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: 811-3074
Northeast Investors Growth Fund
(exact name of registrant as specified in charter)
150 Federal Street, Room 1000
Boston, MA 02110
David Randall
150 Federal St, Room 1000
Boston, MA 02110
(name and address of agent for service)
Registrant's telephone number, including area code: 617-523-3588
Date of fiscal year end: December 31
Date of reporting period ending: June 30, 2007
Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (239.24 and
274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting records for
the most recent twelve-month period 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. 3507.
Investment Company Report
FEDEX CORPORATION
SECURITY 31428X106 MEETING TYPE Annual
TICKER SYMBOL FDX MEETING DATE 25-Sep-2006
ISIN AGENDA 932575105 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JAMES L. BARKSDALE For For
2 AUGUST A. BUSCH IV For For
3 JOHN A. EDWARDSON For For
4 JUDITH L. ESTRIN For For
5 J. KENNETH GLASS For For
6 PHILIP GREER For For
7 J.R. HYDE, III For For
8 SHIRLEY A. JACKSON For For
9 STEVEN R. LORANGER For For
10 CHARLES T. MANATT For For
11 FREDERICK W. SMITH For For
12 JOSHUA I. SMITH For For
13 PAUL S. WALSH For For
14 PETER S. WILLMOTT For For
02 APPROVAL OF AMENDMENTS TO CERTIFICATE OF Management For For
INCORPORATION AND BYLAWS TO ELIMINATE
SUPERMAJORITY VOTING REQUIREMENTS.
03 RATIFICATION OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM.
04 STOCKHOLDER PROPOSAL REGARDING GLOBAL WARMING Shareholder Against For
REPORT.
05 STOCKHOLDER PROPOSAL REGARDING MAJORITY VOTING Shareholder For Against
FOR DIRECTOR ELECTIONS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 17600 0 30-Aug-2006 30-Aug-2006
Page 1 of 59 Wednesday, July 18, 2007
Investment Company Report
THE PROCTER & GAMBLE COMPANY
SECURITY 742718109 MEETING TYPE Annual
TICKER SYMBOL PG MEETING DATE 10-Oct-2006
ISIN AGENDA 932579103 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 NORMAN R. AUGUSTINE For For
2 A.G. LAFLEY For For
3 JOHNATHAN A. RODGERS For For
4 JOHN F. SMITH, JR. For For
5 MARGARET C. WHITMAN For For
02 APPROVE AMENDMENT TO THE CODE OF REGULATIONS Management For For
TO DECREASE THE AUTHORIZED NUMBER OF DIRECTORS
ON THE BOARD
03 RATIFY APPOINTMENT OF THE INDEPENDENT REGISTERED Management For For
PUBLIC ACCOUNTING FIRM
04 REAPPROVE AND AMEND THE MATERIAL TERMS OF THE Management Against Against
PERFORMANCE CRITERIA UNDER THE PROCTER & GAMBLE
2001 STOCK AND INCENTIVE COMPENSATION PLAN
05 SHAREHOLDER PROPOSAL - AWARD NO FUTURE STOCK Shareholder For Against
OPTIONS
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 58800 0 12-Sep-2006 12-Sep-2006
Page 2 of 59 Wednesday, July 18, 2007
Investment Company Report
ARCHER-DANIELS-MIDLAND COMPANY
SECURITY 039483102 MEETING TYPE Annual
TICKER SYMBOL ADM MEETING DATE 02-Nov-2006
ISIN AGENDA 932587819 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 G.A. ANDREAS For For
2 A.L. BOECKMANN For For
3 M.H. CARTER For For
4 R.S. JOSLIN For For
5 A. MACIEL For For
6 P.J. MOORE For For
7 M.B. MULRONEY For For
8 T.F. O'NEILL For For
9 O.G. WEBB For For
10 K.R. WESTBROOK For For
11 P.A. WOERTZ For For
02 ADOPT STOCKHOLDER'S PROPOSAL NO. 1 (LABELING Shareholder Against For
GENETICALLY ENGINEERED FOOD.)
03 ADOPT STOCKHOLDER'S PROPOSAL NO. 2 (CODE OF Shareholder Against For
CONDUCT REGARDING GLOBAL HUMAN RIGHTS
STANDARDS.)
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 45100 0 12-Oct-2006 12-Oct-2006
Page 3 of 59 Wednesday, July 18, 2007
Investment Company Report
UNITED NATURAL FOODS, INC.
SECURITY 911163103 MEETING TYPE Annual
TICKER SYMBOL UNFI MEETING DATE 07-Dec-2006
ISIN AGENDA 932603776 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 RICHARD ANTONELLI For For
2 JOSEPH M. CIANCIOLO For For
02 TO RATIFY THE SELECTION OF KPMG LLP AS THE Management For For
CORPORATION'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 31663 0 28-Nov-2006 28-Nov-2006
Page 4 of 59 Wednesday, July 18, 2007
Investment Company Report
EMERSON ELECTRIC CO.
SECURITY 291011104 MEETING TYPE Annual
TICKER SYMBOL EMR MEETING DATE 06-Feb-2007
ISIN AGENDA 932615959 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 C. FERNANDEZ G For For
2 W. J. GALVIN For For
3 R. L. RIDGWAY For For
4 R. L. STEPHENSON For For
02 RATIFICATION OF KPMG LLP AS INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 27800 0 27-Dec-2006 27-Dec-2006
Page 5 of 59 Wednesday, July 18, 2007
Investment Company Report
HOLOGIC, INC.
SECURITY 436440101 MEETING TYPE Annual
TICKER SYMBOL HOLX MEETING DATE 06-Mar-2007
ISIN AGENDA 932626887 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JOHN W. CUMMING For For
2 LAURIE L. FAJARDO For For
3 IRWIN JACOBS For For
4 DAVID R. LAVANCE, JR. For For
5 NANCY L. LEAMING For For
6 ARTHUR G. LERNER For For
7 LAWRENCE M. LEVY For For
8 GLENN P. MUIR For For
9 JAY A. STEIN For For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 30890 0 06-Feb-2007 06-Feb-2007
Page 6 of 59 Wednesday, July 18, 2007
Investment Company Report
THE WALT DISNEY COMPANY
SECURITY 254687106 MEETING TYPE Annual
TICKER SYMBOL DIS MEETING DATE 08-Mar-2007
ISIN AGENDA 932624910 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JOHN E. BRYSON For For
2 JOHN S. CHEN For For
3 JUDITH L. ESTRIN For For
4 ROBERT A. IGER For For
5 STEVEN P. JOBS For For
6 FRED H. LANGHAMMER For For
7 AYLWIN B. LEWIS For For
8 MONICA C. LOZANO For For
9 ROBERT W. MATSCHULLAT For For
10 JOHN E. PEPPER, JR. For For
11 ORIN C. SMITH For For
02 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
REGISTERED PUBLIC ACCOUNTANTS FOR 2007.
03 TO APPROVE THE AMENDMENTS TO THE AMENDED AND Management Against Against
RESTATED 2005 STOCK INCENTIVE PLAN.
04 TO APPROVE THE TERMS OF THE AMENDED AND Management Against Against
RESTATED 2002 EXECUTIVE PERFORMANCE PLAN.
05 TO APPROVE THE SHAREHOLDER PROPOSAL RELATING TO Shareholder Against For
GREENMAIL.
06 TO APPROVE THE SHAREHOLDER PROPOSAL TO AMEND Shareholder For Against
THE BYLAWS RELATING TO STOCKHOLDER RIGHTS PLANS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 72300 0 05-Feb-2007 05-Feb-2007
Page 7 of 59 Wednesday, July 18, 2007
Investment Company Report
CVS/CAREMARK CORPORATION
SECURITY 126650100 MEETING TYPE Special
TICKER SYMBOL CVS MEETING DATE 15-Mar-2007
ISIN AGENDA 932625784 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 APPROVAL OF THE PROPOSAL TO AMEND CVS' AMENDED Management For For
AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE
THE AUTHORIZED NUMBER OF SHARES OF CVS COMMON STOCK
FROM 1 BILLION TO 3.2 BILLION AND TO CHANGE THE NAME
OF CVS CORPORATION TO "CVS/CAREMARK CORPORATION", AS
DESCRIBED IN THE ACCOMPANYING JOINT PROXY
STATEMENT/PROSPECTUS.
02 APPROVAL OF PROPOSAL TO ISSUE STOCK PURSUANT TO Management For For
THE MERGER AGREEMENT, AS THE SAME MAY BE AMENDED FROM
TIME TO TIME, IN CONNECTION WITH THE PROPOSED MERGER
OF CAREMARK RX, INC. WITH TWAIN MERGERSUB L.L.C., A
WHOLLY OWNED SUBSIDIARY OF CVS CORPORATION, AS
DESCRIBED IN THE ACCOMPANYING JOINT PROXY
STATEMENT/PROSPECTUS.
03 APPROVAL OF ANY PROPOSAL TO ADJOURN OR POSTPONE THE Management For For
SPECIAL MEETING, INCLUDING IF NECESSARY, TO SOLICIT
ADDITIONAL PROXIES IN FAVOR OF THE FOREGOING
PROPOSALS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 87430 0 05-Feb-2007 05-Feb-2007
Page 8 of 59 Wednesday, July 18, 2007
Investment Company Report
STARBUCKS CORPORATION
SECURITY 855244109 MEETING TYPE Annual
TICKER SYMBOL SBUX MEETING DATE 21-Mar-2007
ISIN AGENDA 932625619 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 HOWARD SCHULTZ For For
2 BARBARA BASS For For
3 HOWARD P. BEHAR For For
4 WILLIAM W. BRADLEY For For
5 JAMES L. DONALD For For
6 MELLODY HOBSON For For
7 OLDEN LEE For For
8 JAMES G. SHENNAN, JR. For For
9 JAVIER G. TERUEL For For
10 MYRON E. ULLMAN, III For For
11 CRAIG E. WEATHERUP For For
02 COMPANY PROPOSAL TO APPROVE THE MATERIAL TERMS OF THE Management Against Against
COMPANY'S EXECUTIVE MANAGEMENT BONUS PLAN.
