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, 2008
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
FREEPORT-MCMORAN COPPER & GOLD INC.
SECURITY 35671D857 MEETING TYPE Annual
TICKER SYMBOL FCX MEETING DATE 10-Jul-2007
ISIN AGENDA 932742112 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 RICHARD C. ADKERSON For For
2 ROBERT J. ALLISON, JR. For For
3 ROBERT A. DAY For For
4 GERALD J. FORD For For
5 H. DEVON GRAHAM, JR. For For
6 J. BENNETT JOHNSTON For For
7 CHARLES C. KRULAK For For
8 BOBBY LEE LACKEY For For
9 JON C. MADONNA For For
10 DUSTAN E. MCCOY For For
11 GABRIELLE K. MCDONALD For For
12 JAMES R. MOFFETT For For
13 B.M. RANKIN, JR. For For
14 J. STAPLETON ROY For For
15 STEPHEN H. SIEGELE For For
16 J. TAYLOR WHARTON For For
02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP Management For For
AS INDEPENDENT AUDITORS.
03 ADOPTION OF THE PROPOSED AMENDMENTS TO THE 2006 Management Against Against
STOCK INCENTIVE PLAN.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 14000 0 03-Jul-2007 03-Jul-2007
Page 1 of 56 07-Jul-2008
Investment Company Report
COMPANHIA VALE DO RIO DOCE
SECURITY 204412209 MEETING TYPE Special
TICKER SYMBOL RIO MEETING DATE 30-Aug-2007
ISIN US2044122099 AGENDA 932762378 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 PROPOSAL TO AMEND THE COMPANY'S BY-LAWS. Management For For
02 PROPOSAL FOR A FORWARD STOCK SPLIT, PURSUANT TO Management For For
WHICH EACH AND EVERY CURRENT SHARE ISSUED BY THE
COMPANY, BOTH COMMON AND PREFERRED, SHALL
BECOME TWO SHARES OF THE SAME TYPE AND CLASS, AS
THE CASE MAY BE, AND THE CORRESPONDING
ADJUSTMENT OF ARTICLE 5 AND ARTICLE 6 OF THE
COMPANY'S BY-LAWS.
03 CONSOLIDATION OF THE AMENDMENTS TO THE Management For For
COMPANY'S BY-LAWS, MENTIONED ABOVE IN ITEMS I
AND II HEREIN, IF SUCH PROPOSED MODIFICATIONS
ARE APPROVED.
04 RATIFICATION OF CVRD'S ACQUISITION OF THE Management For For
CONTROLLING SHARE OF AMCI HOLDINGS AUSTRALIA, AS
REQUIRED BY ARTICLE 256 SECTION 1 OF
THE BRAZILIAN CORPORATE LAW.
05 REPLACEMENT OF A BOARD MEMBER. Management For For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 22000 0 16-Aug-2007 16-Aug-2007
Page 2 of 56 07-Jul-2008
Investment Company Report
BARCLAYS PLC
SECURITY 06738E204 MEETING TYPE Special
TICKER SYMBOL BCS MEETING DATE 14-Sep-2007
ISIN US06738E2046 AGENDA 932761035 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
E1 TO APPROVE THE PROPOSED MERGER Management For For
E2 TO APPROVE THE CREATION OF PREFERENCE SHARES Management For For
E3 TO RENEW THE AUTHORITY GIVEN TO THE DIRECTORS TO Management For For
ALLOT SECURITIES
E4 TO RENEW THE AUTHORITY GIVEN TO THE DIRECTORS TO Management For For
ALLOT EQUITY SECURITIES FOR CASH OTHER THAN ON A
PRO-RATA BASIS TO SHAREHOLDERS AND TO SELL
TREASURY SHARES
E5 TO RENEW THE COMPANY'S AUTHORITY TO PURCHASE ITS Management For For
OWN SHARES
E6 TO CANCEL THE SHARE PREMIUM ACCOUNT Management For For
O1 TO APPROVE THE PASSING AND IMPLEMENTATION OF Management For For
RESOLUTION 2 AT THE EXTRAORDINARY GENERAL
MEETING RELATING TO THE PREFERENCE SHARES AND TO
CONSENT TO ANY RESULTING CHANGE IN THE RIGHTS OF
ORDINARY SHARES
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 21600 0 17-Aug-2007 17-Aug-2007
Page 3 of 56 07-Jul-2008
Investment Company Report
FEDEX CORPORATION
SECURITY 31428X106 MEETING TYPE Annual
TICKER SYMBOL FDX MEETING DATE 24-Sep-2007
ISIN US31428X1063 AGENDA 932763192 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: JAMES L. BARKSDALE Management For For
