick Kin Wah Chan, Frank Chi Chung Chan, and Joel Arthur Schleicher as Directors and Fix Their Remuneration | Mgmt | For | For | |||
4 | Approve Auditors and Fix Their Remuneration | Mgmt | For | For | |||
5 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | For | |||
6 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
7 | Authorize Reissuance of Repurchased Shares | Mgmt | For | For | |||
8 | Amend Articles Re: Voting by Poll, Removal, and Retirement by Rotation of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,110,000 | 2,110,000 | |||||
Total: | 2,110,000 | 2,110,000 | |||||
China Petroleum & Chemical Corp. | Shares Voted | 5,570,000 | Cusip/Sedol | 6291819 | Ticker | 386 HK | |
Meeting Date | 5/24/2006 | Shares | 5,570,000 | Meeting Type | AGM | Record Date | 4/24/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept the Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept the Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Profit Appropriation and Final Dividend | Mgmt | For | For | |||
5 | Approve PRC and International Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6a | Elect Chen Tonghai as Director | Mgmt | For | For | |||
6b | Elect Zhou Yuan as Director | Mgmt | For | For | |||
6c | Elect Wang Tianpu as Director | Mgmt | For | For | |||
6d | Elect Zhang Jianhua as Director | Mgmt | For | For | |||
6e | Elect Wang Zhigang as Director | Mgmt | For | For | |||
6f | Elect Dai Houliang as Director | Mgmt | For | For | |||
6g | Elect Fan Yifei as Director | Mgmt | For | For | |||
6h | Elect Yao Zhongmin as Director | Mgmt | For | For | |||
6i | Elect Shi Wanpeng as Independent Non-Executive Director | Mgmt | For | For | |||
6j | Elect Liu Zhongli as Independent Non-Executive Director | Mgmt | For | For | |||
6k | Elect Li Deshui as Independent Non-Executive Director | Mgmt | For | For | |||
7a | Elect Wang Zuoran as Supervisor | Mgmt | For | For | |||
7b | Elect Zhang Youcai as Supervisor | Mgmt | For | For | |||
7c | Elect Kang Xianzhang as Supervisor | Mgmt | For | For | |||
7d | Elect Zou Huiping as Supervisor | Mgmt | For | For | |||
7e | Elect Li Yonggui as Supervisor | Mgmt | For | For | |||
8 | Approve the Service Contracts Between Sinopec Corp. and Directors and Supervisors | Mgmt | For | For | |||
9 | Approve Connected Transactions and Annual Caps | Mgmt | For | For | |||
10 | Authorize Issue of Commercial Paper with a Maximum Amount Not Exceeding 10 Percent of the Latest Audited Amount of the Net Assets | Mgmt | For | For | |||
11 | Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,570,000 | 5,570,000 | |||||
Total: | 5,570,000 | 5,570,000 | |||||
CNOOC LTD | Shares Voted | 10,957,000 | Cusip/Sedol | B00G0S5 | Ticker | 883 HK | |
Meeting Date | 5/24/2006 | Shares | 10,957,000 | Meeting Type | AGM | Record Date | 5/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Ordinary Business | |||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Reelect Zhou Shouwei as Director | Mgmt | For | For | |||
3b | Reelect Evert Henkes as Director | Mgmt | For | For | |||
3c | Reelect Cao Xinghe as Director | Mgmt | For | For | |||
3d | Reelect Wu Zhenfang as Director | Mgmt | For | For | |||
3e | Reelect Yang Hua as Director | Mgmt | For | For | |||
3f | Reelect Lawrence J. Lau as Director | Mgmt | For | For | |||
3g | Elect Edgar W.K. Cheng as Independent Director | Mgmt | For | For | |||
3h | Authorize Board to Fix the Remuneration of Directors | Mgmt | For | For | |||
4 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
Special Business | |||||||
1 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
2 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
3 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 10,957,000 | 10,957,000 | |||||
Total: | 10,957,000 | 10,957,000 | |||||
CNPC Hong Kong Ltd. | Shares Voted | 7,610,000 | Cusip/Sedol | 6340078 | Ticker | 135 HK | |
Meeting Date | 5/25/2006 | Shares | 7,610,000 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Dividend | Mgmt | For | For | |||
3a | Reelect Li Hualin as Director | Mgmt | For | For | |||
3b | Approve Remuneration of Directors | Mgmt | For | For | |||
4 | Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
8 | Amend Bylaws Re: Removal, Appointment, and Retirement by Rotation of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 7,610,000 | 7,610,000 | |||||
Total: | 7,610,000 | 7,610,000 | |||||
HSBC Holdings Plc | Shares Voted | 358,363 | Cusip/Sedol | 6158163 | Ticker | 5 HK | |
Meeting Date | 5/26/2006 | Shares | 358,363 | Meeting Type | AGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Remuneration Report | Mgmt | For | For | |||
3 (a) | Re-elect Baroness Lydia Dunn as Director | Mgmt | For | For | |||
3 (b) | Re-elect Michael Geoghegan as Director | Mgmt | For | For | |||
3 (c) | Re-elect Stephen Green as Director | Mgmt | For | For | |||
3 (d) | Re-elect Sir Mark Moody-Stuart as Director | Mgmt | For | For | |||
3 (e) | Elect Simon Robertson as Director | Mgmt | For | For | |||
3 (f) | Re-elect Helmut Sohmen as Director | Mgmt | For | For | |||
3 (g) | Re-elect Sir Brian Williamson as Director | Mgmt | For | For | |||
4 | Reappoint KPMG Audit plc as Auditors and Authorise the Audit Committee to Determine Their Remuneration | Mgmt | For | For | |||
5 | Authorise Issue of Equity or Equity-Linked Securities with Pre-emptive Rights up to Aggregate Nominal Amount of USD 1,137,200,000 | Mgmt | For | For | |||
6 | Authorise Issue of Equity or Equity-Linked Securities without Pre-emptive Rights up to Aggregate Nominal Amount of USD 284,300,000 | Mgmt | For | For | |||
7 | Authorise 10 Percent of Ordinary Shares for Market Purchase | Mgmt | For | For | |||
8 | Approve Increase in Remuneration of Non-Executive Directors to GBP 65,000 | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 358,363 | 358,363 | |||||
Total: | 358,363 | 358,363 | |||||
Petrochina Company Limited | Shares Voted | 8,256,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 5/26/2006 | Shares | 8,256,000 | Meeting Type | AGM | Record Date | 4/25/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Final Dividend | Mgmt | For | For | |||
5 | Authorize Board to Distribute Interim Dividend | Mgmt | For | For | |||
6 | Reappoint PricewaterhouseCoopers and PricewaterhouseCoopers Zhong Tian CPAs Company Limited as International and Domestic Auditors Respectively and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
7 | Reelect Zheng Hu as Director | Mgmt | For | For | |||
8 | Reelect Franco Bernabe as Independent Non-Executive Director | Mgmt | For | For | |||
9 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
10 | Other Business | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 8,256,000 | 8,256,000 | |||||
Total: | 8,256,000 | 8,256,000 | |||||
China Shipping Development Co.(Formerly Shanghai Hai Xing) | Shares Voted | 3,326,000 | Cusip/Sedol | 6782045 | Ticker | 1138 HK | |
Meeting Date | 5/26/2006 | Shares | 3,326,000 | Meeting Type | AGM | Record Date | 4/26/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Profit Distribution Plan | Mgmt | For | For | |||
5 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
6 | Reappoint Shanghai Zhonghua Huying CPA and Ernst & Young as Domestic adn International Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
7a | Reelect Li Shaode as Executive Director | Mgmt | For | For | |||
7b | Reelect Wang Daxiong as Executive Director | Mgmt | For | For | |||
7c | Reelect Mao Shijia as Executive Director | Mgmt | For | For | |||
7d | Reelect Wang Kunhe as Executive Director | Mgmt | For | For | |||
7e | Reelect Yao Zuozhi as Non-Executive Director | Mgmt | For | For | |||
7f | Reelect Hu Honggao as Independent Non-Executive Director | Mgmt | For | For | |||
7g | Reelect Xie Rong as Independent Non-Executive Director | Mgmt | For | For | |||
7h | Reelect Zhou Zhanqun as Independent Non-Executive Director | Mgmt | For | For | |||
7i | Elect Zhang Guofa as Executive Director | Mgmt | For | For | |||
7j | Reelect Kuo Laiqi as Supervisor | Mgmt | For | For | |||
7k | Elect Xu Hui as Supervisor | Mgmt | For | For | |||
7l | Elect Chen Xiuling as Supervisor | Mgmt | For | For | |||
8 | Amend Articles Re: Share Capital Structure | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,326,000 | 3,326,000 | |||||
Total: | 3,326,000 | 3,326,000 | |||||
Glorious Sun Enterprises | Shares Voted | 698,000 | Cusip/Sedol | 6361756 | Ticker | 393 HK | |
Meeting Date | 5/26/2006 | Shares | 698,000 | Meeting Type | AGM | Record Date | 5/22/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3 | Approve Special Dividend | Mgmt | For | For | |||
4a1 | Elect Chan Wing Kan, Archie as Director | Mgmt | For | For | |||
4a2 | Elect Teo Heng Kee, Peter as Director | Mgmt | For | For | |||
4a3 | Elect Yeung Chun Fan as Director | Mgmt | For | For | |||
4a4 | Elect Yeung Chun Ho as Director | Mgmt | For | For | |||
4a5 | Elect Hui Chung Shing, Herman as Director | Mgmt | For | For | |||
4a6 | Elect Wong Man Kong, Peter as Director | Mgmt | For | For | |||
4b | Authorize Board to Fix their Remuneration | Mgmt | For | For | |||
5 | Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6a | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
6b | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
6c | Authorize Reissuance of Repurchased Shares | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 698,000 | 698,000 | |||||
Total: | 698,000 | 698,000 | |||||
Tianjin Development Holdings Ltd | Shares Voted | 3,724,000 | Cusip/Sedol | 6092357 | Ticker | N/A | |
Meeting Date | 5/26/2006 | Shares | 3,724,000 | Meeting Type | AGM | Record Date | 5/19/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a1 | Reelect Yu Rumin as Director | Mgmt | For | For | |||
3a2 | Reelect Wang Jiandong as Director | Mgmt | For | For | |||
3a3 | Reelect Sun Zengyin as Director | Mgmt | For | For | |||
3a4 | Reelect Ye Disheng as Director | Mgmt | For | For | |||
3a5 | Reelect Cheung Wing Yui as Director | Mgmt | For | For | |||
3b | Authorize Board to Fix their Remuneration | Mgmt | For | For | |||
4 | Approve Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5a | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
5b | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
5c | Authorize Reissuance of Repurchased Shares | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,724,000 | 3,724,000 | |||||
Total: | 3,724,000 | 3,724,000 | |||||
Glorious Sun Enterprises | Shares Voted | 698,000 | Cusip/Sedol | 6361756 | Ticker | 393 HK | |
Meeting Date | 5/26/2006 | Shares | 698,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Acquisition of the Entire Issued Share Capital of Goldpromise Ltd. and Related Shareholders Loan from Charles Yeung and Yeung Chun Fan | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 698,000 | 698,000 | |||||