03 COMPANY PROPOSAL TO RATIFY THE SELECTION OF DELOITTE Management For For
AND TOUCHE LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 79600 0 12-Feb-2007 12-Feb-2007
Page 9 of 59 Wednesday, July 18, 2007
Investment Company Report
ADOBE SYSTEMS INCORPORATED
SECURITY 00724F101 MEETING TYPE Annual
TICKER SYMBOL ADBE MEETING DATE 05-Apr-2007
ISIN AGENDA 932635925 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 ROBERT K. BURGESS For For
2 CAROL MILLS For For
3 COLLEEN M. POULIOT For For
4 ROBERT SEDGEWICK For For
5 JOHN E. WARNOCK For For
02 APPROVAL OF THE AMENDMENT AND RESTATEMENT OF THE Management Against Against
ADOBE SYSTEMS INCORPORATED 2003 EQUITY INCENTIVE
PLAN.
03 STOCKHOLDER PROPOSAL. Shareholder For Against
04 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE Management For For
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 40300 0 12-Mar-2007 12-Mar-2007
Page 10 of 59 Wednesday, July 18, 2007
Investment Company Report
THE GOLDMAN SACHS GROUP, INC.
SECURITY 38141G104 MEETING TYPE Annual
TICKER SYMBOL GS MEETING DATE 11-Apr-2007
ISIN AGENDA 932632917 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: LLOYD C. BLANKFEIN Management For
1B ELECTION OF DIRECTOR: LORD BROWNE OF MADINGLEY Management For
1C ELECTION OF DIRECTOR: JOHN H. BRYAN Management Against
1D ELECTION OF DIRECTOR: GARY D. COHN Management For
1E ELECTION OF DIRECTOR: CLAES DAHLBACK Management For
1F ELECTION OF DIRECTOR: STEPHEN FRIEDMAN Management For
1G ELECTION OF DIRECTOR: WILLIAM W. GEORGE Management For
1H ELECTION OF DIRECTOR: RAJAT K. GUPTA Management For
1I ELECTION OF DIRECTOR: JAMES A. JOHNSON Management For
1J ELECTION OF DIRECTOR: LOIS D. JULIBER Management For
1K ELECTION OF DIRECTOR: EDWARD M. LIDDY Management For
1L ELECTION OF DIRECTOR: RUTH J. SIMMONS Management For
1M ELECTION OF DIRECTOR: JON WINKELRIED Management For
02 RATIFICATION OF THE APPOINTMENT OF Management For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
AUDITORS FOR OUR 2007 FISCAL YEAR
03 SHAREHOLDER PROPOSAL REGARDING A CHARITABLE Shareholder Against
CONTRIBUTIONS REPORT
04 SHAREHOLDER PROPOSAL REGARDING A SUSTAINABILITY Shareholder Against
REPORT
05 SHAREHOLDER PROPOSAL REGARDING STOCK OPTIONS Shareholder For Against
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 20800 0 26-Mar-2007 26-Mar-2007
Page 11 of 59 Wednesday, July 18, 2007
Investment Company Report
UNITED TECHNOLOGIES CORPORATION
SECURITY 913017109 MEETING TYPE Annual
TICKER SYMBOL UTX MEETING DATE 11-Apr-2007
ISIN AGENDA 932634377 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 LOUIS R. CHENEVERT For For
2 GEORGE DAVID For For
3 JOHN V. FARACI For For
4 JEAN-PIERRE GARNIER For For
5 JAMIE S. GORELICK For For
6 CHARLES R. LEE For For
7 RICHARD D. MCCORMICK For For
8 HAROLD MCGRAW III For For
9 RICHARD B. MYERS For For
10 FRANK P. POPOFF For For
11 H. PATRICK SWYGERT For For
12 ANDRE VILLENEUVE For For
13 H.A. WAGNER For For
14 CHRISTINE TODD WHITMAN For For
02 APPOINTMENT OF INDEPENDENT AUDITORS FOR 2007 Management For For
03 SHAREOWNER PROPOSAL: DIRECTOR TERM LIMITS Shareholder For Against
04 SHAREOWNER PROPOSAL: FOREIGN MILITARY SALES Shareholder Against For
05 SHAREOWNER PROPOSAL: POLITICAL CONTRIBUTIONS Shareholder Against For
06 SHAREOWNER PROPOSAL: ADVISORY RESOLUTION TO Shareholder For Against
RATIFY EXECUTIVE COMPENSATION
07 SHAREOWNER PROPOSAL: PAY-FOR-SUPERIOR- Shareholder For Against
PERFORMANCE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 34900 0 05-Mar-2007 05-Mar-2007
Page 12 of 59 Wednesday, July 18, 2007
Investment Company Report
SCHLUMBERGER LIMITED (SCHLUMBERGER N
SECURITY 806857108 MEETING TYPE Annual
TICKER SYMBOL SLB MEETING DATE 11-Apr-2007
ISIN AGENDA 932636484 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 P. CAMUS For For
2 J.S. GORELICK For For
3 A. GOULD For For
4 T. ISAAC For For
5 N. KUDRYAVTSEV For For
6 A. LAJOUS For For
7 M.E. MARKS For For
8 D. PRIMAT For For
9 L.R. REIF For For
10 T.I. SANDVOLD For For
11 N. SEYDOUX For For
12 L.G. STUNTZ For For
13 R. TALWAR For For
02 ADOPTION AND APPROVAL OF FINANCIALS AND Management For For
DIVIDENDS.
03 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 35000 0 12-Mar-2007 12-Mar-2007
Page 13 of 59 Wednesday, July 18, 2007
Investment Company Report
T. ROWE PRICE GROUP, INC.
SECURITY 74144T108 MEETING TYPE Annual
TICKER SYMBOL TROW MEETING DATE 12-Apr-2007
ISIN AGENDA 932635521 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 EDWARD C. BERNARD For For
2 JAMES T. BRADY For For
3 J. ALFRED BROADDUS, JR. For For
4 DONALD B. HEBB, JR. For For
5 JAMES A.C. KENNEDY For For
6 BRIAN C. ROGERS For For
7 DR. ALFRED SOMMER For For
8 DWIGHT S. TAYLOR For For
9 ANNE MARIE WHITTEMORE For For
02 APPROVAL OF THE 2007 NON-EMPLOYEE DIRECTOR Management Against Against
EQUITY PLAN.
03 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For
PRICE GROUP'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2007.
04 IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO Management For For
VOTE UPON SUCH OTHER BUSINESS AND FURTHER
BUSINESS AS MAY PROPERLY COME BEFORE THE
MEETING OR ANY ADJOURNMENTS AND POSTPONEMENTS
THEREOF.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 71000 0 15-Mar-2007 15-Mar-2007
Page 14 of 59 Wednesday, July 18, 2007
Investment Company Report
BP P.L.C.
SECURITY 055622104 MEETING TYPE Annual
TICKER SYMBOL BP MEETING DATE 12-Apr-2007
ISIN AGENDA 932640837 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 TO RECEIVE THE DIRECTORS' ANNUAL REPORT AND Management For For
ACCOUNTS
02 TO APPROVE THE DIRECTORS' REMUNERATION REPORT Management For For
03 DIRECTOR Management
1 DR D C ALLEN For For
2 LORD BROWNE For For
3 MR A BURGMANS For For
4 SIR WILLIAM CASTELL For For
5 MR I C CONN For For
6 MR E B DAVIS, JR For For
7 MR D J FLINT For For
8 DR B E GROTE For For
9 DR A B HAYWARD For For
10 MR A G INGLIS For For
11 DR D S JULIUS For For
12 SIR TOM MCKILLOP For For
13 MR J A MANZONI For For
14 DR W E MASSEY For For
15 SIR IAN PROSSER For For
16 MR P D SUTHERLAND For For
19 TO RE-APPOINT ERNST & YOUNG LLP AS AUDITORS AND Management For For
AUTHORIZE THE BOARD TO SET THEIR REMUNERATION
20 TO GIVE LIMITED AUTHORITY TO MAKE POLITICAL Management Against Against
DONATIONS AND INCUR POLITICAL EXPENDITURE
21 TO AUTHORIZE THE USE OF ELECTRONIC Management For For
COMMUNICATIONS
S22 SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY FOR Management For For
THE PURCHASE OF ITS OWN SHARES BY THE COMPANY
23 TO GIVE AUTHORITY TO ALLOT SHARES UP TO A Management Against Against
SPECIFIED AMOUNT
S24 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT A Management Against Against
LIMITED NUMBER OF SHARES FOR CASH FREE OF PRE-
EMPTION RIGHTS
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 17500 0 27-Mar-2007 27-Mar-2007
Page 15 of 59 Wednesday, July 18, 2007
Investment Company Report
CITIGROUP INC.
SECURITY 172967101 MEETING TYPE Annual
TICKER SYMBOL C MEETING DATE 17-Apr-2007
ISIN AGENDA 932641562 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: C. MICHAEL ARMSTRONG. Management For For
1B ELECTION OF DIRECTOR: ALAIN J.P. BELDA. Management For For
1C ELECTION OF DIRECTOR: GEORGE DAVID. Management For For
1D ELECTION OF DIRECTOR: KENNETH T. DERR. Management For For
1E ELECTION OF DIRECTOR: JOHN M. DEUTCH. Management For For
1F ELECTION OF DIRECTOR: ROBERTO HERNANDEZ RAMIREZ. Management For For
1G ELECTION OF DIRECTOR: KLAUS KLEINFELD. Management For For
1H ELECTION OF DIRECTOR: ANDREW N. LIVERIS. Management For For
1I ELECTION OF DIRECTOR: ANNE MULCAHY. Management For For
1J ELECTION OF DIRECTOR: RICHARD D. PARSONS. Management For For
1K ELECTION OF DIRECTOR: CHARLES PRINCE. Management For For
1L ELECTION OF DIRECTOR: JUDITH RODIN. Management For For
1M ELECTION OF DIRECTOR: ROBERT E. RUBIN. Management For For
1N ELECTION OF DIRECTOR: FRANKLIN A. THOMAS. Management For For
02 PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS Management Against Against
CITIGROUP'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2007.
