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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 811-09000
Oak Value Trust
(Exact name of registrant as specified in charter)
| 1450 Raleigh Road, Suite 220, Chapel Hill, North Carolina | 27517 |
| (Address of principal executive offices) | (Zip code) |
Larry D. Coats, Jr.
Oak Value Capital Management, Inc.
1450 Raleigh Road, Suite 220, Chapel Hill, NC 27517
(Name and address of agent for service)
Registrant's telephone number, including area code: (919) 419-1900
Date of fiscal year end: June 30
Date of reporting period: July 1, 2009 - June 30, 2010
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. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 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.
ITEM 1. PROXY VOTING RECORD.
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and 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) Oak Value Trust
| By (Signature and Title)* | /s/ Larry D. Coats, Jr. | ||
| Larry D. Coats, Jr., President | |||
| Date | July 22, 2010 | ||
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
| Oak Value Fund | ||
| Proxy Voting Record | ||
| 7/1/2009 - 6/30/2010 |
| MEDTRONIC, INC. | ||||||||||||||||||||||
| Security | 585055106 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | MDT | Meeting Date | 27-Aug-2009 | |||||||||||||||||||
| ISIN | US5850551061 | Agenda | 933122602 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | RICHARD H. ANDERSON | Withheld | Against | |||||||||||||||||||
| 2 | VICTOR J. DZAU, M.D. | Withheld | Against | |||||||||||||||||||
| 3 | WILLIAM A. HAWKINS | For | For | |||||||||||||||||||
| 4 | SHIRLEY A. JACKSON, PHD | Withheld | Against | |||||||||||||||||||
| 5 | DENISE M. O'LEARY | Withheld | Against | |||||||||||||||||||
| 6 | ROBERT C. POZEN | For | For | |||||||||||||||||||
| 7 | JEAN-PIERRE ROSSO | Withheld | Against | |||||||||||||||||||
| 8 | JACK W. SCHULER | For | For | |||||||||||||||||||
| 02 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS MEDTRONIC'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||||||||
| 03 | TO APPROVE AN AMENDMENT TO THE MEDTRONIC, INC. 2005 EMPLOYEES STOCK PURCHASE PLAN TO INCREASE THE NUMBER OF SHARES AUTHORIZED FOR ISSUANCE THEREUNDER FROM 10,000,000 TO 25,000,000. | Management | For | For | ||||||||||||||||||
| 04 | TO APPROVE AN AMENDMENT TO THE MEDTRONIC, INC. 2008 STOCK AWARD AND INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES AUTHORIZED FOR ISSUANCE THEREUNDER FROM 50,000,000 TO 100,000,000. | Management | Against | Against | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 59000 | 0 | 20-Aug-2009 | 20-Aug-2009 | |||||||||||||||||
| ORACLE CORPORATION | ||||||||||||||||||||||
| Security | 68389X105 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | ORCL | Meeting Date | 07-Oct-2009 | |||||||||||||||||||
| ISIN | US68389X1054 | Agenda | 933133528 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | JEFFREY S. BERG | Withheld | Against | |||||||||||||||||||
| 2 | H. RAYMOND BINGHAM | Withheld | Against | |||||||||||||||||||
| 3 | MICHAEL J. BOSKIN | Withheld | Against | |||||||||||||||||||
| 4 | SAFRA A. CATZ | Withheld | Against | |||||||||||||||||||
| 5 | BRUCE R. CHIZEN | Withheld | Against | |||||||||||||||||||
| 6 | GEORGE H. CONRADES | For | For | |||||||||||||||||||
| 7 | LAWRENCE J. ELLISON | For | For | |||||||||||||||||||
| 8 | HECTOR GARCIA-MOLINA | Withheld | Against | |||||||||||||||||||
| 9 | JEFFREY O. HENLEY | Withheld | Against | |||||||||||||||||||
| 10 | DONALD L. LUCAS | For | For | |||||||||||||||||||
| 11 | CHARLES E. PHILLIPS, JR | Withheld | Against | |||||||||||||||||||
| 12 | NAOMI O. SELIGMAN | Withheld | Against | |||||||||||||||||||
| 02 | PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF THE FISCAL YEAR 2010 EXECUTIVE BONUS PLAN. | Management | For | For | ||||||||||||||||||
| 03 | PROPOSAL TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING MAY 31, 2010. | Management | For | For | ||||||||||||||||||
| 04 | STOCKHOLDER PROPOSAL REGARDING SPECIAL STOCKHOLDER MEETINGS. | Shareholder | Against | For | ||||||||||||||||||
| 05 | STOCKHOLDER PROPOSAL REGARDING ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Shareholder | For | Against | ||||||||||||||||||
| 06 | STOCKHOLDER PROPOSAL REGARDING EQUITY RETENTION POLICY. | Shareholder | For | Against | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 151175 | 0 | 21-Sep-2009 | 21-Sep-2009 | |||||||||||||||||
| DIAGEO PLC | ||||||||||||||||||||||
| Security | 25243Q205 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | DEO | Meeting Date | 14-Oct-2009 | |||||||||||||||||||
| ISIN | US25243Q2057 | Agenda | 933147313 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | REPORT AND ACCOUNTS 2009. | Management | For | For | ||||||||||||||||||
| 02 | DIRECTORS' REMUNERATION REPORT 2009. | Management | For | For | ||||||||||||||||||
| 03 | DECLARATION OF FINAL DIVIDEND. | Management | For | For | ||||||||||||||||||
| 04 | RE-ELECTION OF LM DANON (1,3,4) AS A DIRECTOR. | Management | For | For | ||||||||||||||||||
| 05 | RE-ELECTION OF LORD HOLLICK (1,3,4*) AS A DIRECTOR. | Management | For | For | ||||||||||||||||||