1B ELECTION OF DIRECTOR: AUGUST A. BUSCH IV Management For For
1C ELECTION OF DIRECTOR: JOHN A. EDWARDSON Management For For
1D ELECTION OF DIRECTOR: JUDITH L. ESTRIN Management For For
1E ELECTION OF DIRECTOR: PHILIP GREER Management For For
1F ELECTION OF DIRECTOR: J.R. HYDE, III Management For For
1G ELECTION OF DIRECTOR: SHIRLEY A. JACKSON Management For For
1H ELECTION OF DIRECTOR: STEVEN R. LORANGER Management For For
1I ELECTION OF DIRECTOR: GARY W. LOVEMAN Management For For
1J ELECTION OF DIRECTOR: CHARLES T. MANATT Management For For
1K ELECTION OF DIRECTOR: FREDERICK W. SMITH Management For For
1L ELECTION OF DIRECTOR: JOSHUA I. SMITH Management For For
1M ELECTION OF DIRECTOR: PAUL S. WALSH Management For For
1N ELECTION OF DIRECTOR: PETER S. WILLMOTT Management For For
02 RATIFICATION OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM.
03 STOCKHOLDER PROPOSAL REGARDING SEPARATION OF Shareholder Against For
CHAIRMAN AND CEO ROLES.
04 STOCKHOLDER PROPOSAL REGARDING SHAREHOLDER Shareholder Against For
VOTE ON EXECUTIVE PAY.
05 STOCKHOLDER PROPOSAL REGARDING GLOBAL WARMING Shareholder Against For
REPORT.
06 STOCKHOLDER PROPOSAL REGARDING POLITICAL Shareholder Against For
CONTRIBUTIONS REPORT.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 20200 0 28-Aug-2007 28-Aug-2007
Page 4 of 56 07-Jul-2008
Investment Company Report
THE PROCTER & GAMBLE COMPANY
SECURITY 742718109 MEETING TYPE Annual
TICKER SYMBOL PG MEETING DATE 09-Oct-2007
ISIN US7427181091 AGENDA 932766011 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 RAJAT K. GUPTA For For
2 A.G. LAFLEY For For
3 LYNN M. MARTIN For For
4 JOHNATHAN A. RODGERS For For
5 JOHN F. SMITH, JR. For For
6 RALPH SNYDERMAN, M.D. For For
7 MARGARET C. WHITMAN For For
02 RATIFY APPOINTMENT OF THE INDEPENDENT REGISTERED Management For For
PUBLIC ACCOUNTING FIRM
03 SHAREHOLDER PROPOSAL #1 - AWARD NO FUTURE STOCK Shareholder For Against
OPTIONS
04 SHAREHOLDER PROPOSAL #2 - REPORT ON COMPANY Shareholder Against For
POLICIES AND ACTIVITIES
05 SHAREHOLDER PROPOSAL #3 - ANIMAL TESTING Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 48000 0 04-Sep-2007 04-Sep-2007
Page 5 of 56 07-Jul-2008
Investment Company Report
HOLOGIC, INC.
SECURITY 436440101 MEETING TYPE Special
TICKER SYMBOL HOLX MEETING DATE 18-Oct-2007
ISIN US4364401012 AGENDA 932772292 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 TO APPROVE THE AMENDMENT TO HOLOGIC'S Management For For
CERTIFICATE OF INCORPORATION TO INCREASE THE
AUTHORIZED NUMBER OF SHARES OF HOLOGIC COMMON
STOCK FROM 90,000,000 TO 300,000,000, AS
DESCRIBED IN THE ACCOMPANYING JOINT PROXY
STATEMENT/PROSPECTUS.
02 TO APPROVE THE ISSUANCE OF SHARES OF HOLOGIC Management For For
COMMON STOCK TO STOCKHOLDERS OF CYTYC
CORPORATION PURSUANT TO THE MERGER AGREEMENT,
AS THE SAME MAY BE AMENDED FROM TIME TO TIME, IN
CONNECTION WITH THE PROPOSED MERGER OF CYTYC
CORPORATION WITH AND INTO NOR'EASTER CORP.
03 TO APPROVE THE HOLOGIC. INC. SENIOR EXECUTIVE Management Against Against
SHORT-TERM INCENTIVE PLAN, AS DESCRIBED IN THE
ACCOMPANYING JOINT PROXY PROXY
STATEMENT/PROSPECTUS.