03 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Against For
PRIOR GOVERNMENTAL SERVICE OF CERTAIN
INDIVIDUALS.
04 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Against For
POLITICAL CONTRIBUTIONS.
05 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Against For
CHARITABLE CONTRIBUTIONS.
06 SHAREOWNER PROPOSAL REQUESTING AN ADVISORY Shareholder Against For
RESOLUTION TO RATIFY EXECUTIVE COMPENSATION.
07 STOCKHOLDER PROPOSAL REQUESTING THAT CEO Shareholder Against For
COMPENSATION BE LIMITED TO NO MORE THAN 100 TIMES
THE AVERAGE COMPENSATION PAID TO WORLDWIDE
EMPLOYEES.
08 STOCKHOLDER PROPOSAL REQUESTING THAT THE Shareholder Against For
CHAIRMAN OF THE BOARD HAVE NO MANAGEMENT
DUTIES, TITLES OR RESPONSIBILITIES.
09 STOCKHOLDER PROPOSAL REQUESTING THAT STOCK Shareholder Against For
OPTIONS BE SUBJECT TO A FIVE-YEAR SALES
RESTRICTION.
10 STOCKHOLDER PROPOSAL REQUESTING CUMULATIVE Shareholder For Against
VOTING.
11 STOCKHOLDER PROPOSAL REQUESTING THAT Shareholder For Against
STOCKHOLDERS HAVE THE RIGHT TO CALL SPECIAL
SHAREHOLDER MEETINGS.
Page 16 of 59 Wednesday, July 18, 2007
Investment Company Report
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 49950 0 21-Mar-2007 21-Mar-2007
Page 17 of 59 Wednesday, July 18, 2007
Investment Company Report
STATE STREET CORPORATION
SECURITY 857477103 MEETING TYPE Annual
TICKER SYMBOL STT MEETING DATE 18-Apr-2007
ISIN AGENDA 932647083 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 T. ALBRIGHT For For
2 K. BURNES For For
3 P. COYM For For
4 N. DAREHSHORI For For
5 A. FAWCETT For For
6 A. GOLDSTEIN For For
7 D. GRUBER For For
8 L. HILL For For
9 C. LAMANTIA For For
10 R. LOGUE For For
11 M. MISKOVIC For For
12 R. SERGEL For For
13 R. SKATES For For
14 G. SUMME For For
15 D. WALSH For For
16 R. WEISSMAN For For
02 TO INCREASE STATE STREET'S AUTHORIZED SHARES OF Management For For
COMMON STOCK FROM 500,000,000 TO 750,000,000.
03 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31,
2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 43500 0 29-Mar-2007 29-Mar-2007
Page 18 of 59 Wednesday, July 18, 2007
Investment Company Report
UBS AG
SECURITY H89231338 MEETING TYPE Annual
TICKER SYMBOL UBS MEETING DATE 18-Apr-2007
ISIN AGENDA 932658529 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 ANNUAL REPORT, GROUP AND PARENT COMPANY Management For For
ACCOUNTS FOR FINANCIAL YEAR 2006, REPORTS OF THE
GROUP AND STATUTORY AUDITORS
02 APPROPRIATION OF RETAINED EARNINGS DIVIDEND FOR Management For For
FINANCIAL YEAR 2006
03 DISCHARGE OF THE MEMBERS OF THE BOARD OF Management For For
DIRECTORS AND THE GROUP EXECUTIVE BOARD
4A1 RE-ELECTION OF BOARD MEMBER: STEPHAN HAERINGER Management For For
4A2 RE-ELECTION OF BOARD MEMBER: HELMUT PANKE Management For For
4A3 RE-ELECTION OF BOARD MEMBER: PETER SPUHLER Management For For
4B1 ELECTION OF NEW BOARD MEMBER: SERGIO MARCHIONNE Management For For
4C ELECTION OF THE GROUP AND STATUTORY AUDITORS Management For For
5A CAPITAL REDUCTION: CANCELLATION OF SHARES Management For For
REPURCHASED UNDER THE 2006/2007 SHARE BUYBACK
PROGRAM AND RESPECTIVE AMENDMENT OF ARTICLE 4
PARA 1 OF THE ARTICLES OF ASSOCIATION
5B CAPITAL REDUCTION: APPROVAL OF A NEW SHARE Management For For
BUYBACK PROGRAM FOR 2007-2010
06 IN CASE OF AD-HOC SHAREHOLDERS' MOTIONS DURING Management For For
THE ANNUAL GENERAL MEETING, I/WE AUTHORIZE MY/OUR
PROXY TO ACT IN ACCORDANCE WITH THE BOARD OF
DIRECTORS
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 55500 0 04-Apr-2007 04-Apr-2007
Page 19 of 59 Wednesday, July 18, 2007
Investment Company Report
GENENTECH, INC.
SECURITY 368710406 MEETING TYPE Annual
TICKER SYMBOL DNA MEETING DATE 20-Apr-2007
ISIN AGENDA 932642603 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 HERBERT W. BOYER For For
2 WILLIAM M. BURNS For For
3 ERICH HUNZIKER For For
4 JONATHAN K.C. KNOWLES For For
5 ARTHUR D. LEVINSON For For
6 DEBRA L. REED For For
7 CHARLES A. SANDERS For For
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF
GENENTECH FOR THE YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 41900 0 28-Mar-2007 28-Mar-2007
Page 20 of 59 Wednesday, July 18, 2007
Investment Company Report
AMERICAN EXPRESS COMPANY
SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 23-Apr-2007
ISIN AGENDA 932643629 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE 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 V.E. JORDAN, JR. For For
7 J. LESCHLY For For
8 R.C. LEVIN For For
9 R.A. MCGINN For For
10 E.D. MILLER For For
11 F.P. POPOFF For For
12 S.S. REINEMUND For For
13 R.D. WALTER For For
14 R.A. WILLIAMS For For
02 THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS Management For For
OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
FOR 2007.
03 A PROPOSAL TO APPROVE THE AMERICAN EXPRESS Management Against Against
COMPANY 2007 INCENTIVE COMPENSATION PLAN.
04 A SHAREHOLDER PROPOSAL RELATING TO CUMULATIVE Shareholder For Against
VOTING FOR DIRECTORS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 45500 0 27-Mar-2007 27-Mar-2007
Page 21 of 59 Wednesday, July 18, 2007
Investment Company Report
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 25-Apr-2007
ISIN AGENDA 932635862 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
A DIRECTOR Management
1 JAMES I. CASH, JR. For For
2 SIR WILLIAM M. CASTELL For For
3 ANN M. FUDGE For For
4 CLAUDIO X. GONZALEZ For For
5 SUSAN HOCKFIELD For For
6 JEFFREY R. IMMELT For For
7 ANDREA JUNG For For
8 ALAN G.(A.G.) LAFLEY For For
9 ROBERT W. LANE For For
10 RALPH S. LARSEN For For
11 ROCHELLE B. LAZARUS For For
12 SAM NUNN For For
13 ROGER S. PENSKE For For
14 ROBERT J. SWIERINGA For For
15 DOUGLAS A. WARNER III For For
16 ROBERT C. WRIGHT For For
B RATIFICATION OF KPMG Management For For
C ADOPTION OF MAJORITY VOTING FOR DIRECTORS Management For For
D APPROVAL OF 2007 LONG TERM INCENTIVE PLAN Management Against Against
E APPROVAL OF MATERIAL TERMS OF SENIOR OFFICER Management Against Against
PERFORMANCE GOALS
01 CUMULATIVE VOTING Shareholder For Against
02 CURB OVER-EXTENDED DIRECTORS Shareholder Against For
03 ONE DIRECTOR FROM THE RANKS OF RETIREES Shareholder
04 INDEPENDENT BOARD CHAIRMAN Shareholder For Against
05 ELIMINATE DIVIDEND EQUIVALENTS Shareholder For Against
06 REPORT ON CHARITABLE CONTRIBUTIONS Shareholder Against For
07 GLOBAL WARMING REPORT Shareholder Against For
08 ETHICAL CRITERIA FOR MILITARY CONTRACTS Shareholder Against For
09 REPORT ON PAY DIFFERENTIAL Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 94400 0 12-Mar-2007 12-Mar-2007
Page 22 of 59 Wednesday, July 18, 2007
Investment Company Report
STRYKER CORPORATION
SECURITY 863667101 MEETING TYPE Annual
TICKER SYMBOL SYK MEETING DATE 25-Apr-2007
ISIN AGENDA 932642754 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JOHN W. BROWN For For
2 HOWARD E. COX, JR. For For
3 DONALD M. ENGELMAN For For
4 JEROME H. GROSSMAN For For
5 LOUISE L. FRANCESCONI For For
6 STEPHEN P. MACMILLAN For For
7 WILLIAM U. PARFET For For
8 RONDA E. STRYKER For For
02 APPROVAL OF THE EXECUTIVE BONUS PLAN. Management Against Against
03 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For For
LLP AS INDEPENDENT AUDITORS FOR 2007.
