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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: 811-08542
The Saratoga Advantage Trust
________________________________________________________________________
(Exact name of registrant as specified in charter)
1101 Stewart Avenue, Suite 207, Garden City, New York 11530
(Address of principal executive offices)
(Zip code)
Bruce E. Ventimiglia
The Saratoga Advantage Trust
1101 Stewart Avenue, Suite 207
Garden City, New York 11530
________________________________________________________________________
(Name and address of agent for service)
Registrant's telephone number, including area code: (516) 542-3000
Date of fiscal year end: August 31st
Date of reporting period: July 1, 2003 - June 30, 2004
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB ") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507. SEC 2451 (4-03) Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
ITEM 1. PROXY VOTING RECORD: (see attached tables)
Appended hereto as Exhibit A is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2004 with respect to which the Registrant was entitled to vote:
(a). The name of the issuer of the portfolio security;
(b). The exchange ticker symbol of the portfolio security;
(c). The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d). The shareholder meeting date;
(e). A brief identification of the matter voted on;
(f). Whether the matter was proposed by the issuer or by a security holder;
(g). Whether the Registrant cast its vote on the matter;
(h). How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i). Whether the Registrant cast its vote for or against management.
SIGNATURES
[See General Instruction F]
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)
THE SARATOGA ADVANTAGE TRUST
By (Signature and Title)* /s/ Bruce E. Ventimiglia
Bruce E. Ventimiglia, President
Date 8/26/2004
* Print the name and title of each signing officer under his or her signature.
Item 1, Exhibit A1
The Saratoga Advantage Trust: Large Capitalization Growth Portfolio
Investment Company Act file number: 811-08542
July 1, 2003 – June 30, 2004
DELL COMPUTER CORPORATION |
| DELL |
| Annual Meeting Date: 07/18/2003 | ||
Issuer: 247025 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
MICHAEL A. MILES | Management | For | For | |||
ALEX J. MANDL | Management | For | For | |||
MORTON L. TOPFER | Management | For | For | |||
02 | ELIMINATION OF CLASSIFIED BOARD | Management | For | For | ||
03 | CHANGE OF COMPANY NAME TO DELL INC. | Management | For | For | ||
04 | APPROVAL OF EXECUTIVE ANNUAL INCENTIVE BONUS PLAN | Management | For | For | ||
MEDTRONIC, INC. |
| MDT |
| Annual Meeting Date: 08/28/2003 | ||
Issuer: 585055 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
RICHARD H. ANDERSON | Management | For | For | |||
MICHAEL R. BONSIGNORE | Management | For | For | |||
GORDON M. SPRENGER | Management | For | For | |||
02 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS | Management | For | For | ||
LLP AS MEDTRONIC S INDEPENDENT AUDITORS | ||||||
03 | TO APPROVE MEDTRONIC S 2003 LONG-TERM INCENTIVE | Management | For | For | ||
PLAN. | ||||||
04 | TO APPROVE MEDTRONIC S EXECUTIVE INCENTIVE PLAN. | Management | For | For | ||
UTSTARCOM, INC. |
| UTSI |
| Special Meeting Date: 09/24/2003 | ||
Issuer: 918076 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | TO APPROVE AN AMENDMENT TO THE COMPANY S THIRTEENTH | Management | For | For | ||
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO | ||||||
INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON | ||||||
STOCK, PAR VALUE $0.00125 PER SHARE, OF THE COMPANY FROM | ||||||
250,000,000 SHARES TO 750,000,000 SHARES | ||||||
ORACLE CORPORATION |
| ORCL |
| Annual Meeting Date: 10/13/2003 | ||
Issuer: 68389X | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GORDY | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
LAWRENCE J. ELLISON | Management | For | For | |||
DONALD L. LUCAS | Management | For | For | |||
MICHAEL J. BOSKIN | Management | For | For | |||
JEFFREY O. HENLEY | Management | For | For | |||
JACK F. KEMP | Management | For | For | |||
JEFFREY BERG | Management | For | For | |||
SAFRA CATZ | Management | For | For | |||
HECTOR GARCIA-MOLINA | Management | For | For | |||
JOSEPH A. GRUNDFEST | Management | For | For | |||
H. RAYMOND BINGHAM | Management | For | For | |||
02 | PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF | Management | For | For | ||
THE FISCAL YEAR 2004 EXECUTIVE BONUS PLAN | ||||||
03 | PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & | Management | For | For | ||
YOUNG LLP AS INDEPENDENT AUDITORS OF THE COMPANY | ||||||
FOR THE FISCAL YEAR ENDING MAY 31, 2004 | ||||||
04 | PROPOSAL FOR THE APPROVAL OF THE AMENDED AND | Management | For | For | ||
RESTATED 1993 DIRECTORS STOCK PLAN | ||||||
05 | PROPOSAL TO ADOPT THE CHINA BUSINESS PRINCIPLES | Shareholder | Against | For | ||
FOR RIGHTS OF WORKERS IN CHINA | ||||||
THE PROCTER & GAMBLE COMPANY |
| PG |
| Annual Meeting Date: 10/14/2003 | ||
Issuer: 742718 | ISIN: | |||||
SEDOL: | ||||||
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|
|
|
|
| |
Vote Group: GORDY | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
NORMAN R. AUGUSTINE | Management | For | For | |||
A.G. LAFLEY | Management | For | For | |||
JOHNATHAN A. RODGERS | Management | For | For | |||
JOHN F. SMITH, JR. | Management | For | For | |||
MARGARET C. WHITMAN | Management | For | For | |||
02 | RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Management | For | For | ||
03 | APPROVE THE PROCTER & GAMBLE 2003 NON-EMPLOYEE | Management | For | For | ||
DIRECTORS STOCK PLAN | ||||||
04 | SHAREHOLDER PROPOSAL NO. 1 BOARD OF DIRECTORS | Shareholder | For | Against | ||
TERMS | ||||||
05 | SHAREHOLDER PROPOSAL NO. 2 LABEL GENETICALLY | Shareholder | Against | For | ||
ENGINEERED FOODS | ||||||
INTUIT INC. |
| INTU |
| Annual Meeting Date: 10/30/2003 | ||
Issuer: 461202 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
STEPHEN M. BENNETT | Management | For | For | |||
CHRISTOPHER W. BRODY | Management | For | For | |||
WILLIAM V. CAMPBELL | Management | For | For | |||
SCOTT D. COOK | Management | For | For | |||
L. JOHN DOERR | Management | For | For | |||
DONNA L. DUBINSKY | Management | For | For | |||
MICHAEL R. HALLMAN | Management | For | For | |||
STRATTON D. SCLAVOS | Management | For | For | |||
02 | APPROVE THE AMENDMENT OF THE INTUIT INC. 1996 | Management | For | For | ||
EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE | ||||||
NUMBER OF SHARES OF COMMON STOCK AVAILABLE UNDER | ||||||
THE PLAN BY 500,000 SHARES (FROM 4,900,000 SHARES | ||||||
TO 5,400,000 SHARES). | ||||||
03 | RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS | Management | For | For | ||
OUR INDEPENDENT AUDITORS FOR FISCAL 2004. | ||||||
LINEAR TECHNOLOGY CORPORATION |
| LLTC |
| Annual Meeting Date: 11/05/2003 | ||
Issuer: 535678 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
ROBERT H. SWANSON, JR. | Management | For | For | |||
DAVID S. LEE | Management | For | For | |||
LEO T. MCCARTHY | Management | For | For | |||
RICHARD M. MOLEY | Management | For | For | |||
THOMAS S. VOLPE | Management | For | For | |||
02 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP | Management | For | For | ||
AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE | ||||||
FISCAL YEAR ENDING JUNE 27, 2004. | ||||||
MICROSOFT CORPORATION |
| MSFT |
| Annual Meeting Date: 11/11/2003 | ||
Issuer: 594918 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
WILLIAM H. GATES III | Management | For | For | |||
STEVEN A. BALLMER | Management | For | For | |||
JAMES I. CASH JR. | Management | For | For | |||
RAYMOND V. GILMARTIN | Management | For | For | |||
A. MCLAUGHLIN KOROLOGOS | Management | For | For | |||
DAVID F. MARQUARDT | Management | For | For | |||
CHARLES H. NOSKI | Management | For | For | |||
HELMUT PANKE | Management | For | For | |||
WM. G. REED JR. | Management | For | For | |||
JON A. SHIRLEY | Management | For | For | |||
02 | ADOPTION OF THE AMENDMENTS TO THE 2001 STOCK PLAN | Management | For | For | ||
03 | ADOPTION OF THE AMENDMENTS TO THE 1999 STOCK | Management | For | For | ||
OPTION PLAN FOR NON-EMPLOYEE DIRECTORS | ||||||
04 | SHAREHOLDER PROPOSAL (THE BOARD RECOMMENDS A | Shareholder | Against | For | ||
VOTE AGAINST THIS PROPOSAL) | ||||||
COSTCO WHOLESALE CORPORATION |
| COST |
| Annual Meeting Date: 01/29/2004 | ||
Issuer: 22160K | ISIN: | |||||
SEDOL: | ||||||
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|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
BENJAMIN S. CARSON* | Management | For | For | |||
HAMILTON E. JAMES* | Management | For | For | |||
JILL S. RUCKELSHAUS* | Management | For | For | |||
WILLIAM H. GATES, II* | Management | For | For | |||
DANIEL J. EVANS** | Management | For | For | |||
02 | SHAREHOLDER PROPOSAL TO ELECT DIRECTORS ANNUALLY | Shareholder | For | Against | ||
AND NOT BY CLASSES. | ||||||
03 | SHAREHOLDER PROPOSAL TO DEVELOP A POLICY FOR | Shareholder | For | Against | ||
LAND PROCUREMENT. | ||||||
04 | RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS. | Management | For | For | ||
APPLIED MATERIALS, INC. |
| AMAT |
| Annual Meeting Date: 03/24/2004 | ||
Issuer: 038222 | ISIN: | |||||
SEDOL: | ||||||
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| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
MICHAEL H. ARMACOST | Management | For | For | |||
DEBORAH A. COLEMAN | Management | For | For | |||
HERBERT M. DWIGHT, JR. | Management | For | For | |||
PHILIP V. GERDINE | Management | For | For | |||
PAUL R. LOW | Management | For | For | |||
DAN MAYDAN | Management | For | For | |||
STEVEN L. MILLER | Management | For | For | |||
JAMES C. MORGAN | Management | For | For | |||
GERHARD H. PARKER | Management | For | For | |||
MICHAEL R. SPLINTER | Management | For | For | |||
02 | TO APPROVE THE AMENDED AND RESTATED EMPLOYEE | Management | For | For | ||
STOCK INCENTIVE PLAN. | ||||||
TYCO INTERNATIONAL LTD. |
| TYC |
| Annual Meeting Date: 03/25/2004 | ||
Issuer: 902124 | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GORDY | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
DENNIS C. BLAIR | Management | For | For | |||
EDWARD D. BREEN | Management | For | For | |||
GEORGE W. BUCKLEY | Management | For | For | |||
BRIAN DUPERREAULT | Management | For | For | |||
BRUCE S. GORDON | Management | For | For | |||
JOHN A. KROL | Management | For | For | |||
MACKEY J. MCDONALD | Management | For | For | |||
H. CARL MCCALL | Management | For | For | |||
BRENDAN R. O'NEILL | Management | For | For | |||
SANDRA S. WIJNBERG | Management | For | For | |||
JEROME B. YORK | Management | For | For | |||
02 | APPOINTMENT OF DELOITTE & TOUCHE LLP AS TYCO | Management | For | For | ||
S INDEPENDENT AUDITORS AND AUTHORIZATION FOR | ||||||
THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS | ||||||
TO SET THE AUDITORS REMUNERATION. | ||||||
03 | ADOPTION OF THE AMENDED AND RESTATED BY-LAWS. | Management | For | For | ||
04 | APPROVAL OF TYCO 2004 STOCK AND INCENTIVE PLAN. | Management | For | For | ||
05 | SHAREHOLDER PROPOSAL REGARDING ENVIRONMENTAL REPOR | Shareholder | Against | For | ||
06 | SHAREHOLDER PROPOSAL TO CHANGE TYCO S JURISDICTION | Shareholder | Against | For | ||
OF INCORPORATION FROM BERMUDA TO A U.S. STATE. | ||||||
07 | SHAREHOLDER PROPOSAL ON COMMON SENSE EXECUTIVE | Shareholder | Against | For | ||
COMPENSATION. | ||||||
STARBUCKS CORPORATION |
| SBUX |
| Annual Meeting Date: 03/30/2004 | ||
Issuer: 855244 | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
WILLIAM W. BRADLEY* | Management | For | For | |||
GREGORY B. MAFFEI* | Management | For | For | |||
ORIN C. SMITH* | Management | For | For | |||
OLDEN LEE** | Management | For | For | |||
02 | PROPOSAL TO RATIFY THE SELECTION OF DELOITTE | Management | For | For | ||
& TOUCHE LLP AS THE COMPANY S INDEPENDENT AUDITORS | ||||||
FOR THE FISCAL YEAR ENDING OCTOBER 3, 2004. | ||||||
THE GOLDMAN SACHS GROUP, INC. |
| GS |
| Annual Meeting Date: 03/31/2004 | ||
Issuer: 38141G | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
LLOYD C. BLANKFEIN | Management | For | For | |||
LD BROWNE OF MADINGLEY | Management | For | For | |||
CLAES DAHLBACK | Management | For | For | |||
JAMES A. JOHNSON | Management | For | For | |||
LOIS D. JULIBER | Management | For | For | |||
02 | RATIFICATION OF THE APPOINTMENT BY THE AUDIT | Management | For | For | ||
COMMITTEE OF THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS | ||||||
LLP AS INDEPENDENT AUDITORS FOR THE 2004 FISCAL YEAR. | ||||||
03 | ANNUAL ELECTION OF ALL DIRECTORS TO THE BOARD | Shareholder | For | Against | ||
OF DIRECTORS. | ||||||
NOVELLUS SYSTEMS, INC. |
| NVLS |
| Annual Meeting Date: 04/16/2004 | ||
Issuer: 670008 | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GORDY | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
RICHARD S. HILL | Management | For | For | |||
NEIL R. BONKE | Management | For | For | |||
YOUSSEF A. EL-MANSY | Management | For | For | |||
J. DAVID LITSTER | Management | For | For | |||
YOSHIO NISHI | Management | For | For | |||
GLEN G. POSSLEY | Management | For | For | |||
ANN D. RHOADS | Management | For | For | |||
WILLIAM R. SPIVEY | Management | For | For | |||
DELBERT A. WHITAKER | Management | For | For | |||
02 | PROPOSAL TO RATIFY AND APPROVE THE APPOINTMENT OF | Management | For | For | ||
ERNST & YOUNG LLP AS THE INDEPENDENT AUDITORS FOR THE | ||||||
COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004. | ||||||
03 | SHAREHOLDER PROPOSAL REGARDING PROVISION OF NON-AUDI | Shareholder | For | Against | ||
SERVICES BY INDEPENDENT AUDITORS. | ||||||
04 | SHAREHOLDER PROPOSAL REGARDING EXECUTIVE COMPENSATION | Shareholder | Against | For | ||
CITIGROUP INC. |
| C |
| Annual Meeting Date: 04/20/2004 | ||
Issuer: 172967 | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
C. MICHAEL ARMSTRONG | Management | For | For | |||
ALAIN J.P. BELDA | Management | For | For | |||
GEORGE DAVID | Management | For | For | |||
KENNETH T. DERR | Management | For | For | |||
JOHN M. DEUTCH | Management | For | For | |||
R. HERNANDEZ RAMIREZ | Management | For | For | |||
ANN DIBBLE JORDAN | Management | For | For | |||
DUDLEY C. MECUM | Management | For | For | |||
RICHARD D. PARSONS | Management | For | For | |||
ANDRALL E. PEARSON | Management | For | For | |||
CHARLES PRINCE | Management | For | For | |||
ROBERT E. RUBIN | Management | For | For | |||
FRANKLIN A. THOMAS | Management | For | For | |||
SANFORD I. WEILL | Management | For | For | |||
ROBERT B. WILLUMSTAD | Management | For | For | |||
02 | PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP | Management | For | For | ||
AS CITIGROUP S INDEPENDENT AUDITORS FOR 2004. | ||||||
03 | STOCKHOLDER PROPOSAL REQUESTING A CURB ON EXECUTIVE | Shareholder | Against | For | ||
COMPENSATION, NO FUTURE STOCK OPTION GRANTS AND NO | ||||||
RENEWALS OR EXTENSIONS OF OPTION PLANS. | ||||||
04 | STOCKHOLDER PROPOSAL REQUESTING A REPORT ON POLITICAL | Shareholder | For | Against | ||
CONTRIBUTIONS. | ||||||
05 | STOCKHOLDER PROPOSAL REQUESTING A DISCONTINUATION | Shareholder | Against | For | ||
OF ALL RIGHTS, OPTIONS, SAR S AND POSSIBLE SEVERANCE | ||||||
PAYMENTS TO THE TOP 5 OF MANAGEMENT. | ||||||
06 | STOCKHOLDER PROPOSAL REQUESTING THAT THE CHAIRMAN | Shareholder | For | Against | ||
OF THE BOARD HAVE NO MANAGEMENT DUTIES, TITLES OR | ||||||
RESPONSIBILITIES. | ||||||
JOHNSON & JOHNSON |
| JNJ |
| Annual Meeting Date: 04/22/2004 | ||
Issuer: 478160 | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
GERARD N. BURROW | Management | For | For | |||
MARY S. COLEMAN | Management | For | For | |||
JAMES G. CULLEN | Management | For | For | |||
ROBERT J. DARRETTA | Management | For | For | |||
M. JUDAH FOLKMAN | Management | For | For | |||
ANN D. JORDAN | Management | For | For | |||
ARNOLD G. LANGBO | Management | For | For | |||
SUSAN L. LINDQUIST | Management | For | For | |||
LEO F. MULLIN | Management | For | For | |||
STEVEN S REINEMUND | Management | For | For | |||
DAVID SATCHER | Management | For | For | |||
HENRY B. SCHACHT | Management | For | For | |||
WILLIAM C. WELDON | Management | For | For | |||
02 | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPER | Management | For | For | ||
AS INDEPENDENT AUDITORS | ||||||
03 | PROPOSAL ON CHARITABLE CONTRIBUTIONS | Shareholder | Against | For | ||
| ||||||
PFIZER INC. |
| PFE |
| Annual Meeting Date: 04/22/2004 | ||
Issuer: 717081 | ISIN: | |||||
SEDOL: | ||||||
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Vote Group: GORDY | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
MICHAEL S. BROWN | Management | For | For | |||
M. ANTHONY BURNS | Management | For | For | |||
ROBERT N. BURT | Management | For | For | |||
W. DON CORNWELL | Management | For | For | |||
WILLIAM H. GRAY III | Management | For | For | |||
CONSTANCE J. HORNER | Management | For | For | |||
WILLIAM R. HOWELL | Management | For | For | |||
STANLEY O. IKENBERRY | Management | For | For | |||
GEORGE A. LORCH | Management | For | For | |||
HENRY A. MCKINNELL | Management | For | For | |||
DANA G. MEAD | Management | For | For | |||
FRANKLIN D. RAINES | Management | For | For | |||
RUTH J. SIMMONS | Management | For | For | |||
WILLIAM C. STEERE, JR. | Management | For | For | |||
JEAN-PAUL VALLES | Management | For | For | |||
02 | A PROPOSAL TO APPROVE THE APPOINTMENT OF KPMG | Management | For | For | ||
LLP AS INDEPENDENT AUDITORS FOR 2004. | ||||||
03 | A PROPOSAL TO APPROVE THE PFIZER INC. 2004 STOCK PLAN. | Management | For | For | ||
04 | SHAREHOLDER PROPOSAL REQUESTING REVIEW OF THE | Shareholder | Against | For | ||
ECONOMIC EFFECTS OF THE HIV/AIDS, TB AND MALARIA | ||||||
PANDEMICS ON THE COMPANY S BUSINESS STRATEGY. | ||||||
05 | SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS | Shareholder | Against | For | ||
06 | SHAREHOLDER PROPOSAL RELATING TO AN ANNUAL REPORT | Shareholder | For | Against | ||
ON CORPORATE RESOURCES DEVOTED TO SUPPORTING | ||||||
POLITICAL ENTITIES OR CANDIDATES. | ||||||
07 | SHAREHOLDER PROPOSAL SEEKING TO IMPOSE TERM LIMITS | Shareholder | Against | For | ||
ON DIRECTORS. | ||||||
08 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INCREASING | Shareholder | For | Against | ||
ACCESS TO PFIZER PRODUCTS. | ||||||
09 | SHAREHOLDER PROPOSAL ON STOCK OPTIONS. | Shareholder | Against | For | ||
10 | SHAREHOLDER PROPOSAL ON IN VITRO TESTING. | Shareholder | Against | For | ||
| ||||||
CLEAR CHANNEL COMMUNICATIONS, INC. |
| CCU |
| Annual Meeting Date: 04/28/2004 | ||
Issuer: 184502 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
ALAN D. FELD | Management | For | For | |||
THOMAS O. HICKS | Management | For | For | |||
PERRY J. LEWIS | Management | For | For | |||
L. LOWRY MAYS | Management | For | For | |||
MARK P. MAYS | Management | For | For | |||
RANDALL T. MAYS | Management | For | For | |||
B.J. MCCOMBS | Management | For | For | |||
PHYLLIS B. RIGGINS | Management | For | For | |||
THEORDORE H. STRAUSS | Management | For | For | |||
J.C. WATTS | Management | For | For | |||
JOHN H. WILLIAMS | Management | For | For | |||
02 | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS | Management | For | For | ||
INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004. | ||||||
GENERAL ELECTRIC COMPANY |
| GE |
| Annual Meeting Date: 04/28/2004 | ||
Issuer: 369604 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
0A | DIRECTOR |
| Management | For | For | |
| ||||||
JAMES I. CASH, JR. | Management | For | For | |||
DENNIS D. DAMMERMAN | Management | For | For | |||
ANN M. FUDGE | Management | For | For | |||
CLAUDIO X. GONZALEZ | Management | For | For | |||
JEFFREY R. IMMELT | Management | For | For | |||
ANDREA JUNG | Management | For | For | |||
ALAN G. LAFLEY | Management | For | For | |||
KENNETH G. LANGONE | Management | For | For | |||
RALPH S. LARSEN | Management | For | For | |||
ROCHELLE B. LAZARUS | Management | For | For | |||
SAM NUNN | Management | For | For | |||
ROGER S. PENSKE | Management | For | For | |||
ROBERT J. SWIERINGA | Management | For | For | |||
DOUGLAS A. WARNER III | Management | For | For | |||
ROBERT C. WRIGHT | Management | For | For | |||
0B | INDEPENDENT AUDITOR | Management | For | For | ||
0C | REVENUE MEASUREMENT ADDED TO EXECUTIVE OFFICER | Management | For | For | ||
PERFORMANCE GOALS | ||||||
01 | CUMULATIVE VOTING | Shareholder | For | Against | ||
02 | ANIMAL TESTING | Shareholder | Against | For | ||
03 | NUCLEAR RISK | Shareholder | For | Against | ||
04 | REPORT ON PCB CLEANUP COSTS | Shareholder | For | Against | ||
05 | OFFSHORE SOURCING | Shareholder | For | Against | ||
06 | SUSTAINABILITY INDEX | Shareholder | For | Against | ||
07 | COMPENSATION COMMITTEE INDEPENDENCE | Shareholder | For | Against | ||
08 | PAY DISPARITY | Shareholder | For | Against | ||
09 | END STOCK OPTIONS AND BONUSES | Shareholder | Against | For | ||
10 | LIMIT OUTSIDE DIRECTORSHIPS | Shareholder | Against | For | ||
11 | INDEPENDENT BOARD CHAIRMAN | Shareholder | For | Against | ||
12 | EXPLORE SALE OF COMPANY | Shareholder | Against | For | ||
13 | HOLDING STOCK FROM STOCK OPTIONS | Shareholder | Against | For | ||
14 | BOARD INDEPENDENCE | Shareholder | For | Against | ||
15 | POLITICAL CONTRIBUTIONS | Shareholder | For | Against | ||
| ||||||
KOHL'S CORPORATION |
| KSS |
| Annual Meeting Date: 04/28/2004 | ||
Issuer: 500255 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
WAYNE EMBRY | Management | For | For | |||
JOHN F. HERMA | Management | For | For | |||
R. LAWRENCE MONTGOMERY | Management | For | For | |||
FRANK V. SICA | Management | For | For | |||
02 | RATIFY APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT | Management | For | For | ||
AUDITORS. | ||||||
03 | SHAREHOLDER PROPOSAL REQUESTING THAT THE BOARD | Shareholder | Against | For | ||
OF DIRECTORS COMPENSATION COMMITTEE, IN DEVELOPING | ||||||
FUTURE EXECUTIVE EQUITY COMPENSATION PLANS, UTILIZE | ||||||
PERFORMANCE AND TIME-BASED RESTRICTED SHARE PROGRAMS | ||||||
IN LIEU OF STOCK OPTIONS. | ||||||
04 | SHAREHOLDER PROPOSAL REQUESTING THE BOARD OF | Shareholder | For | Against | ||
DIRECTORS TO AMEND THE COMPANY S BY-LAWS TO REQUIRE | ||||||
THAT AN INDEPENDENT DIRECTOR, AS DEFINED BY THE | ||||||
RULES OF THE NEW YORK STOCK EXCHANGE, BE ITS | ||||||
CHAIRMAN OF THE BOARD OF DIRECTORS. | ||||||
CAPITAL ONE FINANCIAL CORPORATION |
| COF |
| Annual Meeting Date: 04/29/2004 | ||
Issuer: 14040H | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
W. RONALD DIETZ | Management | For | For | |||
LEWIS HAY, III | Management | For | For | |||
MAYO A. SHATTUCK, III | Management | For | For | |||
02 | RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT | Management | For | For | ||
AUDITORS OF THE CORPORATION FOR 2004. | ||||||
03 | APPROVAL OF CAPITAL ONE S 2004 STOCK INCENTIVE PLAN. | Management | For | For | ||
| ||||||
FAIRCHILD SEMICONDUCTOR INTL., INC. |
| FCS |
| Annual Meeting Date: 05/04/2004 | ||
Issuer: 303726 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
KIRK P. POND | Management | For | For | |||
JOSEPH R. MARTIN | Management | For | For | |||
CHARLES P. CARINALLI | Management | For | For | |||
RICHARD M. CASHIN, JR. | Management | For | For | |||
CHARLES M. CLOUGH | Management | For | For | |||
ROBERT F. FRIEL | Management | For | For | |||
THOMAS L. MAGNANTI | Management | For | For | |||
BRYAN R. ROUB | Management | For | For | |||
PAUL C. SCHORR IV | Management | For | For | |||
RONALD W. SHELLY | Management | For | For | |||
WILLIAM N. STOUT | Management | For | For | |||
02 | PROPOSAL TO AMEND AND APPROVE THE FAIRCHILD SEMICOND | Management | For | For | ||
STOCK PLAN. | ||||||
03 | PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP | Management | For | For | ||
AS INDEPENDENT AUDITORS FOR 2004. | ||||||
ROBERT HALF INTERNATIONAL INC. |
| RHI |
| Annual Meeting Date: 05/04/2004 | ||
Issuer: 770323 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
ANDREW S. BERWICK, JR. | Management | For | For | |||
FREDERICK P. FURTH | Management | For | For | |||
EDWARD W. GIBBONS | Management | For | For | |||
HAROLD M. MESSMER, JR. | Management | For | For | |||
THOMAS J. RYAN | Management | For | For | |||
J. STEPHEN SCHAUB | Management | For | For | |||
M. KEITH WADDELL | Management | For | For | |||
02 | RATIFICATION OF APPOINTMENT OF AUDITOR. | Management | For | For | ||
EMC CORPORATION |
| EMC |
| Annual Meeting Date: 05/05/2004 | ||
Issuer: 268648 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
JOHN R. EGAN | Management | For | For | |||
MICHAEL C. RUETTGERS | Management | For | For | |||
DAVID N. STROHM | Management | For | For | |||
02 | PROPOSAL 2 - TO APPROVE AN AMENDMENT TO EMC S | Management | For | For | ||
2003 STOCK PLAN TO INCREASE BY 50,000,000 THE | ||||||
NUMBER OF SHARES AVAILABLE FOR GRANT UNDER SUCH | ||||||
PLAN, AND ALLOW AWARDS OF RESTRICTED STOCK AND | ||||||
RESTRICTED STOCK UNITS TO BE GRANTED TO NON-EMPLOYEE | ||||||
DIRECTORS, AS DESCRIBED IN EMC S PROXY STATEMENT. | ||||||
03 | PROPOSAL 3 - TO APPROVE AN AMENDMENT TO EMC S | Management | For | For | ||
1989 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE | ||||||
BY 25,000,000 THE NUMBER OF SHARES AVAILABLE | ||||||
FOR GRANT UNDER SUCH PLAN, AS DESCRIBED IN EMC | ||||||
S PROXY STATEMENT. | ||||||
04 | PROPOSAL 4 - TO RATIFY THE SELECTION BY THE AUDIT | Management | For | For | ||
COMMITTEE OF THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS | ||||||