Total: | 698,000 | 698,000 | |||||
Wharf (Holdings) Ltd. | Shares Voted | 579,000 | Cusip/Sedol | 6435576 | Ticker | 4 HK | |
Meeting Date | 5/29/2006 | Shares | 579,000 | Meeting Type | AGM | Record Date | 5/19/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2 | Approve Final Dividend | Mgmt | For | For | |||
3a | Reelect Peter K.C. Woo as Director | Mgmt | For | For | |||
3b | Reelect Stephen T.H. Ng as Director | Mgmt | For | For | |||
3c | Reelect Doreen Y.F. Lee as Director | Mgmt | For | For | |||
3d | Reelect Hans Michael Jebsen as Director | Mgmt | For | For | |||
4 | Reappoint KPMG as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 579,000 | 579,000 | |||||
Total: | 579,000 | 579,000 | |||||
Denway Motors Ltd. (formerly Denway Investment) | Shares Voted | 9,314,000 | Cusip/Sedol | 6263766 | Ticker | 203 HK | |
Meeting Date | 6/6/2006 | Shares | 9,314,000 | Meeting Type | AGM | Record Date | 5/30/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
2a | Approve Final Dividend | Mgmt | For | For | |||
2b | Approve Special Dividend | Mgmt | For | For | |||
3a | Reelect LU Zhifeng as Director | Mgmt | For | For | |||
3b | Reelect YANG Dadong as Director | Mgmt | For | For | |||
3c | Reelect DING Baoshan as Director | Mgmt | For | For | |||
3d | Authorize Board to Fix Remuneration of Directors | Mgmt | For | For | |||
4 | Reappoint Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
5 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
7 | Authorize Reissuance of Repurchased Shares | Mgmt | For | Against | |||
8 | Amend Articles Re: Appointment of Directors | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 9,314,000 | 9,314,000 | |||||
Total: | 9,314,000 | 9,314,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 3,784,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 3,784,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Approve Agreement Between the Company and Liquidation Committee of Qingyuan City Yueqing Highway Construction and Devt. Co. Ltd. Relating to the Acquisition of a 20.09 Percent Interest in Guangdong Qinglian Highway Devt. Co. Ltd. | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,784,000 | 3,784,000 | |||||
Total: | 3,784,000 | 3,784,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 3,784,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 3,784,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Meeting For H Shareholders | |||||||
1 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,784,000 | 3,784,000 | |||||
Total: | 3,784,000 | 3,784,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 3,784,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 3,784,000 | Meeting Type | AGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Final Dividend and Profit Distribution Scheme | Mgmt | For | For | |||
5 | Approve Budget Plan for the Year 2006 | Mgmt | For | For | |||
6 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
7 | Reappoint PricewaterhouseCoopers as International Auditors and PricewaterhouseCoopers Zhong Tian CPAs Co., Ltd. as Statutory Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
8 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | |||
9 | Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,784,000 | 3,784,000 | |||||
Total: | 3,784,000 | 3,784,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 3,784,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 3,784,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Meeting For Domestic Shareholders | |||||||
1 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | Abstain | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 3,784,000 | 3,784,000 | |||||
Total: | 3,784,000 | 3,784,000 | |||||
Sinopec Shanghai Petrochemical Co. (formerly Shanghai Petroc | Shares Voted | 4,204,000 | Cusip/Sedol | 6797458 | Ticker | 338 HK | |
Meeting Date | 6/15/2006 | Shares | 4,204,000 | Meeting Type | AGM | Record Date | 5/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and 2006 Budget | Mgmt | For | For | |||
4 | Approve Profit Appropriation Plan | Mgmt | For | For | |||
5 | Reappoint KPMG Huazen and KPMG as Domestic and International Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
6a1 | Approve Resignation of Wu Haijun as Director | Mgmt | For | For | |||
6a2 | Approve Resignation of Gao Jinping as Director | Mgmt | For | For | |||
6b1 | Elect Li Honggen as Director | Mgmt | For | For | |||
6b2 | Elect Dai Jinbao as Director | Mgmt | For | For | |||
7 | Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,204,000 | 4,204,000 | |||||
Total: | 4,204,000 | 4,204,000 | |||||
Jiangxi Copper Company Ltd. | Shares Voted | 4,916,000 | Cusip/Sedol | 6000305 | Ticker | 358 HK | |
Meeting Date | 6/15/2006 | Shares | 4,916,000 | Meeting Type | AGM | Record Date | 5/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Auditors' Report | Mgmt | For | For | |||
4 | Approve Profit Distribution Proposal | Mgmt | For | For | |||
5a1 | Elect He Changming as Director | Mgmt | For | For | |||
5a2 | Elect Qi Huaiying as Director | Mgmt | For | For | |||
5a3 | Elect Li Yihuang as Director | Mgmt | For | For | |||
5a4 | Elect Wang Chiwei as Director | Mgmt | For | For | |||
5a5 | Elect Wu Jinxing as Director | Mgmt | For | For | |||
5a6 | Elect Gao Jianmin as Director | Mgmt | For | For | |||
5a7 | Elect Liang Qing as Director | Mgmt | For | For | |||
5a8 | Elect Kang Yi as Director | Mgmt | For | For | |||
5a9 | Elect Yin Hongshan as Director | Mgmt | For | For | |||
5a10 | Elect Tu Shutian as Director | Mgmt | For | For | |||
5a11 | Elect Zhang Rui as Director | Mgmt | For | For | |||
5b | Authorize Board to Fix Remuneration of Directors | Mgmt | For | For | |||
6 | Authorize Board to Enter into Service Contract and/or Appointment Letter with Each of the Newly Elected Directors | Mgmt | For | For | |||
7a1 | Elect Wang Maoxian as Supervisor | Mgmt | For | For | |||
7a2 | Elect Li Ping as Supervisor | Mgmt | For | For | |||
7a3 | Elect Gan Chengjiu as Supervisor | Mgmt | For | For | |||
7a4 | Elect Li Baomin as Supervisor | Mgmt | For | For | |||
7a5 | Elect Hu Failiang as Supervisor | Mgmt | For | For | |||
5b | Authorize Board to Fix Remuneration of Supervisors | Mgmt | For | For | |||
8 | Authorize Board to Enter into Service Contract or Appointment Letter with Each of the Newly Elected Supervisors | Mgmt | For | For | |||
9 | Reappoint Deloitte Touche Tohmatsu Shanghai CPAs Ltd. and Deloitte Touche Tohmatsu as PRC and International Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
10 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
11 | Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 4,916,000 | 4,916,000 | |||||
Total: | 4,916,000 | 4,916,000 | |||||
Dongfang Electrical Machinery Company Ltd | Shares Voted | 2,114,000 | Cusip/Sedol | 6278566 | Ticker | N/A | |
Meeting Date | 6/15/2006 | Shares | 2,114,000 | Meeting Type | AGM | Record Date | 5/15/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Approve Profit Distribution Proposal | Mgmt | For | For | |||
4 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
5 | Approve 2006 Work Plan | Mgmt | For | For | |||
6 | Approve 2006 Connected Transactions Under the DEC Supply Agreement Between the Company and China Dongfang Electric Corp. and the Annual Caps | Mgmt | For | For | |||
7 | Approve Deloitte Deloitte Touche Tomants CPAs of Hong Kong and Deloitte Touche Tohmatsu CPAs as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
8 | Approve 2006 Connected Transactions Under the Supply Agreement Between the Company and Certain Subsidiaries of Dongfang Electric Machinery Works and the Annual Caps | Mgmt | For | For | |||
9 | Approve Connected Transactions Between the Company and China Dongfang Electric Corp. and Its Subsidiaries | Mgmt | For | For | |||
10 | Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,114,000 | 2,114,000 | |||||
Total: | 2,114,000 | 2,114,000 | |||||
CHINA SHIPPING CONTAINER LINES CO LTD | Shares Voted | 2,621,000 | Cusip/Sedol | B018L76 | Ticker | 2866 HK | |
Meeting Date | 6/20/2006 | Shares | 2,621,000 | Meeting Type | AGM | Record Date | 5/22/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Final Dividend of RMB 0.12 Per Share and Profit Distribution Plan | Mgmt | For | For | |||
5 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
6 | Approve PricewaterhouseCoopers, Hong Kong, CPAs and BDO Zhong Hua CPAs as International and PRC Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
7 | Adopt Each Code Provision in the Code of Corporate Governance Practices Set Out in the Listing Rules | Mgmt | For | For | |||
8 | Amend H Share Share Appreciation Rights Scheme | Mgmt | For | For | |||
9 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
10 | Other Business (Voting) | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 2,621,000 | 2,621,000 | |||||
Total: | 2,621,000 | 2,621,000 | |||||
Angang New Steel Company | Shares Voted | 5,366,000 | Cusip/Sedol | 6015644 | Ticker | 347 HK | |
Meeting Date | 6/20/2006 | Shares | 5,366,000 | Meeting Type | AGM | Record Date | 5/19/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Proposed Profit Distribution Plan | Mgmt | For | For | |||
5 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
6 | Approve Auditors for 2006 and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
7a | Elect Liu Jie as Executive Director | Mgmt | For | For | |||
7b | Elect Tang Fuping as Executive Director | Mgmt | For | For | |||
7c | Elect Yang Hua as Executive Director | Mgmt | For | For | |||
7d | Elect Wang Chunming as Executive Director | Mgmt | For | For | |||
7e | Elect Huang Haodong as Executive Director | Mgmt | For | For | |||
7f | Elect Lin Daqing as Executive Director | Mgmt | For | For | |||
7g | Elect Fu Wei as Executive Director | Mgmt | For | For | |||
7h | Elect Fu Jihui as Executive Director | Mgmt | For | For | |||
7i | Elect Yu Wanyuan as Non-Executive Director | Mgmt | For | For | |||
7j | Elect Wu Xichun as Independent Non-Executive Director | Mgmt | For | For | |||
7k | Elect Wang Linsen as Independent Non-Executive Director | Mgmt | For | For | |||
7l | Elect Liu Yongze as Independent Non-Executive Director | Mgmt | For | For | |||
7m | Elect Francis Li Chak Yan as Independent Non-Executive Director | Mgmt | For | For | |||
7n | Elect Wang Xiaobin as Independent Non-Executive Director | Mgmt | For | For | |||
8a | Elect Qi Cong as Supervisor | Mgmt | For | For | |||
8b | Elect Zhang Lifen as Supervisor | Mgmt | For | For | |||
8c | Elect Shan Mingyi as Supervisor | Mgmt | For | For | |||
9 | Change Company Name | Mgmt | For | For | |||
10 | Amend Articles of Association | Mgmt | For | For | |||