04 SHAREHOLDER PROPOSAL REGARDING GRANTING OF Shareholder For Against
PERFORMANCE-VESTING SHARES TO SENIOR EXECUTIVES.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 37300 0 27-Mar-2007 27-Mar-2007
Page 23 of 59 Wednesday, July 18, 2007
Investment Company Report
BANK OF AMERICA CORPORATION
SECURITY 060505104 MEETING TYPE Annual
TICKER SYMBOL BAC MEETING DATE 25-Apr-2007
ISIN AGENDA 932644481 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: WILLIAM BARNET, III Management For For
1B ELECTION OF DIRECTOR: FRANK P. BRAMBLE, SR. Management For For
1C ELECTION OF DIRECTOR: JOHN T. COLLINS Management For For
1D ELECTION OF DIRECTOR: GARY L. COUNTRYMAN Management For For
1E ELECTION OF DIRECTOR: TOMMY R. FRANKS Management For For
1F ELECTION OF DIRECTOR: CHARLES K. GIFFORD Management For For
1G ELECTION OF DIRECTOR: W. STEVEN JONES Management For For
1H ELECTION OF DIRECTOR: KENNETH D. LEWIS Management For For
1I ELECTION OF DIRECTOR: MONICA C. LOZANO Management For For
1J ELECTION OF DIRECTOR: WALTER E. MASSEY Management For For
1K ELECTION OF DIRECTOR: THOMAS J. MAY Management For For
1L ELECTION OF DIRECTOR: PATRICIA E. MITCHELL Management For For
1M ELECTION OF DIRECTOR: THOMAS M. RYAN Management For For
1N ELECTION OF DIRECTOR: O. TEMPLE SLOAN, JR. Management For For
1O ELECTION OF DIRECTOR: MEREDITH R. SPANGLER Management For For
1P ELECTION OF DIRECTOR: ROBERT L. TILLMAN Management For For
1Q ELECTION OF DIRECTOR: JACKIE M. WARD Management For For
02 RATIFICATION OF THE INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM FOR 2007
03 STOCKHOLDER PROPOSAL - STOCK OPTIONS Shareholder For Against
04 STOCKHOLDER PROPOSAL - NUMBER OF DIRECTORS Shareholder For Against
05 STOCKHOLDER PROPOSAL - INDEPENDENT BOARD Shareholder For Against
CHAIRMAN
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 37670 0 02-Apr-2007 02-Apr-2007
Page 24 of 59 Wednesday, July 18, 2007
Investment Company Report
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 25-Apr-2007
ISIN AGENDA 932647007 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: S.H. ARMACOST Management For For
1B ELECTION OF DIRECTOR: L.F. DEILY Management For For
1C ELECTION OF DIRECTOR: R.E. DENHAM Management For For
1D ELECTION OF DIRECTOR: R.J. EATON Management For For
1E ELECTION OF DIRECTOR: S. GINN Management For For
1F ELECTION OF DIRECTOR: F.G. JENIFER Management For For
1G ELECTION OF DIRECTOR: S. NUNN Management For For
1H ELECTION OF DIRECTOR: D.J. O'REILLY Management For For
1I ELECTION OF DIRECTOR: D.B. RICE Management For For
1J ELECTION OF DIRECTOR: P.J. ROBERTSON Management For For
1K ELECTION OF DIRECTOR: K.W. SHARER Management For For
1L ELECTION OF DIRECTOR: C.R. SHOEMATE Management For For
1M ELECTION OF DIRECTOR: R.D. SUGAR Management For For
1N ELECTION OF DIRECTOR: C. WARE Management For For
02 RATIFICATION OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM
03 PROPOSAL TO AMEND CHEVRON'S RESTATED Management For For
CERTIFICATE OF INCORPORATION TO REPEAL THE
SUPERMAJORITY VOTE PROVISIONS
04 ADOPT POLICY AND REPORT ON HUMAN RIGHTS Shareholder Against For
05 ADOPT GOALS AND REPORT ON GREENHOUSE GAS EMISSIONS Shareholder Against For
06 ADOPT POLICY AND REPORT ON ANIMAL WELFARE Shareholder Against For
07 RECOMMEND AMENDMENT TO THE BY-LAWS TO SEPARATE THE Shareholder For Against
CEO/CHAIRMAN POSITIONS
08 AMEND THE BY-LAWS REGARDING THE STOCKHOLDER RIGHTS Shareholder Against For
PLAN POLICY
09 REPORT ON HOST COUNTRY ENVIRONMENTAL LAWS Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 30700 0 29-Mar-2007 29-Mar-2007
Page 25 of 59 Wednesday, July 18, 2007
Investment Company Report
ENCANA CORPORATION
SECURITY 292505104 MEETING TYPE Annual and Special Meeting
TICKER SYMBOL ECA MEETING DATE 25-Apr-2007
ISIN AGENDA 932651094 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 RALPH S. CUNNINGHAM For For
2 PATRICK D. DANIEL For For
3 IAN W. DELANEY For For
4 RANDALL K. ERESMAN For For
5 MICHAEL A. GRANDIN For For
6 BARRY W. HARRISON For For
7 DALE A. LUCAS For For
8 KEN F. MCCREADY For For
9 VALERIE A.A. NIELSEN For For
10 DAVID P. O'BRIEN For For
11 JANE L. PEVERETT For For
12 ALLAN P. SAWIN For For
13 DENNIS A. SHARP For For
14 JAMES M. STANFORD For For
15 WAYNE G. THOMSON For For
02 APPOINTMENT OF AUDITORS - PRICEWATERHOUSECOOPERS Management For For
LLP AT A REMUNERATION TO BE FIXED BY THE BOARD OF
DIRECTORS.
03 RECONFIRMATION OF THE SHAREHOLDER RIGHTS PLAN Management Against Against
(AS DESCRIBED ON PAGES 12-14 OF THE INFORMATION
CIRCULAR).
04 AMENDMENT NO. 1 TO THE EMPLOYEE STOCK OPTION Management Against Against
PLAN (AS DESCRIBED ON PAGES 14-16 OF THE
INFORMATION CIRCULAR).
05 AMENDMENT NO. 2 TO THE EMPLOYEE STOCK OPTION Management Against Against
PLAN (AS DESCRIBED ON PAGES 14-16 OF THE
INFORMATION CIRCULAR).
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 46100 0 23-Apr-2007 23-Apr-2007
Page 26 of 59 Wednesday, July 18, 2007
Investment Company Report
CORNING INCORPORATED
SECURITY 219350105 MEETING TYPE Annual
TICKER SYMBOL GLW MEETING DATE 26-Apr-2007
ISIN AGENDA 932637905 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 ROBERT F. CUMMINGS, JR. For For
2 EUGENE C. SIT For For
3 WILLIAM D. SMITHBURG For For
4 HANSEL E. TOOKES II For For
5 WENDELL P. WEEKS For For
02 PROPOSAL TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS CORNING'S
INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2007.
03 SHAREHOLDER PROPOSAL RELATING TO THE ELECTION Shareholder For Against
OF EACH DIRECTOR ANNUALLY.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 127900 0 26-Mar-2007 26-Mar-2007
Page 27 of 59 Wednesday, July 18, 2007
Investment Company Report
CAPITAL ONE FINANCIAL CORPORATION
SECURITY 14040H105 MEETING TYPE Annual
TICKER SYMBOL COF MEETING DATE 26-Apr-2007
ISIN AGENDA 932651602 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 W. RONALD DIETZ For For
2 LEWIS HAY, III For For
3 MAYO SHATTUCK, III For For
02 RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT Management For For
AUDITORS OF THE CORPORATION FOR 2007.
03 APPROVAL AND ADOPTION OF CAPITAL ONE'S AMENDED Management For For
AND RESTATED CERTIFICATE OF INCORPORATION TO
PERMIT AMENDMENT OF THE BYLAWS TO ADOPT
MAJORITY VOTING FOR THE ELECTION OF DIRECTORS.
04 STOCKHOLDER PROPOSAL: STOCKHOLDER ADVISORY Shareholder Against For
VOTE ON EXECUTIVE COMPENSATION.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 16500 0 25-Apr-2007 25-Apr-2007
Page 28 of 59 Wednesday, July 18, 2007
Investment Company Report
SUNCOR ENERGY INC.
SECURITY 867229106 MEETING TYPE Annual and Special Meeting
TICKER SYMBOL SU MEETING DATE 26-Apr-2007
ISIN AGENDA 932656816 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 MEL E. BENSON For For
2 BRIAN A. CANFIELD For For
3 BRYAN P. DAVIES For For
4 BRIAN A. FELESKY For For
5 JOHN T. FERGUSON For For
6 W. DOUGLAS FORD For For
7 RICHARD L. GEORGE For For
8 JOHN R. HUFF For For
9 M. ANN MCCAIG For For
10 MICHAEL W. O'BRIEN For For
11 EIRA M. THOMAS For For
02 RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP Management For For
AS AUDITOR OF THE CORPORATION FOR THE ENSUING
YEAR.
03 APPROVAL OF AMENDMENTS TO EQUITY COMPENSATION Management Against Against
PLANS PLEASE READ THE RESOLUTION IN FULL IN THE
ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR.
04 APPROVAL OF PERFORMANCE STOCK OPTIONS PLEASE Management Against Against
READ THE RESOLUTION IN FULL IN THE ACCOMPANYING
MANAGEMENT INFORMATION CIRCULAR.
05 AMENDMENT OF BYLAWS PLEASE READ THE RESOLUTION Management Against Against
IN FULL IN THE ACCOMPANYING MANAGEMENT
INFORMATION CIRCULAR.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 17532 0 10-Apr-2007 10-Apr-2007
Page 29 of 59 Wednesday, July 18, 2007
Investment Company Report
BARCLAYS PLC
SECURITY 06738E204 MEETING TYPE Annual
TICKER SYMBOL BCS MEETING DATE 26-Apr-2007
ISIN AGENDA 932673266 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 TO RECEIVE THE DIRECTORS' AND AUDITORS' REPORTS Management For For
AND THE AUDITED ACCOUNTS FOR THE YEAR ENDED 31ST
DECEMBER 2006.