LLP AS EMC S INDEPENDENT AUDITORS FOR THE FISCAL | ||||||
YEAR ENDING DECEMBER 31, 2004. | ||||||
05 | PROPOSAL 5 - TO ACT UPON A STOCKHOLDER PROPOSAL | Shareholder | Against | For | ||
RELATING TO EXECUTIVE COMPENSATION, AS DESCRIBED | ||||||
IN EMC S PROXY STATEMENT. | ||||||
UNIVISION COMMUNICATIONS INC. |
| UVN |
| Annual Meeting Date: 05/12/2004 | ||
Issuer: 914906 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
A. JERROLD PERENCHIO | Management | For | For | |||
FERNANDO AGUIRRE | Management | For | For | |||
HAROLD GABA | Management | For | For | |||
ALAN F. HORN | Management | For | For | |||
JOHN G. PERENCHIO | Management | For | For | |||
RAY RODRIGUEZ | Management | For | For | |||
MCHENRY T. TICHENOR, JR | Management | For | For | |||
02 | PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & | Management | For | For | ||
YOUNG LLP AS INDEPENDENT AUDITORS FOR FISCAL 2004. | ||||||
03 | PROPOSAL TO ADOPT THE 2004 PERFORMANCE AWARD | Management | For | For | ||
PLAN. | ||||||
VISHAY INTERTECHNOLOGY, INC. |
| VSH |
| Annual Meeting Date: 05/12/2004 | ||
Issuer: 928298 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
DR. FELIX ZANDMAN | Management | For | For | |||
PHILIPPE GAZEAU | Management | For | For | |||
ZVI GRINFAS | Management | For | For | |||
DR. GERALD PAUL | Management | For | For | |||
02 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP | Management | For | For | ||
AS VISHAY S INDEPENDENT AUDITORS FOR THE YEAR | ||||||
ENDING DECEMBER 31, 2004. | ||||||
03 | APPROVAL OF THE AMENDED AND RESTATED VISHAY INTERTECH | Management | For | For | ||
INC. SECTION 162(M) CASH BONUS PLAN. | ||||||
04 | APPROVAL OF THE VISHAY INTERTECHNOLOGY, INC. | Management | For | For | ||
SENIOR EXECUTIVE PHANTOM STOCK PLAN. | ||||||
J. C. PENNEY COMPANY, INC. |
| JCP |
| Annual Meeting Date: 05/14/2004 | ||
Issuer: 708160 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
C.C. BARRETT | Management | For | For | |||
M.A. BURNS | Management | For | For | |||
M.K. CLARK | Management | For | For | |||
A. QUESTROM | Management | For | For | |||
02 | RATIFICATION OF AUDITORS. | Management | For | For | ||
AMERICAN INTERNATIONAL GROUP, INC. |
| AIG |
| Annual Meeting Date: 05/19/2004 | ||
Issuer: 026874 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
M. AIDINOFF | Management | For | For | |||
P. CHIA | Management | For | For | |||
M. COHEN | Management | For | For | |||
W. COHEN | Management | For | For | |||
M. FELDSTEIN | Management | For | For | |||
E. FUTTER | Management | For | For | |||
M. GREENBERG | Management | For | For | |||
C. HILLS | Management | For | For | |||
F. HOENEMEYER | Management | For | For | |||
R. HOLBROOKE | Management | For | For | |||
D. KANAK | Management | For | For | |||
H. SMITH | Management | For | For | |||
M. SULLIVAN | Management | For | For | |||
E. TSE | Management | For | For | |||
F. ZARB | Management | For | For | |||
02 | ADOPT CHIEF EXECUTIVE OFFICER ANNUAL COMPENSATION | Management | For | For | ||
PLAN | ||||||
03 | ADOPT A DIRECTOR STOCK PLAN | Management | For | For | ||
04 | RATIFICATION OF INDEPENDENT ACCOUNTANTS | Management | For | For | ||
05 | SHAREHOLDER PROPOSAL I DESCRIBED IN THE PROXY | Shareholder | For | Against | ||
STATEMENT | ||||||
06 | SHAREHOLDER PROPOSAL II DESCRIBED IN THE PROXY | Shareholder | Against | For | ||
STATEMENT | ||||||
07 | SHAREHOLDER PROPOSAL III DESCRIBED IN THE PROXY | Shareholder | Against | For | ||
STATEMENT | ||||||
JUNIPER NETWORKS, INC. |
| JNPR |
| Annual Meeting Date: 05/19/2004 | ||
Issuer: 48203R | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | NOT VOTED ON | |||||
TARGET CORPORATION |
| TGT |
| Annual Meeting Date: 05/19/2004 | ||
Issuer: 87612E | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
CALVIN DARDEN | Management | For | For | |||
MICHELE J. HOOPER | Management | For | For | |||
ANNE M. MULCAHY | Management | For | For | |||
STEPHEN W. SANGER | Management | For | For | |||
WARREN R. STALEY | Management | For | For | |||
02 | APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT | Management | For | For | ||
AUDITORS. | ||||||
03 | APPROVAL OF THE TARGET CORPORATION LONG-TERM | Management | For | For | ||
INCENTIVE PLAN. | ||||||
FANNIE MAE |
| FNM |
| Annual Meeting Date: 05/25/2004 | ||
Issuer: 313586 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
S.B. ASHLEY | Management | For | For | |||
K.M. DUBERSTEIN | Management | For | For | |||
T.P. GERRITY | Management | For | For | |||
T. HOWARD | Management | For | For | |||
A. KOROLOGOS | Management | For | For | |||
F.V. MALEK | Management | For | For | |||
D.B. MARRON | Management | For | For | |||
D.H. MUDD | Management | For | For | |||
A.M. MULCAHY | Management | For | For | |||
J.K. PICKETT | Management | For | For | |||
L. RAHL | Management | For | For | |||
F.D. RAINES | Management | For | For | |||
H.P. SWYGERT | Management | For | For | |||
02 | RATIFICATION OF THE SELECTION OF AUDITORS | Management | For | For | ||
03 | APPROVAL OF AN AMENDMENT TO THE FANNIE MAE EMPLOYEE | Management | For | For | ||
STOCK PURCHASE PLAN | ||||||
04 | STOCKHOLDER PROPOSAL TO REINSTATE CUMULATIVE VOTING | Shareholder | Against | For | ||
J.P. MORGAN CHASE & CO. |
| JPM |
| Annual Meeting Date: 05/25/2004 | ||
Issuer: 46625H | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | MERGER PROPOSAL | Management | For | For | ||
| ||||||
02 | DIRECTOR | Management | For | For | ||
| ||||||
HANS W. BECHERER | Management | For | For | |||
FRANK A. BENNACK, JR. | Management | For | For | |||
JOHN H. BIGGS | Management | For | For | |||
LAWRENCE A. BOSSIDY | Management | For | For | |||
ELLEN V. FUTTER | Management | For | For | |||
WILLIAM H. GRAY, III | Management | For | For | |||
WILLIAM B. HARRISON, JR | Management | For | For | |||
HELENE L. KAPLAN | Management | For | For | |||
LEE R. RAYMOND | Management | For | For | |||
JOHN R. STAFFORD | Management | For | For | |||
03 | APPOINTMENT OF EXTERNAL AUDITOR | Management | For | For | ||
04 | RE-APPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN | Management | For | For | ||
05 | ADJOURNMENT OF MEETING, IF NECESSARY, TO SOLICIT | Management | For | For | ||
ADDITIONAL PROXIES | ||||||
06 | DIRECTOR TERM LIMIT | Shareholder | Against | For | ||
07 | CHARITABLE CONTRIBUTIONS | Shareholder | Against | For | ||
08 | POLITICAL CONTRIBUTIONS | Shareholder | For | Against | ||
09 | SEPARATION OF CHAIRMAN AND CEO | Shareholder | For | Against | ||
10 | DERIVATIVE DISCLOSURE | Shareholder | Against | For | ||
11 | AUDITOR INDEPENDENCE | Shareholder | For | Against | ||
12 | DIRECTOR COMPENSATION | Shareholder | Against | For | ||
13 | PAY DISPARITY | Shareholder | For | Against | ||
NEUROCRINE BIOSCIENCES, INC. |
| NBIX |
| Annual Meeting Date: 05/26/2004 | ||
Issuer: 64125C | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
RICHARD F. POPS | Management | For | For | |||
STEPHEN A. SHERWIN, MD | Management | For | For | |||
02 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP | Management | For | For | ||
AS THE COMPANY S INDEPENDENT PUBLIC ACCOUNTANTS | ||||||
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004. | ||||||
03 | TO APPROVE AN AMENDMENT TO THE COMPANY S 2003 | Management | For | For | ||
INCENTIVE STOCK PLAN INCREASING THE NUMBER OF | ||||||
SHARES OF COMMON STOCK RESERVED FOR ISSUANCE | ||||||
FROM 1,100,000 TO 2,300,000 SHARES. | ||||||
HILTON HOTELS CORPORATION |
| HLT |
| Annual Meeting Date: 05/27/2004 | ||
Issuer: 432848 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
02 | RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY | Management | For | For | ||
S AUDITORS FOR 2004. | ||||||
03 | APPROVAL OF THE COMPANY S 2004 OMNIBUS EQUITY | Management | For | For | ||
COMPENSATION PLAN. | ||||||
04 | APPROVAL OF THE COMPANY S ANNUAL INCENTIVE PLAN. | Management | For | For | ||
05 | A STOCKHOLDER PROPOSAL CONCERNING BOARD DECLASSIFICATION | Shareholder | For | Against | ||
06 | A STOCKHOLDER PROPOSAL CONCERNING BOARD INDEPENDENCE | Shareholder | For | Against | ||
WAL-MART STORES, INC. |
| WMT |
| Annual Meeting Date: 06/04/2004 | ||
Issuer: 931142 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
JAMES W. BREYER | Management | For | For | |||
M. MICHELE BURNS | Management | For | For | |||
THOMAS M. COUGHLIN | Management | For | For | |||
DAVID D. GLASS | Management | For | For | |||
ROLAND A. HERNANDEZ | Management | For | For | |||
DAWN G. LEPORE | Management | For | For | |||
JOHN D. OPIE | Management | For | For | |||
J. PAUL REASON | Management | For | For | |||
H. LEE SCOTT, JR. | Management | For | For | |||
JACK C. SHEWMAKER | Management | For | For | |||
JOSE H. VILLARREAL | Management | For | For | |||
JOHN T. WALTON | Management | For | For | |||
S. ROBSON WALTON | Management | For | For | |||
CHRISTOPHER J. WILLIAMS | Management | For | For | |||
02 | APPROVAL OF THE ASDA COLLEAGUE SHARE OWNERSHIP | Management | For | For | ||
PLAN 1999 | ||||||
03 | APPROVAL OF THE ASDA SHARESAVE PLAN 2000 | Management | For | For | ||
04 | APPROVAL OF THE WAL-MART STORES, INC. 2004 ASSOCIATE | Management | For | For | ||
STOCK PURCHASE PLAN | ||||||
05 | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT | Management | For | For | ||
ACCOUNTANTS | ||||||
06 | A SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT | Shareholder | For | Against | ||
CHAIRMAN | ||||||
07 | A SHAREHOLDER PROPOSAL REGARDING A SUSTAINABILITY | Shareholder | For | Against | ||
REPORT | ||||||
08 | A SHAREHOLDER PROPOSAL REGARDING EQUITY COMPENSATIO | Shareholder | For | Against | ||
09 | A SHAREHOLDER PROPOSAL REGARDING GENETICALLY | Shareholder | For | Against | ||
ENGINEERED FOOD PRODUCTS | ||||||
10 | A SHAREHOLDER PROPOSAL REGARDING AN EQUAL EMPLOYME | Shareholder | For | Against | ||
OPPORTUNITY REPORT | ||||||
11 | A SHAREHOLDER PROPOSAL REGARDING SHAREHOLDER | Shareholder | Against | For | ||
APPROVAL OF PARTICIPATION IN THE OFFICER DEFERRED | ||||||
COMPENSATION PLAN | ||||||
STAPLES, INC. |
| SPLS |
| Annual Meeting Date: 06/17/2004 | ||
Issuer: 855030 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
ARTHUR M. BLANK | Management | For | For | |||
GARY L. CRITTENDEN | Management | For | For | |||
MARTIN TRUST | Management | For | For | |||
PAUL F. WALSH | Management | For | For | |||
02 | TO APPROVE STAPLES 2004 STOCK INCENTIVE PLAN. | Management | For | For | ||
03 | TO APPROVE STAPLES AMENDED AND RESTATED 1998 | Management | For | For | ||
EMPLOYEE STOCK PURCHASE PLAN. | ||||||
04 | TO APPROVE STAPLES AMENDED AND RESTATED INTERNATIONAL | Management | For | For | ||
EMPLOYEE STOCK PURCHASE PLAN. | ||||||
05 | TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE | Management | For | For | ||
OF ERNST & YOUNG LLP AS STAPLES INDEPENDENT | ||||||
AUDITORS FOR THE CURRENT FISCAL YEAR. | ||||||
06 | TO ACT ON A SHAREHOLDER PROPOSAL ON SHAREHOLDER | Shareholder | For | Against | ||
RIGHTS PLANS. | ||||||
07 | TO ACT ON A SHAREHOLDER PROPOSAL ON SHAREHOLDER | Shareholder | For | Against | ||
INPUT ON POISON PILLS. | ||||||
08 | TO ACT ON A SHAREHOLDER PROPOSAL ON COMMONSENSE | Shareholder | Against | For | ||
EXECUTIVE COMPENSATION. | ||||||
09 | TO ACT ON A SHAREHOLDER PROPOSAL ON AUDITOR INDEPENDENT | Shareholder | For | Against | ||
NORDSTROM, INC. |
| JWN |
| Annual Meeting Date: 06/22/2004 | ||
Issuer: 655664 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | NOT VOTED ON | |||||
SIEBEL SYSTEMS, INC. |
| SEBL |
| Annual Meeting Date: 06/23/2004 | ||
Issuer: 826170 | ISIN: | |||||
SEDOL: | ||||||
|
|
|
|
|
| |
Vote Group: GLOBAL | ||||||
Proposal | Proposal | Vote | For or Against | |||
Number | Proposal | Type | Cast | Mgmt. | ||
01 | DIRECTOR |
| Management | For | For | |
| ||||||
C. SCOTT HARTZ | Management | For | For | |||
CHARLES R. SCHWAB | Management | For | For | |||
GEORGE T. SHAHEEN | Management | For | For | |||
JOHN W. WHITE | Management | For | For | |||
02 | TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT | Management | For | For | ||
AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004. | ||||||
03 | TO VOTE ON THE STOCKHOLDER PROPOSAL REQUESTING | Shareholder | Abstain | Against | ||
THAT THE BOARD OF DIRECTORS ADOPT A POLICY OF | ||||||
EXPENSING THE COST OF FUTURE EMPLOYEE AND DIRECTOR | ||||||
STOCK OPTIONS IN OUR ANNUAL INCOME STATEMENT. | ||||||
#
Saratoga Advantage Trust: Small Capitalization Portfolio |
|
|
|
| Item 1, Exhibit A2 | |||
Investment Company Act file number: 811-08542 |
| |||||||
July 1, 2003 – June 30, 2004 |
| |||||||
|
| |||||||
Security Issuer | Exchange Ticker | Cusip | Meeting Date | Subject Matter | Mgmt/Shdr Proposal | Vote Cast | How | For or Against Mgmt.Recommendation |
JAKKS PACIFIC, INC. | JAKK | 47012E | 9/3/2003 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
|
|
|
| 3) TRANSACT OTHER BUSINESS | Issuer | Yes | Against | For |
POLYMEDICA CORPORATION | PLMD | 731738 | 9/26/2003 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
RPM INTERNATIONAL INC. | RPM | 749685 | 10/10/2003 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
INTERNATIONAL RECTIFIER CORPORATION | IRF | 460254 | 12/8/2003 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) AMEND OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) AMEND OMNIBUS STOCK OPTION PLAN | Issuer | Yes | Against | For |
|
|
|
| 4) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
CABLE DESIGN TECHNOLOGIES CORPORATIO | CDT | 126924 | 12/9/2003 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
ROADWAY CORPORATION | ROAD | 769742 | 12/9/2003 | 1) APPROVE MERGER AGREEMENT | Issuer | Yes | For | For |
|
|
|
| 2) APPROVE MOTION TO ADJOURN MEETING | Issuer | Yes | For | For |
INTERNATIONAL RECTIFIER CORPORATION | IRF | 460254 | 1/26/2004 | 1) APPROVE AUTHORIZED COMMON STOCK INCREASE | Issuer | Yes | Against | For |
PIEDMONT NATURAL GAS COMPANY, INC. | PNY | 720186 | 2/27/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
|
|
|
| 3) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
CLARCOR INC. | CLC | 179895 | 03/22/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT STOCK PURCHASE PLAN | Issuer | Yes | For | For |
A.O. SMITH CORPORATION | AOS | 831865 | 4/5/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
BORGWARNER INC. | BWA | 99724 | 4/21/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT INCENTIVE STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) APPROVE AUTHORIZED COMMON STOCK INCREASE | Issuer | Yes | For | For |
|
|
|
| 4) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
OUTBACK STEAKHOUSE, INC. | OSI | 689899 | 4/21/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) AMEND STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) TRANSACT OTHER BUSINESS | Issuer | Yes | For | For |
ARKANSAS BEST CORPORATION | ABFS | 40790 | 4/27/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
INSITUFORM TECHNOLOGIES, INC. | INSU | 457667 | 4/28/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
OWENS & MINOR, INC. | OMI | 690732 | 4/29/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
TELEFLEX INCORPORATED | TFX | 879369 | 4/30/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
PROTECTIVE LIFE CORPORATION | PL | 743674 | 5/3/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT NON-EMPLOYEE DIRECTOR PLAN | Issuer | Yes | For | For |
|
|
|
| 3) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
LAFARGE NORTH AMERICA INC. | LAF | 505862 | 5/4/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
WEST PHARMACEUTICAL SERVICES, INC. | WST | 955306 | 5/4/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | Against | For |
|
|
|
| 3) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
APTARGROUP, INC. | ATR | 38336 | 5/5/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) ADOPT DIRECTOR STOCK OPTION PLAN | Issuer | Yes | For | For |
SCOTTISH RE GROUP LIMITED | SCT | G7885T | 5/5/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
SPINNAKER EXPLORATION COMPANY | SKE | 84855W | 5/5/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
CHURCH & DWIGHT CO., INC. | CHD | 171340 | 5/6/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
LIBBEY INC. | LBY | 529898 | 5/6/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) AMEND OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
NEWFIELD EXPLORATION COMPANY | NFX | 651290 | 5/6/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) APPROVE AUTHORIZED COMMON STOCK INCREASE | Issuer | Yes | For | For |
|
|
|
| 4) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
RC2 CORPORATION | RCRC | 749388 | 5/7/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
DENTSPLY INTERNATIONAL INC. | XRAY | 249030 | 5/10/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
SUPERIOR INDUSTRIES INTERNATIONAL, INC. | SUP | 868168 | 5/10/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT/AMEND EXECUTIVE INCENTIVE BONUS PLAN | Issuer | Yes | For | For |
|
|
|
| 3) ADOPT/AMEND EXECUTIVE INCENTIVE BONUS PLAN | Issuer | Yes | For | For |
APPLEBEE'S INTERNATIONAL, INC. | APPB | 37899 | 5/13/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT INCENTIVE STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) ADOPT STOCK PURCHASE PLAN | Issuer | Yes | For | For |
|
|
|
| 4) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
|
|
|
| 5) S/H PROPOSAL - ALLOW SHAREHOLDERS TO SELECT AUDITORS | Security Holder | Yes | Against | Against |
CONMED CORPORATION | CNMD | 207410 | 5/18/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
|
|
|
| 3) AMEND LONG TERM INCENTIVE PLAN | Issuer | Yes | For | For |
GEORGIA GULF CORPORATION | GGC | 373200 | 5/18/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
|
|
|
| 3) INCENTIVE STOCK OPTIONS | Issuer | Yes | For | For |
|
|
|
| 4) STOCK BONUS PLAN | Issuer | Yes | For | For |
QUESTAR CORPORATION | STR | 748356 | 5/18/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT INCENTIVE STOCK OPTION PLAN | Issuer | Yes | For | For |
XTO ENERGY INC. | XTO | 98385X | 5/18/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) APPROVE AUTHORIZED COMMON STOCK INCREASE | Issuer | Yes | For | For |
TECHNITROL, INC. | TNL | 878555 | 5/19/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
BJ'S WHOLESALE CLUB, INC. | BJ | 05548J | 5/20/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) AMEND OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
MACK-CALI REALTY CORPORATION | CLI | 554489 | 5/20/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
|
|
|
| 3) INCENTIVE STOCK OPTIONS | Issuer | Yes | For | For |
|
|
|
| S/H PROPOSAL - CORPORATE GOVERNANCE | Security Holder | Yes | Against | Against |
YELLOW ROADWAY CORPORATION | YELL | 985577 | 05/20/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT OMNIBUS STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
GRANITE CONSTRUCTION INCORPORATED | GVA | 387328 | 5/24/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) INCENTIVE STOCK OPTIONS | Issuer | Yes | Against | For |
|
|
|
| 3) S/H PROPOSAL - CORPORATE GOVERNANCE | Security Holder | Yes | Against | Against |
|
|
|
| 4) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
MIM CORPORATION | MIMS | 553044 | 5/25/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
SHOPKO STORES, INC. | SKO | 824911 | 05/26/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) ADOPT INCENTIVE STOCK OPTION PLAN | Issuer | Yes | For | For |
|
|
|
| 3) RATIFY APPOINTMENT OF INDEPENDENT AUDITORS | Issuer | Yes | For | For |
CLAIRE'S STORES, INC. | CLE | 179584 | 6/23/2004 | 1) ELECTION OF DIRECTORS | Issuer | Yes | For | For |
|
|
|
| 2) S/H PROPOSAL - NORTHERN IRELAND | Security Holder | Yes | Against | Against |
SARATOGA ADVANTAGE TRUST: ENERGY & BASIC MATERIALS PORTFOLIO |
|
| Item 1, Exhibit A3 | |||||
Investment Company Act file number: 811-08542 |
| |||||||
July 1, 2003 – June 30, 2004 |
| |||||||
|
| |||||||
Security Issuer | Exchange Ticker | Cusip | Meeting Date | Subject Matter | Mgmt/Shdr Proposed | Vote Cast | How | For or Against Mgmt.Recommendation |
Hercules Incorporated | HPC | 427056106 | 7/25/2003 | 1) Election of Directors:Harry Fields, Nathony Kronman,Vincent Tese,Gerald Teal,Jr. | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of Independent Public Accts. | Mgmt | Yes | For | Mgmt Abstained |
|
|
|
| 3) Approval of Hercules Inc.Omnibus Equtiy Compensation Plan for Non-Employee Dir. | Mgmt | Yes | Against | For |
|
|
|
| 4) Shareholder Proposal for Redemp.of Rights Plan | Shdr | Yes | For | For |
|
|
|
| 5) Shdr.Proposal Req.Amendment of Company's Charter to Provide for Rights of Shdr. to Take Action by Written Consent & to Call Spec.Mtg. | Shdr | Yes | For | For |
Apache Corp. | APA | 037411105 | 12/18/2003 | 1) Amendment of Restated Cert. of Inc.to increase Number of Auth.Shares of Co.'s Common Stock from 215MM Shares to 430MM Shares | Mgmt | Yes | For | For |
B.J.Services Co. | BJS | 055482103 | 1/22/2004 | 1) Election of Directors: Don D. Jordan,William H. White | Mgmt | Yes | For | For |
|
|
|
| 2) Vote on the 2003 Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 3) Vote on Stockholder proposal on Company's operations in Burma | Shdr | Yes | Against | For |
Alcoa | AA | 013817101 | 4/30/2004 | 1) Election of Directors: Alain Belda,Carlos Ghosn,Henry Schacht,Franklin Thomas | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to Approve the 2004 Alcoa Stock Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 3) Shareholder Proposal Relating to Pay Disparity | Shdr | Yes | For | Against |
|
|
|
| 4) Shareholder Proposal Relating to Change in Contol Severance Plan | Shdr | Yes | For | Against |
Occidental Petroleum | OXY | 674599105 | 4/30/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of selection of KPMG as independent auditors | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of amendment to the Restricted Stock Plan for Non-employee directors | Mgmt | Yes | For | For |
|
|
|
| 4) Discontinuance of options, rights & severance pymts. | Shdr | Yes | Against | For |
Burlington Resources | BR | 122014103 | 4/21/2004 | 1) Election of 15 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of amendment to the Company's Cert.of Inc. to increase number of authorized shares of common stock of the Company to 650MM | Mgmt | Yes | For | For |
|
|
|
| 3) To ratify appointment of PWC LLP as Company's Independent auditor for the year ended 12/31/04 | Mgmt | Yes | For | For |
Rowan Companies, Inc. | RDC | 779382100 | 4/23/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
Noble Corp. | NE | G65422100 | 4/22/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of Appt. of Independent Auditors for 2004` | Mgmt | Yes | For | For |
Apache Corp. | APA | 037411105 | 5/6/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) To Approve Stockholder Proposal Relating to Climate Change | Shdr | Yes | Against | For |
Louisiana-Pacific Corp. | LPX | 546347105 | 5/3/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of amendment of 1997 Incentive Stock Plan | Mgmt | Yes | Against | Against |
|
|
|
| 3) Approval of Amendment of 2000 Non-Employee Director Restricted Stock Plan | Mgmt | Yes | Against | Against |
|
|
|
| 4) Approval of Amendment of 1992 Non-Employee Director Stock Option Plan | Mgmt | Yes | Against | Against |
|
|
|
| 5) Approval of Performance Goals under Amended & Restated Annual Cash Incentive Award Plan | Mgmt | Yes | For | For |
|
|
|
| 6) Ratification of selection of Independent Auditors | Mgmt | Yes | For | For |
|
|
|
| 7) Proposal Relating to separation of offices of Chairman & CEO | Shdr | Yes | Against | For |
|
|
|
| 8) Proposal relating to environmental matters. | Shdr | Yes | Against | For |
E.I.DuPont DeNemours & Company | DD | 263534109 | 4/28/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of Accountants | Mgmt | Yes | For | For |
|
|
|
| 3) Government Service | Shdr | Yes | Against | For |
|
|
|
| 4) International Workplace Standards | Shdr | Yes | Against | For |
|
|
|
| 5) Executive Compensation | Shdr | Yes | Against | For |
Praxair, Inc. | PX | 74005P104 | 4/27/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to Amend Long Term Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 3) Proposal to Amend Cert.of Inc. | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal to Approve Stockholder Protection Rights Agreement | Mgmt | Yes | For | For |
Freeport-McMoRan Copper & Gold Inc. | FCX | 35671D857 | 5/6/2004 | 1) Election of 5 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of appt. of Ernst & Young LLP as independent auditors | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of proposed 2004 Director Compensation Plan | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal regarding financial support of Indonesian Govt.security personnel | Shdr | Yes | For | Against |
Alcan Inc. | AL | 013716105 | 4/22/2004 | 1) Election of 13 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Appointment of PWC LP as auditors | Mgmt | Yes | For | For |
Peabody Energy Corp. | BTU | 704549104 | 5/6/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of Independent Public Accts. | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of 2004 Long-Term Equity Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal regarding Director Independence. | Mgmt | Yes | For | Against |
Georgia-Pacific Corp. | GP | 373298108 | 5/4/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to amend Georgia-Pac Corp. Lon-Term Incentive Plan to add stock appreciation rights (SARs), as permitted awards under the plan. | Mgmt | Yes | For | For |
|
|
|