| 06 | RE-ELECTION OF PS WALSH (2*) AS A DIRECTOR. | Management | For | For | ||||||||||||||||||
| 07 | ELECTION OF PB BRUZELIUS (1,3,4) AS A DIRECTOR. | Management | For | For | ||||||||||||||||||
| 08 | ELECTION OF BD HOLDEN (1,3,4) AS A DIRECTOR. | Management | For | For | ||||||||||||||||||
| 09 | RE-APPOINTMENT OF AUDITOR. | Management | For | For | ||||||||||||||||||
| 10 | REMUNERATION OF AUDITOR. | Management | For | For | ||||||||||||||||||
| 11 | AUTHORITY TO ALLOT SHARES. | Management | For | For | ||||||||||||||||||
| 12 | DISAPPLICATION OF PRE-EMPTION RIGHTS. | Management | For | For | ||||||||||||||||||
| 13 | AUTHORITY TO PURCHASE OWN ORDINARY SHARES. | Management | For | For | ||||||||||||||||||
| 14 | AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE IN THE EU. | Management | For | For | ||||||||||||||||||
| 15 | ADOPTION OF THE DIAGEO PLC 2009 DISCRETIONARY INCENTIVE PLAN. | Management | For | For | ||||||||||||||||||
| 16 | ADOPTION OF THE DIAGEO PLC 2009 EXECUTIVE LONG TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||||||||
| 17 | ADOPTION OF THE DIAGEO PLC INTERNATIONAL SHAREMATCH PLAN 2009. | Management | For | For | ||||||||||||||||||
| 18 | AUTHORITY TO ESTABLISH INTERNATIONAL SHARE PLANS. | Management | For | For | ||||||||||||||||||
| 19 | ADOPTION OF THE DIAGEO PLC 2009 IRISH SHARESAVE PLAN. | Management | For | For | ||||||||||||||||||
| 20 | AMENDMENTS TO THE RULES OF DIAGEO PLC EXECUTIVE SHARE OPTION PLAN. | Management | For | For | ||||||||||||||||||
| 21 | AMENDMENTS TO THE RULES OF DIAGEO PLC 2008 SENIOR EXECUTIVE SHARE OPTION PLAN. | Management | For | For | ||||||||||||||||||
| 22 | AMENDMENTS TO THE RULES OF DIAGEO PLC SENIOR EXECUTIVE SHARE OPTION PLAN. | Management | For | For | ||||||||||||||||||
| 23 | REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING. | Management | For | For | ||||||||||||||||||
| 24 | ADOPTION OF ARTICLES OF ASSOCIATION. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 47475 | 0 | 02-Oct-2009 | 02-Oct-2009 | |||||||||||||||||
| COACH, INC. | ||||||||||||||||||||||
| Security | 189754104 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | COH | Meeting Date | 05-Nov-2009 | |||||||||||||||||||
| ISIN | US1897541041 | Agenda | 933146119 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | LEW FRANKFORT | For | For | |||||||||||||||||||
| 2 | SUSAN KROPF | Withheld | Against | |||||||||||||||||||
| 3 | GARY LOVEMAN | Withheld | Against | |||||||||||||||||||
| 4 | IVAN MENEZES | For | For | |||||||||||||||||||
| 5 | IRENE MILLER | For | For | |||||||||||||||||||
| 6 | MICHAEL MURPHY | For | For | |||||||||||||||||||
| 7 | JIDE ZEITLIN | Withheld | Against | |||||||||||||||||||
| 02 | TO REAPPROVE THE PERFORMANCE CRITERIA UNDER THE COACH, INC. 2004 STOCK INCENTIVE PLAN. | Management | For | For | ||||||||||||||||||
| 03 | TO VOTE ON A STOCKHOLDER PROPOSAL. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 114450 | 0 | 22-Oct-2009 | 22-Oct-2009 | |||||||||||||||||
| AUTOMATIC DATA PROCESSING, INC. | ||||||||||||||||||||||
| Security | 053015103 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | ADP | Meeting Date | 10-Nov-2009 | |||||||||||||||||||
| ISIN | US0530151036 | Agenda | 933148288 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | GREGORY D. BRENNEMAN | For | For | |||||||||||||||||||
| 2 | LESLIE A. BRUN | For | For | |||||||||||||||||||
| 3 | GARY C. BUTLER | For | For | |||||||||||||||||||
| 4 | LEON G. COOPERMAN | For | For | |||||||||||||||||||
| 5 | ERIC C. FAST | For | For | |||||||||||||||||||
| 6 | LINDA R. GOODEN | For | For | |||||||||||||||||||
| 7 | R. GLENN HUBBARD | For | For | |||||||||||||||||||
| 8 | JOHN P. JONES | For | For | |||||||||||||||||||
| 9 | CHARLES H. NOSKI | For | For | |||||||||||||||||||
| 10 | SHARON T. ROWLANDS | For | For | |||||||||||||||||||
| 11 | GREGORY L. SUMME | For | For | |||||||||||||||||||
| 02 | APPOINTMENT OF DELOITTE & TOUCHE LLP | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 30675 | 0 | 03-Nov-2009 | 03-Nov-2009 | |||||||||||||||||
| CISCO SYSTEMS, INC. | ||||||||||||||||||||||
| Security | 17275R102 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | CSCO | Meeting Date | 12-Nov-2009 | |||||||||||||||||||
| ISIN | US17275R1023 | Agenda | 933147262 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: CAROL A. BARTZ | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: M. MICHELE BURNS | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: LARRY R. CARTER | Management | For | For | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: JOHN T. CHAMBERS | Management | For | For | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: BRIAN L. HALLA | Management | For | For | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: RICHARD M. KOVACEVICH | Management | For | For | ||||||||||||||||||
| 1I | ELECTION OF DIRECTOR: RODERICK C. MCGEARY | Management | For | For | ||||||||||||||||||
| 1J | ELECTION OF DIRECTOR: MICHAEL K. POWELL | Management | For | For | ||||||||||||||||||
| 1K | ELECTION OF DIRECTOR: ARUN SARIN | Management | For | For | ||||||||||||||||||
| 1L | ELECTION OF DIRECTOR: STEVEN M. WEST | Management | For | For | ||||||||||||||||||