02 TO APPROVE THE DIRECTORS' REMUNERATION REPORT Management For For
FOR THE YEAR ENDED 31ST DECEMBER 2006.
03 THAT MARCUS AGIUS BE RE-ELECTED A DIRECTOR OF THE Management For For
COMPANY.
04 THAT FREDERIK SEEGERS BE RE-ELECTED A DIRECTOR OF Management For For
THE COMPANY.
05 THAT CHRISTOPHER LUCAS BE RE-ELECTED A DIRECTOR Management For For
OF THE COMPANY.
06 THAT STEPHEN RUSSELL BE RE-ELECTED A DIRECTOR OF Management For For
THE COMPANY.
07 THAT RICHARD LEIGH CLIFFORD BE RE-ELECTED A Management For For
DIRECTOR OF THE COMPANY.
08 THAT SIR ANDREW LIKLERMAN BE RE-ELECTED A Management For For
DIRECTOR OF THE COMPANY.
09 THAT JOHN VARLEY BE RE-ELECTED A DIRECTOR OF THE Management For For
COMPANY.
10 THAT NIGEL RUDD BE RE-ELECTED A DIRECTOR OF THE Management For For
COMPANY.
11 TO REAPPOINT PRICEWATERHOUSECOOPERS LLP AS Management For For
AUDITORS OF THE COMPANY.
12 TO AUTHORISE THE DIRECTORS TO SET THE Management For For
REMUNERATION OF THE AUDITORS.
13 TO AUTHORISE BARCLAYS BANK PLC TO MAKE EU Management Against Against
POLITICAL DONATIONS.
14 TO RENEW THE AUTHORITY GIVEN TO THE DIRECTORS TO Management Against Against
ALLOT SECURITIES.
15 TO RENEW THE AUTHORITY GIVEN TO THE DIRECTORS TO Management Against Against
ALLOT SECURITIES FOR CASH OTHER THAN ON A PRO-
RATA BASIS TO SHAREHOLDERS AND TO SELL TREASURY
SHARES.
16 TO RENEW THE COMPANY'S AUTHORITY TO PURCHASE ITS Management For For
OWN SHARES.
17 TO ADOPT NEW ARTICLES OF ASSOCIATION OF THE Management For For
COMPANY.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 3700 0 23-Apr-2007 23-Apr-2007
Page 30 of 59 Wednesday, July 18, 2007
Investment Company Report
THE BOEING COMPANY
SECURITY 097023105 MEETING TYPE Annual
TICKER SYMBOL BA MEETING DATE 30-Apr-2007
ISIN AGENDA 932651676 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: JOHN H. BIGGS Management For For
1B ELECTION OF DIRECTOR: JOHN E. BRYSON Management For For
1C ELECTION OF DIRECTOR: ARTHUR D. COLLINS, JR. Management For For
1D ELECTION OF DIRECTOR: LINDA Z. COOK Management For For
1E ELECTION OF DIRECTOR: WILLIAM M. DALEY Management For For
1F ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN Management For For
1G ELECTION OF DIRECTOR: JOHN F. MCDONNELL Management For For
1H ELECTION OF DIRECTOR: W. JAMES MCNERNEY, JR. Management For For
1I ELECTION OF DIRECTOR: RICHARD D. NANULA Management For For
1J ELECTION OF DIRECTOR: ROZANNE L. RIDGWAY Management For For
1K ELECTION OF DIRECTOR: MIKE S. ZAFIROVSKI Management For For
02 ADVISORY VOTE ON APPOINTMENT OF DELOITTE & Management For For
TOUCHE LLP AS INDEPENDENT AUDITORS.
03 PREPARE A REPORT ON FOREIGN MILITARY SALES. Shareholder Against For
04 DEVELOP AND ADOPT HUMAN RIGHTS POLICIES. Shareholder Against For
05 PREPARE A REPORT ON CHARITABLE CONTRIBUTIONS. Shareholder Against For
06 PREPARE A REPORT ON POLITICAL CONTRIBUTIONS. Shareholder Against For
07 SEPARATE THE ROLES OF CEO AND CHAIRMAN. Shareholder For Against
08 SUBJECT RIGHTS PLANS TO SHAREHOLDER VOTE. Shareholder For Against
09 ADVISORY VOTE ON COMPENSATION DISCUSSION AND Shareholder Against For
ANALYSIS.
10 ADOPT A POLICY ON PERFORMANCE-BASED STOCK Shareholder Against For
OPTIONS.
11 RECOUP UNEARNED MANAGEMENT BONUSES. Shareholder For Against
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 26000 0 10-Apr-2007 10-Apr-2007
Page 31 of 59 Wednesday, July 18, 2007
Investment Company Report
PEPSICO, INC.
SECURITY 713448108 MEETING TYPE Annual
TICKER SYMBOL PEP MEETING DATE 02-May-2007
ISIN AGENDA 932655345 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: D. DUBLON Management For For
1B ELECTION OF DIRECTOR: V.J. DZAU Management For For
1C ELECTION OF DIRECTOR: R.L. HUNT Management For For
1D ELECTION OF DIRECTOR: A. IBARGUEN Management For For
1E ELECTION OF DIRECTOR: A.C. MARTINEZ Management For For
1F ELECTION OF DIRECTOR: I.K. NOOYI Management For For
1G ELECTION OF DIRECTOR: S.P. ROCKEFELLER Management For For
1H ELECTION OF DIRECTOR: J.J. SCHIRO Management For For
1I ELECTION OF DIRECTOR: D. VASELLA Management For For
1J ELECTION OF DIRECTOR: M.D. WHITE Management For For
02 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTANTS
03 APPROVAL OF 2007 LONG-TERM INCENTIVE PLAN (PROXY Management Against Against
STATEMENT P. 37)
04 SHAREHOLDER PROPOSAL- CHARITABLE CONTRIBUTIONS Shareholder Against For
(PROXY STATEMENT P. 44)
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 36600 0 19-Apr-2007 19-Apr-2007
Page 32 of 59 Wednesday, July 18, 2007
Investment Company Report
APACHE CORPORATION
SECURITY 037411105 MEETING TYPE Annual
TICKER SYMBOL APA MEETING DATE 02-May-2007
ISIN AGENDA 932657375 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 ELECTION OF DIRECTOR: EUGENE C. FIEDOREK Management For For
02 ELECTION OF DIRECTOR: PATRICIA ALBJERG GRAHAM Management For For
03 ELECTION OF DIRECTOR: F.H. MERELLI Management For For
04 ELECTION OF DIRECTOR: RAYMOND PLANK Management For For
05 APPROVAL OF 2007 OMNIBUS EQUITY COMPENSATION Management Against Against
PLAN
06 STOCKHOLDER PROPOSAL CONCERNING Shareholder Against For
REIMBURSEMENT OF PROXY EXPENSES
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 30900 0 30-Apr-2007 30-Apr-2007
Page 33 of 59 Wednesday, July 18, 2007
Investment Company Report
SEACOAST BANKING CORPORATION OF FLOR
SECURITY 811707306 MEETING TYPE Annual
TICKER SYMBOL SBCF MEETING DATE 03-May-2007
ISIN AGENDA 932644912 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JOHN H. CRANE For For
2 JEFFREY S. FURST For For
3 DENNIS S. HUDSON, JR. For For
4 THOMAS E. ROSSIN For For
5 THOMAS H. THURLOW, JR. For For
02 TO APPROVE AN AMENDMENT TO SEACOAST'S 2000 LONG-TERM Management Against Against
INCENTIVE PLAN TO REMOVE THE RESTRICTION ON THE
PERCENTAGE OF AUTHORIZED SHARES OF THE COMPANY'S
COMMON STOCK THAT MAY BE GRANTED UNDER THE PLAN AS
AWARDS OF RESTRICTED AND UNRESTRICTED STOCK.
03 TO GRANT THE PROXIES DISCRETIONARY AUTHORITY TO VOTE Management For For
TO ADJOURN THE ANNUAL MEETING FOR UP TO 120 DAYS TO
ALLOW FOR THE SOLICITATION OF ADDITIONAL PROXIES IN
THE EVENT THAT THERE ARE INSUFFICIENT SHARES VOTED AT
THE ANNUAL MEETING TO APPROVE PROPOSAL 2.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 47055 0 02-Apr-2007 02-Apr-2007
Page 34 of 59 Wednesday, July 18, 2007
Investment Company Report
ZIONS BANCORPORATION
SECURITY 989701107 MEETING TYPE Annual
TICKER SYMBOL ZION MEETING DATE 04-May-2007
ISIN AGENDA 932657123 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 ROGER B. PORTER For For
2 L.E. SIMMONS For For
3 STEVEN C. WHEELWRIGHT For For
02 TO RATIFY THE APPOINTMENT OF THE COMPANY'S Management For For
INDEPENDENT AUDITORS FOR FISCAL 2007.
03 TO TRANSACT ANY OTHER SUCH BUSINESS AS MAY PROPERLY Management For For
COME BEFORE THE MEETING.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 29400 0 11-Apr-2007 11-Apr-2007
Page 35 of 59 Wednesday, July 18, 2007
Investment Company Report
3M COMPANY
SECURITY 88579Y101 MEETING TYPE Annual
TICKER SYMBOL MMM MEETING DATE 08-May-2007
ISIN AGENDA 932657832 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 LINDA G. ALVARADO For For
2 GEORGE W. BUCKLEY For For
3 VANCE D. COFFMAN For For
4 MICHAEL L. ESKEW For For
5 W. JAMES FARRELL For For
6 HERBERT L. HENKEL For For
7 EDWARD M. LIDDY For For
8 ROBERT S. MORRISON For For
9 AULANA L. PETERS For For
10 ROZANNE L. RIDGWAY For For
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
03 AMENDMENT OF THE COMPANY'S RESTATED CERTIFICATE Management For For
OF INCORPORATION TO ELIMINATE THE SUPERMAJORITY
VOTE REQUIREMENTS
04 AMENDMENT OF THE COMPANY'S RESTATED CERTIFICATE Management For For
OF INCORPORATION TO ELIMINATE THE FAIR PRICE
PROVISION
05 APPROVAL OF THE EXECUTIVE ANNUAL INCENTIVE PLAN Management Against Against
06 APPROVAL OF THE MATERIAL TERMS OF THE Management Against Against
PERFORMANCE CRITERIA UNDER THE PERFORMANCE UNIT PLAN
07 EXECUTIVE COMPENSATION BASED ON THE PERFORMANCE OF Shareholder Against For
PEER COMPANIES.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 22700 0 11-Apr-2007 11-Apr-2007
Page 36 of 59 Wednesday, July 18, 2007
Investment Company Report
AMGEN INC.