11 | Amend Rules of Procedure for the General Meetings of the Shareholders | Mgmt | For | For | |||
12 | Amend Rules of Procedure for the Meetings of the Board of Directors | Mgmt | For | For | |||
13 | Amend Rules of Procedure for the Meeetings of the Supervisory Committee | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,366,000 | 5,366,000 | |||||
Total: | 5,366,000 | 5,366,000 | |||||
GUANGZHOU R&F PROPERTIES CO., LTD | Shares Voted | 410,000 | Cusip/Sedol | B0C9GY0 | Ticker | 2777 HK | |
Meeting Date | 6/27/2006 | Shares | 410,000 | Meeting Type | EGM | Record Date | N/A |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Special Business | |||||||
1 | Approve Subdivision of Every Domestic Share and H Share of RMB 1 Each in the Share Capital of the Company into Four Domestic Shares and H Shares of RMB 0.25 Each and to Authorize Board to Amend Articles of Association | Mgmt | For | For | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 410,000 | 410,000 | |||||
Total: | 410,000 | 410,000 | |||||
Yanzhou Coal Mining Company Limited | Shares Voted | 5,155,200 | Cusip/Sedol | 6109893 | Ticker | 1171 HK | |
Meeting Date | 6/28/2006 | Shares | 5,155,200 | Meeting Type | AGM | Record Date | 5/29/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
1 | Accept Report of the Board of Directors | Mgmt | For | For | |||
2 | Accept Report of the Supervisory Committee | Mgmt | For | For | |||
3 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | |||
4 | Approve Profit Distribution Plan, Cash Dividend, and Special Cash Dividend | Mgmt | For | For | |||
5 | Approve Remuneration of Directors and Supervisors | Mgmt | For | For | |||
6 | Approve Deloitte Touche Tohmatsu and Deloitte Touche Tohmatsu CPAs Ltd. as International and Domestic Auditors Respectively, and Authorize Board to Fix Their Remuneration | Mgmt | For | For | |||
7 | Amend Articles of Association | Mgmt | For | For | |||
8 | Amend Rules of Procedure for Meetings of Shareholders | Mgmt | For | For | |||
9 | Amend Rules of Procedure for the Board of Directors | Mgmt | For | For | |||
10 | Amend Rules of Procedure for the Supervisory Committee | Mgmt | For | For | |||
11 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | |||
Fund Name | Shares Available | Shares Voted | |||||
03502 GUINNESS ATKINSON CHINA & HONG KONG FUND | 5,155,200 | 5,155,200 | |||||
Total: | 5,155,200 | 5,155,200 | |||||
GUINNESS ATKINSON GLOBAL INNOVATORS FUND | ||||||||||
PROXY VOTING RECORD July 1, 2005 - June 30, 2006 | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Cable & Wireless | 14-Dec-05 | 232,720 | 0162557 | CWP | ||||||
Vote | MRV | Proposal | ||||||||
for | for | that the articles of association of the company be amended by inserting | Issuer | |||||||
after article 150 new articles 151, 152, 153 and 154 as set ou tin the notice of meeting | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Costco | 25-Jan-06 | 0 | 22160K105 | COST US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | election of four Class I directors to hold office til 2009 AGM and until their successors are elected and qualified. | Issuer | |||||||
DID NOT VOTE | for | amend the Company's Amended and Restated 2002 Stock Incentive Plan | Issuer | |||||||
to, among other things, increase the number of shares available to be granted under the plan. | ||||||||||
DID NOT VOTE | against | shareholder proposal that the Board of Directors take all necessary steps to hold annual elections for all directors. | Security Holder | |||||||
DID NOT VOTE | against | shareholder proposal that the Company adopt a code of conduct | Security Holder | |||||||
DID NOT VOTE | for | ratify the selction of KPMG as the Company's independent auditors. | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Samsung Electronics | 28-Feb-06 | 5000 | Issuer | 4942818 | 005930 KS | |||||
Vote | MRV | Proposal | ||||||||
for | for | approval of financial statements and appropriation of Income, with a final | Issuer | |||||||
dividend of KRW 5000 per common share | ||||||||||
for | for | election of independent non-executive directors | Issuer | |||||||
for | for | election of executive directors | Issuer | |||||||
for | for | election of members of audit committee | Issuer | |||||||
for | for | approval of limit on remuneration of directors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Nokia ADR | 30-Mar-06 | 0 | 654902204 | NOK US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | Presentation of the Annual Accounts | Issuer | ||||||||
DID NOT VOTE | Approval of the income statements and balance sheets. | Issuer | ||||||||
DID NOT VOTE | for | Distribution of the profit for the year, payment of dividend | Issuer | |||||||
DID NOT VOTE | Discharging of the Chairman, the members of the Board of Directors, and the President, from liability. | Issuer | ||||||||
DID NOT VOTE | for | Resolution on the renumeration payable to the members of the Board of | Issuer | |||||||
Directors. | ||||||||||
DID NOT VOTE | for | Resolution on the number of members of the Board of Directors: | Issuer | |||||||
propose that the number of Board members be ten. | ||||||||||
DID NOT VOTE | for | Re-election of 9 current Board members until the close of the next AGM, | Issuer | |||||||
election of 1 new Board member for same period, . | ||||||||||
DID NOT VOTE | for | Auditor renumeration | Issuer | |||||||
DID NOT VOTE | for | Election of the auditor: the Audit committee recommends the re-election of Pricewaterhouse CoopersOy for 2006. | Issuer | |||||||
DID NOT VOTE | for | proposal by the board of directors to reduce the share capital through the | Issuer | |||||||
cancellation of shares. Share capitla be reduced by a min. of EUR 156 660 600 max. of EUR 22 962 000. | ||||||||||
DID NOT VOTE | for | Proposal by the board of directors to authorize the board of Directors to | Issuer | |||||||
resolve to increase the share capital with a max. of EUR 48 540 000. As a | ||||||||||
result of share issuance an aggregate maximum of 809 million new shares be issued. | ||||||||||
DID NOT VOTE | for | Proposal by the board of directors to authorize the board of directors to | Issuer | |||||||
resolve to repurchase Nokia shares to a max. of 405mil Nokia shares, | ||||||||||
DID NOT VOTE | for | Proposal by the board of directors to authorize the board of directors to | Issuer | |||||||
resolve to dispose Nokia shares held by the company. | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Citigroup | 18-Apr-06 | 0 | 172967101 | C US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | re-election of 17 directors. | Issuer | |||||||
DID NOT VOTE | for | ratification of KPMG LLP as Citigroup's independent registererd public | Issuer | |||||||
accounting firm for 2006. | ||||||||||
DID NOT VOTE | for | approval of ammendments to change certain provisions in Citigroup's | Issuer | |||||||
restated certificate of Incorporation. | ||||||||||
DID NOT VOTE | against | stockholder proposal that no future new stock options be awarded to anyone nor that any current ones be repriced or renewed. | Security Holder | |||||||
DID NOT VOTE | against | stockholder proposal that the Company provide a report, updated semi- | Security Holder | |||||||
annualy, disclosing: 1)policies and procedures for political contributions, | ||||||||||
2) monetary and non-monetary political contributions not deducible under section 162 (e)(1)(B) of the Internal Revenue Code. | ||||||||||
DID NOT VOTE | against | shareholder proposal that the Company provide a report updated semi- | Security Holder | |||||||
annualy, omitting proprietary information and at reasonable cost, disclosing the Company's: 1) policies and procedures for charitable contributions made with corporate assets, 2) buisness rationale for each of the charitable contributions; 3) personnel who contributed in making the decsions to contribute; 4) the actual or estimated benefits to the Company and beneficiaries produced by contributions. | ||||||||||
DID NOT VOTE | against | shareholder proposal to adopt a policy tha a significant portion of future long-term equity compensation to senior executives shall be performance-based . | Security Holder | |||||||
DID NOT VOTE | against | shareholder proposal to amend the bylaws to provide procedures for the | Security Holder | |||||||
reimbursement of the reasonable expenses, including but not limited to | ||||||||||
legal, advertising, solicitation, printing and mailing costs incurred by a | ||||||||||
stockholder in a contested election of directors. | ||||||||||
DID NOT VOTE | against | shareholder proposal that the Citigroup Board of Directors adopt promptly a resolution requiring that the Chairman of the Board serve in that capacity only, and have no management duties, titles or repsonsibilities. | Security Holder | |||||||
DID NOT VOTE | against | shareholder proposal to adopt a policy whereby, in the event of a significant negative restatement of earnings or significant extraordinary write-off, our board will recoup, to the fulelst extent practicable, for the benefit of our Company all performance-based bonuses or awards that were made to senior executives based on not having met specific performance targets to the extent that the specific performance targets were not met. | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
State Street | 19-Apr-06 | 0 | 857477103 | STT US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | to elect 13 directors. | Issuer | |||||||
DID NOT VOTE | for | to ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending Dec 31 2006. | Issuer | |||||||
DID NOT VOTE | for | to approve the 2006 Equity Incentive Plan. | Issuer | |||||||
DID NOT VOTE | for | to approve the material terms of the 2006 restated Senior Executive Incentive Plan. | Issuer | |||||||
DID NOT VOTE | against | to vote on a shareholder proposal to request the directors to redeem the | Security Holder | |||||||
outstanding rights under the Company's Rights Agreement, and to require shareholder ratification of any future rights agreement. | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
BP ADR | 20-Apr-06 | 0 | 055622104 | BP US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | To receive the report of the directors and the accounts for the year ended 31 December 2005. | Issuer | |||||||
DID NOT VOTE | for | To approve the directors’ remuneration report for the year ended 31 December 2005. | Issuer | |||||||
DID NOT VOTE | for | To re-elect 15 directors. | ||||||||
DID NOT VOTE | for | To reappoint Ernst & Young LLP as auditors until the conclusion of the next general meeting before which accounts are laid and to authorize the directors to set the auditors’ remuneration for 2006. | Issuer | |||||||