| 1M | ELECTION OF DIRECTOR: JERRY YANG | Management | For | For | ||||||||||||||||||
| 02 | TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE 2005 STOCK INCENTIVE PLAN, AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. | Management | For | For | ||||||||||||||||||
| 03 | TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE EMPLOYEE STOCK PURCHASE PLAN, AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. | Management | For | For | ||||||||||||||||||
| 04 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS CISCO'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JULY 31, 2010. | Management | For | For | ||||||||||||||||||
| 05 | PROPOSAL SUBMITTED BY A SHAREHOLDER TO AMEND CISCO'S BYLAWS TO ESTABLISH A BOARD COMMITTEE ON HUMAN RIGHTS. | Shareholder | Against | For | ||||||||||||||||||
| 06 | PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING THE BOARD TO ADOPT A POLICY THAT SHAREHOLDERS BE PROVIDED THE OPPORTUNITY, AT EACH ANNUAL MEETING OF SHAREHOLDERS, TO VOTE ON AN ADVISORY RESOLUTION TO RATIFY THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS DESCRIBED IN THE PROXY STATEMENT FOR THE ANNUAL MEETING. | Shareholder | For | Against | ||||||||||||||||||
| 07 | PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING THE BOARD TO PUBLISH A REPORT TO SHAREHOLDERS, WITHIN SIX MONTHS, PROVIDING A SUMMARIZED LISTING AND ASSESSMENT OF CONCRETE STEPS CISCO COULD REASONABLY TAKE TO REDUCE THE LIKELIHOOD THAT ITS BUSINESS PRACTICES MIGHT ENABLE OR ENCOURAGE THE VIOLATION OF HUMAN RIGHTS, AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 102775 | 0 | 03-Nov-2009 | 03-Nov-2009 | |||||||||||||||||
| MICROSOFT CORPORATION | ||||||||||||||||||||||
| Security | 594918104 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | MSFT | Meeting Date | 19-Nov-2009 | |||||||||||||||||||
| ISIN | US5949181045 | Agenda | 933150310 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | ELECTION OF DIRECTOR: WILLIAM H. GATES III | Management | For | For | ||||||||||||||||||
| 02 | ELECTION OF DIRECTOR: STEVEN A. BALLMER | Management | For | For | ||||||||||||||||||
| 03 | ELECTION OF DIRECTOR: DINA DUBLON | Management | For | For | ||||||||||||||||||
| 04 | ELECTION OF DIRECTOR: RAYMOND V. GILMARTIN | Management | For | For | ||||||||||||||||||
| 05 | ELECTION OF DIRECTOR: REED HASTINGS | Management | For | For | ||||||||||||||||||
| 06 | ELECTION OF DIRECTOR: MARIA KLAWE | Management | For | For | ||||||||||||||||||
| 07 | ELECTION OF DIRECTOR: DAVID F. MARQUARDT | Management | For | For | ||||||||||||||||||
| 08 | ELECTION OF DIRECTOR: CHARLES H. NOSKI | Management | For | For | ||||||||||||||||||
| 09 | ELECTION OF DIRECTOR: HELMUT PANKE | Management | For | For | ||||||||||||||||||
| 10 | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT AUDITOR | Management | For | For | ||||||||||||||||||
| 11 | TO APPROVE AMENDMENTS TO AMENDED AND RESTATED ARTICLES OF INCORPORATION | Management | For | For | ||||||||||||||||||
| 12 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | Against | Against | ||||||||||||||||||
| 13 | SHAREHOLDER PROPOSAL - ADOPTION OF HEALTHCARE REFORM PRINCIPLES | Shareholder | Against | For | ||||||||||||||||||
| 14 | SHAREHOLDER PROPOSAL - DISCLOSURE OF CHARITABLE CONTRIBUTIONS | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 83550 | 0 | 03-Nov-2009 | 03-Nov-2009 | |||||||||||||||||
| ACTIVISION BLIZZARD INC | ||||||||||||||||||||||
| Security | 00507V109 | Meeting Type | Special | |||||||||||||||||||
| Ticker Symbol | ATVI | Meeting Date | 17-Dec-2009 | |||||||||||||||||||
| ISIN | US00507V1098 | Agenda | 933168456 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | APPROVAL OF THE 2008 INCENTIVE PLAN, AS AMENDED. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 88150 | 0 | 10-Dec-2009 | 10-Dec-2009 | |||||||||||||||||
| BERKSHIRE HATHAWAY INC. | ||||||||||||||||||||||
| Security | 084670108 | Meeting Type | Special | |||||||||||||||||||
| Ticker Symbol | BRKA | Meeting Date | 20-Jan-2010 | |||||||||||||||||||
| ISIN | US0846701086 | Agenda | 933174699 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | TO APPROVE AN AMENDMENT TO THE CORPORATION'S EXISTING RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED (THE "CURRENT CERTIFICATE"), TO EFFECT A 50-FOR-1 STOCK SPLIT OF THE CORPORATION'S CLASS B COMMON STOCK, WHILE MAINTAINING CURRENT ECONOMIC AND VOTING RELATIONSHIP BETWEEN CORPORATION'S CLASS B COMMON STOCK AND THE CORPORATION'S CLASS A COMMON STOCK. | Management | For | For | ||||||||||||||||||
| 02 | TO APPROVE AN AMENDMENT TO THE CURRENT CERTIFICATE TO CLARIFY THAT THE CLASS B COMMON STOCK MAY BE SPLIT IN THE PROPOSED 50-FOR-1 SPLIT WITHOUT SPLITTING THE CLASS A COMMON STOCK. | Management | For | For | ||||||||||||||||||
| 03 | TO APPROVE AN AMENDMENT TO THE CURRENT CERTIFICATE TO CHANGE THE PAR VALUE OF EACH SHARE OF CLASS B COMMON STOCK IN CONNECTION WITH THE PROPOSED 50-FOR-1 SPLIT, TO $0.0033 FROM THE CURRENT PAR VALUE OF $0.1667 PER SHARE OF CLASS B COMMON STOCK. | Management | For | For | ||||||||||||||||||