SECURITY 031162100 MEETING TYPE Annual
TICKER SYMBOL AMGN MEETING DATE 09-May-2007
ISIN AGENDA 932645988 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: MR. FRANK J. BIONDI, JR. Management For For
1B ELECTION OF DIRECTOR: MR. JERRY D. CHOATE Management For For
1C ELECTION OF DIRECTOR: MR. FRANK C. HERRINGER Management For For
1D ELECTION OF DIRECTOR: DR. GILBERT S. OMENN Management For For
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE Management For For
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
FOR THE YEAR ENDING DECEMBER 31, 2007.
03 TO APPROVE THE AMENDMENTS TO THE COMPANY'S RESTATED Management For For
CERTIFICATE OF INCORPORATION ELIMINATING THE
CLASSIFICATION OF THE BOARD OF DIRECTORS.
04 TO APPROVE THE AMENDMENTS TO THE COMPANY'S AMENDED Management For For
AND RESTATED BYLAWS ELIMINATING THE CLASSIFICATION OF
THE BOARD OF DIRECTORS.
5A STOCKHOLDER PROPOSAL #1 (ANIMAL WELFARE POLICY). Shareholder Against For
5B STOCKHOLDER PROPOSAL #2 (SUSTAINABILITY REPORT). Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 36600 0 30-Mar-2007 30-Mar-2007
Page 37 of 59 Wednesday, July 18, 2007
Investment Company Report
AMERICAN TOWER CORPORATION
SECURITY 029912201 MEETING TYPE Annual
TICKER SYMBOL AMT MEETING DATE 09-May-2007
ISIN AGENDA 932654103 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 RAYMOND P. DOLAN For For
2 RONALD M. DYKES For For
3 CAROLYN F. KATZ For For
4 GUSTAVO LARA CANTU For For
5 PAMELA D.A. REEVE For For
6 DAVID E. SHARBUTT For For
7 JAMES D. TAICLET, JR. For For
8 SAMME L. THOMPSON For For
02 APPROVAL OF THE AMERICAN TOWER CORPORATION 2007 Management For For
EQUITY INCENTIVE PLAN.
03 RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE Management For For
LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 66300 0 04-Apr-2007 04-Apr-2007
Page 38 of 59 Wednesday, July 18, 2007
Investment Company Report
GILEAD SCIENCES, INC.
SECURITY 375558103 MEETING TYPE Annual
TICKER SYMBOL GILD MEETING DATE 09-May-2007
ISIN AGENDA 932658098 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 PAUL BERG For For
2 JOHN F. COGAN For For
3 ETIENNE F. DAVIGNON For For
4 JAMES M. DENNY For For
5 CARLA A. HILLS For For
6 JOHN W. MADIGAN For For
7 JOHN C. MARTIN For For
8 GORDON E. MOORE For For
9 NICHOLAS G. MOORE For For
10 GAYLE E. WILSON For For
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP BY Management For For
THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AS
THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM OF GILEAD FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2007.
03 TO APPROVE THE PROPOSED AMENDMENT TO GILEAD'S Management Against Against
2004 EQUITY INCENTIVE PLAN.
04 TO APPROVE THE PROPOSED AMENDMENT TO GILEAD'S Management Against Against
EMPLOYEE STOCK PURCHASE PLAN.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 50700 0 19-Apr-2007 19-Apr-2007
Page 39 of 59 Wednesday, July 18, 2007
Investment Company Report
CVS/CAREMARK CORPORATION
SECURITY 126650100 MEETING TYPE Annual
TICKER SYMBOL CVS MEETING DATE 09-May-2007
ISIN AGENDA 932675816 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
1A ELECTION OF DIRECTOR: EDWIN M. BANKS Management For For
1B ELECTION OF DIRECTOR: C. DAVID BROWN II Management For For
1C ELECTION OF DIRECTOR: E. MAC CRAWFORD Management For For
1D ELECTION OF DIRECTOR: DAVID W. DORMAN Management For For
1E ELECTION OF DIRECTOR: KRISTEN E. GIBNEY Management For For
WILLIAMS
1F ELECTION OF DIRECTOR: ROGER L. HEADRICK Management For For
1G ELECTION OF DIRECTOR: MARIAN L. HEARD Management For For
1H ELECTION OF DIRECTOR: WILLIAM H. JOYCE Management For For
1I ELECTION OF DIRECTOR: JEAN-PIERRE MILLON Management For For
1J ELECTION OF DIRECTOR: TERRENCE MURRAY Management For For
1K ELECTION OF DIRECTOR: C.A. LANCE PICCOLO Management For For
1L ELECTION OF DIRECTOR: SHELI Z. ROSENBERG Management For For
1M ELECTION OF DIRECTOR: THOMAS M. RYAN Management For For
1N ELECTION OF DIRECTOR: RICHARD J. SWIFT Management For For
02 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP Management For For
AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE 2007 FISCAL YEAR.
03 PROPOSAL TO ADOPT THE COMPANY'S 2007 EMPLOYEE Management Against Against
STOCK PURCHASE PLAN.
04 PROPOSAL TO ADOPT THE COMPANY'S 2007 INCENTIVE Management Against Against
PLAN.
05 STOCKHOLDER PROPOSAL REGARDING LIMITS ON CEO Shareholder Against For
COMPENSATION.
06 STOCKHOLDER PROPOSAL REGARDING SEPARATION OF Shareholder For Against
THE ROLES OF CHAIRMAN AND CEO.
07 STOCKHOLDER PROPOSAL REGARDING SUSTAINABILITY Shareholder Against For
REPORTING BY THE COMPANY.
08 STOCKHOLDER PROPOSAL REGARDING THE Shareholder Against For
RELATIONSHIP BETWEEN THE COMPANY AND
COMPENSATION CONSULTANTS.
09 STOCKHOLDER PROPOSAL REGARDING THE COMPANY'S Shareholder For Against
POLICY ON STOCK OPTION GRANTS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 93430 0 19-Apr-2007 19-Apr-2007
Page 41 of 59 Wednesday, July 18, 2007
Investment Company Report
GOOGLE INC.
SECURITY 38259P508 MEETING TYPE Annual
TICKER SYMBOL GOOG MEETING DATE 10-May-2007
ISIN AGENDA 932673886 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 ERIC SCHMIDT For For
2 SERGEY BRIN For For
3 LARRY PAGE For For
4 L. JOHN DOERR For For
5 JOHN L. HENNESSY For For
6 ARTHUR D. LEVINSON For For
7 ANN MATHER For For
8 PAUL S. OTELLINI For For
9 K. RAM SHRIRAM For For
10 SHIRLEY M. TILGHMAN For For
02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS Management For For
THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF
GOOGLE INC. FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2007.
03 APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 STOCK PLAN Management Against Against
TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF
CLASS A COMMON STOCK ISSUABLE THEREUNDER BY
4,500,000.
04 APPROVAL OF GOOGLE'S EXECUTIVE BONUS PLAN. Management Against Against
05 STOCKHOLDER PROPOSAL TO REQUEST THAT MANAGEMENT Shareholder Against For
INSTITUTE POLICIES TO HELP PROTECT FREEDOM OF ACCESS
TO THE INTERNET.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 7000 0 19-Apr-2007 19-Apr-2007
Page 42 of 59 Wednesday, July 18, 2007
Investment Company Report
APPLE INC.
SECURITY 037833100 MEETING TYPE Annual
TICKER SYMBOL AAPL MEETING DATE 10-May-2007
ISIN AGENDA 932685071 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 WILLIAM V. CAMPBELL For For
2 MILLARD S. DREXLER For For
3 ALBERT A. GORE, JR. For For
4 STEVEN P. JOBS For For
5 ARTHUR D. LEVINSON For For
6 ERIC E. SCHMIDT For For
7 JEROME B. YORK For For
02 TO APPROVE AMENDMENTS TO THE APPLE INC. 2003 Management Against Against
EMPLOYEE STOCK PLAN.
03 TO APPROVE AMENDMENTS TO THE APPLE INC. Management Against Against
EMPLOYEE STOCK PURCHASE PLAN.
04 TO APPROVE AMENDMENTS TO THE 1997 DIRECTOR STOCK Management Against Against
OPTION PLAN.
05 TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE Management For For
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2007.
06 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED "OPTION Shareholder For Against
DATING POLICY," IF PROPERLY PRESENTED AT THE MEETING.
07 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"PAY FOR PERFORMANCE STANDARD," IF PROPERLY PRESENTED
AT THE MEETING.
08 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"ENVIRONMENTAL REPORT," IF PROPERLY PRESENTED
AT THE MEETING.
09 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder For Against
"EQUITY RETENTION POLICY," IF PROPERLY PRESENTED AT
THE MEETING.
10 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"ELECTRONIC WASTE TAKE BACK AND RECYCLING," IF
PROPERLY PRESENTED AT THE MEETING.