04 TO APPROVE AN AMENDMENT TO HOLOGIC'S SECOND Management Against Against
AMENDED AND RESTATED 1999 EQUITY INCENTIVE PLAN.
05 IF SUBMITTED TO A VOTE OF HOLOGIC'S Management For For
STOCKHOLDERS, TO APPROVE THE ADJOURNMENT OF THE
SPECIAL MEETING, INCLUDING, IF NECESSARY, TO
SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE
FOREGOING PROPOSALS.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 3800 0 10-Oct-2007 10-Oct-2007
Page 6 of 56 07-Jul-2008
Investment Company Report
ORACLE CORPORATION
SECURITY 68389X105 MEETING TYPE Annual
TICKER SYMBOL ORCL MEETING DATE 02-Nov-2007
ISIN US68389X1054 AGENDA 932772115 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 JEFFREY O. HENLEY For For
2 LAWRENCE J. ELLISON For For
3 DONALD L. LUCAS For For
4 MICHAEL J. BOSKIN For For
5 JACK F. KEMP For For
6 JEFFREY S. BERG For For
7 SAFRA A. CATZ For For
8 HECTOR GARCIA-MOLINA For For
9 H. RAYMOND BINGHAM For For
10 CHARLES E. PHILLIPS, JR For For
11 NAOMI O. SELIGMAN For For
02 PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF THE Management Against Against
FISCAL YEAR 2008 EXECUTIVE BONUS PLAN.
03 PROPOSAL TO RATIFY THE SELECTION OF ERNST & Management For For
YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL
YEAR ENDING MAY 31, 2008.
04 STOCKHOLDER PROPOSAL ON THE AMENDMENT TO THE Shareholder Against For
CORPORATE BYLAWS ESTABLISHING A BOARD COMMITTEE
ON HUMAN RIGHTS.
05 STOCKHOLDER PROPOSAL ON AN OPEN SOURCE REPORT. Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
000000099017 61C 86200 0 24-Sep-2007 24-Sep-2007
Page 7 of 56 07-Jul-2008
Investment Company Report
COACH, INC.
SECURITY 189754104 MEETING TYPE Annual
TICKER SYMBOL COH MEETING DATE 08-Nov-2007
ISIN US1897541041 AGENDA 932774741 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 LEW FRANKFORT For For
2 SUSAN KROPF For For
3 GARY LOVEMAN For For
4 IVAN MENEZES For For
5 IRENE MILLER For For
6 KEITH MONDA For For
7 MICHAEL MURPHY For For
8 JIDE ZEITLIN For For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 38000 0 27-Sep-2007 27-Sep-2007
Page 8 of 56 07-Jul-2008
Investment Company Report
SONUS NETWORKS INC
SECURITY 835916107 MEETING TYPE Annual
TICKER SYMBOL SONS MEETING DATE 12-Nov-2007
ISIN US8359161077 AGENDA 932778268 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 HOWARD E. JANZEN For For
2 H. BRIAN THOMPSON For For
02 2007 STOCK INCENTIVE PLAN Management Against Against
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 0 302347 18-Oct-2007 18-Oct-2007
Page 9 of 56 07-Jul-2008
Investment Company Report
CISCO SYSTEMS, INC.
SECURITY 17275R102 MEETING TYPE Annual
TICKER SYMBOL CSCO MEETING DATE 15-Nov-2007
ISIN US17275R1023 AGENDA 932774119 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE 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: STEVEN M. WEST Management For For
1L ELECTION OF DIRECTOR: JERRY YANG Management For For
02 TO APPROVE THE AMENDMENT AND EXTENSION OF THE Management Against Against
2005 STOCK INCENTIVE PLAN.
03 TO APPROVE THE EXECUTIVE INCENTIVE PLAN WITH Management Against Against
RESPECT TO CURRENT AND FUTURE COVERED
EMPLOYEES AND EXECUTIVE OFFICERS.
04 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS CISCO'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING JULY 26, 2008.
05 PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING Shareholder Against For
THE BOARD TO ESTABLISH A BOARD COMMITTEE ON
HUMAN RIGHTS.
06 PROPOSAL SUBMITTED BY A SHAREHOLDER REQUESTING Shareholder Against For
THAT THE BOARD ESTABLISH A PAY-FOR-SUPERIOR-
PERFORMANCE STANDARD IN THE COMPANY'S EXECUTIVE
COMPENSATION PLAN FOR SENIOR EXECUTIVES.