| 3) Proposal to approve Georgia-Pac Corp.Short-Term Incentive Plan so that incentive comp.awards paid under the plan will be fully deductible under 162(m)of Internal Revenue Code of 1986, as amended. | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal to ratify appt.of Ernst & Young as auditors for fiscal yr.ending 1/1/05 | Mgmt | Yes | For | For |
Pactiv Corp. | PTV | 695257105 | 5/14/2004 | 1) Election of 7 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratify selection of Ernst & Young LLP as Independent Public Accts. | Mgmt | Yes | For | For |
Smurfit-Stone Container Corp. | SSCC | 832727101 | 5/12/2004 | 1) Election of 8 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of appt. of Ernst & Young LLP as independent auditors for 2004. | Mgmt | Yes | For | For |
|
|
|
| 3) Smurfit-Stone Container Corp.Long Term Incentive Plan | Mgmt | Yes | Against | Against |
|
|
|
| 4) Smurfit-Stone Container Corp.Non-Employee Director Deferred Compensation Plan | Mgmt | Yes | Against | Against |
|
|
|
| 5) Stockholder Proposal-To consider discontinuing all rights, options, SAR's & possible severance pymts.to top 5 Mngmt.after expiration of existing plans or commitments. | Shdr | Yes | For | Against |
Dow Chemical Company | DOW | 260543103 | 5/13/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of appt. of Deloitte & Touche LLP as independent auditors for 2004. | Mgmt | Yes | For | For |
|
|
|
| 3) Amendment of Restated Cert. Of Inc. for the annual election of Directors | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal on Bhopal | Shdr | Yes | Against | For |
Bunge Limited | BG | G16962105 | 5/28/2004 | 1) To elect Jorge Born, Jr.as a member of the Board of Directors to serve until the 2007 Annual General Mtg. Of Shareholders | Mgmt | Yes | For | For |
|
|
|
| 2) To elect Octavio Caraballo as a member of the Board of Directors to serve until the 2007 Annual General Mtg. Of Shareholders | Mgmt | Yes | For | For |
|
|
|
| 3) To elect Bernard de LaTour d'Auvergne Lauraguais as a member of the Board of Directors to serve until the 2007 Annual General Mtg. Of Shareholders | Mgmt | Yes | For | For |
|
|
|
| 4) To elect William Engels as a member of the Board of Directors to serve until the 2007 Annual General Mtg. Of Shareholders | Mgmt | Yes | For | For |
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|
| 5) To appt.Deloitte & Touche LLP as independent auditors for the fiscal yr. Ending 12/31/04 & to authorize Bunge Ltd.'s Board of Directors, acting through its audit committee, to determine the independent auditors' fees. | Mgmt | Yes | For | For |
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|
| 6) To approve the terms of Bunge Ltd.'s Amended & Restated Non-Employee Directors's Equity Incentive Plan | Mgmt | Yes | For | For |
Hercules Incorporated | HPC | 427056106 | 5/12/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
| 2) Approval of amendments to Hercules By-laws | Mgmt | Yes | For | For |
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|
| 3) Ratification of PWC LLP as independent accountants | Mgmt | Yes | For | For |
Plum Creek Timber Co, Inc. | PCL | 729251108 | 5/4/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Proposal regarding approval of amended & restated stock incentive plan | Mgmt | Yes | Against | Against |
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|
|
| 3) Proposal to ratify appt. of Ernst & Yound as independent auditors | Mgmt | Yes | For | For |
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|
| 4) Proposal regarding adoption of Ceres Principles | Shdr | Yes | For | Against |
Newfield Exploration Co. | NFX | 651290108 | 5/6/2004 | 1) Election of 11 Directors | Mgmt | Yes | For | For |
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| 2) Approval of Newfield Exploration Co.2004 Omnibus Stock Plan | Mgmt | Yes | For | For |
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| 3) Amendment of Article Fourth of the Co.'s second restated Cert. Of Inc.to increase numbe of shares of common stock auth. For issuance from 100MM shares to 200MM shares. | Mgmt | Yes | For | For |
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|
| 4) Ratification of appt. of Independent Accountants | Mgmt | Yes | For | For |
The Williams Companies, Inc. | WM | 969457100 | 5/20/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
| 2) Ratification of Ernst & Yound LLP as auditors for 2004 | Mgmt | Yes | For | For |
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| 3) Proposal on Performance & Time Based Restricted Shares | Shdr | Yes | For | For |
Georgia Gulf Corp. | GGC | 373200203 | 5/18/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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| 2) To ratify appt. of Deloitte & Touche LLP as independent public accountants for GGC of yr.ending 12/31/04 | Mgmt | Yes | For | For |
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|
|
| 3) To approve & adopt Amended & Restated 2002 Equity & Perf.Inc.Plan | Mgmt | Yes | For | For |
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|
| 4) To approve & adopt the Senior Exec.Bonus Plan | Mgmt | Yes | For | For |
Weatherfor International Ltd. | WFT | G95089101 | 5/25/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
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|
| 2) Appointment of Ernst & Young LLP as independent auditors for yr.ending 12/31/04 & auth.of Audit Committee of Board of Dir.to set Ernst & Young LLP remuneration. | Mgmt | Yes | For | For |
International Paper Company | IP | 460146103 | 5/11/2004 | 1) Election of 5 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Ratification of Deloitte & Touche LLP as independent auditors for 2004 | Mgmt | Yes | For | For |
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|
|
| 3) Approval of Amended Long-Term Incentive Comp.Plan | Mgmt | Yes | Against | Against |
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|
|
| 4) Reaffirmation of Performance Goals under the Long-Term Incentive Comp.Plan | Mgmt | Yes | For | For |
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| 5) Proposal relating to limiting compensation of CEO | Shdr | Yes | Against | For |
Phelps Dodge Corp. | PD | 717265102 | 5/28/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
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| 2) Proposal regarding charitable contributions | Shdr | Yes | Against | For |
Devon Energy Corporation | DVN | 25179M103 | 6/8/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
Devon Energy Corporation | DVN | 25179M103 | 6/8/2004 | 2) Ratify appt.of KPMG LLP as independent auditor for yr.ending 12/31/04 | Mgmt | Yes | For | For |
Devon Energy Corporation | DVN | 25179M103 | 6/8/2004 | 3) Revise Director Election Threshold | Mgmt | Yes | Against | For |
Global Santa Fe Corp. | GSF | G3930E101 | 6/9/2004 | Election of 5 Directors | Mgmt | Yes | For | For |
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| 1) Proposal to approve a special resolution to amend Company's Amended & Restated Articles of Assoc.to permit telephonic & Internet voting by record shareholders | Mgmt | Yes | For | For |
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| 2) Proposal to approve a special resolution to amend Company's Amended & Restated Articles of Assoc.to remove the language "No share ownership qualification for Directors shall be required | Mgmt | Yes | For | For |
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| 3) Proposal to ratify the appt. of PWC LLP as independent certified public accountants of company & its subsidiaries for yr.ending 12/31/04 | Mgmt | Yes | For | For |
Chesapeake Energy Corp. | CHK | 165167107 | 6/4/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
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| 2) To approve an amendment to our Cert. Of Inc. to increase number of auth.shares of common stock | Mgmt | Yes | For | For |
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| 3) To approve an amendment to our Cert. Of Inc. to increase number of auth.shares of preferred stock | Mgmt | Yes | For | For |
Nabors Industries Inc. | NBR | G6359F103 | 6/1/2004 | 1) Election of 2 Directors | Mgmt | Yes | For | For |
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| 2) Appt. of PWC LLP as independent auditors & to authorize Audit Committee of Board of Directors to set auditors' remuneration | Mgmt | Yes | For | For |
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| 3) Proposal to change Nabors' jurisdiction of Inc. from Bermuda to Delaware | Shdr | Yes | Against | For |
Patterson Energy, Inc. | PTEN | 703481101 | 6/29/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
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| 2) Approve an amendment to Company's Restate Cert. Of Inc.to increase number of auth.shares of Common Stock | Mgmt | Yes | For | For |
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| 3) Re-approve criteria upon which perf.objectives are currently based in Amended & Restated 1997 Long-Term Incentive Plan | Mgmt | Yes | For | For |
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| 4) Approve amendment to Company's Amended & Restated 1997 Long-Term Incentive Plan to increase aggregate annual amt.of cash rec.as perf.award by participant & amend criteria upon which perf.obj.are currently based in that Plan. | Mgmt | Yes | For | For |
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| 5) Ratify selection of PWC as independent accountants of Company for fiscal yr.ending 12/31/04 | Mgmt | Yes | For | For |
Yukos Corp. | YUKY | 98849W108 | 6/24/2004 | 1) Approval of Annual Report of YUKOS Oil Co. for 2003 | Mgmt | Abstain |
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| 2) Approval of annual acctg. reports, including profit & loss acct., of YUKOS Oil Co. for FY 2003 | Mgmt | Abstain |
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| 3) Approval of distrib.of profit of YUKOS Oil Co.for FY 2003,including pymt.of dividend on common shares of YUKOS Oil Co. & of losses for FY 2003 | Mgmt | Yes | For | For |
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| 4) Election of Board of Directors of YUKOS Oil Co. | Mgmt | Abstain |
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| 5) Election of Auditing Commission of YUKOS Oil Co. - Murashova Antonia B. | Mgmt | Abstain |
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| 6) Election of Auditing Commission of YUKOS Oil Co. - Britkova Elena V. | Mgmt | Abstain |
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| 7) Election of Auditing Commission of YUKOS Oil Co. - Serzhanova Margarita O. | Mgmt | Abstain |
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| 8) Approval of Auditor of YUKOS Oil Co. for 2004 | Mgmt | Abstain |
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| 9) Approval of total amt. Of remuneration & reimbursements of Directors of YUKOS Oil Co. for period 2004-2005 | Mgmt | Yes | Against | Against |
SARATOGA ADVANTAGE TRUST: MID-CAPITALIZATION PORTFOLIO |
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| Item 1, Exhibit A4 | ||||
Investment Company Act file number: 811-08542 |
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July 1, 2003 – June 30, 2004 |
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Security Issuer | Exchange Ticker | Cusip | Meeting Date | Subject Matter | Mgmt/Shdr Proposed | Vote Cast | How | For or Against Mgmt. Recommendation |
Zimmer Holdings | ZMH | 98956P102 | 7/22/2003 | 1) Issuance of Shares of Common Stock in Connedtion with the Exchange Offers for Centerpulse AG & InCentive Cap. AG | Mgmt | Yes | For | For |
Check Point Software | CHKP | M22465104 | 7/31/2003 | 1) Election of Directors: Gil Shwed, Marius Nacht, David Rubner,Alex Serge Vieux, Tal Shavit | Mgmt | Yes | For | For |
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| 2) Election of Two Outside Dire. for a Period of 3 yrs. following mtg. | Mgmt | Yes | For | For |
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| 3) Authorize Chrmn. of Board to Continue Serving as Chrmn.&CEO of Company for up to 3 yrs. Following the Mtg. | Mgmt | Yes | For | For |
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| 4) Ratify Consolidated Financial Stmts. for yr. ended 12/31/02` | Mgmt | Yes | For | For |
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| 5) Ratify Appt. & Compensation of Company's Independent Publc Accountants | Mgmt | Yes | For | For |
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| 6) Approve Certain Terms of Compensation of Officers who are also Dir. of the Co. | Mgmt | Yes | For | For |
Darden Restaurants Inc. | DRI | 237194105 | 9/25/2003 | 1) Election of Directors: Leonard Berry, Odie Donald, David Hughes, Joe Lee, Connie Mack III, Richard Rivera, Michael Rose, Maria Sastre, Jack Smith, Blaine Sweatt, III, Rita Wilson | Mgmt | Yes | For | For |
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|
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| 2) Approval of appt. of KPMG LLP as Independent Auditors | Mgmt | No |
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|
Ruby Tuesday, Inc. | RI | 781182100 | 10/7/2003 | 1) Election of Directors: Dr. Daniel Ratajczak, Samuel Beall III, Claire Arnold | Mgmt | Yes | For | For |
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|
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| 2) Approve Company's 2003 Stock Incentive Plan | Mgmt | Yes | Against | Against |
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| 3) Consider Shdr Proposal Requesting Board of Dir. Review Company's Pol.& Issue a Report on Risks, Fin. Costs & Ben.,& Environmental Impact of Continued use of Genetically Engineered Ingred. in Company's Food Products. | Shdr | Yes | Against | For |
Activision, Inc. | ATVI | 004930202 | 9/18/2003 | 1) Election of Directors: Robert Kotick, Brian Kelly, Ronald Doornink, Kenneth Henderson | Mgmt | Yes | For | For |
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| 2) Approval of Amendment to the Amended & Restated Cert. of Inc. | Mgmt | Yes | For | For |
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| 3) Approval of Adoption of Activision 2003 Incentive Plan | Mgmt | Yes | For | For |
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| 4) Ratification of Selection of PWC LLP as Company's Independent Aud. for Fiscal Yr. Ending 3/31/04 | Mgmt | Yes | For | For |
Biomet, Inc. | BMET | 090613100 | 9/27/2003 | 1) Election of Directors: Jerry Ferguson, Daniel Hann, Thomas Kearns, Jr., Dane Miller | Mgmt | Yes | For | For |
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| 2) Ratification of Selection of Ernst & Young LLP as Ind. Public Accountants for Fiscal Yr. End 5/31/04 | Mgmt | Yes | For | For |
Proctor & Gamble | PG | 742718109 | 10/14/2003 | 1) Election of Directors: Norman Augustine, A.G. Lafley, Johnathan Rodgers, John F. Smith Jr., Margaret Whitman | Mgmt | Yes | For | For |
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| 2) Ratify Appt. of Independent Auditors | Mgmt | Yes | For | For |
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|
| 3) Approve PG 2003 Non-Employee Directors Stock | Mgmt | Yes | For | For |
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| 4) Board of Directors' Terms | Shdr | Yes | Against | For |
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| 5) Label Genetically Engineered Foods | Shdr | Yes | Against | For |
Flextronics International | FLEX | Y2573F102 | 9/30/2003 | 1) Re-elect Directors: Richard Sharp,James Davidson,Lip-Bu Tan,Patrick Foley | Mgmt | Yes | For | For |
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| 2) Appoint Deloitte & Touche LLP as Independent Auditors for Fiscal Yr.Ending 3/31/04 | Mgmt | Yes | For | For |
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| 3) Approve Amendment to Company's 1997 Employee Share Purchase Plan | Mgmt | Yes | For | For |
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| 4) Approve Authorization for Dir.of Co. to allot & issue ordinary shares | Mgmt | Yes | For | For |
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| 5) Approve Authorization for Co. to Provide Cash Compensation to its Dir. | Mgmt | Yes | For | For |
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| 6) Approve Authorization of Proposed Renewal of share mandate relating to acq. By the Co. of its own Issued Ordinary Shares | Mgmt | Yes | For | For |
Bisys Group, Inc. | BSG | 055472104 | 11/13/2003 | 1) Election of Directors:Lynn Mangum,Denis Bovin,Robert Casale,Thomas Cooper,Paula McInerney,Thomas McInerney,Joseph Melone,DennisSheehan | Mgmt | Yes | For | For |
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| 2) Proposal to Approve Co.'s 2004 Employee Stock Purchase Plan | Mgmt | Yes | For | For |
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| 3) Proposal to Ratify Appt.of PWC LLP as Auditors of Co. for Fiscal Yr.Ending 6/30/04 | Mgmt | Yes | For | For |
Pall Corporations | PLL | 696429307 | 11/19/2003 | 1) Election of Directors: Daniel Carroll,Jr.,Eric Krasnoff,Edward Snyder,James Watson,Marcus Wilson | Mgmt | Yes | For | For |
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|
| 2) Approval of 2004 Executive Incentive Bonus Plan | Mgmt | Yes | Against | Against |
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|
| 3) Approval of Proposed Amendment to the Mgmt.Stock Purchase Plan | Mgmt | Yes | For | Against |
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| 4) Approval of Proposed Amendment to the Employee Stock Purchase Plan | Mgmt | Yes | For | Against |
International Rectifier Corp. | IRF | 460254105 | 11/24/2003 | 1) Election of Directors:James Plummer,Minoru Matsuda,Robert Attiyeh | Mgmt | Yes | For | For |
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| 2) Proposal to Amend Stock Part.Plan of 1984,among them(i)Increase of 1MM available shares,(ii)Extension of Plan Termination Date from Jan.19,2005 to Jan.19,2013 | Mgmt | Yes | Against | Against |
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| 3) Proposal to Amend the 2000 Incentive Plan, among them an increase of 6MM shares available for award grants under the plan. | Mgmt | Yes | Against | Against |
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| 4) Ratification of PWC LLP as Independent Auditors of the Co. to Serve for Fiscal Yr. 2004 | Mgmt | Yes | For | For |
Business Objects | BOBJF | 12328X107 | 12/11/2003 | 1) Approval of acquisition of Crystal Decisions & SSCH by Business Objects S.A & other transactions contemplated by Agreement & Plan of Merger, dated as of 07/18/03,as amended on 8/29/03. | Mgmt | Yes | For | For |
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| 2) Approval of method for calculations of consideration, amount of capital increase, amount & recording of contribution premium & approval of amendment of articles of association. | Mgmt | Yes | For | For |
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| 3) Authorization to issue warrants to subscribe to maximum number of shares reserved for issuance to David J. Roux. | Mgmt | Yes | Against | Against |
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| 4) Authorization to increase share capital reserved for subscription by Business Objects S.A. Employee Benefits Trust under Business Objects' 1995 International Employee Stock Purchase Plan. | Mgmt | Yes | For | For |
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| 5) Authorization to increase share capital reserved for subscription by employees under French Employee Savings Plan. | Mgmt | Yes | For | For |
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| 6) Authorization to issue securities giving immediate or deferred access to share capital with preferential subscription right. | Mgmt | Yes | For | For |
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| 7) Authorization to issue securities giving immediate or deferred access to share capital without preferential subscription right. | Mgmt | Yes | For | For |
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| 8) Authorization of modification of method for determination of maximum annual increase in number of shares which may be subscribed for or purchased pursuant to our 2001 Option Plan. | Mgmt | Yes | For | For |
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| 9) Approval of appointment of David J. Roux as director. | Mgmt | Yes | For | For |
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| 10) Approval of increase of aggregate amount of authorized directors' fees. | Mgmt | Yes | Against | Against |
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| 11) Approval of full powers of attorney granted to carry out registrations & formalities. | Mgmt | Yes | For | With |
Apache Corp. | APA | 037411105 | 12/18/2003 | 1) Amendment of Restated Cert. of Inc. to Increase Number or Auth. Shares of Co.'s Common Stock from 215MM Shares to 430MM Shares | Mgmt | Yes | For | For |
Johnson Controls | JCI | 478366107 | 1/28/2004 | 1) Election of Directors: Robert Barnett, Willie Davis, Jeffrey Joerres, Richard Teerlink | Mgmt | Yes | For | For |
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| 2) Approval of PWC as Independent Auditors for 2004 | Mgmt | Yes | For | For |
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| 3) Ratification of Long-Term Perf. Plan | Mgmt | Yes | For | For |
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|
| 4) Ratification of Executive Incentive Comp. Plan | Mgmt | Yes | For | For |
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| 5) Ratification of 2003 Stock Plan for Outside Dir. | Mgmt | Yes | For | For |
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| 6) Approval of 2001 Restricted Stock Plan Amendment | Mgmt | Yes | For | For |
Lee Enterprises | LEE | 523768109 | 1/21/2004 | 1) Election of Directors: Mary E. Junck/Andrew E. Newman/Gordon D. Prichett | Mgmt | Yes | For | For |
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| 2) Approval of Incentive Bonus Program | Mgmt | Yes | For | For |
Reyolds & Reynolds | REY | 761695105 | 2/12/2004 | 1) Approve REY Share Plus Program | Mgmt | Yes | For | For |
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|
| 2) Approve Executive Stock Incentive Plan | Mgmt | Yes | Against | For |
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|
| 3) Appoint Deloitte & Touche as auditors | Mgmt | Yes | For | For |
International Rectifier | IRF | 460254105 | 1/26/2004 | 1) Approve amendment to Article 4 to increase number of Common Stock shares from 150mm to 330mm | Mgmt | Yes | For | For |
Nordson Corporation | NDSN | 655663102 | 3/11/2004 | 1) Election of Directors: William D. Ginn,Stephen R. Hardis,William L. Robinson,Benedict P. Rosen | Mgmt | Yes | For | For |
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| 2) Approve Nordson's 2004 Long-Term Perf.Plan | Mgmt | Yes | For | For |
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| 3) Approve Nordon's 2004 Mngmt Incentive Comp.Plan | Mgmt | Yes | For | For |
Fiserv, Inc. | FISV | 337738108 | 4/6/2004 | 1) Election of three directors to serve a 3 yr. Term expiring in 2007 | Mgmt | Yes | For | For |
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| 2) Ratify Deloitte & Touche LLP as independent auditors for 2004 | Mgmt | Yes | For | For |
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| 3) Approve Company's Stock Option & Restricted Stock Plan, as amended & restated to permit grants for restricted stock. | Mgmt | Yes | For | For |
T.Rowe Price | TROW | 74144T108 | 4/8/2004 | 1) Election of Directors: Edward Bernard,James Brady,D.William Garrett,Donald Hebb, Jr.,James Kennedy,James Riepe,Geroge Roche,Brian Rogers,Dr.Alfred Sommer,Dwight Taylor,Anne Maire Whittemore | Mgmt | Yes | For | For |
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|
| 2) Ratification of appt. of KPMG LLP as independent accountant for fiscal year 2004 | Mgmt | Yes | For | For |
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|
| 3) Approval of proposed 2004 Stock Incentive Plan & corollary amendment of 2001 Stock Incentive Plan | Mgmt | Yes | Against | Against |
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|
| 4) In their discretion, proxies are auth.to vote upon such other business & further bus.as may properly come before the mtg. Or any adjournments and postponements thereof. | Mgmt | Yes | Against | Against |
Alltel | AL | 020039103 | 4/22/2004 | 1) Election of Directors: Scott Ford,Lawrence Gellerstedt,III,emon Mahony Jr.,Ronald Townsend | Mgmt | Yes | For | For |
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| 2) Ratification of Appointment of Independent Auditors | Mgmt | Yes | For | For |
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|
| 3) Employment Opportunity Policy | Shdr | Yes | Against | For |
Occidental Petroleum | OXY | 674599105 | 4/30/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
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|
| 2) Ratification of selection of KPMG as independent auditors | Mgmt | Yes | For | For |
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|
| 3) Approval of amendment to the Restricted Stock Plan for Non-employee directors | Mgmt | Yes | For | For |
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| 4) Discontinuance of options, rights & severance pymts. | Shdr | Yes | Against | For |
Chicago Mercantile Exchange Holdings, Inc. | CME | 167760107 | 4/21/2004 | 1) Election of 7 Directors | Mgmt | Yes | For | For |
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| 2) Ratification of Ernst & Young LLP as independent auditors for 2004. | Mgmt | Yes | For | For |