| 04 | TO APPROVE AN AMENDMENT TO THE CURRENT CERTIFICATE TO INCREASE THE NUMBER OF SHARES OF CLASS B COMMON STOCK AND THE TOTAL NUMBER OF SHARES OF ALL CLASSES OF STOCK THAT THE CORPORATION IS AUTHORIZED TO ISSUE. | Management | For | For | ||||||||||||||||||
| 05 | TO APPROVE AN AMENDMENT TO THE CURRENT CERTIFICATE TO REMOVE THE REQUIREMENT TO ISSUE PHYSICAL STOCK CERTIFICATES FOR SHARES. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 52 | 0 | 13-Jan-2010 | 13-Jan-2010 | |||||||||||||||||
| MONSANTO COMPANY | ||||||||||||||||||||||
| Security | 61166W101 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | MON | Meeting Date | 26-Jan-2010 | |||||||||||||||||||
| ISIN | US61166W1018 | Agenda | 933172900 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: FRANK V. ATLEE III | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: DAVID L. CHICOINE, PH.D | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: ARTHUR H. HARPER | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: GWENDOLYN S. KING | Management | For | For | ||||||||||||||||||
| 02 | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||||||||
| 03 | APPROVAL OF PERFORMANCE GOALS UNDER THE MONSANTO COMPANY 2005 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 37775 | 0 | 14-Jan-2010 | 14-Jan-2010 | |||||||||||||||||
| BECTON, DICKINSON AND COMPANY | ||||||||||||||||||||||
| Security | 075887109 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | BDX | Meeting Date | 02-Feb-2010 | |||||||||||||||||||
| ISIN | US0758871091 | Agenda | 933176807 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | HENRY P. BECTON, JR. | For | For | |||||||||||||||||||
| 2 | EDWARD F. DEGRAAN | For | For | |||||||||||||||||||
| 3 | CLAIRE M FRASER-LIGGETT | Withheld | Against | |||||||||||||||||||
| 4 | EDWARD J. LUDWIG | For | For | |||||||||||||||||||
| 5 | ADEL A.F. MAHMOUD | Withheld | Against | |||||||||||||||||||
| 6 | JAMES F. ORR | For | For | |||||||||||||||||||
| 7 | WILLARD J. OVERLOCK, JR | For | For | |||||||||||||||||||
| 8 | BERTRAM L. SCOTT | For | For | |||||||||||||||||||
| 02 | RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||||||||
| 03 | APPROVAL OF A BY-LAW AMENDMENT REGARDING SPECIAL SHAREHOLDER MEETINGS. | Management | For | For | ||||||||||||||||||
| 04 | APPROVAL OF AN AMENDMENT TO THE 2004 EMPLOYEE AND DIRECTOR EQUITY-BASED COMPENSATION PLAN. | Management | Against | Against | ||||||||||||||||||
| 05 | APPROVAL OF MATERIAL TERMS OF PERFORMANCE GOALS. | Management | For | For | ||||||||||||||||||
| 06 | MAJORITY VOTING. | Shareholder | For | Against | ||||||||||||||||||
| 07 | CUMULATIVE VOTING. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 30750 | 0 | 14-Jan-2010 | 14-Jan-2010 | |||||||||||||||||
| UNITED TECHNOLOGIES CORPORATION | ||||||||||||||||||||||
| Security | 913017109 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | UTX | Meeting Date | 14-Apr-2010 | |||||||||||||||||||
| ISIN | US9130171096 | Agenda | 933195530 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | LOUIS R. CHENEVERT | For | For | |||||||||||||||||||
| 2 | JOHN V. FARACI | Withheld | Against | |||||||||||||||||||
| 3 | JEAN-PIERRE GARNIER | For | For | |||||||||||||||||||
| 4 | JAMIE S. GORELICK | For | For | |||||||||||||||||||
| 5 | CARLOS M. GUTIERREZ | Withheld | Against | |||||||||||||||||||
| 6 | EDWARD A. KANGAS | Withheld | Against | |||||||||||||||||||
| 7 | CHARLES R. LEE | For | For | |||||||||||||||||||
| 8 | RICHARD D. MCCORMICK | For | For | |||||||||||||||||||
| 9 | HAROLD MCGRAW III | Withheld | Against | |||||||||||||||||||
| 10 | RICHARD B. MYERS | Withheld | Against | |||||||||||||||||||
| 11 | H. PATRICK SWYGERT | For | For | |||||||||||||||||||
| 12 | ANDRE VILLENEUVE | For | For | |||||||||||||||||||
| 13 | CHRISTINE TODD WHITMAN | Withheld | Against | |||||||||||||||||||
| 02 | APPOINTMENT OF THE FIRM OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITOR. | Management | For | For | ||||||||||||||||||
| 03 | SHAREOWNER PROPOSAL: ADVISORY VOTE ON EXECUTIVE COMPENSATION | Shareholder | For | Against | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 41750 | 0 | 05-Mar-2010 | 05-Mar-2010 | |||||||||||||||||
| AMERICAN EXPRESS COMPANY | ||||||||||||||||||||||
| Security | 025816109 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | AXP | Meeting Date | 26-Apr-2010 | |||||||||||||||||||
| ISIN | US0258161092 | Agenda | 933202436 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | D.F. AKERSON | For | For | |||||||||||||||||||
| 2 | C. BARSHEFSKY | For | For | |||||||||||||||||||
| 3 | U.M. BURNS | For | For | |||||||||||||||||||
| 4 | K.I. CHENAULT | For | For | |||||||||||||||||||
| 5 | P. CHERNIN | For | For | |||||||||||||||||||
| 6 | J. LESCHLY | For | For | |||||||||||||||||||
| 7 | R.C. LEVIN | Withheld | Against | |||||||||||||||||||
| 8 | R.A. MCGINN | For | For | |||||||||||||||||||
| 9 | E.D. MILLER | For | For | |||||||||||||||||||
| 10 | S.S REINEMUND | For | For | |||||||||||||||||||
| 11 | R.D. WALTER | For | For | |||||||||||||||||||
| 12 | R.A. WILLIAMS | For | For | |||||||||||||||||||
| 02 | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2010. | Management | For | For | ||||||||||||||||||