DID NOT VOTE | for | To authorize the company generally and unconditionally to make market | Issuer | |||||||
purchases (as defined in Section 163(3) of the Companies Act 1985) of | ||||||||||
ordinary shares with nominal value of $0.25 each in the company, provided that: a) a. the company does not purchase under this authority more than 2.0 billion ordinary shares; b. the company does not pay less than $0.25 for each share; and c.) the company does not pay for each share than 5% over the average of the middle market price of the ordinary shares for the five business days immediately preceding the date on which the company agrees to buy the shares concerned, based on share prices and currency exchange rates published in the Daily Official List of the London Stock Exchange. In executing this authority the company may purchase shares using any currency, including pounds sterling, US dollars, and euros. This authority shall continue for the period ending on the date of the Annual General Meeting in 2007 or 19 July 2007, whichever is the earlier, provided that if the company has agreed before this date to purchase ordinary shares where these purchases will or may be executed after the authority terminates (either wholly or in part) the company may complete such purchases. | ||||||||||
DID NOT VOTE | for | To renew, for the period ending on the date of the Annual General Meeting in 2007 or 19 July 2007, whichever is the earlier, the authority and power conferred on the directors by Article 13 of the company’s Articles of Association to allot relevant securities up to an aggregate nominal amount equal to the Section 80 Amount of $1,690 million. | Issuer | |||||||
DID NOT VOTE | for | To renew, for the period ending on the date of the Annual General Meeting in 2007 or 19 July 2007, whichever is the earlier, the authority and power conferred on the directors by Article 13 of the company’s Articles of Association to allot equity securities wholly for cash (a) in connection with a rights issue; and (b) otherwise than in connection with a rights issue up to an aggregate nominal amount equal to the Section 89 | Issuer | |||||||
Amount of $253 million. | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
L-3 | 25-Apr-06 | 0 | 502424104 | LLL US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | election of three Class III directors whose terms expire 2009. | Issuer | |||||||
DID NOT VOTE | for | ratification of the appointment of our independent registered public accounting firm for 2006. | Issuer | |||||||
DID NOT VOTE | for | Approval of an ammendment to the L-3 Communication Corporation Employee Stock Purchase Plan solely to increase the number of shares available for issuance under the Plan. | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Pfizer | 27-Apr-06 | 0 | 717081103 | PFE US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | To elect thirteen members of the Board of Directors, each for a term of one year. | Issuer | |||||||
DID NOT VOTE | for | To ratify the appointment of KPMG LLP asour independent registered public accounting firm for the 2006 fiscal year | Issuer | |||||||
DID NOT VOTE | for | To approve an amendment to the Company’s Restated Certificate of Incorporation to eliminate the supermajority vote and fair price provisions | Issuer | |||||||
DID NOT VOTE | against | That the stockholders of Pfizer recommend that the Board take the necessary steps so that future outside directors shall not serve for more than six years | Security Holder | |||||||
DID NOT VOTE | against | Shareholders request the Board of Directors report by September 2006 on measures Pfizer is taking to contain the price increases of its most-prescribed drugs to levels equal to or below the annual rate of inflation. | Security Holder | |||||||
DID NOT VOTE | against | Shareholders recommend that our Board adopt cumulative voting as a bylaw or long-term policy. Cumulative voting means that each shareholder may cast as many votes as equal to number of shares | Security Holder | |||||||
held, multiplied by the number of directors to be elected. A shareholder may cast all such cumulated votes for a single candidate or split votes between multiple candidates, as that shareholder sees fit. | ||||||||||
Under cumulative voting shareholders can withhold votes from certain nominees in order to cast multiple votes for others. | ||||||||||
DID NOT VOTE | against | The shareholders of Pfizer request the Board of Directors establish a policy of, whenever possible, separating the roles of Chairman and Chief Executive Officer, so that an independent director who has not served as an executive officer of the Company serves as Chair of the Board of Directors. | Security Holder | |||||||
DID NOT VOTE | against | shareholders of Pfizer request that the Company provide a report, updated semi-annually, disclosing the Company’s: 1. Policies and procedures for political contributions and expenditures (both direct | Security Holder | |||||||
and indirect) made with corporate funds. This report shall be presented to the board of directors’ audit committee or other relevant oversight committee, and posted on the Company’s Website to reduce costs to shareholders. | ||||||||||
DID NOT VOTE | against | shareholders request that the Board issue a report to shareholders on the feasibility of amending the Company’s Laboratory Animal Care and Use policy to ensure (a) that it extends to all contract laboratories and that it is reviewed with such outside laboratories on a regular basis, and (b) superior standards of care for animals who continue to be used for these purposes, both by the Company itself and by all independently retained laboratories, including provisions to ensure that animals’ psychological, | Security Holder | |||||||
social and behavioral needs are met. Further, the shareholders request that the Board issue an annual report to shareholders on the extent to which in-house and contract laboratories are adhering to this | ||||||||||
policy, including the implementation of the psychological enrichment measures. | ||||||||||
DID NOT VOTE | against | Board is requested to report to shareholders on the justification for affirmatively contributing to the advancement of animal-based testing while publicly promoting an animal care Policy that affirmatively | Security Holder | |||||||
commits to the advancement of non-animal based test methodologies. | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip | Ticker | |||||
Apple | 27-Apr-06 | 0 | 037833100 | AAPL US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | re-election of 7 directors to the Company's Board. | Issuer | |||||||
DID NOT VOTE | for | ratification of the appointment of KPMG LLP as independent auditors of the Company for fiscal year 2006. | Issuer | |||||||
DID NOT VOTE | against | Apple Computer’s board of directors prepare a report, at reasonable cost, studying ways to improve its computer recycling programs, to be released within six months of the annual shareholder meeting. | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Cemex ADR | 27-Apr-06 | 0 | 151290889 | CX US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | proposal to split each of the company's ordinary common shares series 'A' and series 'B' shares and amend article 6 of the company's by-Laws. | Issuer | |||||||
DID NOT VOTE | for | proposal to change the company's By-Laws. | ||||||||
DID NOT VOTE | for | appointment of delegates to formalise the resolutions adopted at the meeting and the changes in the company's By-Laws or estatutos sociales, if applicable. | Issuer | |||||||
DID NOT VOTE | for | approval of the financial statements for the fiscal year ended Dec. 31 2005. | Issuer | |||||||
DID NOT VOTE | for | Allocation of profits and the maximum amount of funds to e used for the purchase of company shares. | Issuer | |||||||
DID NOT VOTE | for | proposal to increase the capital stoc kof the company in its variable portion. | Issuer | |||||||
DID NOT VOTE | for | appointment of directors and statutory auditors and president of the audit committee and societal practises. | Issuer | |||||||
DID NOT VOTE | for | compensation of directors, statutory auditors and audit and societal practises committee. | Issuer | |||||||
DID NOT VOTE | for | appointment of delegates to formalize the resolutions adopted at the meeting. | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
First Data | 10-May-06 | 0 | 319963104 | FDC US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | The re-election of four directors through till 2009 | Issuer | |||||||
DID NOT VOTE | for | the ratification of three directors | Issuer | |||||||
DID NOT VOTE | for | the ratification of the selection of Ernst & Young LLP as the independent registered public accounting firm for the Company for 2006. | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Nucor | 11-May-06 | 0 | 670346105 | NUE US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | To elect two directors to a term of three years | Issuer | |||||||
DID NOT VOTE | for | To ratify the appointment of PricewaterhouseCoopers LLP as Nucor’s independent registered public accounting firm for the year ending December 31, 2006; | Issuer | |||||||
DID NOT VOTE | for | To approve an amendment to Nucor’s Restated Certificate of Incorporation increasing its authorized common stock from 400,000,000 shares to 800,000,000 shares; | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Taiwan Semiconductors ADR | 16-May-06 | 0 | 874039100 | TSM US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Approval of distribution of 2005 profits | Issuer | |||||||
DID NOT VOTE | for | Approval of capitalization of 2005 dividends, 2005 employee profit sharing and capital surplus | Issuer | |||||||
DID NOT VOTE | for | Approval of revisions to the Articles of Incorporation | Issuer | |||||||
DID NOT VOTE | for | Election of 9 directors and 2 suupervisors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Amazon | 23-May-06 | 0 | 023135106 | NUE US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | To elect eight Directors to serve until the next Annual Meeting of Shareholders and until their respective successors are elected and qualified | Issuer | |||||||
DID NOT VOTE | for | To ratify the appointment of Ernst & Young LLP as the Company’s independent auditors for the fiscal year ending December 31, 2006; | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Qwest | 24-May-06 | 0 | 749121109 | Q US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Elect nine directors to the Board of Directors to hold office until the annual meeting of stockholders in 2007 and until their successors are elected and qualified; | Issuer | |||||||