Commerce Bancshares, Inc. | CBSH | 200525103 | 4/21/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
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| 2) Approval to increase shares avail.for issue under Restricted Stock Plan & amend.to Restricted Stock Plan | Mgmt | Yes | For | For |
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| 3) Ratify KPMG as audit & accounting firm | Mgmt | Yes | For | For |
Heartland Express, Inc. | HTLD | 422347104 | 5/8/2004 | 1) Election of 5 Directors | Mgmt | Yes | For | For |
Apache Corp. | APA | 037411105 | 5/6/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
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| 2) To Approve Stockholder Proposal Relating to Climate Change | Shdr | Yes | Against | For |
Louisiana-Pacific Corp. | LPX | 546347105 | 5/3/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
| 2) Approval of amendment of 1997 Incentive Stock Plan | Mgmt | Yes | Against | Against |
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|
| 3) Approval of Amendment of 2000 Non-Employee Director Restricted Stock Plan | Mgmt | Yes | Against | Against |
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|
|
| 4) Approval of Amendment of 1992 Non-Employee Director Stock Option Plan | Mgmt | Yes | Against | Against |
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|
|
| 5) Approval of Performance Goals under Amended & Restated Annual Cash Incentive Award Plan | Mgmt | Yes | For | For |
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|
|
| 6) Ratification of selection of Independent Auditors | Mgmt | Yes | For | For |
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|
| 7) Proposal Relating to separation of offices of Chairman & CEO | Shdr | Yes | Against | For |
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|
| 8) Proposal relating to environmental matters. | Shdr | Yes | Against | For |
SPX Corporation | SPW | 784635104 | 4/28/2004 | 1) Election of 3 Directors | Mgmt | Yes | Against | Against |
Compass Bancshares, Inc. | CBSS | 20449H109 | 4/19/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
| 2) Approval of Monthly Investment Plan | Mgmt | Yes | For | For |
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|
| 3) Ratification of Auditors | Mgmt | Yes | For | For |
BorgWarner | BWA | 099724106 | 4/21/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Proposal to approve the BorgWarner, Inc. 2004 Stock Incentive Plan | Mgmt | Yes | For | For |
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|
|
| 3) Proposal to approve amendment to Company's Restated Cert. Of Inc. to increase authorized common stock of Company in order to permit, among other things, a 2-for-1 stock split. | Mgmt | Yes | For | For |
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|
| 4)To ratify the appt. of Deloitte & Touche LLP as independent auditors for Company for 2004 | Mgmt | Yes | For | For |
Freeport-McMoRan Copper & Gold Inc. | FCX | 35671D857 | 5/6/2004 | 1) Election of 5 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Ratification of appt. of Ernst & Young LLP as independent auditors | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of proposed 2004 Director Compensation Plan | Mgmt | Yes | For | For |
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|
| 4) Proposal regarding financial support of Indonesian Govt. security personnel | Shdr | Yes | Against | Against |
Cooper Industries, Ltd. | CBE | G24182100 | 4/27/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Appoint Ernst & Yound as independent | Mgmt | Yes | For | For |
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|
|
| 3) Approve Amended & Restated Stock Incentive Plan | Mgmt | Yes | Against | Against |
|
|
|
| 4) Proposal relating to social & environmental issues related to sustainability | Shdr | Yes | For | Against |
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|
| 5) Proposal relating to executive equity compensation plans | Shdr | Yes | Against | For |
Imation Corp. | IMN | 45245A107 | 5/5/2004 | 1) Election of 2 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Ratification of appt. of PWC LLP as independent auditors | Mgmt | Yes | For | For |
CVS Corporation | CVS | 126650100 | 5/12/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
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|
|
| 2) Proposal to approve amendment to Company's 1997 Incentive Comp.Plan | Mgmt | Yes | For | For |
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|
| 3) Proposal to ratify appt. of KPMG LLP as CVS's independent auditors for fiscal yr.ending 1/1/05 | Mgmt | Yes | For | For |
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|
|
| 4) Proposal regarding executive compensation | Shdr | Yes | Against | For |
Lincoln National Corporation | LNC | 534187109 | 5/12/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
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|
|
| 2) To approve or disapprove Deferred Comp.Plan for Non-Employee Directors | Mgmt | Yes | For | For |
Harley Davidson Co. | HDI | 412822108 | 4/24/2004 | 1) Election of 2 Directors | Mgmt | Yes | For | For |
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|
| 2) Approval of amended Corporate Short Term Incentive Plan | Mgmt | Yes | For | For |
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|
| 3) Approval of 2004 Incentive Stock Plan | Mgmt | Yes | For | For |
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|
| 4) Ratification of Ernst & Young as auditors. | Mgmt | Yes | For | For |
Peabody Energy Corp. | BTU | 704549104 | 5/6/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of Independent Public Accts. | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of 2004 Long-Term Equity Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal regarding Director Independence. | Mgmt | Yes | For | Against |
Cinergy Corp. | CIN | 172474108 | 5/4/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of Deloitte & Touche LLP as company's independent auditors | Mgmt | Yes | For | For |
Georgia-Pacific Corp. | GP | 373298108 | 5/4/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to amend Georgia-Pac Corp.Lond-Term Incentive Plan to add stock appreciation rights (SARs), as permitted awards under the plan. | Mgmt | Yes | For | For |
|
|
|
| 3) Proposal to approve Georgia-Pac Corp.Short-Term Incentive Plan so that incentive comp.awards paid under the plan will be fully deductible under 162(m) of the Internal Revenue Code of 1986, as amended. | Mgmt | Yes | For | For |
|
|
|
| 4) To ratify the appt. of Ernst & Young LLP as auditors for fiscal yr.ending 1/1/05. | Mgmt | Yes | For | For |
PartnerRe Ltd. | PRE | G6852T105 | 5/13/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approve increase in maximum number of directors from ten to eleven, with minimum number of directors set a three, and for the Board to be authorized to fill any vacancies as & when they deem expedient | Mgmt | Yes | Against | Against |
|
|
|
| 3) To amend Bye-laws of Company to remove exemption which excludes Swiss Reinsurance Co. & Its affiliates from prohibition on obtaining or exercising more than 9.9% of the voting rights attached to Company's issued & outstanding shares. | Mgmt | Yes | For | For |
|
|
|
| 4) To increase number of Common Shares reserved for issuance under PartnerRe Ltd. Employee Incentive Plan from 3,500,000 Common Shares to 5,000,000 Common Shares. | Mgmt | Yes | Against | Against |
|
|
|
| 5) To reappoint Deloitte & Touche to serve as independent auditors of the Company until Company's 2005 Annual General & to refer to Board of Directors the authority to determine the remuneration of Deloitte & Touche. | Mgmt | Yes | For | For |
MBIA | MBI | 55262C100 | 5/6/2004 | 1) Election of 10 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of Appt. of PWC LLP as independent auditors | Mgmt | Yes | For | For |
Protective Life Corporation | PL | 743674103 | 5/3/2004 | 1) Election of 11 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to approve the Stock Plan for Non-Employee Directors | Mgmt | Yes | For | For |
�� |
|
|
| 3) Proposal to ratify appt.of PWC LLP as Company's independent accountants. | Mgmt | Yes | For | For |
Hercules Incorporated | HPC | 427056106 | 5/12/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of amendments to Hercules By-laws | Mgmt | Yes | For | For |
|
|
|
| 3) Ratification of PWC LLP as independent accountants | Mgmt | Yes | For | For |
Arden Realty, Inc. | ARI | 039793104 | 5/11/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal regarding severance agreements for senior executives | Shdr | Yes | For | Against |
Plum Creek Timber Co, Inc. | PCL | 729251108 | 5/4/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal regarding approval of amended & restated stock incentive plan | Mgmt | Yes | Against | Against |
|
|
|
| 3) Proposal to ratify appt. of Ernst & Yound as independent auditors | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal regarding adoption of Ceres Principles | Shdr | Yes | For | Against |
Roper Industries, Inc. | ROP | 776696106 | 5/26/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal of approve the Roper Industries, Inc. Amended & Restated 2000 Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 3) To transact any other business properly brought before the meeting | Mgmt | No | Abstain |
|
Citrix Systems, Inc. | CTXS | 177376100 | 5/13/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Stockholder Proposal | Shdr | Yes | Against | For |
Office Depot, Inc. | ODP | 676220106 | 5/14/2004 | 1) Election of 12 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Amendment of company's Long-Term Equity Incentive Plan to increase number of shares auth.for issuance under the Plan by 15MM shares | Mgmt | Yes | Against | Against |
|
|
|
| 3) Ratification of appt. of Deloitte & Touche LLP as company's independent public accountants | Mgmt | Yes | For | For |
Newell Rubbermaid, Inc. | NWL | 651229106 | 5/12/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of appt.of Ernst & Yound LLP as independent accountants for year 2004 | Mgmt | Yes | For | For |
Intersil Corporation | ISIL | 46069S109 | 5/12/2004 | 1) Election of 8 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of independent accountants | Mgmt | Yes | For | For |
|
|
|
| 3) Increase number of shares auth.for issuance under 1999 Equity Comp.Plan from 17,500,000 to 22,250,000 | Mgmt | Yes | Against | Against |
Ingersoll-Rand Company Limited | IRF | G4776G101 | 6/2/2004 | 1) Election of 3 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Adoption of Amended & Restated Incentive Stock Plan of 1998 | Mgmt | Yes | Against | Against |
|
|
|
| 3) Approval of Amended & Restated Bye-laws | Mgmt | Yes | For | For |
|
|
|
| 4) Appt. of Independent Auditors & auth. Of Board of Directors to fix auditor's remuneration | Mgmt | Yes | For | For |
|
|
|
| 5) Proposal to declassify the Board of Directors | Shdr | Yes | For | Against |
|
|
|
| 6) Proposal to change Company's jurisdiction of incorp. | Shdr | Yes | Against | For |
|
|
|
| 7) Proposal to require the separation of CEO & Chair of the Board | Shdr | Yes | For | Against |
Engelhard Corporation | EC | 292845104 | 5/6/2004 | 1) Election of 2 Directors | Mgmt | Yes | For | For |
Jones Apparel Group, Inc. | JNY | 480074103 | 5/19/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of BDO Seidman, LLP as independent auditors for 2004 | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of amendments to 1999 Stock Incentive Plan | Mgmt | Yes | For | For |
Phelps Dodge Corp. | PD | 717265102 | 5/28/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal regarding charitable contributions | Shdr | Yes | Against | For |
Ace Limitied | ACE | G0070K103 | 5/27/2004 | 1) Election of 5 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to approve ACE Limited 2004 Long-Term Incentive Plan | Mgmt | Yes | Against | Against |
|
|
|
| 3) Proposal to ratify appt.of PWC LLP as independent accounts of ACE Limited for fiscal yr.ending 12/31/04 | Mgmt | Yes | For | For |
Greater Bay Bancorp | GBBK | 391648102 | 5/25/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Amendment to Restated Articles of Inc.to increase auth.shares of Common Stock | Mgmt | Yes | For | For |
|
|
|
| 3) Amendment to increase auth.shares of stock under 1996 Stock Option Plan | Mgmt | Yes | Against | Against |
|
|
|
| 4) Ratification of appt. of PWC LLP as independent public accountants for yr.ending 12/31/04 | Mgmt | Yes | For | For |
|
|
|
| 5) Amendment to Bylaws eliminating classified Board of Directors | Mgmt | Yes | For | For |
|
|
|
| 6) Proposal to eliminate classified Board of Directors | Shdr | Yes | For | Against |
Lexar Media, Inc. | LEXR | 52886P104 | 5/26/2004 | 1) Election of 2 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to ratify the appt. of PWC LLP as independent accountants for fiscal yr. Ending 12/31/04 | Mgmt | Yes | For | For |
Zebra Technologies Corp. | ZBRA | 989207105 | 6/3/2004 | 1) Election of 2 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to amend Company's Cert. Of Inc. to increase total number of auth.shares of Class A Common Stock to 150,000,000 | Mgmt | Yes | For | For |
|
|
|
| 3) Proposal to ratify KPMG LLP as independent auditors | Mgmt | Yes | For | For |
|
|
|
| 4) Proposal regarding Charter of the Nominating Committee | Shdr | Yes | Against | For |
Westwood One, Inc. | WON | 961815107 | 5/13/2004 | 1) Election of 5 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of selection of PWC LLP as independent accountants for fiscal yr.ending 12/31/04 | Mgmt | Yes | For | For |
MPS Group Inc. | MPS | 553409103 | 5/26/2004 | 1) Election of 9 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of Company's 2004 Equity Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| 3) Approval of Company's 2004 Non-Employee Director Equity Incentive Plan | Mgmt | Yes | For | For |
|
|
|
| Approval of Company's Executive Annual Incentive Plan | Mgmt | Yes | For | For |
Limited Brands, Inc. | LTD | 532716107 | 5/17/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) To adopt the 2004 Restatement of 1993 Stock Option & Performance Incentive Plan (as amended and restated, the "Stock Plan") to increase number of shares of Common Stock Issuable under predecessor to the Stock Plan. | Mgmt | Yes | For | For |
Michaels Stores, Inc. | MIK | 594087108 | 6/17/2004 | 1) Election of 6 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Ratification of Audit Committee's selection of Ernst & Young LLP as independent auditors for fiscal 2004 | Mgmt | Yes | For | For |
|
|
|
| 3) Adoption of amendment to the Restated Certificate of Inc. | Mgmt | Yes | For | For |
Pier 1 Imports, Inc. | PIR | 720279108 | 6/25/2004 | 1) Election of 7 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Proposal to approve amendment to Pier 1's 1999 Stock Plan | Mgmt | Yes | Against | Against |
|
|
|
| 3) Proposal to approve amendments to Pier 1's Stock Plan Purchase | Mgmt | Yes | For | For |
Ivax Corporation | IVAX | 465823102 | 7/15/2004 | 1) Election of 12 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) Approval of 2004 Incentive Compensation Plan | Mgmt | Yes | For | For |
Check Point Software | CHKP | M22465104 | 6/30/2004 | 1) Election of 4 Directors | Mgmt | Yes | For | For |
|
|
|
| 2) To ratify the Consolidated Financial Stmts. Of the Co. for year ended 12/31/03 | Mgmt | Yes | For | For |
|
|
|
| 3) To ratify appt. & compensation of Co.'s independent public accountants | Mgmt | Yes | For | For |
|
|
|
| 4) To approve amendmane to Directors' compensation | Mgmt | Yes | For | For |
|
|
|
| 5) To approve executive officers' compensation | Mgmt | Yes | For | For |
Item 1, Exhibit A5
Vote Summary Report | |||||||||||||
Dec 01, 2003 - Dec 31, 2003 | |||||||||||||
The Saratoga Advantage Trust: International Equity Portfolio | |||||||||||||
Mtg | Company/ | Mgmt | Vote | Sponsor* | Shares | ||||||||
Date/Type | Ballot Issues | Security | Rec | Cast | Voted | ||||||||
Australia | |||||||||||||
12/19/03 - A | National Australia Bank (Nab) | 632525408 | 3,000 | ||||||||||
1 | Chairman's Address and Presentation by the Managing Director and Chief Executive Officer | None | None | ||||||||||
2 | Receive Financial Statements and Statutory Reports | None | None | ||||||||||
3a | Elect Peter JB Duncan as Director | For | For | ||||||||||
3b | Elect Edward D Tweddell as Director | For | For | ||||||||||
3c | Elect Catherine M Walter as Director | For | For | ||||||||||
3d | Elect John M Stewart as Director | For | For | ||||||||||
3e | Elect John G Thorn as Director | For | For | ||||||||||
4 | Approve Share, Option and Performance Rights Plan Grants to John M Stewart | For | For | ||||||||||
5 | Approve Share, Option and Performance Rights Plan Grants to FJ Cicutto, Managing Director and Chief Executive Officer | For | For | ||||||||||
6 | Approve Discontinuation of Non-Executive Directors' Retirements Benefits Scheme | None | For | ||||||||||
7 | Approve Remuneration of Directors in the Amount of AUD 3.5 Million | None | For | ||||||||||
8 | Approve Non-Executive Directors' Share Plan | For | For | ||||||||||
9 | Authorize Share Repurchase Program Relating to Preference Shares Associated With the Trust Units Exchangeable for Preference Shares (TrUEPrS) | For | For | ||||||||||
* Management | |||||||||||||
Vote Summary Report | |||||||||
Dec 01, 2003 - Dec 31, 2003 | |||||||||
The Saratoga Advantage Trust | |||||||||
Mtg | Company/ | Mgmt | Vote | Sponsor* | Shares | ||||
Date/Type | Ballot Issues | Security | Rec | Cast | Voted | ||||
France | |||||||||
12/11/03 - S | Business Objects S.A. | 12328X107 | 21,700 | ||||||
Special Meeting Agenda | |||||||||
1 | Approve Acquisition of Crystal Decsions Inc. and Approve Terms of Merger Agreement | For | For | ||||||
2 | Approve Issuance of Up to 37 Million Shares in Connection with Acquisition, and Amend Articles Accordingly | For | For | ||||||
3 | Approve Issuance of Warrants to Subscribe to Up to 15,000 Shares to David J. Roux | For | For | ||||||
4 | Authorize Issuance of Up to 250,000 Shares Reserved for Business Objects SA Employee Benefits Trust for Use in 1995 International Employee Stock Purchase Plan | For | For | ||||||
5 | Approve Issuance of Up to 50,000 Shares Reserved for Employees Participating in Savings-Related Share Purchase Plan | For | For | ||||||
6 | Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of EUR 1.3 Million | For | For | ||||||
7 | Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of EUR 1.3 Million | For | For | ||||||
8 | Amend 2001 Executive Stock Option Plan Re: Number of Available Shares | For | Against | ||||||
9 | Elect David J. Roux as Director | For | For | ||||||
10 | Approve Increase in Director Remuneration to Aggregate Amount of EUR 350,000 | For | For | ||||||
11 | Authorize Filing of Required Documents/Other Formalities | For | For | ||||||
*Managment | |||||||||
Vote Summary Report | |||||||||
Feb 01, 2004 - Feb 29, 2004 | |||||||||
The Saratoga Advantage Trust | |||||||||
Mtg | Company/ | Mgmt | Vote | Sponsor* | Shares | ||||
Date/Type | Ballot Issues | Security | Rec | Cast | Voted | ||||
02/03/04 - A | Imperial Tobacco Group Plc | 453142101 | 7,000 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | TO RECEIVE THE REPORT OF THE DIRECTORS AND THE ACCOUNTS FOR THE FINANCIAL YEAR ENDING SEPTEMBER 30, 2003 | For | |||||||
2 | TO RECEIVE THE DIRECTORS REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDING SEPTEMBER 30, 2003. | For | |||||||
3 | TO DECLARE A FINAL DIVIDEND OF 30.0 PENCE PER ORDINARY SHARE PAYABLE ON FEBRUARY 20, 2004 TO THOSE SHAREHOLDERS ON THE REGISTER AT THE CLOSE OF BUSINESS ON JANUARY 23, 2004. | For | |||||||
4 | Elect Directors | For | |||||||
5 | Ratify Auditors | For | |||||||
6 | THAT IN ACCORDANCE WITH ARTICLES 66 OF THE ARTICLES OF ASSOCIATION OF THE COMPANY, THE MAXIMUM NUMBER OF DIRECTORS OF THE COMPANY BE AND HEREBY IS INCREASED FROM 12 TO 16. | For | |||||||
7 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: IMPERIAL TOBACCO GROUP PLC | For | |||||||
8 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: IMPERIAL TOBACCO LIMITED | For | |||||||
9 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: IMPERIAL TOBACCO INTERNATIONAL LIMITED | For | |||||||
10 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: VAN NELLE TABAK NEDERLAND B.V. | For | |||||||
11 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: JOHN PLAYER & SONS LIMITED | For | |||||||
12 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: REEMTSMA CIGARETTENFABRIKEN GMBH | For | |||||||
13 | APPROVAL OF THE DONATION TO EU POLITICAL ORGANIZATION: COMPAGNIE INDEPENDANTE DES TABACCO S.A. | For | |||||||
14 | THAT THE AUTHORIZATION GIVEN TO THE BOARD TO GRANT OPTIONS TO EMPLOYEES RESIDENT IN FRANCE BE AND IS HEREBY RENEWED, AS SET FORTH IN THE COMPANY S NOTICE OF MEETING ENCLOSED HEREWITH. | For | |||||||
15 | THAT THE DIRECTORS BE EMPOWERED TO ALLOT RELEVANT SECURITIES, AS SET FORTH IN THE COMPANY S NOTICE OF MEETING ENCLOSED HEREWITH | For | |||||||
16 | APPROVAL OF THE DISAPPLICATION OF PRE-EMPTION RIGHTS, AS SET FORTH IN THE COMPANY S NOTICE OF MEETING ENCLOSED HEREWITH | For | |||||||
17 | THAT THE COMPANY BE AUTHORIZED TO MAKE MARKET PURCHASES OF ORDINARY SHARES OF THE COMPANY INCLUDING TREASURY SHARES, AS SET FORTH IN THE COMPANY S NOTICE OF MEETING ENCLOSED HEREWITH | For | |||||||
*Management | |||||||||
Vote Summary Report | |||||||||
Mar 01, 2004 - Mar 31, 2004 | |||||||||
The Saratoga Advantage Trust | |||||||||
Mtg | Company/ | Mgmt | Vote | Sponsor* | Shares | ||||
Date/Type | Ballot Issues | Security | Rec | Cast | Voted | ||||
Japan | |||||||||
03/30/04 - A | Canon Inc. | 138006309 | 7,749 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | APPROVAL OF THE PROPOSAL OF PROFIT APPROPRIATION FOR THE 103RD BUSINESS TERM. | For | For | ||||||
2 | Amend Articles to: Authorize Share Repurchases at Board's Discretion | For | For | ||||||
3 | ELECTION OF TWENTY-SEVEN DIRECTORS. | For | For | ||||||
4 | ELECTION OF THREE CORPORATE AUDITORS. | For | Against | ||||||
5 | ELECTION OF ADDITIONAL ACCOUNTING AUDITOR. | For | For | ||||||
6 | GRANT OF RETIRING ALLOWANCE TO DIRECTORS AND CORPORATE AUDITORS TO BE RETIRED. | For | For | ||||||
7 | REVISION OF THE REMUNERATIONS FOR DIRECTORS AND CORPORATE AUDITORS. | For | For | ||||||
*Management | |||||||||
Vote Summary Report | ||||||||||
Apr 01, 2004 - Apr 30, 2004 | ||||||||||
The Saratoga Advantage Trust | ||||||||||
Mtg | Company/ | Mgmt | Vote | Record | Shares | |||||
Date/Type | Ballot Issues | Security | Rec | Cast | Date | Prpnent | Voted | |||
04/27/04 - A | Autoliv Inc. *ALV* | 052800109 | 03/02/04 | 7,000 | ||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | Amend Omnibus Stock Plan | For | For | Mgmt | ||||||
3 | Ratify Auditors | For | For | Mgmt | ||||||
04/21/04 - A | Axa (Formerly Axa-Uap) | 054536107 | 03/15/04 | 15,900 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | FIRST RESOLUTION (APPROVAL OF THE COMPANY S 2003 FINANCIAL STATEMENTS-PARENT ONLY) | For | For | Mgmt | ||||||
2 | SECOND RESOLUTION (APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR 2003) | For | For | Mgmt | ||||||
3 | THIRD RESOLUTION (EARNINGS APPROPRIATION AND DECLARATION OF A DIVIDEND OF 0.38 POUNDS) | For | For | Mgmt | ||||||
4 | FOURTH RESOLUTION (APPROVAL OF THE AGREEMENTS MENTIONED IN THE AUDITORS SPECIAL REPORT) | For | For | Mgmt | ||||||
5 | FIFTH RESOLUTION (RE-ELECTION OF MR. CLAUDE BEBEAR TO THE SUPERVISORY BOARD, FOR A FOUR-YEAR TERM) | For | Against | Mgmt | ||||||
6 | SIXTH RESOLUTION (RE-ELECTION OF A STATUTORY AUDITOR MAZARS & GUERARD, FOR A SIX-YEAR TERM) | For | For | Mgmt | ||||||
7 | Ratify Auditors | For | For | Mgmt | ||||||
8 | EIGHTH RESOLUTION (APPOINTMENT OF MR. WILLY AVEREYN TO THE SUPERVISORY BOARD) | For | Against | Mgmt | ||||||
9 | NINTH RESOLUTION (APPOINTMENT OF MR. CEES DE JONG TO THE SUPERVISORY BOARD) | For | Against | Mgmt | ||||||
10 | TENTH RESOLUTION (APPOINTMENT OF MR. JACQUES TABOUROT TO THE SUPERVISORY BOARD) | For | For | Mgmt | ||||||
11 | ELEVENTH RESOLUTION (AUTHORIZATION GRANTED TO THE MANAGEMENT BOARD TO TRADE IN THE COMPANY S SHARES: MAXIMUM PURCHASE PRICE 35 POUNDS; MINIMUM SELLING SALE PRICE 12 POUNDS) | For | For | Mgmt | ||||||
12 | TWELFTH RESOLUTION (DELEGATION TO THE MANAGEMENT BOARD TO ISSUE EQUITY IN THE EVENT OF A PUBLIC OFFER TO PURCHASE OR EXCHANGE SECURITIES OF THE COMPANY) | For | Against | Mgmt | ||||||
13 | THIRTEENTH RESOLUTION (STATUTORY MODIFICATIONS RELATED TO THE APPOINTMENT OF A SUPERVISORY BOARD MEMBER REPRESENTING EMPLOYEE SHAREHOLDERS) | For | For | Mgmt | ||||||
14 | FOURTEENTH RESOLUTION (NOT APPROVED BY THE MANAGEMENT BOARD AND THE SUPERVISORY BOARD) (ELECTION OF AN EMPLOYEE REPRESENTATIVE TO THE SUPERVISORY BOARD) | Against | Against | Mgmt | ||||||
15 | FIFTEENTH RESOLUTION (AUTHORIZATION GIVEN TO THE MANAGEMENT BOARD TO CANCEL SHARES AND REDUCE THE CAPITAL) | For | For | Mgmt | ||||||
16 | SIXTEENTH RESOLUTION (AUTHORIZATION TO COMPLY WITH ALL FORMAL REQUIREMENTS IN CONNECTION WITH THIS MEETING) | For | For | Mgmt | ||||||
04/29/04 - A | Barclays Plc | 06738E204 | 03/23/04 | 14,400 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | TO RECEIVE THE DIRECTORS REPORT AND THE ACCOUNTS FOR THE YEAR ENDED 31ST DECEMBER 2003. | For | For | Mgmt | ||||||
2 | TO APPROVE THE REPORT ON REMUNERATION FOR THE YEAR ENDED 31ST DECEMBER 2003. | For | For | Mgmt | ||||||
3 | THAT SIR RICHARD BROADBENT BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
4 | THAT ROGER DAVIS BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