| 03 | ADVISORY (NON-BINDING) VOTE APPROVING EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||||||||
| 04 | SHAREHOLDER PROPOSAL RELATING TO CUMULATIVE VOTING FOR DIRECTORS. | Shareholder | Against | For | ||||||||||||||||||
| 05 | SHAREHOLDER PROPOSAL RELATING TO THE CALLING OF SPECIAL SHAREHOLDER MEETINGS. | Shareholder | Against | For | ||||||||||||||||||
| 06 | SHAREHOLDER PROPOSAL RELATING TO SHARE RETENTION REQUIREMENTS FOR EXECUTIVES. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 95500 | 0 | 25-Mar-2010 | 25-Mar-2010 | |||||||||||||||||
| PRAXAIR, INC. | ||||||||||||||||||||||
| Security | 74005P104 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | PX | Meeting Date | 27-Apr-2010 | |||||||||||||||||||
| ISIN | US74005P1049 | Agenda | 933201600 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | STEPHEN F. ANGEL | For | For | |||||||||||||||||||
| 2 | NANCE K. DICCIANI | For | For | |||||||||||||||||||
| 3 | EDWARD G. GALANTE | For | For | |||||||||||||||||||
| 4 | CLAIRE W. GARGALLI | For | For | |||||||||||||||||||
| 5 | IRA D. HALL | For | For | |||||||||||||||||||
| 6 | RAYMOND W. LEBOEUF | For | For | |||||||||||||||||||
| 7 | LARRY D. MCVAY | For | For | |||||||||||||||||||
| 8 | WAYNE T. SMITH | For | For | |||||||||||||||||||
| 9 | ROBERT L. WOOD | For | For | |||||||||||||||||||
| 02 | PROPOSAL TO RATIFY THE APPOINTMENT OF THE INDEPENDENT AUDITOR. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 54400 | 0 | 22-Mar-2010 | 22-Mar-2010 | |||||||||||||||||
| BERKSHIRE HATHAWAY INC. | ||||||||||||||||||||||
| Security | 084670108 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | BRKA | Meeting Date | 01-May-2010 | |||||||||||||||||||
| ISIN | US0846701086 | Agenda | 933202412 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | WARREN E. BUFFETT | For | For | |||||||||||||||||||
| 2 | CHARLES T. MUNGER | For | For | |||||||||||||||||||
| 3 | HOWARD G. BUFFETT | For | For | |||||||||||||||||||
| 4 | STEPHEN B. BURKE | For | For | |||||||||||||||||||
| 5 | SUSAN L. DECKER | For | For | |||||||||||||||||||
| 6 | WILLIAM H. GATES III | For | For | |||||||||||||||||||
| 7 | DAVID S. GOTTESMAN | For | For | |||||||||||||||||||
| 8 | CHARLOTTE GUYMAN | For | For | |||||||||||||||||||
| 9 | DONALD R. KEOUGH | For | For | |||||||||||||||||||
| 10 | THOMAS S. MURPHY | For | For | |||||||||||||||||||
| 11 | RONALD L. OLSON | For | For | |||||||||||||||||||
| 12 | WALTER SCOTT, JR. | For | For | |||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 52 | 0 | 25-Mar-2010 | 25-Mar-2010 | |||||||||||||||||
| ZIMMER HOLDINGS, INC. | ||||||||||||||||||||||
| Security | 98956P102 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | ZMH | Meeting Date | 03-May-2010 | |||||||||||||||||||
| ISIN | US98956P1021 | Agenda | 933201410 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: BETSY J. BERNARD | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: MARC N. CASPER | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: DAVID C. DVORAK | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: LARRY C. GLASSCOCK | Management | Against | Against | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: ROBERT A. HAGEMANN | Management | Against | Against | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: ARTHUR J. HIGGINS | Management | Against | Against | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: JOHN L. MCGOLDRICK | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: CECIL B. PICKETT, PH.D. | Management | Against | Against | ||||||||||||||||||
| 02 | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 43900 | 0 | 22-Mar-2010 | 22-Mar-2010 | |||||||||||||||||
| AFLAC INCORPORATED | ||||||||||||||||||||||
| Security | 001055102 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | AFL | Meeting Date | 03-May-2010 | |||||||||||||||||||
| ISIN | US0010551028 | Agenda | 933206030 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: DANIEL P. AMOS | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: JOHN SHELBY AMOS II | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: PAUL S. AMOS II | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: MICHAEL H. ARMACOST | Management | For | For | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: KRISS CLONINGER III | Management | For | For | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: JOE FRANK HARRIS | Management | For | For | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: ELIZABETH J. HUDSON | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: DOUGLAS W. JOHNSON | Management | For | For | ||||||||||||||||||
| 1I | ELECTION OF DIRECTOR: ROBERT B. JOHNSON | Management | For | For | ||||||||||||||||||
| 1J | ELECTION OF DIRECTOR: CHARLES B. KNAPP | Management | For | For | ||||||||||||||||||
| 1K | ELECTION OF DIRECTOR: E. STEPHEN PURDOM, M.D. | Management | For | For | ||||||||||||||||||
| 1L | ELECTION OF DIRECTOR: BARBARA K. RIMER, DR. PH | Management | For | For | ||||||||||||||||||
| 1M | ELECTION OF DIRECTOR: MARVIN R. SCHUSTER | Management | For | For | ||||||||||||||||||
| 1N | ELECTION OF DIRECTOR: DAVID GARY THOMPSON | Management | For | For | ||||||||||||||||||
| 1O | ELECTION OF DIRECTOR: ROBERT L. WRIGHT | Management | For | For | ||||||||||||||||||