11 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"ADVISORY VOTE ON COMPENSATION," IF PROPERLY
PRESENTED AT THE MEETING.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 40700 0 04-May-2007 04-May-2007
Page 43 of 59 Wednesday, July 18, 2007
Investment Company Report
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 15-May-2007
ISIN AGENDA 932660120 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 CRANDALL C. BOWLES For For
2 STEPHEN B. BURKE For For
3 JAMES S. CROWN For For
4 JAMES DIMON For For
5 ELLEN V. FUTTER For For
6 WILLIAM H. GRAY, III For For
7 LABAN P. JACKSON, JR. For For
8 ROBERT I. LIPP For For
9 DAVID C. NOVAK For For
10 LEE R. RAYMOND For For
11 WILLIAM C. WELDON For For
02 APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM
03 STOCK OPTIONS Shareholder For Against
04 PERFORMANCE-BASED RESTRICTED STOCK Shareholder For Against
05 EXECUTIVE COMPENSATION APPROVAL Shareholder Against For
06 SEPARATE CHAIRMAN Shareholder For Against
07 CUMULATIVE VOTING Shareholder For Against
08 MAJORITY VOTING FOR DIRECTORS Shareholder For Against
09 POLITICAL CONTRIBUTIONS REPORT Shareholder Against For
10 SLAVERY APOLOGY REPORT Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 54700 0 17-Apr-2007 17-Apr-2007
Page 44 of 59 Wednesday, July 18, 2007
Investment Company Report
BOSTON PROPERTIES, INC.
SECURITY 101121101 MEETING TYPE Annual
TICKER SYMBOL BXP MEETING DATE 15-May-2007
ISIN AGENDA 932674698 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 MORTIMER B. ZUCKERMAN For For
2 CAROL B. EINIGER For For
3 RICHARD E. SALOMON For For
02 TO CONSIDER AND ACT UPON A PROPOSAL TO APPROVE THE Management Against Against
SECOND AMENDMENT AND RESTATEMENT OF THE BOSTON
PROPERTIES, INC. 1997 STOCK OPTION AND INCENTIVE
PLAN.
03 TO RATIFY THE AUDIT COMITTEE'S APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS BOSTON PROPERTIES,
INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007. THE
BOARD OF DIRECTORS RECOMMENDS A VOTE "AGAINST"
PROPOSALS 4 AND 5.
04 TO CONSIDER AND ACT UPON A STOCKHOLDER PROPOSAL Shareholder For Against
CONCERNING THE ANNUAL ELECTION OF DIRECTORS, IF
PROPERLY PRESENTED AT THE ANNUAL MEETING.
05 TO CONSIDER AND ACT UPON A STOCKHOLDER PROPOSAL Shareholder Against For
CONCERNING ENERGY EFFICIENCY, IF PROPERLY PRESENTED
AT THE ANNUAL MEETING.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 17250 0 19-Apr-2007 19-Apr-2007
Page 45 of 59 Wednesday, July 18, 2007
Investment Company Report
AKAMAI TECHNOLOGIES, INC.
SECURITY 00971T101 MEETING TYPE Annual
TICKER SYMBOL AKAM MEETING DATE 15-May-2007
ISIN AGENDA 932677315 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 RONALD GRAHAM For For
2 F. THOMSON LEIGHTON For For
3 PAUL SAGAN For For
4 NAOMI SELIGMAN For For
02 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Management For For
AS THE INDEPENDENT AUDITORS OF AKAMAI FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 84100 0 23-Apr-2007 23-Apr-2007
Page 46 of 59 Wednesday, July 18, 2007
Investment Company Report
DANAHER CORPORATION
SECURITY 235851102 MEETING TYPE Annual
TICKER SYMBOL DHR MEETING DATE 15-May-2007
ISIN AGENDA 932680552 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 STEVEN M. RALES For For
2 JOHN T. SCHWIETERS For For
3 ALAN G. SPOON For For
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For
DANAHER'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE YEAR ENDING DECEMBER 31, 2007.
03 TO APPROVE AN AMENDMENT TO DANAHER'S CERTIFICATE OF Management For For
INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED
SHARES OF COMMON STOCK OF DANAHER TO A TOTAL OF ONE
BILLION (1,000,000,000) SHARES, $.01 PAR VALUE PER
SHARE.
04 TO APPROVE THE 2007 STOCK INCENTIVE PLAN. Management Against Against
05 TO APPROVE THE 2007 EXECUTIVE CASH INCENTIVE Management Against Against
COMPENSATION PLAN.
06 TO APPROVE AN AMENDMENT TO DANAHER'S AMENDED AND Management Against Against
RESTATED EXECUTIVE DEFERRED INCENTIVE PROGRAM.
07 TO ACT UPON A SHAREHOLDER PROPOSAL URGING THE Shareholder Against For
COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS TO
ADOPT A POLICY REQUIRING THAT SENIOR EXECUTIVES
RETAIN A SIGNIFICANT PERCENTAGE OF SHARES ACQUIRED
THROUGH EQUITY COMPENSATION PROGRAMS DURING THEIR
EMPLOYMENT, AND TO REPORT TO SHAREHOLDERS REGARDING
THE POLICY BEFORE DANAHER'S 2008 ANNUAL MEETING OF
SHAREHOLDERS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 32000 0 04-May-2007 04-May-2007
Page 47 of 59 Wednesday, July 18, 2007
Investment Company Report
COMMERCE BANCORP, INC.
SECURITY 200519106 MEETING TYPE Annual
TICKER SYMBOL CBH MEETING DATE 15-May-2007
ISIN AGENDA 932700607 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 VERNON W. HILL, II For For
2 JACK R BERSHAD For For
3 JOSEPH E. BUCKELEW For For
4 DONALD T. DIFRANCESCO For For
5 NICHOLAS A. GIORDANO For For
6 MORTON N. KERR For For
7 STEVEN M. LEWIS For For
8 JOHN K. LLOYD For For
9 GEORGE E. NORCROSS, III For For
10 DANIEL J. RAGONE For For
11 WILLIAM A. SCHWARTZ, JR For For
12 JOSEPH T. TARQUINI, JR. For For
13 JOSEPH S. VASSALLUZZO For For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 53200 0 08-May-2007 08-May-2007
Page 48 of 59 Wednesday, July 18, 2007
Investment Company Report
WELLPOINT, INC.
SECURITY 94973V107 MEETING TYPE Annual
TICKER SYMBOL WLP MEETING DATE 16-May-2007
ISIN AGENDA 932666792 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 SHEILA P. BURKE For For
2 VICTOR S. LISS For For
3 JANE G. PISANO, PH.D. For For
4 GEORGE A. SCHAEFER, JR. For For
5 JACKIE M. WARD For For
6 JOHN E. ZUCCOTTI For For
02 TO APPROVE MAJORITY VOTING FOR THE ELECTION OF Management For For
DIRECTORS IN NON-CONTESTED ELECTIONS.
03 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
COMPANY FOR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 18400 0 19-Apr-2007 19-Apr-2007
Page 49 of 59 Wednesday, July 18, 2007
Investment Company Report
COMCAST CORPORATION
SECURITY 20030N101 MEETING TYPE Annual
TICKER SYMBOL CMCSA MEETING DATE 23-May-2007
ISIN AGENDA 932669546 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 S. DECKER ANSTROM For For
2 KENNETH J. BACON For For
3 SHELDON M. BONOVITZ For For
4 EDWARD D. BREEN For For
5 JULIAN A. BRODSKY For For
6 JOSEPH J. COLLINS For For
7 J. MICHAEL COOK For For
8 JEFFREY A. HONICKMAN For For
9 BRIAN L. ROBERTS For For
10 RALPH J. ROBERTS For For
11 DR. JUDITH RODIN For For
12 MICHAEL I. SOVERN For For
02 INDEPENDENT AUDITORS Management For For
03 PREVENT THE ISSUANCE OF NEW STOCK OPTIONS Shareholder For Against
04 REQUIRE THAT THE CHAIRMAN OF THE BOARD NOT BE AN Shareholder Against For
EMPLOYEE
05 REQUIRE SUSTAINABILITY REPORT Shareholder Against For
06 ADOPT A RECAPITALIZATION PLAN Shareholder Against For
07 REQUIRE ANNUAL VOTE ON EXECUTIVE COMPENSATION Shareholder Against For
08 REQUIRE PAY DIFFERENTIAL REPORT Shareholder Against For
09 REQUIRE DISCLOSURE OF POLITICAL CONTRIBUTIONS Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 31200 0 19-Apr-2007 19-Apr-2007
Page 50 of 59 Wednesday, July 18, 2007
Investment Company Report
MEDCO HEALTH SOLUTIONS, INC.
SECURITY 58405U102 MEETING TYPE Annual
TICKER SYMBOL MHS MEETING DATE 24-May-2007
ISIN AGENDA 932680374 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 HOWARD W. BARKER, JR. For For
2 DAVID B. SNOW, JR. For For
02 TO AMEND THE COMPANY'S SECOND AMENDED AND Management For For
RESTATED CERTIFICATE OF INCORPORATION TO PROVIDE
FOR THE PHASE-IN OF THE ANNUAL ELECTION OF
DIRECTORS.
03 TO APPROVE THE 2007 EMPLOYEE STOCK PURCHASE Management Against Against
PLAN.