5 | THAT GARY HOFFMAN BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
6 | THAT NAGUIB KHERAJ BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
7 | THAT DAVID ROBERTS BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
8 | THAT SIR PETER MIDDLETON BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
9 | THAT STEPHEN RUSSELL BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
10 | THAT CHRIS LENDRUM BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
11 | THAT SIR BRIAN JENKINS BE RE-ELECTED A DIRECTOR OF THE COMPANY. | For | For | Mgmt | ||||||
12 | Ratify Auditors | For | For | Mgmt | ||||||
13 | TO AUTHORISE THE DIRECTORS TO SET THE REMUNERATION OF THE AUDITORS. | For | For | Mgmt | ||||||
14 | TO RENEW THE AUTHORITY GIVEN TO DIRECTORS TO ALLOT SECURITIES FOR CASH OTHER THAN ON A PRO RATA BASIS. | For | For | Mgmt | ||||||
15 | TO RENEW THE COMPANY S AUTHORITY TO PURCHASE ITS OWN SHARES. *NOTE-VOTING CUT-OFF DATE: NO LATER THAN APRIL 22, 2004 | For | For | Mgmt | ||||||
04/15/04 - A | BP PLC (Form. Bp Amoco Plc ) | 055622104 | 02/23/04 | 8,805 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | Elect Directors | For | For | Mgmt | ||||||
2 | TO ELECT MR A BURGMANS AS A DIRECTOR | For | For | Mgmt | ||||||
3 | Ratify Auditors | For | For | Mgmt | ||||||
4 | TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY | For | For | Mgmt | ||||||
5 | TO GIVE AUTHORITY TO ALLOT SHARES UP TO A SPECIFIED AMOUNT | For | For | Mgmt | ||||||
6 | SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING AN OFFER TO SHAREHOLDERS | For | For | Mgmt | ||||||
7 | SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY | For | For | Mgmt | ||||||
8 | TO AUTHORISE THE USE OF TREASURY SHARES FOR EMPLOYEE SHARE SCHEMES | For | For | Mgmt | ||||||
9 | TO APPROVE THE DIRECTORS REMUNERATION REPORT | For | For | Mgmt | ||||||
10 | TO DETERMINE THE LIMIT FOR THE AGGREGATE REMUNERATION OF THE NON-EXECUTIVE DIRECTORS | For | For | Mgmt | ||||||
11 | TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE ACCOUNTS | For | For | Mgmt | ||||||
12 | SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES ON MATTERS OF CONTROL AND RISK IN PROTECTED AND SENSITIVE AREAS | Against | Against | ShrHoldr | ||||||
04/28/04 - A | E.ON AG (formerly Veba Ag) | 268780103 | 03/19/04 | 6,000 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | APPROPRIATION OF THE BALANCE SHEET INCOME FROM THE 2003 FINANCIAL YEAR. | For | For | Mgmt | ||||||
2 | DISCHARGE OF THE BOARD OF MANAGEMENT FOR THE 2003 FINANCIAL YEAR. | For | For | Mgmt | ||||||
3 | DISCHARGE OF THE SUPERVISORY BOARD FOR THE 2003 FINANCIAL YEAR. | For | For | Mgmt | ||||||
4 | CHANGE OF THE ARTICLES OF ASSOCIATION REGARDING THE USE OF PROFITS. | For | For | Mgmt | ||||||
5 | CONSENT TO THE AGREEMENT ON DOMINATION AND DISTRIBUTION OF PROFITS AND LOSSES BETWEEN E.ON AG AND E.ON NORDIC HOLDING GMBH (FORMERLY E.ON VENTURE ERSTE VERMOEGENSVERWALTUNGSGESELLSCHAFT MBH). | For | For | Mgmt | ||||||
6 | AUTHORIZATION TO BUY BACK OWN SHARES. | For | For | Mgmt | ||||||
7 | Ratify Auditors | For | For | Mgmt | ||||||
04/29/04 - A | Telefonica S.A. (Formerly Telefonica De Espana, S.A.) | 879382208 | 04/02/04 | 9,441 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | APPROVAL OF THE ANNUAL ACCOUNTS AND OF THE MANAGEMENT REPORT OF TELEFONICA, S.A. AND OF ITS CONSOLIDATED GROUP OF COMPANIES, AS WELL AS THE PROPOSAL FOR THE APPLICATION OF THE RESULTS OF TELEFONICA, S.A., AND THAT OF THE MANAGEMENT OF ITS BOARD OF DIRE | For | For | Mgmt | ||||||
2 | APPROVAL OF THE SHAREHOLDER REMUNERATION: DISTRIBUTION OF DIVIDENDS FROM 2003 NET INCOME AND FROM THE ADDITIONAL PAID-IN-CAPITAL RESERVE. | For | For | Mgmt | ||||||
3 | APPROVAL OF THE DESIGNATION OF THE ACCOUNTS AUDITOR FOR THE 2004 FISCAL YEAR. | For | For | Mgmt | ||||||
4 | APPROVAL OF THE AUTHORIZATION FOR THE ACQUISITION OF TREASURY STOCK, DIRECTLY OR THROUGH GROUP COMPANIES. | For | For | Mgmt | ||||||
5 | APPROVAL, IF APPROPRIATE, OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS OF TELEFONICA, S.A. . | For | For | Mgmt | ||||||
6 | DELEGATION OF POWERS FOR THE FORMALIZING, INTERPRETING, CORRECTING AND EXECUTING OF THE RESOLUTIONS ADOPTED BY THE ANNUAL GENERAL SHAREHOLDERS MEETING. | For | For | Mgmt | ||||||
04/15/04 - A | Ubs Ag | H8920M855 | None | 5,500 | ||||||
1 | Accept Financial Statements and Statutory Reports | For | For | Mgmt | ||||||
2 | Approve Allocation of Income and Dividends of CHF 2.60 per Share | For | For | Mgmt | ||||||
3 | Approve Discharge of Board and Senior Management | For | For | Mgmt | ||||||
4 | Elect Directors | For | For | Mgmt | ||||||
4.3 | Ratify Ernst and Young as Auditors | For | For | Mgmt | ||||||
5.1 | Approve CHF 47.6 Million Reduction in Share Capital via Cancellation of Shares | For | For | Mgmt | ||||||
5.2 | Authorize Repurchase of Issued Share Capital | For | For | Mgmt | ||||||
Vote Summary Report | |||||||||
May 01, 2004 - May 31, 2004 | |||||||||
The Saratoga Advantage Trust | |||||||||
Mtg | Company/ | Mgmt | Vote | Sponsor* | Shares | ||||
Date/Type | Ballot Issues | Security | Rec | Cast | Voted | ||||
05/27/04 - S | Delhaize Group (formerly Delhaize Le Lion) | 29759W101 | 5,000 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | CONFIRMATION OF THE MANDATE OF DR. WILLIAM L. ROPER AS DIRECTOR OF DELHAIZE GROUP SA | For | For | ||||||
2 | AMENDMENT TO ARTICLE 10 (ACQUISITION, PLEDGE AND TRANSFER OF OWN SHARES) OF DELHAIZE GROUP S ARTICLES OF ASSOCIATION | For | For | ||||||
3 | POWER TO IMPLEMENT THE ABOVE RESOLUTIONS | For | For | ||||||
05/27/04 - A | Delhaize Group (formerly Delhaize Le Lion) | 29759W101 | 5,000 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | APPROVAL OF ANNUAL ACCOUNTS AS OF DECEMBER 31, 2003. | For | For | ||||||
2 | DISCHARGE OF LIABILITY OF THE DIRECTORS. | For | For | ||||||
3 | COMPENSATION OF THE DIRECTORS. | For | For | ||||||
4 | DISCHARGE OF LIABILITY OF THE STATUTORY AUDITOR. | For | For | ||||||
5 | Elect Directors | For | For | ||||||
6 | BARON DE COOMAN D HERLINCKHOVE WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2005. | For | Against | ||||||
7 | COUNT DE PRET ROOSE DE CALESBERG WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2004. | For | For | ||||||
8 | BARON GEORGES JACOBS WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2005. | For | For | ||||||
9 | MR. DIDIER SMITS WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2005. | For | Against | ||||||
10 | MR. PHILIPPE STROOBANT WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2004. | For | Against | ||||||
11 | MR. FRANS VREYS WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2005. | For | For | ||||||
12 | BARON GUI DE VAUCLEROY WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2004. | For | Against | ||||||
13 | COUNT GOBLET D ALVIELLA WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2006. | For | For | ||||||
14 | MR. ROBERT J. MURRAY WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2006. | For | For | ||||||
15 | MR. EDWARD NEVILLE ISDELL WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2006. | For | For | ||||||
16 | DR. WILLIAM L. ROPER WILL APPROVE THE ANNUAL ACCOUNTS RELATING TO THE FINANCIAL YEAR 2006. | For | For | ||||||
17 | PURSUANT TO ARTICLE 556 OF THE COMPANY CODE, APPROVAL OF (I) ANY PROVISION GRANTING TO THE BENEFICIARIES OF STOCK OPTIONS ON SHARES TO ACQUIRE PREMATURELY SHARES OF THE COMPANY IN EVENT OF A CHANGE OF CONTROL OVER THE COMPANY, (II) ANY PROVISION GRANTING | For | Against | ||||||
*Management | |||||||||
05/17/04 - A | GlaxoSmithKline PLC (formerly Glaxo Wellcome Plc ) | 37733W105 | 7,138 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | TO RECEIVE AND ADOPT THE DIRECTORS REPORT AND THE FINANCIAL STATEMENTS (ORDINARY RESOLUTION) | For | For | ||||||
2 | TO APPROVE THE REMUNERATION REPORT (ORDINARY RESOLUTION) | For | For | ||||||
3 | TO ELECT MR H LAWRENCE CULP AS A DIRECTOR (ORDINARY RESOLUTION) | For | For | ||||||
4 | TO ELECT MR CRISPIN DAVIS AS A DIRECTOR (ORDINARY RESOLUTION) | For | For | ||||||
5 | TO ELECT SIR ROBERT WILSON AS A DIRECTOR (ORDINARY RESOLUTION) | For | For | ||||||
6 | TO ELECT DR TACHI YAMADA AS A DIRECTOR (ORDINARY RESOLUTION) | For | For | ||||||
7 | TO RE-ELECT SIR CHRISTOPHER HOGG AS A DIRECTOR (ORDINARY RESOLUTION) | For | For | ||||||
8 | Ratify Auditors | For | For | ||||||
9 | REMUNERATION OF AUDITORS (ORDINARY RESOLUTION) | For | For | ||||||
10 | AUTHORISE THE COMPANY TO MAKE DONATIONS TO EU POLITICAL ORGAN- ISATIONS AND INCUR EU POLITICAL EXPENDITURE (SPECIAL BUSINESS) | For | For | ||||||
11 | DISAPPLICATION OF PRE-EMPTION RIGHTS (SPECIAL RESOLUTION) | For | For | ||||||
12 | AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN SHARES (SPECIAL RESOLUTION) | For | For | ||||||
*Management | |||||||||
05/28/04 - A | HSBC Holdings Plc | 404280406 | 04/14/04 | 4,130 | |||||
Meeting for Holders of ADRs | |||||||||
1 | TO RECEIVE THE REPORT AND ACCOUNTS FOR 2003 | For | For | ||||||
2 | Elect Directors | For | For | ||||||
3 | Ratify Auditors | For | For | ||||||
4 | TO APPROVE THE DIRECTORS REMUNERATION REPORT FOR 2003 | For | For | ||||||
5 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES | For | For | ||||||
6 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | For | For | ||||||
7 | TO DISAPPLY PRE-EMPTION RIGHTS (SPECIAL RESOLUTION) | For | For | ||||||
8 | TO INCREASE THE FEES PAYABLE TO EACH DIRECTOR TO 55,000 POUNDS PER ANNUM | For | For | ||||||
*Management | |||||||||
05/18/04 - A | Petrochina Co. Ltd. | 71646E100 | 4,900 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | TO APPROVE THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR 2003. | For | For | ||||||
2 | TO APPROVE THE REPORT OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR 2003. | For | For | ||||||
3 | TO APPROVE THE AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR 2003. | For | For | ||||||
4 | TO APPROVE THE DECLARATION AND PAYMENT OF A FINAL DIVIDEND FOR THE YEAR ENDED DECEMBER 31, 2003 IN THE AMOUNT AND IN THE MANNER RECOMMENDED BY THE BOARD OF DIRECTORS. | For | For | ||||||
5 | TO APPROVE THE AUTHORISATION OF THE BOARD OF DIRECTORS TO DETERMINE THE DISTRIBUTION OF INTERIM DIVIDEND FOR 2004. | For | For | ||||||
6 | RATIFY AUDITORS | For | For | ||||||
7 | TO APPROVE THE PROPOSAL IN RELATION TO THE RE-ELECTION OF MR. CHEN GENG AS A DIRECTOR OF THE COMPANY. | For | For | ||||||
8 | TO APPROVE THE PROPOSAL IN RELATION TO THE ELECTION OF MR. ZHOU JIPING AS A DIRECTOR OF THE COMPANY. | For | For | ||||||
9 | TO APPROVE THE PROPOSAL IN RELATION TO THE ELECTION OF MR. DUAN WENDE AS A DIRECTOR OF THE COMPANY. | For | For | ||||||
10 | TO APPROVE THE PROPOSAL IN RELATION TO THE ELECTION OF MR. SUN XIANFENG AS A SUPERVISOR OF THE COMPANY. | For | For | ||||||
11 | TO APPROVE THE PROPOSAL IN RELATION TO THE ELECTION OF MR. XU FENGLI AS A SUPERVISOR OF THE COMPANY. | For | For | ||||||
12 | TO ALLOT AND DEAL WITH ADDITIONAL DOMESTIC SHARES. | For | Against | ||||||
*Management | |||||||||
05/28/04 - A | Royal & Sun Alliance Insurance Group(Formerly Sun Alliance Grou | 78004V202 | 25,000 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | APPROVAL TO ADOPT THE 2003 REPORT AND ACCOUNTS | For | For | ||||||
2 | APPROVAL TO DECLARE A FINAL DIVIDEND OF 2.9P PER ORDINARY SHARE FOR 2003 | For | For | ||||||
3 | Ratify Auditors | For | For | ||||||
4 | APPROVAL TO CONFIRM THE RE-APPOINTMENT OF EDWARD LEA AS A DIRECTOR | For | For | ||||||
5 | APPROVAL TO CONFIRM THE RE-APPOINTMENT OF JOHN MAXWELL AS A DIRECTOR | For | For | ||||||
6 | APPROVAL TO CONFIRM THE RE-APPOINTMENT OF NOEL HARWERTH AS A DIRECTOR | For | For | ||||||
7 | APPROVAL TO CONFIRM THE RE-APPOINTMENT OF MALCOLM LE MAY AS A DIRECTOR | For | For | ||||||
8 | APPROVAL TO CONFIRM THE RE-APPOINTMENT OF GEORGE CULMER AS A DIRECTOR | For | For | ||||||
9 | APPROVAL OF THE COMPANY S REMUNERATION REPORT | For | For | ||||||
10 | APPROVAL OF THE COMPANY S SHARE MATCHING PLAN | For | For | ||||||
11 | APPROVAL TO GIVE AUTHORITY FOR THE COMPANY TO MAKE DONATIONS TO EU POLITICAL ORGANIZATIONS AND INCUR EU POLITICAL EXPENDITURE | For | For | ||||||
12 | APPROVAL OF AMENDMENTS TO THE ARTICLES OF ASSOCIATION IN RELATION TO THE APPOINTMENT OF PROXIES | For | For | ||||||
13 | APPROVAL TO AUTHORIZE THE DIRECTORS TO ESTABLISH A SCRIP DIVIDEND SCHEME | For | For | ||||||
14 | APPROVAL TO PERMIT THE DIRECTORS TO ISSUE FURTHER SHARES | For | For | ||||||
15 | APPROVAL TO RELAX THE RESTRICTIONS WHICH NORMALLY APPLY WHEN ORDINARY SHARES ARE ISSUED FOR CASH | For | For | ||||||
16 | APPROVAL TO GIVE THE COMPANY AUTHORITY TO BUY BACK UP TO 10% OF ITS ISSUED ORDINARY SHARES | For | For | ||||||
*Management | |||||||||
05/06/04 - A | Smith & Nephew PLC | 83175M205 | 6,000 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | REPORT AND ACCOUNTS | For | For | ||||||
2 | DIVIDEND | For | For | ||||||
3 | Elect Directors | For | For | ||||||
4 | Ratify Auditors | For | For | ||||||
5 | ALLOT SHARES | For | For | ||||||
6 | REMUNERATION REPORT | For | For | ||||||
7 | PERFORMANCE SHARE PLAN | For | For | ||||||
8 | OPTION PLAN | For | For | ||||||
9 | CO-INVESTMENT PLAN | For | For | ||||||
10 | OVERSEAS SHARE SCHEMES | For | For | ||||||
11 | NEW DISCRETIONARY TRUST | For | For | ||||||
12 | SHARE OPTION PLAN | For | For | ||||||
13 | SHARE OPTION PLAN | For | For | ||||||
14 | RECLASSIFY B SHARE | For | For | ||||||
15 | DIRECTORS TO PURCHASE OWN SHARES | For | For | ||||||
16 | ARTICLES OF ASSOCIATION | For | For | ||||||
17 | PRE-EMPTION RIGHTS | For | For | ||||||
18 | INCREASE FEES | For | For | ||||||
*Management | |||||||||
05/11/04 - A | Spirent Plc (Formerly Bowthorpe plc) | 84856M209 | 25,000 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | TO RECEIVE THE DIRECTORS REPORT AND ACCOUNTS FOR 2003 | For | For | ||||||
2 | TO APPROVE THE REPORT ON DIRECTORS REMUNERATION | For | For | ||||||
3 | TO ELECT MR F D ALESSIO AS A DIRECTOR (A MEMBER OF THE REMUNERATION COMMITTEE) | For | For | ||||||
4 | TO ELECT MR AF GIVEN AS A DIRECTOR (A MEMBER OF THE REMUNERATION COMMITTEE) | For | For | ||||||
5 | TO RE-ELECT MR N K BROOKES AS A DIRECTOR | For | For | ||||||
6 | TO RE-ELECT MR G ENNERFELT AS A DIRECTOR | For | For | ||||||
7 | TO RE-ELECT MR J A D WYNESS AS A DIRECTOR (A MEMBER OF THE REMUNERATION COMMITTEE) | For | Against | ||||||
8 | Ratify Auditors | For | For | ||||||
9 | TO AUTHORISE THE DIRECTORS TO ALLOT SECURITIES | For | For | ||||||
10 | TO AUTHORISE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS | For | For | ||||||
11 | TO AUTHORISE THE COMPANY TO MAKE MARKET PURCHASES OF ITS OWN SHARES | For | For | ||||||
*Management | |||||||||
05/14/04 - A | Total S.A. (Formerly Total Fina Elf S.A ) | 89151E109 | 5,275 | ||||||
Meeting for Holders of ADRs | |||||||||
1 | APPROVAL OF CERTAIN REPORTS AND OF THE PARENT COMPANY S FINANCIAL STATEMENTS | For | For | ||||||
2 | APPROVAL OF CONSOLIDATED FINANCIAL STATEMENTS | For | For | ||||||
3 | ALLOCATION OF INCOME, APPROVAL OF THE DIVIDEND | For | For | ||||||
4 | AGREEMENTS MENTIONED IN ARTICLE L. 225-38 OF THE FRENCH COMMERCIAL CODE | For | For | ||||||
5 | AUTHORIZATION TO TRADE THE COMPANY S OWN SHARES | For | For | ||||||
6 | AUTHORIZATION FOR THE BOARD OF DIRECTORS TO ISSUE DEBT SECURITIES AND/OR PERPETUAL SUBORDINATED NOTES FOR A MAXIMUM NOMINAL AMOUNT OF 10 BILLION EUROS | For | For | ||||||
7 | Elect Directors | For | For | ||||||
8 | APPOINTMENT OF DANIEL BOEUF AS A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS IN APPLICATION OF ARTICLE 11 OF THE ARTICLES OF INCORPORATION | For | For | ||||||
9 | APPOINTMENT OF PHILIPPE MARCHANDISE AS A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS IN APPLICATION OF ARTICLE 11 OF THE ARTICLES OF INCORPORATION | Against | Against | ||||||
10 | APPOINTMENT OF CYRIL MOUCHE AS A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS IN APPLICATION OF ARTICLE 11 OF THE ARTICLES OF INCORPORATION | Against | Against | ||||||
11 | APPOINTMENT OF ALAN CRAMER AS A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS IN APPLICATION OF ARTICLE 11 OF THE ARTICLES OF INCORPORATION | Against | Against | ||||||
12 | Ratify Auditors | For | For | ||||||
13 | RENEWAL OF STATUTORY AUDITORS | For | For | ||||||
14 | Ratify Auditors | For | For | ||||||
15 | Ratify Auditors | For | For | ||||||
16 | DETERMINATION OF THE TOTAL AMOUNT OF DIRECTORS COMPENSATION | For | For | ||||||
17 | AUTHORIZATION TO AWARD OPTIONS TO SUBSCRIBE FOR OR PURCHASE STOCK OF THE COMPANY IN FAVOUR OF THE MANAGEMENT AND KEY EMPLOYEES OF THE GROUP | For | For | ||||||
18 | AUTHORIZATION FOR ISSUING CONVERTIBLE OR OTHER EQUITY SECURITIES | For | For | ||||||
19 | AUTHORIZATION TO USE THE ABOVE DELEGATION WITHOUT MAINTENANCE OF PREFERENTIAL SUBSCRIPTION RIGHTS, BUT WITH AN OPTION TO GRANT A PRIORITY PERIOD | For | For | ||||||
20 | CAPITAL INCREASE RESERVED FOR EMPLOYEES *Management | For | For | ||||||
Vote Summary Report | ||||||||||
Jun 01, 2004 - Jun 30, 2004 | ||||||||||
The Saratoga Advantage Trust | ||||||||||
Mtg | Company/ | Mgmt | Vote | Record | Shares | |||||
Date/Type | Ballot Issues | Security | Rec | Cast | Date | Prpnent | Voted | |||
06/29/04 - A | BANK TOKYO-MITSUBISHI *MTF* | 606816106 | 03/30/04 | 54,767 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | APPROVAL OF THE PROPOSED APPROPRIATIONS OF RETAINED EARNINGS AND OTHER CAPITAL SURPLUS FOR THE 3RD BUSINESS TERM | For | For | Mgmt | ||||||
2 | PARTIAL AMENDMENTS TO THE ARTICLES OF INCORPORATION | For | For | Mgmt | ||||||
3 | ELECTION OF SEVEN (7) DIRECTORS | For | For | Mgmt | ||||||
4 | ELECTION OF ONE (1) CORPORATE AUDITOR | For | For | Mgmt | ||||||
5 | GRANTING OF RETIREMENT GRATUITIES TO RETIRING DIRECTORS AND RESIGNED CORPORATE AUDITOR | For | Against | Mgmt | ||||||
06/10/04 - A | Business Objects S.A. | 12328X107 | 04/16/04 | 2,500 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | STATUTORY FINANCIAL STATEMENTS | For | For | Mgmt | ||||||
2 | CONSOLIDATED FINANCIAL STATEMENTS | For | For | Mgmt | ||||||
3 | ALLOCATION OF EARNINGS | For | For | Mgmt | ||||||
4 | SILVERMAN AS DIRECTOR | For | For | Mgmt | ||||||
5 | EISENSTAT AS DIRECTOR | For | For | Mgmt | ||||||
6 | CHARLES AS DIRECTOR | For | For | Mgmt | ||||||
7 | LAUK AS DIRECTOR | For | For | Mgmt | ||||||
8 | RATIFICATION OF REGULATED AGREEMENTS | For | For | Mgmt | ||||||
9 | APPROVAL OF A REGULATED AGREEMENT | For | Against | Mgmt | ||||||
10 | REPURCHASE ORDINARY SHARES | For | For | Mgmt | ||||||
11 | REDUCE THE SHARES CAPITAL | For | For | Mgmt | ||||||
12 | ISSUE WARRANTS TO SILVERMAN | For | Against | Mgmt | ||||||
13 | ISSUE WARRANTS TO EISENSTAT | For | Against | Mgmt | ||||||
14 | ISSUE WARRANTS TO CHARLES | For | Against | Mgmt | ||||||
15 | ISSUE WARRANTS TO LAUK | For | Against | Mgmt | ||||||
16 | ISSUE WARRANTS TO HELD | For | Against | Mgmt | ||||||
17 | ISSUE WARRANTS TO HEITZ | For | Against | Mgmt | ||||||
18 | ISSUE WARRANTS TO PETERSCHMIDT | For | Against | Mgmt | ||||||
19 | ISSUE WARRANTS TO ROUX | For | Against | Mgmt | ||||||
20 | TO INCREASE THE SHARE CAPITAL THROUGH THE ISSUANCE OF UP TO 100,000 ORDINARY SHARES | For | For | Mgmt | ||||||
06/10/04 - A | Business Objects S.A. | 12328X107 | 05/18/04 | 2,500 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | RE-AFFIRMATION OF THE PRICE-SETTING CONDITIONS OF ORDINARY SHARES RESERVED FOR ISSUANCE UNDER THE 1995 INTERNATIONAL EMPLOYEE STOCK PURCHASE PLAN. | For | For | Mgmt | ||||||
2 | TO INCREASE THE SHARE CAPITAL THROUGH THE ISSUANCE OF UP TO 325,000 ORDINARY SHARES | For | For | Mgmt | ||||||
3 | TO INCREASE THE SHARE CAPITAL THROUGH THE ISSUANCE UP TO 475,000 ORDINARY SHARES | For | For | Mgmt | ||||||
4 | TO INCREASE SHARE CAPITAL BY ISSUANCE OF 2,500,000 ORDINARY SHARES | For | Against | Mgmt | ||||||
5 | TO AMEND THE 2001 STOCK OPTION PLAN | For | Against | Mgmt | ||||||
6 | TO ISSUE ORDINARY SHARES OR WITH PREFERENTIAL SUBSCRIPTION RIGHTS | For | For | Mgmt | ||||||
7 | TO ISSUE ORDINARY SHARES WITHOUT PREFERENTIAL SUBSCRIPTION RIGHTS | For | For | Mgmt | ||||||
8 | TO INCREASE THE SHARE CAPITAL OF THE COMPANY BY INCORPORATION OF RESERVES, PROFITS OF PREMIUMS | For | For | Mgmt | ||||||
9 | TO INCREASE THE SHARE CAPITAL RESERVED FOR SUBSCRIPTION BY QUALIFIED INSTITUTIONAL BUYERS | For | Against | Mgmt | ||||||
10 | TO INCREASE THE SHARE CAPITAL RESERVED FOR SUBSCRIPTION BY PRESENT AND FUTURE MEMEBERS OF THE BOARD | For | Against | Mgmt | ||||||
11 | APPROVAL OF THE AMENDMENT OF THE ARTICLES OF ASSOCIATION OF THE COMPANY | For | Against | Mgmt | ||||||
12 | APPROVAL OF THE AMENDMENT OF THE NINETEENTH PARAGRAPH OF THE ARTICLE 6 OF THE ARTICLES OF ASSOCIATION RELATING TO THE CANCELLATION OF WARRANTS | For | Against | Mgmt | ||||||
13 | POWERS TO CARRY OUT REGISTRATIONS AND FORMALITIES | For | For | Mgmt | ||||||
06/18/04 - A | NTT DoCoMo Inc. | 62942M201 | 03/30/04 | 15,000 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | APPROVAL OF PROPOSED APPROPRIATION OF RETAINED EARNINGS FOR THE 13TH FISCAL YEAR. | For | For | Mgmt | ||||||
2 | REPURCHASE OF SHARES: A SUMMARY OF THIS ITEM APPEARS IN THE SECTION ENTITLED REFERENCE MATERIALS PERTAINING TO EXERCISE OF VOTING RIGHTS ON PAGE 3 HEREIN, BELOW. | For | For | Mgmt | ||||||
3 | PARTIAL AMENDMENT TO THE ARTICLES OF INCORPORATION: A SUMMARY OF THIS ITEM APPEARS IN THE REFERENCE MATERIALS PERTAINING TO EXERCISE OF VOTING RIGHTS ON PAGE 4 HEREIN, BELOW. | For | Against | Mgmt | ||||||
4 | ELECTION OF 25 DIRECTORS. | For | For | Mgmt | ||||||
5 | ELECTION OF 1 CORPORATE AUDITOR. | For | For | Mgmt | ||||||
6 | AWARD OF RETIREMENT BENEFITS PAYMENTS TO RETIRING DIRECTORS AND CORPORATE AUDITOR. | For | Against | Mgmt | ||||||
06/08/04 - A | PUBLICIS GROUPE | 74463M106 | 04/30/04 | 7,000 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | OPERATIONS AND FINANCIAL STATEMENTS | For | For | Mgmt | ||||||
2 | CONSOLIDATED FINANCIAL STATEMENTS | For | For | Mgmt | ||||||
3 | APPROPRIATION OF THE PROFIT FOR AND DIVIDEND | For | For | Mgmt | ||||||
4 | RATIFICATION OF ACTS OF THE MANAGEMENT BOARD | For | For | Mgmt | ||||||
5 | RATIFICATION OF ACTS OF SUPERVISORY BOARD | For | For | Mgmt | ||||||
6 | ATTENDANCE FEES FOR THE SUPERVISORY BOARD AND AUDIT COMMITTEE AND THE APPOINTMENTS AND COMPENSATION COMMITTEE | For | For | Mgmt | ||||||
7 | APPROVAL OF REGULATED AGREEMENTS | For | For | Mgmt | ||||||
8 | Elect Supervisory Board Member | For | For | Mgmt | ||||||
9 | REELECTION ALTERNATE STATUTORY AUDITORS | For | For | Mgmt | ||||||
10 | COMPANY CAN PURCHASE ITS OWN SHARES | For | For | Mgmt | ||||||
11 | CANCEL THE SHARES PURCHASED PURSUANT TO THE 15TH RESOLUTION | For | For | Mgmt | ||||||
12 | RENEWAL OF THE DELEGATION GIVEN TO THE MANAGEMENT BOARD TO ISSUE NEW SHARES | For | For | Mgmt | ||||||
13 | TO INCREASE THE CAPITAL BY ISSUING SHARES, AND MAINTENANCE OF THE PREEMPTIVE | For | For | Mgmt | ||||||
14 | TO INCREASE THE CAPITAL ON THE TERMS SET FORTH IN THE 18TH RESOLUTION BUT WITH THE AUTHORITY TO ELIMINATE THE PREEPTIVE RIGHTS | For | Against | Mgmt | ||||||
15 | TO INCREASE THE CAPITAL, ON THE TERMS PROVIDED FOR THE 19TH RESOLUTION BUT WITH THE RIGHT TO ELIMINATE THE PREEPTIVE RIGHTS | For | Against | Mgmt | ||||||
16 | DELEGATIONS GIVEN REMAIN IN EFFECT DURING A TENDER OFFER OR EXCHANGE OFFER | For | Against | Mgmt | ||||||
17 | TO IMPLEMENT A CAPITAL INCREASE | For | For | Mgmt | ||||||
18 | POWERS FOR THE FORMALITIES | For | For | Mgmt | ||||||
06/22/04 - A | Sony Corp. | 835699307 | 03/30/04 | 8,510 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | Amend Articles to: Authorize Share Repurchases at Board's Discretion | For | For | Mgmt | ||||||
2 | TO ELECT 16 DIRECTORS. | For | Against | Mgmt | ||||||
3 | TO ISSUE STOCK ACQUISITION RIGHTS FOR THE SHARES OF COMMON STOCK OF THE CORPORATION FOR THE PURPOSE OF GRANTING STOCK OPTIONS. | For | For | Mgmt | ||||||
4 | TO ISSUE STOCK ACQUISITION RIGHTS FOR THE SHARES OF SUBSIDIARY TRACKING STOCK OF THE CORPORATION FOR THE PURPOSE OF GRANTING STOCK OPTIONS. | For | For | Mgmt | ||||||
5 | TO AMEND THE ARTICLES OF INCORPORATION WITH RESPECT TO DISCLOSURE TO SHAREHOLDERS OF REMUNERATION AND OTHER AMOUNTS PAID TO EACH DIRECTOR AND CORPORATE EXECUTIVE OFFICER. | Against | For | ShrHoldr | ||||||
06/23/04 - S | Spirent Plc (Formerly Bowthorpe plc) | 84856M209 | 06/14/04 | 25,000 | ||||||
Meeting for Holders of ADRs | ||||||||||
1 | RESOLUTION: SPIRENT STOCK OPTION PLAN RENEWAL AND AMENDMENT | For | For | Mgmt | ||||||
SARATOGA ADVANTAGE TRUST: FINANCIAL SERVICES PORTFOLIO | Item 1, Exhibit A6 | |||||||
Investment Company Act file number: 811-08542 | ||||||||
July 1, 2003 - July 30, 2004 | ||||||||
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| N-PX Form Requirements |
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(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
NA | NA | NA | NA | NA | NA | NA | NA | NA |
SARATOGA ADVANTAGE TRUST: INVESTMENT QUALITY BOND PORTFOLIO | Item 1, Exhibit A7 | |||||||
Investment Company Act file number: 033-79708 | ||||||||
July 1, 2003 - July 30, 2004 | ||||||||
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| N-PX Form Requirements |
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| ||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
NA | NA | NA | NA | NA | NA | NA | NA | NA |
SARATOGA ADVANTAGE TRUST: HEALTH & BIOTECHNOLOGY PORTFOLIO | Item 1, Exhibit A8 | ||||||||||
Investment Company Act file number: 811-08542 | |||||||||||
July 1, 2003- June 30, 2004 | |||||||||||