| 1P | ELECTION OF DIRECTOR: TAKURO YOSHIDA | Management | For | For | ||||||||||||||||||
| 02 | TO CONSIDER AND APPROVE THE FOLLOWING ADVISORY (NON-BINDING) PROPOSAL: "RESOLVED, THAT THE SHAREHOLDERS APPROVE THE OVERALL EXECUTIVE PAY- FOR-PERFORMANCE COMPENSATION POLICIES AND PROCEDURES EMPLOYED BY THE COMPANY, AS DESCRIBED IN THE COMPENSATION DISCUSSION AND ANALYSIS AND THE TABULAR DISCLOSURE REGARDING NAMED EXECUTIVE OFFICER COMPENSATION IN THIS PROXY STATEMENT." | Management | For | For | ||||||||||||||||||
| 03 | RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2010. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 75100 | 0 | 25-Mar-2010 | 25-Mar-2010 | |||||||||||||||||
| ITT EDUCATIONAL SERVICES, INC. | ||||||||||||||||||||||
| Security | 45068B109 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | ESI | Meeting Date | 04-May-2010 | |||||||||||||||||||
| ISIN | US45068B1098 | Agenda | 933206319 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: JOHN F. COZZI | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: KEVIN M. MODANY | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: LLOYD G. WATERHOUSE | Management | For | For | ||||||||||||||||||
| 02 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS ITT/ESI'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2010. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 11025 | 0 | 25-Mar-2010 | 25-Mar-2010 | |||||||||||||||||
| AVON PRODUCTS, INC. | ||||||||||||||||||||||
| Security | 054303102 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | AVP | Meeting Date | 06-May-2010 | |||||||||||||||||||
| ISIN | US0543031027 | Agenda | 933212083 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | W. DON CORNWELL | Withheld | Against | |||||||||||||||||||
| 2 | V. ANN HAILEY | Withheld | Against | |||||||||||||||||||
| 3 | FRED HASSAN | For | For | |||||||||||||||||||
| 4 | ANDREA JUNG | For | For | |||||||||||||||||||
| 5 | MARIA ELENA LAGOMASINO | For | For | |||||||||||||||||||
| 6 | ANN S. MOORE | For | For | |||||||||||||||||||
| 7 | PAUL S. PRESSLER | For | For | |||||||||||||||||||
| 8 | GARY M. RODKIN | For | For | |||||||||||||||||||
| 9 | PAULA STERN | For | For | |||||||||||||||||||
| 10 | LAWRENCE A. WEINBACH | For | For | |||||||||||||||||||
| 2 | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||||||||
| 3 | APPROVAL OF 2010 STOCK INCENTIVE PLAN. | Management | Against | Against | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 123550 | 0 | 29-Mar-2010 | 29-Mar-2010 | |||||||||||||||||
| COLGATE-PALMOLIVE COMPANY | ||||||||||||||||||||||
| Security | 194162103 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | CL | Meeting Date | 07-May-2010 | |||||||||||||||||||
| ISIN | US1941621039 | Agenda | 933208539 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: JOHN T. CAHILL | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: IAN COOK | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: HELENE D. GAYLE | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: ELLEN M. HANCOCK | Management | For | For | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: JOSEPH JIMENEZ | Management | For | For | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: DAVID W. JOHNSON | Management | For | For | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: RICHARD J. KOGAN | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: DELANO E. LEWIS | Management | For | For | ||||||||||||||||||
| 1I | ELECTION OF DIRECTOR: J. PEDRO REINHARD | Management | Against | Against | ||||||||||||||||||
| 1J | ELECTION OF DIRECTOR: STEPHEN I. SADOVE | Management | For | For | ||||||||||||||||||
| 02 | RATIFY SELECTION OF PRICEWATERHOUSECOOPERS LLP AS COLGATE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||||||||
| 03 | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||||||||||||
| 04 | STOCKHOLDER PROPOSAL ON CHARITABLE CONTRIBUTIONS. | Shareholder | Against | For | ||||||||||||||||||
| 05 | STOCKHOLDER PROPOSAL ON SPECIAL STOCKHOLDER MEETINGS. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 19375 | 0 | 25-Mar-2010 | 25-Mar-2010 | |||||||||||||||||
| 3M COMPANY | ||||||||||||||||||||||
| Security | 88579Y101 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | MMM | Meeting Date | 11-May-2010 | |||||||||||||||||||
| ISIN | US88579Y1010 | Agenda | 933208565 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: LINDA G. ALVARADO | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: GEORGE W. BUCKLEY | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: VANCE D. COFFMAN | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: MICHAEL L. ESKEW | Management | For | For | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: W. JAMES FARRELL | Management | For | For | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: HERBERT L. HENKEL | Management | For | For | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: EDWARD M. LIDDY | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: ROBERT S. MORRISON | Management | For | For | ||||||||||||||||||
| 1I | ELECTION OF DIRECTOR: AULANA L. PETERS | Management | For | For | ||||||||||||||||||