04 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY
FOR THE FISCAL YEAR ENDING DECEMBER 29, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 17800 0 15-May-2007 15-May-2007
Page 51 of 59 Wednesday, July 18, 2007
Investment Company Report
EXXON MOBIL CORPORATION
SECURITY 30231G102 MEETING TYPE Annual
TICKER SYMBOL XOM MEETING DATE 30-May-2007
ISIN AGENDA 932676844 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 M.J. BOSKIN For For
2 W.W. GEORGE For For
3 J.R. HOUGHTON For For
4 W.R. HOWELL For For
5 R.C. KING For For
6 P.E. LIPPINCOTT For For
7 M.C. NELSON For For
8 S.J. PALMISANO For For
9 S.S. REINEMUND For For
10 W.V. SHIPLEY For For
11 J.S. SIMON For For
12 R.W. TILLERSON For For
02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 44) Management For For
03 CUMULATIVE VOTING (PAGE 45) Shareholder For Against
04 SPECIAL SHAREHOLDER MEETINGS (PAGE 47) Shareholder Against For
05 BOARD CHAIRMAN AND CEO (PAGE 47) Shareholder For Against
06 DIVIDEND STRATEGY (PAGE 48) Shareholder Against For
07 SHAREHOLDER ADVISORY VOTE ON EXECUTIVE Shareholder Against For
COMPENSATION (PAGE 50)
08 CEO COMPENSATION DECISIONS (PAGE 51) Shareholder Against For
09 EXECUTIVE COMPENSATION REPORT (PAGE 52) Shareholder Against For
10 EXECUTIVE COMPENSATION LIMIT (PAGE 53) Shareholder Against For
11 INCENTIVE PAY RECOUPMENT (PAGE 54) Shareholder Against For
12 POLITICAL CONTRIBUTIONS REPORT (PAGE 55) Shareholder Against For
13 AMENDMENT OF EEO POLICY (PAGE 57) Shareholder Against For
14 COMMUNITY ENVIRONMENTAL IMPACT (PAGE 58) Shareholder Against For
15 GREENHOUSE GAS EMISSIONS GOALS (PAGE 60) Shareholder Against For
16 CO2 INFORMATION AT THE PUMP (PAGE 61) Shareholder Against For
17 RENEWABLE ENERGY INVESTMENT LEVELS (PAGE 62) Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 20082 0 23-Apr-2007 23-Apr-2007
Page 52 of 59 Wednesday, July 18, 2007
Investment Company Report
DSW, INC.
SECURITY 23334L102 MEETING TYPE Annual
TICKER SYMBOL DSW MEETING DATE 30-May-2007
ISIN AGENDA 932700304 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JAY L. SCHOTTENSTEIN For For
2 PHILIP B. MILLER For For
3 JAMES D. ROBBINS For For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 28060 0 08-May-2007 08-May-2007
Page 53 of 59 Wednesday, July 18, 2007
Investment Company Report
KBW, INC.
SECURITY 482423100 MEETING TYPE Annual
TICKER SYMBOL KBW MEETING DATE 06-Jun-2007
ISIN AGENDA 932703970 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 THOMAS B. MICHAUD For For
02 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 49400 0 10-May-2007 10-May-2007
Page 54 of 59 Wednesday, July 18, 2007
Investment Company Report
NYSE EURONEXT
SECURITY 629491101 MEETING TYPE Annual
TICKER SYMBOL NYX MEETING DATE 07-Jun-2007
ISIN AGENDA 932715800 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 ELLYN L. BROWN For For
2 MARSHALL N. CARTER For For
3 SIR GEORGE COX For For
4 ANDRE DIRCKX For For
5 WILLIAM E. FORD For For
6 JAN-MICHIEL HESSELS For For
7 SYLVAIN HEFES For For
8 DOMINIQUE HOENN For For
9 PATRICK HOUEL For For
10 SHIRLEY ANN JACKSON For For
11 JAMES S. MCDONALD For For
12 DUNCAN MCFARLAND For For
13 JAMES J. MCNULTY For For
14 BARON JEAN PETERBROECK For For
15 ALICE M. RIVLIN For For
16 RICARDO SALGADO For For
17 ROBERT B. SHAPIRO For For
18 RIJNHARD VAN TETS For For
19 JOHN A. THAIN For For
20 JEAN-FRANCOIS THEODORE For For
21 KARL M. VON DER HEYDEN For For
22 SIR BRIAN WILLIAMSON For For
02 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For For
LLP AS NYSE EURONEXT'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31,
2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 14060 0 15-May-2007 15-May-2007
Page 55 of 59 Wednesday, July 18, 2007
Investment Company Report
CELGENE CORPORATION
SECURITY 151020104 MEETING TYPE Annual
TICKER SYMBOL CELG MEETING DATE 12-Jun-2007
ISIN AGENDA 932712260 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 SOL J. BARER, PH.D. For For
2 ROBERT J. HUGIN For For
3 MICHAEL D. CASEY For For
4 RODMAN L. DRAKE For For
5 A. HULL HAYES, JR., MD For For
6 GILLA KAPLAN, PH.D. For For
7 JAMES J. LOUGHLIN For For
8 RICHARD C.E. MORGAN For For
9 WALTER L. ROBB, PH.D. For For
02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 27300 0 15-May-2007 15-May-2007
Page 56 of 59 Wednesday, July 18, 2007
Investment Company Report
CATERPILLAR INC.
SECURITY 149123101 MEETING TYPE Annual
TICKER SYMBOL CAT MEETING DATE 13-Jun-2007
ISIN AGENDA 932706231 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 JOHN T. DILLON For For
2 JUAN GALLARDO For For
3 WILLIAM A. OSBORN For For
4 EDWARD B. RUST, JR. For For
02 RATIFY AUDITORS Management For For
03 STOCKHOLDER PROPOSAL-SEPARATE CEO & CHAIR Shareholder For Against
04 STOCKHOLDER PROPOSAL-MAJORITY VOTE STANDARD Shareholder For Against
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 35100 0 14-May-2007 14-May-2007
Page 57 of 59 Wednesday, July 18, 2007
Investment Company Report
INFOSYS TECHNOLOGIES LIMITED
SECURITY 456788108 MEETING TYPE Annual
TICKER SYMBOL INFY MEETING DATE 22-Jun-2007
ISIN AGENDA 932738632 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 TO RECEIVE, CONSIDER AND ADOPT THE BALANCE SHEET Management For
AS AT MARCH 31, 2007 AND THE PROFIT AND LOSS
ACCOUNT FOR THE YEAR.
02 TO DECLARE A FINAL DIVIDEND FOR THE FINANCIAL YEAR Management For
ENDED MARCH 31, 2007.
03 TO APPOINT A DIRECTOR IN PLACE OF MR. DEEPAK M. Management For
SATWALEKAR, WHO RETIRES BY ROTATION AND, OFFERS
HIMSELF FOR RE-ELECTION.
04 TO APPOINT A DIRECTOR IN PLACE OF PROF. MARTI G. Management For
SUBRAHMANYAM, WHO RETIRES BY ROTATION AND,
OFFERS HIMSELF FOR RE-ELECTION.
05 TO APPOINT A DIRECTOR IN PLACE OF MR. S. Management For
GOPALAKRISHNAN, WHO RETIRES BY ROTATION AND,
OFFERS HIMSELF FOR RE-ELECTION.
06 TO APPOINT A DIRECTOR IN PLACE OF MR. S.D. SHIBULAL, Management For
WHO RETIRES BY ROTATION AND, OFFERS HIMSELF FOR
RE-ELECTION.
07 TO APPOINT A DIRECTOR IN PLACE OF MR. T.V. MOHANDAS Management For
PAI, WHO RETIRES BY ROTATION AND, OFFERS HIMSELF
FOR RE-ELECTION.
08 TO APPOINT AUDITORS TO HOLD OFFICE FROM THE Management For
CONCLUSION OF THE ANNUAL GENERAL MEETING HELD
ON JUNE 22, 2007, AND TO FIX THEIR REMUNERATION.
09 TO APPOINT MR. N.R. NARAYANA MURTHY AS A DIRECTOR Management For
LIABLE TO RETIRE BY ROTATION.
10 TO APPROVE THE RE-APPOINTMENT OF MR. NANDAN M. Management For
NILEKANI AS A WHOLE-TIME DIRECTOR FOR 5 YEARS
EFFECTIVE 5/1/2007.
11 TO APPROVE THE APPOINTMENT OF MR. S. Management For
GOPALAKRISHNAN AS THE CHIEF EXECUTIVE OFFICER
AND MANAGING DIRECTOR.
12 TO APPROVE THE RE-APPOINTMENT OF MR. K. DINESH AS Management For
A WHOLE-TIME DIRECTOR FOR 5 YEARS EFFECTIVE
5/1/2007.
13 TO APPROVE THE RE-APPOINTMENT OF MR. S.D. SHIBULAL Management For
AS A WHOLE- TIME DIRECTOR FOR A PERIOD OF 5 YEARS
EFFECTIVE 1/10/2007.
14 TO APPROVE PAYMENT OF AN ANNUAL REMUNERATION BY Management For
COMMISSION OF A SUM NOT EXCEEDING 1% PER ANNUM
OF THE NET PROFITS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 43100 0 07-Jun-2007 07-Jun-2007
Page 58 of 59 Wednesday, July 18, 2007
Investment Company Report
BEST BUY CO., INC.
SECURITY 086516101 MEETING TYPE Annual
TICKER SYMBOL BBY MEETING DATE 27-Jun-2007
ISIN AGENDA 932721738 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- -------- ----------- ------- -----------
01 DIRECTOR Management
1 RONALD JAMES* For For
2 ELLIOT S. KAPLAN* For For
3 MATTHEW H. PAULL* For For
4 JAMES E. PRESS* For For
5 RICHARD M. SCHULZE* For For
6 MARY A. TOLAN* For For
7 HATIM A. TYABJI* For For
8 ROGELIO M. REBOLLEDO** For For
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For
TOUCHE LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING MARCH 1, 2008.
03 APPROVAL OF AN AMENDMENT TO THE BEST BUY CO., INC. Management Against Against
2004 OMNIBUS STOCK AND INCENTIVE PLAN TO INCREASE
THE NUMBER OF SHARES SUBJECT TO THE PLAN TO 38
MILLION SHARES.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ------------------ ----------- --------------
000000099017 61C 35950 0 17-May-2007 17-May-2007
Page 59 of 59 Wednesday, July 18, 2007
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) Northeast Investors Growth Fund
By (Signature and Title)* William A. Oates, President and Trustee
Date August 28, 2007
* Print the name and title of each signing officer under his or her
signature
By the Commission