Company | Country | Meeting Date | Meeting Type | Record Date | Ticker | Security ID | Agenda Item # | Agenda Item Description (as it appears on ballot) | Mgmt or Shareholder Proposal | Mgmt. Recommendation | Fund Vote |
Medtronics, Inc | US | 20030828 | Annual | 20030703 | MDT | 585055106 | 1 | Election of Directors | Mgmt | For | For |
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| 2 | Ratify Appointment of Independent Auditors | Mgmt | For | For | ||
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| 3 | Adopt Omnibus Stock Option Plan | Mgmt | For | For | ||
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| 4 | Adopt Omnibus Stock Option Plan | Mgmt | For | For |
Sicor, Inc. | US | 20040116 | Special | 20031209 | SCRI | 825846108 | 1 | Approve Merger Agreement | Mgmt | For | For |
Eli Lilly and Co. | US | 20040419 | Annual | 20040213 | LLY | 532457108 | 1.1 | Elect Director Steven C. Beering | Mgmt | For | For |
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| 1.2 | Elect Director Winfried Bischoff | Mgmt | For | For | ||
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| 1.3 | Elect Director Franklyn C. Prendergast | Mgmt | For | For | ||
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| 1.4 | Elect Director Kathi P. Seifert | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Approve Executive Incentive Bonus Plan | Mgmt | For | For | ||
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| 4 | Limit Executive Compensation | Shrholdr | Against | Against | ||
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| 5 | Report on Drug Pricing | Shrholdr | Against | Against |
Johnson & Johnson | US | 20040422 | Annual | 20040224 | JNJ | 478160104 | 1.1 | Elect Director Gerard N. Burow | Mgmt | For | For |
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| 1.2 | Elect Director Mary S. Coleman | Mgmt | For | For | ||
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| 1.3 | Elect Director James G. Cullen | Mgmt | For | For | ||
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| 1.4 | Elect Director Robert J. Darretta | Mgmt | For | For | ||
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| 1.5 | Elect Director M. Judah Folkman | Mgmt | For | For | ||
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| 1.6 | Elect Director Ann D. Jordan | Mgmt | For | For | ||
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| 1.7 | Elect Director Arnold G. Langbo | Mgmt | For | For | ||
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| 1.8 | Elect Director Susan L. Lindquist | Mgmt | For | For | ||
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| 1.9 | Elect Director Leo F. Mullin | Mgmt | For | For | ||
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| 1.10 | Elect Director Steven S. Reinemund | Mgmt | For | For | ||
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| 1.11 | Elect Director David Satcher | Mgmt | For | For | ||
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| 1.12 | Elect Director Henry B. Schacht | Mgmt | For | For | ||
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| 1.13 | Elect Director William C. Weldon | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | Against | ||
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| 3 | Cease Charitable Contributions | Shrholdr | Against | Against |
Pfizer Inc. | US | 20040422 | Annual | 20040227 | PFE | 717081103 | 1.1 | Elect Director Michael S. Brown | Mgmt | For | For |
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| 1.2 | Elect Director M. Anthony Burns | Mgmt | For | For | ||
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| 1.3 | Elect Director Robert N. Burt | Mgmt | For | For | ||
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| 1.4 | Elect Director W. Don Cornwell | Mgmt | For | For | ||
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| 1.5 | Elect Director William H. Gray III | Mgmt | For | For | ||
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| 1.6 | Elect Director Constance J. Horner | Mgmt | For | For | ||
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| 1.7 | Elect Director William R. Howell | Mgmt | For | For | ||
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| 1.8 | Elect Director Stanley O. Ikenberry | Mgmt | For | For | ||
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| 1.9 | Elect Director George A. Lorch | Mgmt | For | For | ||
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| 1.10 | Elect Director Henry A. Mckinnell | Mgmt | For | For | ||
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| 1.11 | Elect Director Dana G. Mead | Mgmt | For | For | ||
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| 1.12 | Elect Director Franklin D. Raines | Mgmt | For | For | ||
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| 1.13 | Elect Director Ruth J. Simmons | Mgmt | For | For | ||
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| 1.14 | Elect Director William C. Steere, Jr. | Mgmt | For | For | ||
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| 1.15 | Elect Director Jean-Paul Valles | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Approve Omnibus Stock Plan | Mgmt | For | For | ||
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| 4 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic | Shrholdr | Against | Against | ||
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| 5 | Cease Political Contributions/Activities | Shrholdr | Against | Against | ||
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| 6 | Report on Political Contributions/Activities | Shrholdr | Against | Against | ||
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| 7 | Establish Term Limits for Directors | Shrholdr | Against | Against | ||
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| 8 | Report on Drug Pricing | Shrholdr | Against | Against | ||
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| 9 | Limit Awards to Executives | Shrholdr | Against | Against | ||
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| 10 | Amend Animal Testing Policy | Shrholdr | Against | Against |
Wyeth | US | 20040422 | Annual | 20040312 | WYE | 983024100 | 1.1 | Elect Director Clifford L. Alexander, Jr. | Mgmt | For | For |
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| 1.2 | Elect Director Frank A. Bennack, Jr. | Mgmt | For | For | ||
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| 1.3 | Elect Director Richard L. Carrion | Mgmt | For | For | ||
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| 1.4 | Elect Director Robert Essner | Mgmt | For | For | ||
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| 1.5 | Elect Director John D. Feerick | Mgmt | For | For | ||
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| 1.6 | Elect Director Robert Langer | Mgmt | For | For | ||
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| 1.7 | Elect Director John P. Mascotte | Mgmt | For | For | ||
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| 1.8 | Elect Director Mary Lake Polan | Mgmt | For | For | ||
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| 1.9 | Elect Director Ivan G. Seidenberg | Mgmt | For | For | ||
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| 1.10 | Elect Director Walter V. Shipley | Mgmt | For | For | ||
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| 1.11 | Elect Director John R. Torell III | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Report on Drug Pricing | Shrholdr | Against | Against |
Abbott Laboratories | US | 20040423 | Annual | 20040225 | ABT | 002824100 | 1.1 | Elect Director Roxanne S. Austin | Mgmt | For | For |
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| 1.2 | Elect Director H. Laurance Fuller | Mgmt | For | For | ||
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| 1.3 | Elect Director Richard A. Gonzalez | Mgmt | For | For | ||
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| 1.4 | Elect Director Jack M. Greenberg | Mgmt | For | For | ||
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| 1.5 | Elect Director Jeffrey M. Leiden | Mgmt | For | For | ||
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| 1.6 | Elect Director David A. Lord Owen | Mgmt | For | For | ||
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| 1.7 | Elect Director Boone Powell Jr. | Mgmt | For | For | ||
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| 1.8 | Elect Director Addison Barry Rand | Mgmt | For | For | ||
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| 1.9 | Elect Director W. Ann Reynolds | Mgmt | For | For | ||
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| 1.10 | Elect Director Roy S. Roberts | Mgmt | For | For | ||
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| 1.11 | Elect Director William D. Smithburg | Mgmt | For | For | ||
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| 1.12 | Elect Director John R. Walter | Mgmt | For | For | ||
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| 1.13 | Elect Director Miles D. White | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Drug Pricing | Shrholdr | Against | Against | ||
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| 4 | Report on Political Contributions/Activities | Shrholdr | Against | Against | ||
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| 5 | Prohibit Awards to Executives | Shrholdr | Against | Against | ||
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| 6 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic | Shrholdr | Against | Against |
Merck & Co., Inc. | US | 20040427 | Annual | 20040224 | MRK | 589331107 | 1.1 | Elect Director Peter C. Wendell | Mgmt | For | For |
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| 1.2 | Elect Director William G. Bowen | Mgmt | For | For | ||
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| 1.3 | Elect Director William M. Daley | Mgmt | For | For | ||
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| 1.4 | Elect Director Thomas E. Shenk | Mgmt | For | For | ||
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| 1.5 | Elect Director Wendell P. Weeks | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Declassify the Board of Directors | Mgmt | For | Against | ||
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| 4 | Prohibit Awards to Executives | Shrholdr | Against | Against | ||
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| 5 | Develop Ethical Criteria for Patent Extension | Shrholdr | Against | Against | ||
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| 6 | Link executive Compensation to Social Issues | Shrholdr | Against | Against | ||
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| 7 | Report on Political Contributions | Shrholdr | Against | Against | ||
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| 8 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic | Shrholdr | Against | Against |
Allergan, Inc. | US | 20040428 | Annual | 20040308 | AGN | 018490102 | 1.1 | Elect Director Handel E. Evans | Mgmt | For | For |
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| 1.2 | Elect Director Michael R. Gallagher | Mgmt | For | For | ||
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| 1.3 | Elect Director Gavin S. Herbert | Mgmt | For | For | ||
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| 1.4 | Elect Director Stephen J. Ryan | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Expense Stock Options | Shrholdr | Against | For | ||
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| 4 | Separate Chairman and CEO Positions | Shrholdr | Against | Against |
Bristol-Myers Squibb Co. | US | 20040504 | Annual | 20040308 | BMY | 110122108 | 1.1 | Elect Director Peter R. Dolan | Mgmt | For | For |
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| 1.2 | Elect Director Louis V. Gerstner, Jr. | Mgmt | For | For | ||
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| 1.3 | Elect Director Leif Johansson | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Report on Political Contributions/Activities | Shrholdr | Against | Against | ||
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| 4 | Cease Political Contributions/Activities | Shrholdr | Against | Against | ||
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| 5 | Separate Chairman and CEO Positions | Shrholdr | Against | Against | ||
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| 6 | Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic | Shrholdr | Against | Against | ||
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| 7 | Require Affirmative Vote of a Majority of the Shares to Elect Directors | Shrholdr | Against | Against |
Quest Diagnostics, Incorporated | US | 20040504 | Annual | 20040308 | DGX | 74834L100 | 1.1 | Elect Director William R. Grant | Mgmt | For | For |
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| 1.2 | Elect Director Surya N. Mohapatra | Mgmt | For | For | ||
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| 1.3 | Elect Director John C. Baldwin | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For |
UnitedHealth Group Incorporated | US | 20040512 | Annual | 20040315 | UNH | 91324P102 | 1.1 | Elect Director William C. Ballard, Jr. | Mgmt | For | For |
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| 1.2 | Elect Director Richard T. Burke | Mgmt | For | For | ||
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| 1.3 | Elect Director Stephen J. Hemsley | Mgmt | For | For | ||
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| 1.4 | Elect Director Donna E. Shalala | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Expense Stock Options | Shrholdr | Against | For | ||
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| 4 | Limit Awards to Executives | Shrholdr | Against | Against |
Amgen, Inc. | US | 20040513 | Annual | 20040319 | AMGN | 031162100 | 1.1 | Elect Director Frank J. Biondi, Jr. | Mgmt | For | For |
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| 1.2 | Elect Director Jerry D. Choate | Mgmt | For | For | ||
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| 1.3 | Elect Director Frank C. Herringer | Mgmt | For | For | ||
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| 1.4 | Elect Director Gilbert S. Omenn | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Prepare Glass Ceiling Report | Shrholdr | Against | Against | ||
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| 4 | Expense Stock Options | Shrholdr | Against | For |
Gilead Sciences, Inc. | US | 20040525 | Annual | 20040405 | GILD | 375558103 | 1.1 | Elect Director Paul Berg | Mgmt | For | For |
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| 1.2 | Elect Director Etienne F. Davignon | Mgmt | For | For | ||
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| 1.3 | Elect Director James M. Denny | Mgmt | For | For | ||
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| 1.4 | Elect Director John C. Martin | Mgmt | For | For | ||
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| 1.5 | Elect Director Gordon E. Moore | Mgmt | For | For | ||
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| 1.6 | Elect Director Nicholas G. Moore | Mgmt | For | For | ||
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| 1.7 | Elect Director George P. Shultz | Mgmt | For | For | ||
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| 1.8 | Elect Director Gayle E. Wilson | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Approve Omnibus Stock Plan | Mgmt | For | For | ||
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| 4 | Increase Authorized Common Stock | Mgmt | For | For |
HCA, Inc. | US | 20040527 | Annual | 20040401 | HCA | 404119109 | 1.1 | Elect Director C. Michael Armstrong | Mgmt | For | For |
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| 1.2 | Elect Director Magdalena H. Averhoff, M.D. | Mgmt | For | For | ||
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| 1.3 | Elect Director Jack O. Bovender, Jr. | Mgmt | For | For | ||
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| 1.4 | Elect Director Richard M. Bracken | Mgmt | For | For | ||
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| 1.5 | Elect Director Martin Feldstein | Mgmt | For | For | ||
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| 1.6 | Elect Director Thomas F. Frist, Jr., M.D. | Mgmt | For | For | ||
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| 1.7 | Elect Director Frederick W, Gluck | Mgmt | For | For | ||
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| 1.8 | Elect Director Glenda A. Hatchett | Mgmt | For | For | ||
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| 1.9 | Elect Director Charles O. Holliday, Jr. | Mgmt | For | For | ||
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| 1.10 | Elect Director T. Michael Long | Mgmt | For | For | ||
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| 1.11 | Elect Director John H. McArthur | Mgmt | For | For | ||
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| 1.12 | Elect Director Kent C. Nelson | Mgmt | For | For | ||
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| 1.13 | Elect Director Frank S. Royal, M.D. | Mgmt | For | For | ||
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| 1.14 | Elect Director Harold T. Shapiro | Mgmt | For | For | ||
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| 2 | Ratify Auditors | Mgmt | For | For | ||
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| 3 | Amend Management Stock Purchase Plan | Mgmt | For | For |
Genzyme Corp. | US | 20040527 | Annual | 20040331 | GENZ | 372817104 | 1.1 | Elect Director Douglas A. Berthiaume | Mgmt | For | For |
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| 1.2 | Elect Director Henry E. Blair | Mgmt | For | For | ||
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| 1.3 | Elect Director Gail K. Boudreaux | Mgmt | For | For | ||
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| 2 | Amend Employee Stock Purchase Plan | Mgmt | For | For | ||
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| 3 | Approve Stock Option Plan | Mgmt | For | For | ||
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| 4 | Amend Non-Employee Director Stock Option Plan | Mgmt | For | For | ||
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| 5 | Increase Authorized Preferred Stock | Mgmt | For | For | ||
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| 6 | Ratify Auditors | Mgmt | For | For | ||
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| 7 | Limit Awards to Executives | Shrholdr | Against | Against |
SARATOGA ADVANTAGE TRUST: LARGE CAPITALIZATION VALUE PORTFOLIO | Item 1, Exhibit A9 | |||||||||
Investment Company Act file number: 811-08542 | ||||||||||
Date of reporting period: 7/1/2003 - 6/30/2004 | ||||||||||
a) Issuer's Name | b) Ticker | c) CUSIP | d) Mtg Date | Mtg Type | Prop. # | e) Matter Identification | f) Prop. Type | g) Voted | h) Vote | i) For/Agnst Mgmt |
1. Nokia | NOK | 654902204 | 3/25/04 | Annual | 1.01 | Approve Financial Statements | MGMT | YES | FOR | FOR |
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| 1.02 | Set Dividend/Allocate Profits | MGMT | YES | FOR | FOR |
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| 1.03 | Ratify Management Acts-Legal | MGMT | YES | AGNST | AGNST |
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| Ratify Board Acts-Legal |
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| |
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| 1.04 | Approve Directors' Fees | MGMT | YES | AGNST | AGNST |
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| 1.05 | Election of Directors by Slate | MGMT | YES | FOR | FOR |
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| 1.06 | Set Auditors' Fees | MGMT | YES | FOR | FOR |
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| 1.07 | Appoint Outside Auditors | MGMT | YES | FOR | FOR |
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| 2 | Reduce Authorized Capital | MGMT | YES | FOR | FOR |
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| Cancel Authorized Stock |
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| |
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| 3 | Increase Authorized Capital | MGMT | YES | FOR | FOR |
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| Issue Stock w/o Preemptive Rights |
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| |
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| 4 | Authorize Share Repurchase | MGMT | YES | FOR | FOR |
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| 5 | Authorize Trade in Company Stock | MGMT | YES | FOR | FOR |
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| 6 | Authorize Charitable Donations | MGMT | YES | FOR | FOR |
2. Federal Home Loan Mortgage | FRE | 313400301 | 3/31/04 | Annual | 1.01 | Elect Joan E. Donaghue | MGMT | YES | FOR | FOR |
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| 1.02 | Elect Michelle Engler | MGMT | YES | WHOLD | AGNST |
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| 1.03 | Elect Richard Karl Goeltz | MGMT | YES | FOR | FOR |
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| 1.04 | Elect George D. Gould | MGMT | YES | FOR | FOR |
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| 1.05 | Elect Henry Kaufman | MGMT | YES | FOR | FOR |
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| 1.06 | Elect John B. McCoy | MGMT | YES | FOR | FOR |
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| 1.07 | Elect Shaun F. O'Malley | MGMT | YES | FOR | FOR |
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| 1.08 | Elect Ronald F. Poe | MGMT | YES | FOR | FOR |
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| 1.09 | Elect Stephen A. Ross | MGMT | YES | FOR | FOR |
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| 1.1 | Elect Donald J. Schuenke | MGMT | YES | FOR | FOR |
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| 1.11 | Elect Christina Seix | MGMT | YES | FOR | FOR |
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| 1.12 | Elect Richard F. Syron | MGMT | YES | FOR | FOR |
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| 1.13 | Elect William J. Turner | MGMT | YES | FOR | FOR |
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| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
3. Bank of New York | BK | 064057102 | 4/13/04 | Annual | 1.01 | Elect Frank J. Biondi Jr. | MGMT | YES | FOR | FOR |
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| 1.02 | Elect Nicholas M. Donofrio | MGMT | YES | FOR | FOR |
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| 1.03 | Elect Alan R. Griffith | MGMT | YES | FOR | FOR |
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| 1.04 | Elect Gerald L. Hassell | MGMT | YES | FOR | FOR |
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| 1.05 | Elect Richard J. Kogan | MGMT | YES | FOR | FOR |
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| 1.06 | Elect Michael J. Kowalski | MGMT | YES | FOR | FOR |
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| 1.07 | Elect John A. Luke Jr. | MGMT | YES | FOR | FOR |
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| 1.08 | Elect John C. Malone | MGMT | YES | WHOLD | AGNST |
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| 1.09 | Elect Paul Myners | MGMT | YES | FOR | FOR |
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| 1.1 | Elect Robert C. Pozen | MGMT | YES | FOR | FOR |
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| 1.11 | Elect Catherine A. Rein | MGMT | YES | FOR | FOR |
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| 1.12 | Elect Thomas A. Renyi | MGMT | YES | FOR | FOR |
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| 1.13 | Elect William C. Richardson | MGMT | YES | FOR | FOR |
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| 1.14 | Elect Brian L. Roberts | MGMT | YES | FOR | FOR |
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| 1.15 | Elect Samuel C. Scott III | MGMT | YES | FOR | FOR |
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| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
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| 3 | Amend Annual Bonus Plan | MGMT | YES | FOR | FOR |
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| 4 | Review Political Spending | SHLDR | YES | AGNST | FOR |
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| 5 | Implement Executive Compensation Plan | SHLDR | YES | AGNST | FOR |
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| 6 | Increase Risk Committee Independence | SHLDR | YES | AGNST | FOR |
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| 7 | Redeem or Vote on Poison Pill | SHLDR | YES | AGNST | FOR |
4. Caterpillar | CAT | 149123101 | 4/14/04 | Annual | 1.01 | Elect John T. Dillon | MGMT | YES | FOR | FOR |
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| 1.02 | Elect Juan Gallardo | MGMT | YES | FOR | FOR |
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| 1.03 | Elect William A. Osborn | MGMT | YES | FOR | FOR |
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| 1.04 | Elect Gordon R. Parker | MGMT | YES | FOR | FOR |
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| 1.05 | Elect Edward B. Rust Jr. | MGMT | YES | FOR | FOR |
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| 2 | Amend Stock Option Plan | MGMT | YES | FOR | FOR |
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| Add Shares to Stock Option Plan |
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| |
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| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