DID NOT VOTE | for | Ratify the appointment of KPMG LLP as our independent auditor for 2006; | Issuer | |||||||
DID NOT VOTE | for | Approve the amended and restated Equity Incentive Plan which amongst other things: | Issuer | |||||||
a)provides that non-employee directors are eligible to receive additional types of awards; b) is necessary to comply with new tax laws relating to certain types of deferred compensation arrangements, and c) implements certain design changes deemed desirable by us that are consistent | ||||||||||
with the purposes of the Equity Incentive Plan, including revision of the definition of termination for “cause.” | ||||||||||
DID NOT VOTE | against | The shareholders of Qwest Communications urge our Board of Directors to adopt a policy whereby, in the event of a substantial | Security Holder | |||||||
restatement of financial results, the Board will review all bonuses and performance-based compensation made to executive officers during the period of the restatement, and pursue all legal remedies to recover, for the benefit of the Company, all such compensation to the extent that the restated results do not justify the compensation previously paid. | ||||||||||
DID NOT VOTE | against | Shareholders request that the Board adopt a policy to seek shareholder approval of any future supplemental executive retirement | Security Holder | |||||||
plan (“SERP”), or individual retirement arrangement, for senior executives that provides preferential benefit formulas, or supplemental | ||||||||||
pension benefits, not provided to other managers under the Company’s regular tax-qualified pension plan. Implementation of this | ||||||||||
policy shall not breach any existing employment agreement or vested benefit. | ||||||||||
DID NOT VOTE | against | Directors shall be elected by the vote of the majority of the shares represented in person or by proxy at any meeting for the election of | Security Holder | |||||||
directors at which a quorum is present, provided that if the number of nominees exceeds the number of directors to be elected, the | ||||||||||
directors shall be elected by the vote of a plurality of the shares represented in person or by proxy at any such meeting.” | ||||||||||
DID NOT VOTE | against | That the shareholders of QWEST COMMUNICATIONS INTERNATIONAL INC. request their Board of Directors to establish a policy of separating the roles of the Chairman of the Board and the Chief Executive Officer (or President) whenever possible, so that an | Security Holder | |||||||
independent director who has not served as an executive officer of the Company serves as Chairman of the Board of Directors | ||||||||||
The proposal shall not apply to the extent that compliance would necessarily breach any contractual obligations in effect at the time | ||||||||||
of the 2006 annual meeting | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Checkpoint | 8-Jun-06 | 0 | M22465104 | CKP US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | To elect three Class III directors for a three-year term and one Class I director for a one-year term | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Sony ADR | 22-Jun-06 | 0 | 835699307 | SNE US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Amendment of a part of the Articles of Incorporation | Issuer | |||||||
DID NOT VOTE | for | Election of 14 directors | Issuer | |||||||
DID NOT VOTE | for | Issuance of Stock Acquisition Rights for the purpose of granting stock options | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Honda ADR | 23-Jun-06 | 0 | 438128308 | HMC US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Approval of proposal for appropriation of retained earnings for 82nd fiscal year | Issuer | |||||||
DID NOT VOTE | for | Partial Amendments to the Articles of Incorporation | Issuer | |||||||
DID NOT VOTE | for | Election of 20 directors | Issuer | |||||||
DID NOT VOTE | for | Payment of Bonus to directors and corporate auditors for 82nd fiscal year | Issuer | |||||||
DID NOT VOTE | for | Presentation of retirement allowance to retiring director | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
WPP ADR | 27-Jun-06 | 0 | 929309409 | WPPGY US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Receipt and approval of 2005 accounts | Issuer | |||||||
DID NOT VOTE | for | Declaration of final dividend of 6.34 pence | Issuer | |||||||
DID NOT VOTE | for | Election of 12 directors | Issuer | |||||||
DID NOT VOTE | for | Reappointment of Deloitte & Touche as auditors | Issuer | |||||||
DID NOT VOTE | for | Empowerment of directors to allot relevant securities | Issuer | |||||||
DID NOT VOTE | for | Authorisation of Company to make market purchases of ordinary shares of 10pence each | Issuer | |||||||
DID NOT VOTE | for | Empowerment of directors to allot equity securities for cash | Issuer | |||||||
DID NOT VOTE | for | Approval of directors' remuneration report | Issuer | |||||||
GUINNESS ATKINSON GLOBAL ENERGY FUND | ||||||||||
PROXY VOTING RECORD July 1, 2005 - June 30, 2006 | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Petrochina | 16-Aug-05 | 968,000 | 6226576 | 857 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Approval of acquisition of a total of 50% interest in the enlarged registered capital of Zhong You Kan Tan Kai Fa Co. | Issuer | |||||||
by way of capital contribution to Newco in an aggregate amount of RMB 20.7 billion | ||||||||||
for | for | Approval of transfer by the company of the enrire issued capital of Petrochina International Ltd to Newco at a cash | Issuer | |||||||
consideration of RMB 579.4 million | ||||||||||
for | for | Approval of supplemental comprehensive agreement and continuing connected transactions | Issuer | |||||||
for | for | Approval of annual limits of continuing connected transactions | Issuer | |||||||
for | for | Authorization of the CFO of the company to do all acts necessary to implement the supplemental comprehensive agreement, continuing connected transactions, and proposed caps | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Shandong Molong | 3-Oct-05 | 299,356 | B00LNZ8 | 8261 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Approve Interim Dividend of RMB 0.02 Per Share for the Six Months Ended June 30, 2005 | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Venture Production | 4-Oct-05 | 34,334 | 3142318 | VPC LN | ||||||
Vote | MRV | Proposal | ||||||||
Approve Sale of Venture Production (Trinidad) Ltd. and of the Benefit of a Loan Account Existing Between | Issuer | |||||||||
for | for | the Company and VPTL and the Subscription for Common Stock in TDN | ||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Petrochina | 8-Nov-05 | 5,377,000 | 6226576 | 857 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Elect 6 directors | Issuer | |||||||
for | for | Elect 2 independent directors | Issuer | |||||||
for | for | Elect 2 supervisors | Issuer | |||||||
for | for | Elect 2 independent supervisors | Issuer | |||||||
for | for | Approve second supplemental comprehensive agreement | Issuer | |||||||
for | for | Approve CRMSC Products and Services agreement | Issuer | |||||||
for | for | Approve ongoing connected transactions | Issuer | |||||||
for | for | Approve annual caps of the ongoing connected transactions | Issuer | |||||||
for | for | Approve annual caps in respect of the products and services to be provided to CRMSC | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Shandong Molong | 28-Nov-05 | 299,356 | B00LNZ8 | 8261 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Approve oil well pipe and casing billets supply agreement | Issuer | |||||||
for | for | Approve metallurgy accessories supply agreement | Issuer | |||||||
for | for | Approve scrap and used metals supply agreement | Issuer | |||||||
for | for | Approve machinery accessories supply agreement | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Sasol | 2-Dec-05 | 111,347 | 6777450 | SOL SJ | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Accept financial statements and statutory reports for year ended June 2005 | Issuer | |||||||
for | for | Reelect 5 directors | Issuer | |||||||
for | for | Reelect 2 directors appointed during the year | Issuer | |||||||
for | for | Reappoint KPMG as Auditors | Issuer | |||||||
for | for | Amend articles of association re: increase number of directors appointed by board to 16 | Issuer | |||||||
for | for | Place authorized but unissued shares under control of directors | Issuer | |||||||
for | for | Approve remuneration of directors starting July 1st, 2005 | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Shandong Molong | 30-Dec-05 | 299,356 | B00LNZ8 | 8261 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Listing of the H shares on the main board of the Stock Exchange of Hong Kong | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Shandong Molong | 30-Dec-05 | 299,356 | B00LNZ8 | 8261 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Listing of the H shares on the main board of the Stock Exchange of Hong Kong, voluntary withdrawal of the listing | Issuer | |||||||
of H shares from Growth Enterprise Market, and adopt new articles of association | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Petrobras ADR | 3-Apr-06 | 0 | 2683410 | PBR/A | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Approval of capital budget for 2006 fiscal year | Issuer | |||||||
DID NOT VOTE | for | Destination of results achieved in the 2005 fiscal year | Issuer | |||||||
DID NOT VOTE | for | Election of the members of the Board of directors | Issuer | |||||||
DID NOT VOTE | for | Election of the President of the Board of directors | Issuer | |||||||
DID NOT VOTE | for | Election of the members of the Audit Committee and their respective substitutes | Issuer | |||||||
DID NOT VOTE | for | Establishment of the wages to be paid to the full members of the Audit Committee | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Petro-Canada | 25-Apr-06 | 86,520 | 2684316 | PCA CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 12 directors | Issuer | |||||||
for | for | Ratification of Deloitte & Touche as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Canadian Oil Sands Trust | 25-Apr-06 | 30,636 | 2061834 | COS-U CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Appointment of PWC as auditors of COSL and authorization of board to fix remuneration of auditors | Issuer | |||||||
for | for | Appointment of PWC as auditors of the Trust and authorization of board to fix remuneration of auditors | Issuer | |||||||
for | for | Election of 8 directors | Issuer | |||||||
for | for | Approval of 1:5 unit split | Issuer | |||||||