| 1J | ELECTION OF DIRECTOR: ROBERT J. ULRICH | Management | For | For | ||||||||||||||||||
| 02 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||||||||||||
| 03 | TO APPROVE THE AMENDED 2008 LONG-TERM INCENTIVE PLAN AND TO APPROVE THE EXPANDED PERFORMANCE CRITERIA AVAILABLE UNDER THE 2008 LONG-TERM INCENTIVE PLAN. | Management | Against | Against | ||||||||||||||||||
| 04 | STOCKHOLDER PROPOSAL ON SPECIAL MEETINGS. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 37875 | 0 | 25-Mar-2010 | 25-Mar-2010 | |||||||||||||||||
| REPUBLIC SERVICES, INC. | ||||||||||||||||||||||
| Security | 760759100 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | RSG | Meeting Date | 13-May-2010 | |||||||||||||||||||
| ISIN | US7607591002 | Agenda | 933221450 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: JAMES E. O'CONNOR | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: JOHN W. CROGHAN | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: JAMES W. CROWNOVER | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: WILLIAM J. FLYNN | Management | For | For | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: DAVID I. FOLEY | Management | For | For | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: MICHAEL LARSON | Management | For | For | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: NOLAN LEHMANN | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: W. LEE NUTTER | Management | For | For | ||||||||||||||||||
| 1I | ELECTION OF DIRECTOR: RAMON A. RODRIGUEZ | Management | Against | Against | ||||||||||||||||||
| 1J | ELECTION OF DIRECTOR: ALLAN C. SORENSEN | Management | Against | Against | ||||||||||||||||||
| 1K | ELECTION OF DIRECTOR: JOHN M. TRANI | Management | For | For | ||||||||||||||||||
| 1L | ELECTION OF DIRECTOR: MICHAEL W. WICKHAM | Management | Against | Against | ||||||||||||||||||
| 02 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT PUBLIC ACCOUNTANTS FOR 2010. | Management | For | For | ||||||||||||||||||
| 03 | STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS AND EXPENDITURES. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 122600 | 0 | 08-Apr-2010 | 08-Apr-2010 | |||||||||||||||||
| THOMSON REUTERS CORPORATION | ||||||||||||||||||||||
| Security | 884903105 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | TRI | Meeting Date | 14-May-2010 | |||||||||||||||||||
| ISIN | CA8849031056 | Agenda | 933235992 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | DAVID THOMSON | For | For | |||||||||||||||||||
| 2 | W. GEOFFREY BEATTIE | For | For | |||||||||||||||||||
| 3 | NIALL FITZGERALD, KBE | For | For | |||||||||||||||||||
| 4 | THOMAS H. GLOCER | For | For | |||||||||||||||||||
| 5 | MANVINDER S. BANGA | For | For | |||||||||||||||||||
| 6 | MARY CIRILLO | For | For | |||||||||||||||||||
| 7 | STEVEN A. DENNING | For | For | |||||||||||||||||||
| 8 | LAWTON FITT | For | For | |||||||||||||||||||
| 9 | ROGER L. MARTIN | For | For | |||||||||||||||||||
| 10 | SIR DERYCK MAUGHAN | Withheld | Against | |||||||||||||||||||
| 11 | KEN OLISA | For | For | |||||||||||||||||||
| 12 | VANCE K. OPPERMAN | For | For | |||||||||||||||||||
| 13 | JOHN M. THOMPSON | For | For | |||||||||||||||||||
| 14 | PETER J. THOMSON | For | For | |||||||||||||||||||
| 15 | JOHN A. TORY | For | For | |||||||||||||||||||
| 02 | TO APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS AND TO AUTHORIZE THE DIRECTORS TO FIX THE AUDITORS' REMUNERATION. | Management | For | For | ||||||||||||||||||
| 03 | TO ACCEPT, ON AN ADVISORY BASIS, THE APPROACH TO EXECUTIVE COMPENSATION DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 46550 | 0 | 13-Apr-2010 | 13-Apr-2010 | |||||||||||||||||
| ACTIVISION BLIZZARD INC | ||||||||||||||||||||||
| Security | 00507V109 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | ATVI | Meeting Date | 03-Jun-2010 | |||||||||||||||||||
| ISIN | US00507V1098 | Agenda | 933248052 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 1A | ELECTION OF DIRECTOR: PHILIPPE G.H. CAPRON | Management | For | For | ||||||||||||||||||
| 1B | ELECTION OF DIRECTOR: ROBERT J. CORTI | Management | For | For | ||||||||||||||||||
| 1C | ELECTION OF DIRECTOR: FREDERIC R. CREPIN | Management | For | For | ||||||||||||||||||
| 1D | ELECTION OF DIRECTOR: BRIAN G. KELLY | Management | For | For | ||||||||||||||||||
| 1E | ELECTION OF DIRECTOR: ROBERT A. KOTICK | Management | For | For | ||||||||||||||||||
| 1F | ELECTION OF DIRECTOR: JEAN-BERNARD LEVY | Management | For | For | ||||||||||||||||||
| 1G | ELECTION OF DIRECTOR: ROBERT J. MORGADO | Management | For | For | ||||||||||||||||||
| 1H | ELECTION OF DIRECTOR: DOUGLAS P. MORRIS | Management | For | For | ||||||||||||||||||
| 1I | ELECTION OF DIRECTOR: STEPHANE ROUSSEL | Management | For | For | ||||||||||||||||||
| 1J | ELECTION OF DIRECTOR: RICHARD SARNOFF | Management | For | For | ||||||||||||||||||
| 1K | ELECTION OF DIRECTOR: REGIS TURRINI | Management | For | For | ||||||||||||||||||
| 02 | APPROVE 2008 INCENTIVE PLAN, AS AMENDED AND RESTATED. | Management | Against | Against | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 157225 | 0 | 27-Apr-2010 | 27-Apr-2010 | |||||||||||||||||