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| 4 | Redeem or Vote on Poison Pill | SHLDR | YES | FOR | AGNST |
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| 5 | Review Operations' Impact on Local Groups | SHLDR | YES | AGNST | FOR |
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| 6 | Review AIDS Pandemic's Impact on Company | SHLDR | YES | AGNST | FOR |
5. Union Pacific | UNP | 907818108 | 4/16/04 | Annual | 1.01 | Elect Phillip F. Anschutz | MGMT | YES | WHOLD | AGNST |
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| 1.02 | Elect Richard K. Davidson | MGMT | YES | FOR | FOR |
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| 1.03 | Elect Thomas J. Donohue | MGMT | YES | FOR | FOR |
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| 1.04 | Elect Archie W. Dunham | MGMT | YES | FOR | FOR |
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| 1.05 | Elect Spencer F. Eccles | MGMT | YES | FOR | FOR |
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| 1.06 | Elect Ivor J. Evans | MGMT | YES | FOR | FOR |
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| 1.07 | Elect Judith R. Hope | MGMT | YES | FOR | FOR |
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| 1.08 | Elect Michael W. McConnell | MGMT | YES | FOR | FOR |
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| 1.09 | Elect Steven R. Rogel | MGMT | YES | FOR | FOR |
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| 1.1 | Elect Ernesto Zedillo | MGMT | YES | FOR | FOR |
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| 2 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR |
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| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
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| 4 | Performance/Time-Based Restricted Shares | SHLDR | YES | AGNST | FOR |
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| 5 | Report on Political Donations and Policy | SHLDR | YES | AGNST | FOR |
6. Citigroup | C | 172967101 | 4/20/04 | Annual | 1.01 | Elect C. Michael Armstrong | MGMT | YES | FOR | FOR |
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| 1.02 | Elect Alain J.P. Belda | MGMT | YES | FOR | FOR |
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| 1.03 | Elect George David | MGMT | YES | FOR | FOR |
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| 1.04 | Elect Kenneth T. Derr | MGMT | YES | FOR | FOR |
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| 1.05 | Elect John M. Deutch | MGMT | YES | FOR | FOR |
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| 1.06 | Elect Roberto H. Ramirez | MGMT | YES | FOR | FOR |
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| 1.07 | Elect Ann Dibble Jordan | MGMT | YES | FOR | FOR |
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| 1.08 | Elect Dudley C. Mecum II | MGMT | YES | FOR | FOR |
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| 1.09 | Elect Richard D. Parsons | MGMT | YES | FOR | FOR |
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| 1.1 | Elect Andrall E. Pearson | MGMT | YES | FOR | FOR |
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| 1.11 | Elect Charles Prince | MGMT | YES | FOR | FOR |
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| 1.12 | Elect Robert E. Rubin | MGMT | YES | FOR | FOR |
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| 1.13 | Elect Franklin A. Thomas | MGMT | YES | FOR | FOR |
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| 1.14 | Elect Sanford I. Weill | MGMT | YES | FOR | FOR |
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| 1.15 | Elect Robert B. Willumstad | MGMT | YES | FOR | FOR |
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| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
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|
|
| 3 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
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|
| 4 | Review Political Spending | SHLDR | YES | AGNST | FOR |
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|
| 5 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
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| 6 | Independent Board Chairman | SHLDR | YES | AGNST | FOR |
7. Morgan Stanley | MWD | 617446448 | 4/20/04 | Annual | 1.01 | Elect John W. Madigan | MGMT | YES | FOR | FOR |
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| 1.02 | Elect Klaus Zumwinkel | MGMT | YES | FOR | FOR |
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| 1.03 | Elect Howard Davies | MGMT | YES | FOR | FOR |
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| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
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| 3 | Repeal Classified Board | SHLDR | YES | FOR | AGNST |
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| 4 | Golden Parachutes | SHLDR | YES | FOR | AGNST |
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| 5 | Review Political Spending | SHLDR | YES | AGNST | FOR |
8. Inco | N | 453258402 | 4/21/04 | Annual | 1 | Declassify Board | MGMT | YES | FOR | FOR |
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| 2.01 | Elect Ronald C. Cambre | MGMT | YES | FOR | FOR |
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| 2.02 | Elect Scott M. Hand | MGMT | YES | FOR | FOR |
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| 2.03 | Elect Chaviva Hosek | MGMT | YES | FOR | FOR |
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| 2.04 | Elect David P. O'Brien | MGMT | YES | FOR | FOR |
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| 2.05 | Elect Glen A. Barton | MGMT | YES | FOR | FOR |
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| 2.06 | Elect Angus Bruneau | MGMT | YES | FOR | FOR |
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| 2.07 | Elect Peter C. Jones | MGMT | YES | FOR | FOR |
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| 2.08 | Elect John T. Mayberry | MGMT | YES | FOR | FOR |
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| 2.09 | Elect Roger Phillips | MGMT | YES | FOR | FOR |
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| 2.1 | Elect James M. Stanford | MGMT | YES | FOR | FOR |
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| 3 | Appoint Auditors and Set Their Fees | MGMT | YES | FOR | FOR |
9. Carnival Corp | CCL | 143658300 | 4/22/04 | Annual | 1.01 | Elect Micky Arison | MGMT | YES | FOR | FOR |
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| 1.02 | Elect Richard G. Capen Jr. | MGMT | YES | FOR | FOR |
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| 1.03 | Elect Robert H. Dickinson | MGMT | YES | FOR | FOR |
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| 1.04 | Elect Arnold W. Donald | MGMT | YES | FOR | FOR |
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| 1.05 | Elect Pier Luigi Foschi | MGMT | YES | FOR | FOR |
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| 1.06 | Elect Howard S. Frank | MGMT | YES | FOR | FOR |
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| 1.07 | Elect Sarah Hogg | MGMT | YES | FOR | FOR |
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| 1.08 | Elect A. Kirk Lanterman | MGMT | YES | FOR | FOR |
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| 1.09 | Elect Modesto A. Maidique | MGMT | YES | FOR | FOR |
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| 1.1 | Elect John P. McNulty | MGMT | YES | FOR | FOR |
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| 1.11 | Elect Peter Ratcliffe | MGMT | YES | FOR | FOR |
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| 1.12 | Elect John Parker | MGMT | YES | FOR | FOR |
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| 1.13 | Elect Stuart Subotnick | MGMT | YES | FOR | FOR |
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| 1.14 | Elect Uzi Zucker | MGMT | YES | FOR | FOR |
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|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
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|
|
| 3 | Set Auditors' Fees | MGMT | YES | FOR | FOR |
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|
|
| 4 | Approve Financial Statements | MGMT | YES | FOR | FOR |
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|
| 5 | Approve Remuneration Policy | MGMT | YES | FOR | FOR |
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|
|
| 6 | Issue Stock w/ Preemptive Rights | MGMT | YES | FOR | FOR |
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|
| 7 | Issue Stock w/o Preemptive Rights | MGMT | YES | AGNST | AGNST |
10. Pfizer | PFE | 717081103 | 4/22/04 | Annual | 1.01 | Elect Michael S. Brown | MGMT | YES | FOR | FOR |
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| 1.02 | Elect M. Anthony Burns | MGMT | YES | FOR | FOR |
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| 1.03 | Elect Robert N. Burt | MGMT | YES | FOR | FOR |
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| 1.04 | Elect W. Don Cornwell | MGMT | YES | FOR | FOR |
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| 1.05 | Elect William H. Gray III | MGMT | YES | FOR | FOR |
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| 1.06 | Elect Constance J. Horner | MGMT | YES | FOR | FOR |
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| 1.07 | Elect William R. Howell | MGMT | YES | FOR | FOR |
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| 1.08 | Elect Stanley O. Ikenberry | MGMT | YES | FOR | FOR |
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| 1.09 | Elect George A. Lorch | MGMT | YES | FOR | FOR |
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| 1.1 | Elect Henry A. McKinnell Jr. | MGMT | YES | FOR | FOR |
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| 1.11 | Elect Dana G. Mead | MGMT | YES | FOR | FOR |
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| 1.12 | Elect Franklin D. Raines | MGMT | YES | FOR | FOR |
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| 1.13 | Elect Ruth J. Simmons | MGMT | YES | FOR | FOR |
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| 1.14 | Elect William C. Steere Jr. | MGMT | YES | FOR | FOR |
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|
|
| 1.15 | Elect Jean-Paul Valles | MGMT | YES | WHOLD | AGNST |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Review AIDS Pandemic's Impact on Company | SHLDR | YES | FOR | AGNST |
|
|
|
|
| 5 | Limit or End Political Spending | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 6 | Review Political Spending | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 7 | Director Tenure/Retirement Age | SHLDR | YES | AGNST | FOR |
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|
|
|
| 8 | Review Drug Pricing or Distribution | SHLDR | YES | AGNST | FOR |
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|
|
|
| 9 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 10 | Review or Promote Animal Welfare | SHLDR | YES | AGNST | FOR |
11. Wyeth | WYE | 983024100 | 4/22/04 | Annual | 1.01 | Elect Clifford L. Alexander Jr. | MGMT | YES | FOR | FOR |
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|
|
| 1.02 | Elect Frank A. Bennack Jr. | MGMT | YES | FOR | FOR |
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|
|
| 1.03 | Elect Richard L. Carrion | MGMT | YES | FOR | FOR |
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|
|
| 1.04 | Elect Robert Essner | MGMT | YES | FOR | FOR |
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|
|
| 1.05 | Elect John D. Feerick | MGMT | YES | FOR | FOR |
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|
| 1.06 | Elect Robert S. Langer | MGMT | YES | FOR | FOR |
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|
| 1.07 | Elect John P. Mascotte | MGMT | YES | FOR | FOR |
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| 1.08 | Elect Mary Lake Polan | MGMT | YES | FOR | FOR |
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|
|
| 1.09 | Elect Ivan G. Seidenberg | MGMT | YES | FOR | FOR |
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|
|
| 1.1 | Elect Walter V. Shipley | MGMT | YES | FOR | FOR |
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| 1.11 | Elect John R. Torell III | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Review Drug Pricing or Distribution | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 4 | Review or Promote Animal Welfare | SHLDR | YES | AGNST | FOR |
12. American Express | AXP | 025816109 | 4/26/04 | Annual | 1.01 | Elect Daniel F. Akerson | MGMT | YES | FOR | FOR |
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|
|
|
| 1.02 | Elect Charlene Barshefsky | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect William G. Bowen | MGMT | YES | FOR | FOR |
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|
|
| 1.04 | Elect Ursula M. Burns | MGMT | YES | FOR | FOR |
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|
|
| 1.05 | Elect Kenneth I. Chenault | MGMT | YES | FOR | FOR |
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|
|
| 1.06 | Elect Peter R. Dolan | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.07 | Elect Vernon E. Jordan Jr. | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.08 | Elect Jan Leschly | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.09 | Elect Richard A. McGinn | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.1 | Elect Edward D. Miller | MGMT | YES | FOR | FOR |
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|
|
| 1.11 | Elect Frank P. Popoff | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.12 | Elect Robert D. Walter | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Director Tenure/Retirement Age | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 4 | Review Political Spending | SHLDR | YES | AGNST | FOR |
13. Merck | MRK | 589331107 | 4/27/04 | Annual | 1.01 | Elect Peter C. Wendell | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect William G. Bowen | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect William M. Daley | MGMT | YES | FOR | FOR |
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|
|
|
| 1.04 | Elect Thomas E. Shenk | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.05 | Elect Wendell P. Weeks | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Repeal Classified Board | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 5 | Develop Ethical Criteria for Patent Extension | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 6 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 7 | Review Political Spending | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 8 | Review AIDS Pandemic's Impact on Company | SHLDR | YES | AGNST | FOR |
14. Wells Fargo | WFC | 949746101 | 4/27/04 | Annual | 1.01 | Elect John A. Blanchard III | MGMT | YES | FOR | FOR |
|
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|
|
| 1.02 | Elect Susan E. Engel | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Enrique Hernandez Jr. | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect Robert L. Joss | MGMT | YES | FOR | FOR |
| �� |
|
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| 1.05 | Elect Reatha Clark King | MGMT | YES | FOR | FOR |
|
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|
|
| 1.06 | Elect Richard M. Kovacevich | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.07 | Elect Richard D. McCormick | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.08 | Elect Cynthia H. Milligan | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.09 | Elect Philip J. Quigley | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.1 | Elect Donald B. Rice | MGMT | YES | WHOLD | AGNST |
|
|
|
|
| 1.11 | Elect Judith M. Runstad | MGMT | YES | FOR | FOR |
|
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|
|
| 1.12 | Elect Stephen W. Sanger | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.13 | Elect Susan G. Swenson | MGMT | YES | FOR | FOR |
|
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|
| 1.14 | Elect Michael W. Wright | MGMT | YES | WHOLD | AGNST |
|
|
|
|
| 2 | Approve Savings Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Expense Stock Options | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 5 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 6 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 7 | Review Political Spending | SHLDR | YES | AGNST | FOR |
15.Clear Channel Communications | CCU | 184502102 | 4/28/04 | Annual | 1.01 | Elect L. Lowry Mays | MGMT | YES | FOR | FOR |
|
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|
|
| 1.02 | Elect Phyllis B. Riggins | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Alan D. Feld | MGMT | YES | WHOLD | AGNST |
|
|
|
|
| 1.04 | Elect Mark P. Mays | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.05 | Elect Theodore H. Strauss | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.06 | Elect Thomas O. Hicks | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.07 | Elect Randall T. Mays | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.08 | Elect J.C. Watts Jr. | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.09 | Elect Perry J. Lewis | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.1 | Elect B. J. McCombs | MGMT | YES | WHOLD | AGNST |
|
|
|
|
| 1.11 | Elect John H. Williams | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
16. Du Point (E.I.) de Nemours | DD | 263534109 | 4/28/04 | Annual | 1.01 | Elect Alain J.P. Belda | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect Richard H. Brown | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Curtis J. Crawford | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect John T. Dillon | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.05 | Elect Louisa C. Duemling | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.06 | Elect Charles O. Holliday Jr. | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.07 | Elect Deborah C. Hopkins | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.08 | Elect Lois D. Juliber | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.09 | Elect Masahisa Naitoh | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.1 | Elect William K. Reilly | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.11 | Elect H. Rodney Sharp III | MGMT | YES | WHOLD | AGNST |
|
|
|
|
| 1.12 | Elect Charles M. Vest | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Disclose Prior Government Service | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 4 | Monitor/Adopt ILO Conventions | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 5 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR |
17. General Electric | GE | 369604103 | 4/28/04 | Annual | 1.01 | Elect James I. Cash Jr. | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect Dennis D. Dammerman | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Ann M. Fudge | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect Claudio X. Gonzalez Laporte | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.05 | Elect Jeffrey R. Immelt | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.06 | Elect Andrea Jung | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.07 | Elect Alan G. Lafley | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.08 | Elect Kenneth G. Langone | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.09 | Elect Ralph S. Larsen | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.1 | Elect Rochelle B. Lazarus | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.11 | Elect Samuel A. Nunn Jr. | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.12 | Elect Roger S. Penske | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.13 | Elect Robert J. Swieringa | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.14 | Elect Douglas A. Warner III | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.15 | Elect Robert C. Wright | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Amend Long-term Bonus Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Adopt Cumulative Voting | SHLDR | YES | FOR | AGNST |
|
|
|
|
| 5 | Review or Promote Animal Welfare | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 6 | Review Nuclear Facility/Waste | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 7 | Report on Environmental Impact or Plans | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 8 | Report on Risk to Image of Globalization Strate | SHLDR | YES | FOR | AGNST |
|
|
|
|
| 9 | Report on Sustainability | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 10 | Increase Comp Committee Independence | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 11 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 12 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 13 | Limit Number of Directorships | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 14 | Independent Board Chairman | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 15 | Study Sale or Spin-off | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 16 | Require Option Shares to Be Held | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 17 | Increase Board Independence | SHLDR | YES | FOR | AGNST |
|
|
|
|
| 18 | Review Political Spending | SHLDR | YES | AGNST | FOR |
18. Sherwin-Williams | SHW | 824348106 | 4/28/04 | Annual | 1.01 | Elect James C. Boland | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect John G. Breen | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Duane E. Collins | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect Christopher M. Connor | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.05 | Elect Daniel E. Evans | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.06 | Elect Susan J. Kropf | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.07 | Elect Robert W. Mahoney | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.08 | Elect Gary E. McCullough | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.09 | Elect A. Malachi Mixon III | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.1 | Elect Curtis E. Moll | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.11 | Elect Joseph M. Scaminace | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.12 | Elect Richard K. Smucker | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Approve Non-Technical Charter Amendments | MGMT | YES | AGNST | AGNST |
|
|
|
|
| 3 | Adopt Advance Notice Requirement | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Adopt Advance Notice Requirement | MGMT | YES | FOR | FOR |
|
|
|
|
| 5 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
19. Textron | TXT | 883203101 | 4/28/04 | Annual | 1.01 | Elect Kathleen M. Bader | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect R. Kerry Clark | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Ivor J. Evans | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect Charles D. Powell | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Add Shares to Stock Option Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| Amend Stock Option Plan |
|
|
|
| |
|
|
|
|
| 3 | Adopt Director Stock Award Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 5 | Review Foreign Military Sales | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 6 | Review Political Spending | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 7 | Limit or End Charitable Giving | SHLDR | YES | AGNST | FOR |
20. ChoicePoint | CPS | 170388102 | 4/29/04 | Annual | 1.01 | Elect John B. McCoy | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect Thomas M. Coughlin | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Derek V. Smith | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Adopt Deferred Compensation Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
21. Alcoa | AA | 013817101 | 4/30/04 | Annual | 1.01 | Elect Alain J.P. Belda | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect Carlos Ghosn | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Henry B. Schacht | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect Franklin A. Thomas | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR |
|
|
|
|
| 3.01 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 3.02 | Golden Parachutes | SHLDR | YES | FOR | AGNST |
22. SBC Communications | SBC | 78387G103 | 4/30/04 | Annual | 1.01 | Elect James E. Barnes | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect James A. Henderson | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect John B. McCoy | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.04 | Elect S. Donley Ritchey | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.05 | Elect Joyce M. Roche | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.06 | Elect Patricia P. Upton | MGMT | YES | FOR | FOR |
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
|
|
|
|
| 3 | Repeal Classified Board | MGMT | YES | FOR | FOR |
|
|
|
|
| 4 | Review Political Spending | SHLDR | YES | AGNST | FOR |
|
|
|
|
| 5 | Reduce Board Size | SHLDR | YES | AGNST | FOR |
23. Aflac | AFL | 001055102 | 5/3/04 | Annual | 1.01 | Elect Daniel P. Amos | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect J. Shelby Amos II | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Michael H. Armacost | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Kriss Cloninger III | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Joe Frank Harris | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Elizabeth J. Hudson | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Kenneth S. Janke Sr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect Douglas W. Johnson | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect Robert B. Johnson | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Charles B. Knapp | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect Hidefumi Matsui | MGMT | YES | FOR | FOR | ||