for | for | Amendment of trust indenture re: Foreign ownership constraints | Issuer | |||||||
for | for | Approval of Computershare Trust Company of Canada as trustee of the trust | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Chevron Corporation | 26-Apr-06 | 0 | 166764100 | CVX | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Election of 13 directors | Issuer | |||||||
DID NOT VOTE | for | Ratification of appointment of independent registered public accounting firm | Issuer | |||||||
DID NOT VOTE | for | Taking action on stockholder proposals | Issuer | |||||||
DID NOT VOTE | for | Transaction of any other business | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Marathon Oil Corporation | 26-Apr-06 | 45,288 | 565849106 | MRO | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Nomination of 3 Class I directors | Issuer | |||||||
for | for | Ratification of PWC LLP as independent auditors | Issuer | |||||||
for | for | Amendment of restated certificate of incorporation to declassify the board of directors | Issuer | |||||||
for | for | Amendment of restated certificate of incorporation to revise the purpose clause, eliminate the series A junior preferred stock and make other technical changes | Issuer | |||||||
for | against | Election of directors by majority vote | Security Holder | |||||||
against | against | Simple majority vote of stockholders | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Encana | 26-Apr-06 | 83,056 | 2793193 | ECA CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 15 directors | Issuer | |||||||
for | for | Ratification of PWC as auditors and authorization of Board to fix remuneration of auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Nexen | 27-Apr-06 | 70,227 | 2172219 | NXY CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 11 directors | Issuer | |||||||
for | for | Ratification of Deloitte & Touche as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Opti Canada | 27-Apr-06 | 99,429 | B00R3Q7 | OPC CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Fixing number of directors at 8 | Issuer | |||||||
for | for | Election of 8 directors | Issuer | |||||||
for | for | Ratification of PWC as auditors | Issuer | |||||||
for | for | Approval of 2:1 stock split | Issuer | |||||||
for | for | Adoption of Shareholder Rights Plan | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Shell Canada | 28-Apr-06 | 93,976 | 2802806 | SHC CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 10 directors | Issuer | |||||||
for | for | Approval of PWC LLP as auditors | Issuer | |||||||
for | for | Allow Board to appoint additional directors between meetings | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Imperial Oil | 2-May-06 | 1,930 | 2454241 | IMO CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Ratification of PWC LLP as auditors | Issuer | |||||||
for | for | Election of 8 directors | Issuer | |||||||
for | for | Approval of increase in common stock and a stock split | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Tesoro | 3-May-06 | 54,290 | 881609101 | TSO | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 8 directors | Issuer | |||||||
for | for | Adoption of 2006 long-term incentive plan | Issuer | |||||||
for | for | Amendment of restated certificate of incorporation to increase number of authorized shares by 100 million | Issuer | |||||||
for | for | Ratification of appointment of Deloitte & Touche LLP as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Pioneer Natural Resources | 3-May-06 | 89,260 | 723787107 | PXD | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 3 directors | Issuer | |||||||
for | for | Ratification of selection of independent auditors | Issuer | |||||||
for | for | Adoption of 2006 long-term incentive plan | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Unit Corp | 3-May-06 | 22,120 | 909218109 | UNT | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 3 directors | Issuer | |||||||
for | for | Ratification of auditors | Issuer | |||||||
for | for | Approval of an amendment to the company's amended and restated certificate of incorporation to increase the shares of the company's authorized common stock | Issuer | |||||||
for | for | Approval of an amendment to the company's amended and restated certificate of incorporation to increase the shares of the company's authorized preferred stock | Issuer | |||||||
for | for | Approval of Unit Corp stock and incentive compensation plan | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Amerada Hess | 3-May-06 | 24,561 | 2023748 | AHC US | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 4 directors | Issuer | |||||||
for | for | Ratification of selection of Ernst & Young as auditors | Issuer | |||||||
for | for | Proposal to change name of company to Hess Corporation | Issuer | |||||||
for | for | Proposal to amend company's restated certificate of incorporation to increase number of authorized shares of common stock to 600,000,000 shares | Issuer | |||||||
for | for | Proposal to approve performance incentive plan for senior officers | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Plains Exploration | 4-May-06 | 92,960 | 726505100 | PXP | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 7 directors | Issuer | |||||||
for | for | Ratification of selection of PWC as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Sunoco | 4-May-06 | 44,890 | 86764P109 | SUN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 10 directors | Issuer | |||||||
for | for | Approval of the Sunoco incentive plan | Issuer | |||||||
for | for | Ratification of appointment of Ernst & Young as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Apache | 4-May-06 | 53,559 | 037411105 | APA | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 5 directors | Issuer | |||||||
for | for | Approval of 50,000 additional shares authorized for the non-employee directors' compensation plan | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Peabody Energy | 5-May-06 | 75,900 | 704549104 | BTU | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 5 directors | Issuer | |||||||
for | for | Ratification of appointment of Ernst & Young as auditors | Issuer | |||||||
for | for | Approval of increase in authorized shares of common stock | Issuer | |||||||
against | against | Shareholder proposal regarding formation of special committee | Security Holder | |||||||
against | against | Shareholder proposal regarding majority voting | Security Holder | |||||||
against | against | Shareholder proposal regarding board declassification | Security Holder | |||||||
against | against | Shareholder proposal regarding water use | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Occidental | 5-May-06 | 37,244 | 674599105 | OXY | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 12 directors | Issuer | |||||||
for | for | Ratification of selection of KPMG as auditors | Issuer | |||||||
for | for | Approval of increase in authorized stock capital | Issuer | |||||||
against | against | Limit on executive compensation | Security Holder | |||||||
against | against | Scientific report on global warming | Security Holder | |||||||
against | against | Election of directors by majority vote | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Helix | 8-May-06 | 0 | 42330P107 | HLX US | ||||||
Vote | MRV | Proposal | ||||||||
DID NOT VOTE | for | Election of two directors | Issuer | |||||||
DID NOT VOTE | for | To Take action on any other business that may properly be considered | Issuer | |||||||
�� | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Whiting Petroleum | 9-May-06 | 89,731 | 966387102 | WLL | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 2 directors | Issuer | |||||||
for | for | Ratification of appointment of Deloitte & Touche as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Anadarko Patroleum | 9-May-06 | 35,575 | 032511107 | APC | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 2 directors | Issuer | |||||||
for | for | Approval of amendment to restated certificate of incorporation (stock split) | Issuer | |||||||
for | for | Ratification of appointment of KPMG as independent auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
ConocoPhillips | 9-May-06 | 57,618 | 20825C104 | COP | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 6 directors | Issuer | |||||||
for | for | Ratification of appointment of Ernst & Young as accountants | Issuer | |||||||
against | against | Report on potential environmental damage from drilling inside National Petroleum reserve | Security Holder | |||||||
against | against | Election of directors by majority vote | Security Holder | |||||||
against | against | Approval of future extraordinary retirement benefits for senior executives by shareholders | Security Holder | |||||||
against | against | Report on how the corporation on environmental accountability to communities | Security Holder | |||||||
against | against | Alteration of scheme for compensation of non-employee directors | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Shandong Molong | 12-May-06 | 299,356 | B00LNZ8 | 8261 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of Report of Board of Directors | Issuer | |||||||
for | for | Acceptance of Report of the Supervisory Committee | Issuer | |||||||
for | for | Acceptance of Financial Statements and Statutory Reports | Issuer | |||||||
for | for | Approval of final dividend of RMB 0.017 per share | Issuer | |||||||
for | for | Reelection of 3 directors and approval of their remuneration | Issuer | |||||||
for | for | Reelection of 3 supervisors and approval of their remuneration | Issuer | |||||||
for | for | Reappointment of PRC as auditors | Issuer | |||||||
for | for | Other business (voting) | Issuer | |||||||
for | for | Approval of issuance of equity or equity-linked securities without preemptive rights | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Royal Dutch Shell PLC | 12-May-06 | 115,650 | B09CBL4 | RDSA NA | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Approval of remuneration report | Issuer | |||||||
for | for | Election of 2 directors | Issuer | |||||||
for | for | Re-election of 4 directors | Issuer | |||||||
for | for | Reappointment of PWC as auditors | Issuer | |||||||
for | for | Authorisation of board to fix remuneration of auditors | Issuer | |||||||
for | for | Authorisation of issue of equity or equity-linked securities with pre-emptive rights up to aggregate nominal amount of EUD 155,000,000 | Issuer | |||||||
for | for | Authorisation of issue of equity or equity-linked securities without pre-emptive rights up to aggregate nominal amount of EUD 23,000,000 | Issuer | |||||||