| CHESAPEAKE ENERGY CORPORATION | ||||||||||||||||||||||
| Security | 165167107 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | CHK | Meeting Date | 11-Jun-2010 | |||||||||||||||||||
| ISIN | US1651671075 | Agenda | 933277697 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||||||||
| 1 | FRANK KEATING | For | For | |||||||||||||||||||
| 2 | MERRILL A. MILLER, JR. | For | For | |||||||||||||||||||
| 3 | FREDERICK B. WHITTEMORE | For | For | |||||||||||||||||||
| 02 | TO APPROVE AN AMENDMENT TO OUR LONG TERM INCENTIVE PLAN. | Management | For | For | ||||||||||||||||||
| 03 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2010. | Management | For | For | ||||||||||||||||||
| 04 | SHAREHOLDER PROPOSAL RELATING TO ANNUAL CASH BONUSES TO NAMED EXECUTIVE OFFICERS. | Shareholder | Against | For | ||||||||||||||||||
| 05 | SHAREHOLDER PROPOSAL REGARDING EXECUTIVE PARTICIPATION IN DERIVATIVE OR SPECULATIVE TRANSACTIONS INVOLVING STOCK. | Shareholder | Against | For | ||||||||||||||||||
| 06 | SHAREHOLDER PROPOSAL REQUESTING AN ADVISORY SHAREHOLDER VOTE ON EXECUTIVE COMPENSATION. | Shareholder | For | Against | ||||||||||||||||||
| 07 | SHAREHOLDER PROPOSAL REQUESTING AN ADVISORY SHAREHOLDER VOTE ON EXECUTIVE AND DIRECTOR COMPENSATION. | Shareholder | For | Against | ||||||||||||||||||
| 08 | SHAREHOLDER PROPOSAL RELATING TO HYDRAULIC FRACTURING. | Shareholder | Against | For | ||||||||||||||||||
| 09 | SHAREHOLDER PROPOSAL RELATING TO A SUSTAINABILITY REPORT. | Shareholder | Against | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 133475 | 0 | 21-May-2010 | 21-May-2010 | |||||||||||||||||
| TEVA PHARMACEUTICAL INDUSTRIES LIMITED | ||||||||||||||||||||||
| Security | 881624209 | Meeting Type | Annual | |||||||||||||||||||
| Ticker Symbol | TEVA | Meeting Date | 29-Jun-2010 | |||||||||||||||||||
| ISIN | US8816242098 | Agenda | 933290532 - Management | |||||||||||||||||||
| Item | Proposal | Type | Vote | For/Against Management | ||||||||||||||||||
| 01 | TO APPROVE THE BOARD OF DIRECTORS' RECOMMENDATION THAT THE CASH DIVIDEND FOR THE YEAR ENDED DECEMBER 31, 2009, WHICH WAS PAID IN FOUR INSTALLMENTS AND AGGREGATED NIS 2.50 (APPROXIMATELY US$0.642, ACCORDING TO THE APPLICABLE EXCHANGE RATES) PER ORDINARY SHARE (OR ADS), BE DECLARED FINAL. | Management | For | For | ||||||||||||||||||
| 2A | ELECTION OF DIRECTOR: MR. ABRAHAM E. COHEN | Management | For | For | ||||||||||||||||||
| 2B | ELECTION OF DIRECTOR: MR. AMIR ELSTEIN | Management | For | For | ||||||||||||||||||
| 2C | ELECTION OF DIRECTOR: PROF. ROGER KORNBERG | Management | For | For | ||||||||||||||||||
| 2D | ELECTION OF DIRECTOR: PROF. MOSHE MANY | Management | For | For | ||||||||||||||||||
| 2E | ELECTION OF DIRECTOR: MR. DAN PROPPER | Management | For | For | ||||||||||||||||||
| 03 | TO APPOINT KESSELMAN & KESSELMAN, A MEMBER OF PRICEWATERHOUSECOOPERS INTERNATIONAL LTD., AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM UNTIL THE 2011 ANNUAL MEETING OF SHAREHOLDERS AND TO AUTHORIZE THE BOARD OF DIRECTORS TO DETERMINE THEIR COMPENSATION PROVIDED SUCH COMPENSATION IS ALSO APPROVED BY THE AUDIT COMMITTEE. | Management | For | For | ||||||||||||||||||
| 04 | TO APPROVE THE COMPANY'S 2010 LONG-TERM EQUITY- BASED INCENTIVE PLAN. | Management | For | For | ||||||||||||||||||
| 5A | APPROVE REMUNERATION OF DR. PHILLIP FROST, IN HIS CAPACITY AS CHAIRMAN OF THE BOARD, EFFECTIVE AS OF MARCH 9, 2010, IN THE AMOUNT OF NIS EQUIVALENT OF USD 385,702 (AS OF MARCH 9, 2010) PER ANNUM, PLUS VAT (AS APPLICABLE), AS ADJUSTED BY THE ISRAELI CONSUMER PRICE INDEX (IN ADDITION TO PER MEETING FEES PAID TO DIRECTORS), PROVISION TO DR. FROST, IN HIS CAPACITY AS CHAIRMAN OF THE BOARD, OF AN OFFICE AND SECRETARIAL SERVICES, AND, EFFECTIVE AS OF FEBRUARY 15, 2010, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||||||||||||
| 5B | TO APPROVE THE REMUNERATION OF PROF. MOSHE MANY, IN HIS CAPACITY AS VICE CHAIRMAN OF THE BOARD OF TEVA, EFFECTIVE AS OF MARCH 9, 2010, IN THE AMOUNT OF THE NIS EQUIVALENT OF USD 150,000 (AS OF MARCH 9, 2010) PER ANNUM, PLUS VAT (AS APPLICABLE), AS ADJUSTED BY THE ISRAELI CONSUMER PRICE INDEX (IN ADDITION TO PER MEETING FEES PAID TO DIRECTORS). AND THE PROVISION TO PROF. MANY, IN HIS CAPACITY AS VICE CHAIRMAN OF THE BOARD, OF SECRETARIAL SERVICES. | Management | For | For | ||||||||||||||||||
| 5C | TO APPROVE THE REMUNERATION OF PROF. ROGER KORNBERG, IN HIS CAPACITY AS A DIRECTOR OF TEVA, EFFECTIVE AS OF MAY 10, 2010, IN THE AMOUNT OF THE NIS EQUIVALENT OF USD 150,000 (AS OF MAY 10, 2010) PER ANNUM, PLUS VAT (AS APPLICABLE), AS ADJUSTED BY THE ISRAELI CONSUMER PRICE INDEX (IN ADDITION TO PER MEETING FEES PAID TO DIRECTORS). | Management | For | For | ||||||||||||||||||
| 06 | TO APPROVE AN INCREASE IN THE REGISTERED SHARE CAPITAL OF THE COMPANY BY NIS 100,000,000 TO A TOTAL OF NIS 250,000,000 BY THE CREATION OF 1,000,000,000 ADDITIONAL ORDINARY SHARES OF PAR VALUE NIS 0.1 EACH, AND THE AMENDMENT OF THE COMPANY'S INCORPORATION DOCUMENTS ACCORDINGLY. | Management | For | For | ||||||||||||||||||
| Account Number | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||
| 19-6510 | 3S7 | 46100 | 0 | 18-Jun-2010 | 18-Jun-2010 | |||||||||||||||||