|
|
| 1.12 | Elect Nobuhiro Mori | MGMT | YES | FOR | FOR | ||
|
|
| 1.13 | Elect E. Stephen Purdom | MGMT | YES | FOR | FOR | ||
|
|
| 1.14 | Elect Barbara K. Rimer | MGMT | YES | FOR | FOR | ||
|
|
| 1.15 | Elect Marvin R. Schuster | MGMT | YES | FOR | FOR | ||
|
|
| 1.16 | Elect Glenn Vaughn Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.17 | Elect Robert L. Wright | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
24. Quest Diagnostics | DGX | 74834L100 | 5/4/04 | Annual | 1.01 | Elect William R. Grant | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Surya N. Mohapatra | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect John C. Baldwin | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
25. ConocoPhillips | COP | 20825C104 | 5/5/04 | Annual | 1.01 | Elect David L. Boren | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect James E. Copeland Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Kenneth M. Duberstein | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Ruth R. Harkin | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect William R. Rhodes | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect J. Stapleton Roy | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR | ||
|
|
| 4 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR | ||
|
|
| 5 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR | ||
|
|
|
|
| 6 | Preserve/Report on Natural Habitat | SHLDR | YES | AGNST | FOR |
26. 3M Co | MMM | 88579Y101 | 5/11/04 | Annual | 1.01 | Elect Edward A. Brennan | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Michael L. Eskew | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect W. James McNerney Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Kevin W. Sharer | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Increase Authorized Common Stock | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 4 | Independent Board Chairman | SHLDR | YES | AGNST | FOR |
27. International Paper Co | IP | 460146103 | 5/11/04 | Annual | 1.01 | Elect Martha F. Brooks | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect James A. Henderson | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Robert D. Kennedy | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect W. Craig McClelland | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Robert M. Amen | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Add Shares to Stock Option Plan | MGMT | YES | FOR | FOR | ||
|
|
| Amend Stock Option Plan |
|
|
| ||||
|
|
| 4 | Reapprove Option/Bonus Plan for OBRA | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 5 | Cap Executive Pay | SHLDR | YES | AGNST | FOR |
28. Duke Energy Corp | DUK | 264399106 | 5/13/04 | Annual | 1.01 | Elect Paul M. Anderson | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Ann Maynard Gray | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Michael E. J. Phelps | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect James T. Rhodes | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 3 | Repeal Classified Board | SHLDR | YES | FOR | AGNST |
29. Nucor Corp | NUE | 670346105 | 5/13/04 | Annual | 1.01 | Elect Daniel R. DiMicco | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect James D. Hlavacek | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Raymond J. Milchovich | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
30. UnumProvident Corp | UNM | 91529Y106 | 5/13/04 | Annual | 1.01 | Elect Ronald E. Goldsberry | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Hugh O. Maclellan Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect C. William Pollard | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect John W. Rowe | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Approve Annual Bonus Plan | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Add Shares to Employee Stock Purchase Plan | MGMT | YES | FOR | FOR | ||
|
|
| 4 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 5 | Require Majority Vote to Elect Directors | SHLDR | YES | AGNST | FOR | ||
|
|
|
|
| 6 | Indep. Director-Shareholder Dialogue | SHLDR | YES | AGNST | FOR |
31. Office Depot Inc | ODP | 676220106 | 5/14/04 | Annual | 1.01 | Elect Lee A. Ault III | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Neil R. Austrian | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect David W. Bernauer | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Abelardo E. Bru | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect David I. Fuente | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Brenda J. Gaines | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Myra M. Hart | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect W. Scott Hedrick | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect James L. Heskett | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Patricia H. McKay | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect Michael J. Myers | MGMT | YES | FOR | FOR | ||
|
|
| 1.12 | Elect M. Bruce Nelson | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Add Shares to Stock Option Plan | MGMT | YES | AGNST | AGNST | ||
|
|
|
|
| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
32. Waste Management Inc | WMI | 94106L109 | 5/14/04 | Annual | 1.01 | Elect Pastora San Juan Cafferty | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Frank M. Clark Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Robert Stevens Miller Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect A. Maurice Myers | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect John C. Pope | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect W. Robert Reum | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Steven G. Rothmeier | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect David P. Steiner | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect Carl W. Vogt | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 4 | Approve Annual Bonus Plan | MGMT | YES | FOR | FOR |
33. Intel Corp | INTC | 458140100 | 5/19/04 | Annual | 1.01 | Elect Craig R. Barrett | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Charlene Barshefsky | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect E. John P. Browne | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Andrew S. Grove | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect D. James Guzy | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Reed E. Hundt | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Paul S. Otellini | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect David S. Pottruck | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect Jane E. Shaw | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect John L. Thornton | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect David B. Yoffie | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR | ||
|
|
| 4 | Expense Stock Options | SHLDR | YES | AGNST | FOR | ||
|
|
| 5 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR | ||
|
|
|
|
| 6 | Award Performance-based Stock Options | SHLDR | YES | AGNST | FOR |
34. Hartford Financial Services Group Inc | HIG | 416515104 | 5/20/04 | Annual | 1.01 | Elect Ramani Ayer | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Ronald E. Ferguson | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Edward J. Kelly III | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Paul G. Kirk Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Thomas M. Marra | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Gail J. McGovern | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Robert W. Selander | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect Charles B. Strauss | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect H. Patrick Swygert | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Gordon I. Ulmer | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect David K. Zwiener | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 3 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR |
35. Dollar General Corp | DG | 256669102 | 5/25/04 | Annual | 1.01 | Elect David L. Bere | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Dennis C. Bottorff | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Barbara L. Bowles | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect James L. Clayton | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Reginald D. Dickson | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect E. Gordon Gee | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Barbara M. Knuckles | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect David A. Perdue Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect James D. Robbins | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect David M. Wilds | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect J. Neal Purcell | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
36. Electronic Data Systems Corp | EDS | 285661104 | 5/25/04 | Annual | 1.01 | Elect Roger A. Enrico | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Ellen M. Hancock | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect C. Robert Kidder | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Repeal Classified Board | SHLDR | YES | FOR | AGNST | ||
|
|
| 4 | Redeem or Vote on Poison Pill | SHLDR | YES | FOR | AGNST | ||
|
|
|
|
| 5 | Eliminate Supermajority Provision | SHLDR | YES | FOR | AGNST |
37. Fannie Mae | FNM | 313586109 | 5/25/04 | Annual | 1.01 | Elect Stephen B. Ashley | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Kenneth M. Duberstein | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Thomas P. Gerrity | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Timothy Howard | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Ann McLaughlin Korologos | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Frederic V. Malek | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Donald B. Marron | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect Daniel H. Mudd | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect Anne M. Mulcahy | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Joe K. Pickett | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect Leslie Rahl | MGMT | YES | FOR | FOR | ||
|
|
| 1.12 | Elect Franklin D. Raines | MGMT | YES | FOR | FOR | ||
|
|
| 1.13 | Elect H. Patrick Swygert | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Add Shares to Employee Stock Purchase Plan | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 4 | Adopt Cumulative Voting | SHLDR | YES | AGNST | FOR |
38. J P Morgan Chase & Co | JPM | 46625H100 | 5/25/04 | Annual | 1 | Approve Merger/Acquisition | MGMT | YES | FOR | FOR |
|
|
| Approve Common Stock Issuance |
|
|
| ||||
|
|
| 2.01 | Elect Hans W. Becherer | MGMT | YES | FOR | FOR | ||
|
|
| 2.02 | Elect Frank A. Bennack Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 2.03 | Elect John H. Biggs | MGMT | YES | FOR | FOR | ||
|
|
| 2.04 | Elect Lawrence A. Bossidy | MGMT | YES | FOR | FOR | ||
|
|
| 2.05 | Elect Ellen V. Futter | MGMT | YES | FOR | FOR | ||
|
|
| 2.06 | Elect William H. Gray III | MGMT | YES | FOR | FOR | ||
|
|
| 2.07 | Elect William B. Harrison Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 2.08 | Elect Helene L. Kaplan | MGMT | YES | FOR | FOR | ||
|
|
| 2.09 | Elect Lee R. Raymond | MGMT | YES | FOR | FOR | ||
|
|
| 2.1 | Elect John R. Stafford | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 4 | Reapprove Option/Bonus Plan for OBRA | MGMT | YES | FOR | FOR | ||
|
|
| 5 | Adjourn Meeting | MGMT | YES | FOR | FOR | ||
|
|
| 6 | Director Tenure/Retirement Age | SHLDR | YES | AGNST | FOR | ||
|
|
| 7 | Limit or End Charitable Giving | SHLDR | YES | AGNST | FOR | ||
|
|
| 8 | Review Political Spending | SHLDR | YES | AGNST | FOR | ||
|
|
| 9 | Independent Board Chairman | SHLDR | YES | AGNST | FOR | ||
|
|
| 10 | Failure to Disclose Derivatives | SHLDR | YES | AGNST | FOR | ||
|
|
| 11 | Limit Consulting by Auditors | SHLDR | YES | AGNST | FOR | ||
|
|
| 12 | Restrict Director Compensation | SHLDR | YES | AGNST | FOR | ||
|
|
|
|
| 13 | Link Executive Pay to Social Criteria | SHLDR | YES | AGNST | FOR |
39. Omnicom Group | OMC | 681919106 | 5/25/04 | Annual | 1.01 | Elect John D. Wren | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Bruce Crawford | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Robert Charles Clark | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Leonard S. Coleman Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Errol M. Cook | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Susan S. Denison | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Michael A. Henning | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect John R. Murphy | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect John R. Purcell | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Linda Johnson Rice | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect Gary L. Roubos | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
|
|
| 3 | Adopt Director Stock Award Plan | MGMT | YES | FOR | FOR |
40. Bank of America Corp | BAC | 060505104 | 5/26/04 | Annual | 1.01 | Elect William Barnet III | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Charles W. Coker | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect John T. Collins | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Gary L. Countryman | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Paul Fulton | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Charles K. Gifford | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Donald E. Guinn | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect James H. Hance Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect Kenneth D. Lewis | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Walter E. Massey | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect J. Thomas May | MGMT | YES | WHOLD | AGNST | ||
|
|
| 1.12 | Elect C. Steven McMillan | MGMT | YES | FOR | FOR | ||
|
|
| 1.13 | Elect Eugene M. McQuade | MGMT | YES | FOR | FOR | ||
|
|
| 1.14 | Elect Patricia E. Mitchell | MGMT | YES | FOR | FOR | ||
|
|
| 1.15 | Elect Edward L. Romero | MGMT | YES | FOR | FOR | ||
|
|
| 1.16 | Elect Thomas M. Ryan | MGMT | YES | FOR | FOR | ||
|
|
| 1.17 | Elect O. Temple Sloan Jr. | MGMT | YES | WHOLD | AGNST | ||
|
|
| 1.18 | Elect Meredith R. Spangler | MGMT | YES | FOR | FOR | ||
|
|
| 1.19 | Elect Jackie M. Ward | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Change Annual Meeting Date | SHLDR | YES | AGNST | FOR | ||
|
|
| 4 | Double Board Nominees | SHLDR | YES | AGNST | FOR | ||
|
|
| 5 | Limit or End Charitable Giving | SHLDR | YES | AGNST | FOR | ||
|
|
| 6 | Mutual Funds Review Committee | SHLDR | YES | AGNST | FOR | ||
|
|
|
|
| 7 | Ensure Customer Privacy | SHLDR | YES | AGNST | FOR |
41. Exxon Mobil Corp | XOM | 30231G102 | 5/26/04 | Annual | 1.01 | Elect Michael J. Boskin | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect James R. Houghton | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect William R. Howell | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect Reatha Clark King | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Philip E. Lippincott | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Harry J. Longwell | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Henry A. McKinnell Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect Marilyn Carlson Nelson | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect Lee R. Raymond | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Walter V. Shipley | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect Rex W. Tillerson | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Adopt Director Stock Award Plan | MGMT | YES | FOR | FOR | ||
|
|
| 4 | Affirm Political Nonpartisanship | SHLDR | YES | AGNST | FOR | ||
|
|
| 5 | Review Political Spending | SHLDR | YES | AGNST | FOR | ||
|
|
| 6 | Review Operations' Impact on Local Groups | SHLDR | YES | AGNST | FOR | ||
|
|
| 7 | Independent Board Chairman | SHLDR | YES | AGNST | FOR | ||
|
|
| 8 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR | ||
|
|
| 10 | Adopt Sexual Orientation Anti-Bias Policy | SHLDR | YES | AGNST | FOR | ||
|
|
|
|
| 11 | Report or Take Action on Climate Change | SHLDR | YES | AGNST | FOR |
42. Nabors Industries Ltd | NBR | G6359F103 | 6/1/04 | Annual | 1.01 | Elect James L. Payne | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect Hans W. Schmidt | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| Authorize Committee to Set Auditors' Fees |
|
|
| ||||
|
|
|
|
| 3 | Reincorporation | SHLDR | YES | FOR | AGNST |
43. Dassault Systems | DASTY | 237545108 | 6/2/04 | Annual | 1 | Approve Related Party Transactions | MGMT | YES | FOR | FOR |
|
|
| 2 | Approve Financial Statements | MGMT | YES | FOR | FOR | ||
|
|
| Ratify Board Acts-Symbolic |
|
|
| ||||
|
|
| 3 | Approve Financial Statements | MGMT | YES | FOR | FOR | ||
|
|
| 4 | Set Final Dividend at 0.51 | MGMT | YES | FOR | FOR | ||
|
|
| 5 | Authorize Trade in Company Stock | MGMT | YES | FOR | FOR | ||
|
|
| 6 | Approve Directors' Fees | MGMT | YES | FOR | FOR | ||
|
|
| 7 | Appoint Outside Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 8 | Appoint Outside Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 9 | Issue Debt Instruments | MGMT | YES | FOR | FOR | ||
|
|
| 10 | Amend Articles--Technical | MGMT | YES | FOR | FOR | ||
|
|
| Amend Board Powers/Procedures/Qualifications |
|
|
| ||||
|
|
| 11 | Reduce Auth'zed Capital if Shares Repurchased | MGMT | YES | FOR | FOR | ||
|
|
| 12 | Issue Stock w/ Preemptive Rights | MGMT | YES | FOR | FOR | ||
|
|
| Increase Authorized Capital |
|
|
|
| |||
|
|
| 13 | Issue Stock w/o Preemptive Rights | MGMT | YES | FOR | FOR | ||
|
|
| Increase Authorized Capital |
|
|
|
| |||
|
|
| 14 | Increase Authorized Capital | MGMT | YES | FOR | FOR | ||
|
|
| 15 | Adopt Poison-Pill-Style Defense | MGMT | YES | FOR | FOR | ||
|
|
| 16 | Approve Stock Purchase Plan/SAYE/AESOP | MGMT | YES | AGNST | AGNST | ||
|
|
| 17 | Increase Authorized Capital | MGMT | YES | FOR | FOR | ||
|
|
| Issue Stock w/o Preemptive Rights |
|
|
| ||||
|
|
|
|
| 18 | Authorize Legal Formalities | MGMT | YES | FOR | FOR |
44. DIRECTV Group Inc | DTV | 25459L106 | 6/2/04 | Annual | 1.01 | Elect K. Rupert Murdoch | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.02 | Elect Neil R. Austrian | MGMT | YES | FOR | FOR |
|
|
|
|
| 1.03 | Elect Charles R. Lee | MGMT | YES | FOR | FOR |
|
|
|
| 2 | Adopt Stock Option Plan | MGMT | YES | FOR | FOR | |
|
|
|
| 3 | Approve Annual Bonus Plan | MGMT | YES | FOR | FOR | |
|
|
|
|
| 4 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR |
45. General Motors Corp | GM | 370442105 | 6/2/04 | Annual | 1.01 | Elect Percy N. Barnevik | MGMT | YES | FOR | FOR |
|
|
| 1.02 | Elect John H. Bryan | MGMT | YES | FOR | FOR | ||
|
|
| 1.03 | Elect Armando M. Codina | MGMT | YES | FOR | FOR | ||
|
|
| 1.04 | Elect George M.C. Fisher | MGMT | YES | FOR | FOR | ||
|
|
| 1.05 | Elect Karen Katen | MGMT | YES | FOR | FOR | ||
|
|
| 1.06 | Elect Kent Kresa | MGMT | YES | FOR | FOR | ||
|
|
| 1.07 | Elect Alan G. Lafley | MGMT | YES | FOR | FOR | ||
|
|
| 1.08 | Elect Philip A. Laskawy | MGMT | YES | FOR | FOR | ||
|
|
| 1.09 | Elect E. Stanley O'Neal | MGMT | YES | FOR | FOR | ||
|
|
| 1.1 | Elect Eckhard Pfeiffer | MGMT | YES | FOR | FOR | ||
|
|
| 1.11 | Elect G. Richard Wagoner Jr. | MGMT | YES | FOR | FOR | ||
|
|
| 2 | Ratify Selection of Auditors | MGMT | YES | FOR | FOR | ||
|
|
| 3 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR | ||
|
|
| 4 | Restrict Executive Compensation | SHLDR | YES | AGNST | FOR | ||
|
|
| 5 | Independent Board Chairman | SHLDR | YES | AGNST | FOR | ||
|
|
| 6 | Increase Key Committee Independence | SHLDR | YES | AGNST | FOR | ||
|
|
| 7 | Report or Take Action on Climate Change | SHLDR | YES | AGNST | FOR | ||
|
|
| 8 | Golden Parachutes | SHLDR | YES | FOR | AGNST | ||
|
|
|
|
| 9 | Require Option Shares to Be Held | SHLDR | YES | FOR | AGNST |
46. WellPoint Health Networks | WLP | 94973H108 | 6/28/04 | Special | 1 | Approve Merger/Acquisition | MGMT | YES | FOR | FOR |
Any ballot marked 'Abstain' is considered to have been voted. Ballots marked 'Abstain' are considered to be have been voted against management's | ||||||||||
recommendation, regardless of whether the recommendation is 'For' or 'Against,' except where management has made no recommendation or has | ||||||||||
recommended that shareholders 'Abstain.' | ||||||||||
Where management has recommended that shareholders 'Abstain' from voting on a ballot item: 1) a ballot market 'Abstain' is considered to have been | ||||||||||
voted for management's recommendation to 'Abstain' and 2) a ballot voted 'For" or 'Against' is considered to have been voted against management's | ||||||||||
recommendation to 'Abstain.' | ||||||||||
Where management has made no recommendation on a ballot item, the abbreviation "N/A" is used to denote that there is no applicable recommendation | ||||||||||
compared to which a vote may be 'For' or 'Against' the recommendation of management. | ||||||||||
SARATOGA ADVANTAGE TRUST: MUNICIPAL BOND PORTFOLIO | Item 1, Exhibit A10 | |||||||
Investment Company Act file number: 811-08542 | ||||||||
Date of reporting period: 7/1/2003 - 6/30/2004 | ||||||||
|
|
| N-PX Form Requirements |
|
|
| ||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
NA | NA | NA | NA | NA | NA | NA | NA | NA |
SARATOGA ADVANTAGE TRUST: TECHNOLOGY & COMMUNICATIONS PORTFOLIO | Item 1, Exhibit A11 | ||||||||
Investment Company Act file number: 811-08542 | |||||||||
May 4, 2004 - June 30, 2004 | |||||||||
|
| ||||||||
|
|
|
| N-PX Form Requirements
|
|
|
| ||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Mtg Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
1 | Akamai technologies, Inc | AKAM | 00971t101 | 5/25/2004 | Elect director Ron graham | Issuer | Yes | For | For |
|
|
|
|
| Elect director Thomson Leighton | Issuer | Yes | For | For |
|
|
|
|
| Elect director Naomi Seligman | Issuer | Yes | For | For |
|
|
|
|
| Amend omnibus stock plan | Issuer | Yes | For | For |
|
|
|
|
| Ratify auditors | Issuer | Yes | For | For |
2 | Marvell Technology Group Ltd | MRVL | G5876H105 | 5/28/2004 | Elect director John Cioffi | Issuer | Yes | For | For |
|
|
|
|
| Elect director Paul Gray | Issuer | Yes | For | For |
|
|
|
|
| Elect director Doug King | Issuer | Yes | For | For |
|
|
|
|
| Ratify auditors | Issuer | Yes | For | For |
|
|
|
|
| Authorize BOD to fix auditors renumeration | Issuer | Yes | For | For |
|
|
|
|
| Approve an increase to the comp. authorized share capital | Issuer | Yes | For | For |
3 | Foundry Networks, Inc | FDRY | 35063R100 | 6/1/2004 | Elect director Bobby Johnson Jr. | Issuer | Yes | For | For |
|
|
|
|
| Elect director Andrew Ludwick | Issuer | Yes | For | For |
|
|
|
|
| Elect director Alfred Amoroso | Issuer | Yes | For | For |
|
|
|
|
| Elect director Nicholas Keating | Issuer | Yes | For | For |
|
|
|
|
| Elect director Stephen Young | Issuer | Yes | For | For |
|
|
|
|
| Elect director Alan Earhart | Issuer | Yes | For | For |
|
|
|
|
| Ratify auditors | Issuer | Yes | For | For |
4 | E.Piphany, Inc. | EPNY | 26881V100 | 6/2/2004 | Elect director Mohan Gyani | Issuer | Yes | For | For |
|
|
|
|
| Elect director Doug Mackenzie | Issuer | Yes | For | For |
|
|
|
|
| Elect director Karen Richardson | Issuer | Yes | For | For |
|
|
|
|
| Ratify auditors | Issuer | Yes | For | For |
5 | Comverse Technology, Inc. | CMVT | 205862402 | 6/15/2004 | Elect director Kobi Alexander | Issuer | Yes | For | For |
|
|
|
|
| Elect director Raz Alon | Issuer | Yes | For | For |
|
|
|
|
| Elect director Itsik Danzinger | Issuer | Yes | For | For |
|
|
|
|
| Elect director John Friedman | Issuer | Yes | For | For |
|
|
|
| Elect director Ron Hiram | Issuer | Yes | For | For | |
|
|
|
| Elect director Sam Oolie | Issuer | Yes | For | For | |
|
|
|
| Elect director William Sorin | Issuer | Yes | For | For | |
|
|
|
| Approve omnibus stock plan | Issuer | Yes | For | For | |
|
|
|
|
| Ratify auditors | Issuer | Yes | For | For |
6 | Siebel Systems, Inc | SEBL | 826170102 | 6/23/2004 | Elect director Scott Hartz | Issuer | Yes | For | For |
|
|
|
| Elect director Charles Schwab | Issuer | Yes | For | For | |
|
|
|
| Elect director George Shaheen | Issuer | Yes | For | For | |
|
|
|
| Elect director John White | Issuer | Yes | For | For | |
|
|
|
| Ratify auditors | Issuer | Yes | For | For | |
|
|
|
|
| Expense stock option | Shareholder | Yes | For | Abstained |
7 | Check Point Software Technologies, Inc | CHKP | M22465104 | 6/30/2004 | Election of directors as a group, not individually | Issuer | Yes | For | For |
|
|
|
| To ratify the consolidated financial stmt for yr ending 12/31/03 | Issuer | Yes | For | For | |
|
|
|
| To ratify the appointment and compensation of the accountants | Issuer | Yes | For | For | |
|
|
|
| To approve amendment to directors compensation | Issuer | Yes | For | For | |
|
|
|
|
| To approve executive officers comp | Issuer | Yes | For | For |
SARATOGA ADVANTAGE TRUST: U.S. GOVERNMENT MONEY MARKET PORTFOLIO | Item 1, Exhibit A12 | |||||||
Investment Company Act file number: 811-08542 | ||||||||
July 1, 2003 - July 30, 2004 | ||||||||
|
|
| N-PX Form Requirements |
|
|
| ||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
NA | NA | NA | NA | NA | NA | NA | NA | NA |