for | for | Authorisation of 667,000,000 ordinary shares for market purchase | Issuer | |||||||
for | for | Authorisation of company to make EU political organisation donations up to GBP 200,000 and incur EU political expenditure up to GBP 200,000 | Issuer | |||||||
against | against | Report on social and environmental impact assessment | Security Holder | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Ensign Energy Services | 17-May-06 | 32,251 | 2317623 | ESI CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 9 directors | Issuer | |||||||
for | for | Approval of PWC as auditors | Issuer | |||||||
for | for | Approval of 2:1 reverse stock split | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Global Santafe | 23-May-06 | 59,710 | G3930E101 | GSF | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Amendment of the company's amended and restated articles of association regarding issuance of preference shares | Issuer | |||||||
for | for | Amendment of existing articles of association to increase company's flexibility in repurchasing its shares | Issuer | |||||||
for | for | Amendment of existing articles of association to delete obsolete provisions relating to Kuwait Petroleum Corporation and its affiliates | Issuer | |||||||
for | for | Amendment of existing memorandum of association and the existing articles of association to clarify, update and make minor changes to certain provisions | Issuer | |||||||
for | for | Amendment and restatement of existing memorandum of association and the existing articles of association to incorporate all previous amendments thereto | Issuer | |||||||
for | for | Proposal to ratify the appointment of PWC as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
OMV | 24-May-06 | 53,770 | 4651459 | OMV AV | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Receipt of financial statements and statutory reports | Issuer | |||||||
for | for | Approval of allocation of income | Issuer | |||||||
for | for | Approval of discharge of Management and supervisory board | Issuer | |||||||
for | for | Approval of remuneration of supervisory board members | Issuer | |||||||
for | for | Authorization of share repurchase program and reissuance of repurchased shares | Issuer | |||||||
for | for | Ratifiaction of auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
CNOOC | 24-May-06 | 2,400,000 | B00G0S5 | 883 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Approval of final dividend | Issuer | |||||||
for | for | Reelection of 6 directors | Issuer | |||||||
for | for | Election of one independent director | Issuer | |||||||
for | for | Authorization of board to fix the remuneration of directors | Issuer | |||||||
for | for | Reappointment of auditors and authorization of board to fix their remuneration | Issuer | |||||||
for | for | Authorization of repurchase of up to 10% of issued share capital | Issuer | |||||||
for | for | Approval of issuance of equity or equity-linked securities without preemptive rights | Issuer | |||||||
for | for | Authorization of reissuance of repurchased shares | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Imperial Energy | 25-May-06 | 600 | B00HD78 | IEC LN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Re-election of Kenneth Forrest as director | Issuer | |||||||
for | for | Election of 2 directors | Issuer | |||||||
for | for | Reappointment of Baker Tilly as auditors and authorisation of board to determine remuneration | Issuer | |||||||
for | for | Authorisation of issue of equity or equity-linked securities with pre-emptive rights up to aggregate nominal amount of GBP 324,221 | Issuer | |||||||
for | for | Authorisation of issue of equity or equity-linked securities without pre-emptive rights up to aggregate nominal amount of GBP 49,124 | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Petrochina | 26-May-06 | 3,409,000 | 6226576 | 857 HK | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of report of board of directors | Issuer | |||||||
for | for | Acceptance of report of supervisory committee | Issuer | |||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Approval of final dividend | Issuer | |||||||
for | for | Authorization of board to distribute interim dividend | Issuer | |||||||
for | for | Reappointment of PWC and PWC Zhong Tian as auditors | Issuer | |||||||
for | for | Reelection of Zheng Hu as director | Issuer | |||||||
for | for | Reelection of Franco Bernabe as Non-Executive director | Issuer | |||||||
against | for | Approval of issuance of equity or equity-linked securities without pre-emptive rights | Issuer | |||||||
for | for | other business | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Imperial Energy | 5-Jun-06 | 600 | B00HD78 | IEC LN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Authorisation of issuance of equity or equity-linked securites with pre-emptive rights up to aggregate nominal amount of GBP 681,552 and without pre-emptive rights up to aggregate nominal amount of GBP 265,542 | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Grey Wolf | 6-Jun-06 | 6,200 | B06CMR0 | GWE CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Fix number of directors at 6 | Issuer | |||||||
for | for | Election of 6 directors | Issuer | |||||||
for | for | Approval of Deloitte & Touche as auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Repsol | 15-Jun-06 | 114,248 | 5669354 | REP SM | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Approval of individual and consolidated financial statements for fiscal year ended 12-31-05 | Issuer | |||||||
for | for | Amendment of Articles 19 and 20 of Bylaws Re: Convocation of general meetings and power and obligation to convene general meetings | Issuer | |||||||
for | for | Amendment of Article 5 of general meeting guidelines re: convocation of general meetings | Issuer | |||||||
for | for | Ratification of Paulina Blanco as director | Issuer | |||||||
for | for | Ratification of Henri Philippe Reichstul as director | Issuer | |||||||
against | for | Election of other board members | Issuer | |||||||
for | for | Election of auditors | Issuer | |||||||
for | for | Authorization of repurchase of shares | Issuer | |||||||
for | for | Authorization of Board to issue convertible fixed rate securities and warrants with powers of excluding preemptive rights (up to 15%) | Issuer | |||||||
for | for | Presentation of report re: Amendments to general meeting guidelines | Issuer | |||||||
for | for | Authorization of Board to ratify and execute approved resolutions | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Synenco | 20-Jun-06 | 42,200 | B0PHV79 | SYN CN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Election of 8 Directors | Issuer | |||||||
for | for | Approval of Deloitte & Touche as auditors | Issuer | |||||||
for | for | Amendment of stock option plan | Issuer | |||||||
for | for | Adoption of Shareholder rights plan | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Dragon Oil | 21-Jun-06 | 31,759 | 0059079 | DGO LN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Election of 2 directors | Issuer | |||||||
for | for | Authorization of Board to fix remuneration of auditors | Issuer | |||||||
for | for | Authorization of general meetings outside the Republic of Ireland | Issuer | |||||||
for | for | Amendment of articles re: director retirement and increase the limit on directors' annual remuneration | Issuer | |||||||
for | for | Authorization of issuance of equity or equity-linked securities with pre-emptive rights | Issuer | |||||||
for | for | Authorization of issuance of equity or equity-linked securities without pre-emptive rights | Issuer | |||||||
for | for | Authorization of share repurchase up to 10% of issued share capital | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Afren | 29-Jun-06 | 99,000 | B067275 | AFR LN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Election of 8 directors | Issuer | |||||||
for | for | Reappointment of Deloitte & Touche as auditors | Issuer | |||||||
for | for | Approval of increase in authorised capital from £3,000,000 to £4,000,000 | Issuer | |||||||
for | for | Authorisation of issuance of equity or equity-linked securities with pre-emptive rights up to £2,097,605 | Issuer | |||||||
for | for | Authorisation of issuance of equity or equity-linked securities without pre-emptive rights up to £1,389,736 | Issuer | |||||||
for | for | Authorisation of 19,023,946 ordinary shares for market purchase | Issuer | |||||||
GUINNESS ATKINSON ALTERNATIVE ENERGY FUND | ||||||||||
PROXY VOTING RECORD July 1, 2005 - June 30, 2006 | ||||||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Novera | 24-May-06 | 216,147 | B0B7Y89 | NVE LN | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Election of 4 directors | Issuer | |||||||
for | for | Approval of remuneration report | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Evergreen Solar | 08-Jun-06 | 18,678 | 30033R108 | ESLR US | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Ratification of appointment of PWC as independent auditors | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Climate Exchange | 27-Jun-06 | 49,458 | 3355114 | SAG GR | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Acceptance of financial statements and statutory reports | Issuer | |||||||
for | for | Approval of remuneration of directors | Issuer | |||||||
for | for | Approval of auditors and authorization of board to fix their remuneration | Issuer | |||||||
Company Name | Meeting Date | Shares Voted | Issuer or Security Holder Proposal | Cusip/Sedol | Ticker | |||||
Q-Cells | 29-Jun-06 | 2,950 | B0LD4L6 | QCE GR | ||||||
Vote | MRV | Proposal | ||||||||
for | for | Receipt of financial statements and statutory reports for fiscal 2005 | Issuer | |||||||
for | for | Approval of allocation of income and omission of dividends | Issuer | |||||||
for | for | Approval of discharge of management board for fiscal 2005 | Issuer | |||||||
for | for | Approval of discharge of supervisory board for fiscal 2005 | Issuer | |||||||
for | for | Ratification of KPMG as auditors for 2006 | Issuer | |||||||
for | for | Amendment of 2003 employee stock option plan | Issuer | |||||||
for | for | Approval of issuance of convertible bonds and /or bonds with warrants attached without pre-emptive rights up to EUR1.5 million; Approval of creation of EUR 14.8 million pool of capital to guarantee conversion rights | Issuer | |||||||
for | for | Approval of EUR 37.3 million increase in authorized capital | Issuer | |||||||
for | for | Amendment of articles to reflect changes in capital due to issuance of shares under stock option plan | Issuer | |||||||
for | for | Approval of creation of EUR 36.9 million pool of capital without pre-emptive rights | Issuer | |||||||
for | for | Authorization of share repurchase program and reissuance of repurchased shares | Issuer |
Vote Summary Report (Long) | |||||||
July 1, 2005 - June 30, 2006 | |||||||
Sorted by Meeting Date. | |||||||
In All Markets, for all statuses, for Guinness Atkinson Asia Pacific Div Fund. | |||||||
Petrochina Company Limited | Shares Voted | 10,000 | Cusip/Sedol | 6226576 | Ticker | 857 HK | |
Meeting Date | 5/26/2006 | Shares | 10,000 | Meeting Type | AGM | Record Date | 4/25/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Final Dividend | Mgmt | For | For | ||||
Authorize Board to Distribute Interim Dividend | Mgmt | For | For | ||||
Reappoint PricewaterhouseCoopers and PricewaterhouseCoopers Zhong Tian CPAs Company Limited as International and Domestic Auditors Respectively and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Reelect Zheng Hu as Director | Mgmt | For | For | ||||
Reelect Franco Bernabe as Independent Non-Executive Director | Mgmt | For | For | ||||
Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | Mgmt | For | Against | ||||
Other Business | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 10,000 | 10,000 | |||||
Total: | 10,000 | 10,000 | |||||
Compal Electronics | Shares Voted | 5,000 | Cusip/Sedol | 6225744 | Ticker | 2324 TT | |
Meeting Date | 6/9/2006 | Shares | 5,000 | Meeting Type | AGM | Record Date | 4/10/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends, Employee Profit Sharing, and Capitalization of Reserves for Bonus Issue | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | For | ||||
Amend Trading Procedures Governing Derivative Products | Mgmt | For | For | ||||
Elect Directors and Supervisors | Mgmt | For | For | ||||
Approve Release of Restrictions of Competitive Activities of Directors | Mgmt | For | For | ||||
Other Business | |||||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 5,000 | 5,000 | |||||
Total: | 5,000 | 5,000 | |||||
Sunplus Technology Co. Ltd. | Shares Voted | 6,000 | Cusip/Sedol | 6084503 | Ticker | 2401 TT | |
Meeting Date | 6/9/2006 | Shares | 6,000 | Meeting Type | AGM | Record Date | 4/10/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Operating Results and Financial Statements | Mgmt | For | Abstain | ||||
Approve Allocation of Income and Dividends | Mgmt | For | Abstain | ||||
Approve Capitalization of 2005 Dividends, Employee Profit Sharing, and Capitalization of Reserves for Bonus Issue | Mgmt | For | Abstain | ||||
Amend Articles of Association | Mgmt | For | Abstain | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | Abstain | ||||
Amend Operating Procedures for Loan of Funds to Other Parties | Mgmt | For | Abstain | ||||
Amend Trading Procedures Governing Derivative Products | Mgmt | For | Abstain | ||||
Amend Procedures Governing the Acquisition or Disposal of Assets | Mgmt | For | Abstain | ||||
Elect Directors and Supervisors | Mgmt | For | Abstain | ||||
Approve Release of Restrictions of Competitive Activities of Directors | Mgmt | For | Abstain | ||||
Other Business | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 6,000 | 6,000 | |||||
Total: | 6,000 | 6,000 | |||||
PT Hanjaya Mandala Sampoerna | Shares Voted | 14,000 | Cusip/Sedol | 6404242 | Ticker | HMSP IJ | |
Meeting Date | 6/9/2006 | Shares | 14,000 | Meeting Type | AGM | Record Date | 5/23/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends of IDR 615 Per Share | Mgmt | For | For | ||||
Approve Haryanto Sahari & Rekan as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Elect Directors and Commissioners | Mgmt | For | For | ||||
Approve Delegation of Duties and Remuneration of Directors | Mgmt | For | For | ||||
Approve Delegation of Duties and Remuneration of Commissioners | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 14,000 | 14,000 | |||||
Total: | 14,000 | 14,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 64,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 64,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Agreement Between the Company and Liquidation Committee of Qingyuan City Yueqing Highway Construction and Devt. Co. Ltd. Relating to the Acquisition of a 20.09 Percent Interest in Guangdong Qinglian Highway Devt. Co. Ltd. | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 64,000 | 64,000 | |||||
Total: | 64,000 | 64,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 64,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 64,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Meeting For H Shareholders | |||||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 64,000 | 64,000 | |||||
Total: | 64,000 | 64,000 | |||||
Shenzhen Expressway Company Ltd. | Shares Voted | 64,000 | Cusip/Sedol | 6848743 | Ticker | 548 HK | |
Meeting Date | 6/12/2006 | Shares | 64,000 | Meeting Type | EGM | Record Date | 5/12/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Meeting For Domestic Shareholders | |||||||
Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 64,000 | 64,000 | |||||
Total: | 64,000 | 64,000 | |||||
GREATEK CO LTD | Shares Voted | 5,000 | Cusip/Sedol | 6293989 | Ticker | 2441 TT | |
Meeting Date | 6/12/2006 | Shares | 5,000 | Meeting Type | AGM | Record Date | 4/13/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Operating Results and Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Amend Procedures Governing the Acquisition or Disposal of Assets | Mgmt | For | For | ||||
Amend Endorsement and Guarantee Operating Guidelines | Mgmt | For | For | ||||
Amend Operating Procedures for Loan of Funds to Other Parties | Mgmt | For | For | ||||
Amend Trading Procedures Regarding Derivative Products | Mgmt | For | For | ||||
Amend Investment Limit in China | Mgmt | For | For | ||||
Other Business | |||||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 5,000 | 5,000 | |||||
Total: | 5,000 | 5,000 | |||||
China Steel Corporation | Shares Voted | 10,000 | Cusip/Sedol | 6190950 | Ticker | 2002 TT | |
Meeting Date | 6/15/2006 | Shares | 10,000 | Meeting Type | AGM | Record Date | 4/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Operating Results and Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | Abstain | ||||
Amend Rules and Procedures Regarding Shareholder Meeting | Mgmt | For | Abstain | ||||
Approve Release of Restrictions of Competitive Activities of \Director Y. C. Chiang | Mgmt | For | Abstain | ||||
Approve Release of Restrictions of Competitive Activities of \Director L. M. Chung | Mgmt | For | Abstain | ||||
Other Business | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 10,000 | 10,000 | |||||
Total: | 10,000 | 10,000 | |||||
Depo Auto Parts Ind. Co. Ltd. | Shares Voted | 2,000 | Cusip/Sedol | 6741411 | Ticker | 6605 TT | |
Meeting Date | 6/15/2006 | Shares | 2,000 | Meeting Type | AGM | Record Date | 4/16/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept 2005 Operating Results and Financial Statements | Mgmt | For | For | ||||
Approve Allocation of Income and Dividends | Mgmt | For | For | ||||
Approve Change in the Use of Proceeds from Share Issuance | Mgmt | For | Abstain | ||||
Approve Capitalization of 2005 Dividends and Employee Profit Sharing | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | Abstain | ||||
Amend Operating Procedures for Endorsement and Guarantee | Mgmt | For | Abstain | ||||
Elect One Director | Mgmt | For | Abstain | ||||
Other Business | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 2,000 | 2,000 | |||||
Total: | 2,000 | 2,000 | |||||
Angang New Steel Company | Shares Voted | 34,000 | Cusip/Sedol | 6015644 | Ticker | 347 HK | |
Meeting Date | 6/20/2006 | Shares | 34,000 | Meeting Type | AGM | Record Date | 5/19/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Accept Report of the Board of Directors | Mgmt | For | For | ||||
Accept Report of the Supervisory Committee | Mgmt | For | For | ||||
Accept Financial Statements and Statutory Reports | Mgmt | For | For | ||||
Approve Proposed Profit Distribution Plan | Mgmt | For | For | ||||
Approve Remuneration of Directors and Supervisors | Mgmt | For | For | ||||
Approve Auditors for 2006 and Authorize Board to Fix Their Remuneration | Mgmt | For | For | ||||
Elect Liu Jie as Executive Director | Mgmt | For | For | ||||
Elect Tang Fuping as Executive Director | Mgmt | For | For | ||||
Elect Yang Hua as Executive Director | Mgmt | For | For | ||||
Elect Wang Chunming as Executive Director | Mgmt | For | For | ||||
Elect Huang Haodong as Executive Director | Mgmt | For | For | ||||
Elect Lin Daqing as Executive Director | Mgmt | For | For | ||||
Elect Fu Wei as Executive Director | Mgmt | For | For | ||||
Elect Fu Jihui as Executive Director | Mgmt | For | For | ||||
Elect Yu Wanyuan as Non-Executive Director | Mgmt | For | For | ||||
Elect Wu Xichun as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Wang Linsen as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Liu Yongze as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Francis Li Chak Yan as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Wang Xiaobin as Independent Non-Executive Director | Mgmt | For | For | ||||
Elect Qi Cong as Supervisor | Mgmt | For | For | ||||
Elect Zhang Lifen as Supervisor | Mgmt | For | For | ||||
Elect Shan Mingyi as Supervisor | Mgmt | For | For | ||||
Change Company Name | Mgmt | For | For | ||||
Amend Articles of Association | Mgmt | For | For | ||||
Amend Rules of Procedure for the General Meetings of the Shareholders | Mgmt | For | For | ||||
Amend Rules of Procedure for the Meetings of the Board of \Directors | Mgmt | For | For | ||||
Amend Rules of Procedure for the Meeetings of the Supervisory Committee | Mgmt | For | For | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 34,000 | 34,000 | |||||
Total: | 34,000 | 34,000 | |||||
PT Hanjaya Mandala Sampoerna Tbk | Shares Voted | 14,000 | Cusip/Sedol | 6404242 | Ticker | HMSP IJ | |
Meeting Date | 6/27/2006 | Shares | 14,000 | Meeting Type | EGM | Record Date | 6/6/2006 |
Ballot Issues | Proponent | Mgmt | Vote | ||||
Rec | Cast | ||||||
Approve Distribution Agreement with Related Parties | Mgmt | For | Abstain | ||||
Approve Licensing Agreement with a Related Party | Mgmt | For | Abstain | ||||
Fund Name | Shares Available | Shares Voted | |||||
03513 Guinness Atkinson Asia Pacific Div Fund | 14,000 | 14,000 | |||||
Total: | 14,000 | 14,000 | |||||
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) GUINNESS ATKINSON FUNDS
By (Signature and Title)* /s/ James J. Atkinson, Jr.
James J. Atkinson, Jr.
Principal Executive Officer
Date August 11, 2006
* Print the name and title of each signing officer under his or her signature.