07 PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING Shareholder For Against
THE BOARD TO ADOPT A POLICY THAT SHAREHOLDERS BE
GIVEN THE OPPORTUNITY AT EACH ANNUAL MEETING OF
SHAREHOLDERS TO VOTE ON AN ADVISORY RESOLUTION
TO RATIFY THE COMPENSATION OF THE NAMED
EXECUTIVE OFFICERS.
08 PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING Shareholder Against For
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.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 74000 0 09-Oct-2007 09-Oct-2007
Page 10 of 56 07-Jul-2008
Investment Company Report
BHP BILLITON LIMITED
SECURITY 088606108 MEETING TYPE Annual
TICKER SYMBOL BHP MEETING DATE 28-Nov-2007
ISIN US0886061086 AGENDA 932778270 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 TO RECEIVE THE 2007 FINANCIAL STATEMENTS AND Management For For
REPORTS FOR BHP BILLITON PLC.
02 TO RECEIVE THE 2007 FINANCIAL STATEMENTS AND Management For For
REPORTS FOR BHP BILLITON LTD.
03 TO RE-ELECT MR D A CRAWFORD AS A DIRECTOR OF BHP Management For For
BILLITON PLC.
04 TO RE-ELECT MR D A CRAWFORD AS A DIRECTOR OF BHP Management For For
BILLITON LTD.
05 TO RE-ELECT MR D R ARGUS AS A DIRECTOR OF BHP Management For For
BILLITON PLC.
06 TO RE-ELECT MR D R ARGUS AS A DIRECTOR OF BHP Management For For
BILLITON LTD.
07 TO RE-ELECT MR C A S CORDEIRO AS A DIRECTOR OF Management For For
BHP BILLITON PLC.
08 TO RE-ELECT MR C A S CORDEIRO AS A DIRECTOR OF Management For For
BHP BILLITON LTD.
09 TO RE-ELECT THE HON E G DE PLANQUE AS A DIRECTOR Management For For
OF BHP BILLITON PLC.
10 TO RE-ELECT THE HON E G DE PLANQUE AS A DIRECTOR Management For For
OF BHP BILLITON LTD.
11 TO RE-ELECT DR D A L JENKINS AS A DIRECTOR OF Management For For
BHP BILLITON PLC.
12 TO RE-ELECT DR D A L JENKINS AS A DIRECTOR OF Management For For
BHP BILLITON LTD.
13 TO REAPPOINT KPMG AUDIT PLC AS THE AUDITOR OF Management For For
BHP BILLITON PLC.
14 TO RENEW THE GENERAL AUTHORITY TO ALLOT SHARES Management For For
IN BHP BILLITON PLC.
15 TO RENEW THE DISAPPLICATION OF PRE-EMPTION Management Against Against
RIGHTS IN BHP BILLITON PLC.
16 TO APPROVE THE REPURCHASE OF SHARES IN BHP Management For For
BILLITON PLC.
17A TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 31
DECEMBER 2007.
17B TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 15
FEBRUARY 2008.
17C TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 30
APRIL 2008.
17D TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 31 MAY
2008.
17E TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 15 JUNE
2008.
17F TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 31 JULY
2008.
17G TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 15
SEPTEMBER 2008.
Page 11 of 56 07-Jul-2008
Investment Company Report
17H TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LTD ON 30
NOVEMBER 2008.
18 TO APPROVE THE 2007 REMUNERATION REPORT. Management For For
19 TO APPROVE THE GRANT OF AWARDS TO MR M J Management For For
KLOPPERS UNDER THE GIS AND THE LTIP.
20 TO APPROVE THE GRANT OF AWARDS TO MR C W Management For For
GOODYEAR UNDER THE GIS.
21 TO APPROVE THE AMENDMENT TO THE ARTICLES OF Management For For
ASSOCIATION OF BHP BILLITON PLC.
22 TO APPROVE THE AMENDMENT TO THE CONSTITUTION OF Management For For
BHP BILLITON LTD.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 7592 17408 15-Oct-2007 15-Oct-2007
Page 12 of 56 07-Jul-2008
Investment Company Report
EMERSON ELECTRIC CO.
SECURITY 291011104 MEETING TYPE Annual
TICKER SYMBOL EMR MEETING DATE 05-Feb-2008
ISIN US2910111044 AGENDA 932799553 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 D.N. FARR For For
2 R.B. HORTON For For
3 C.A. PETERS For For
4 J.W. PRUEHER For For
02 RATIFICATION OF KPMG LLP AS INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 59400 0 08-Jan-2008 08-Jan-2008
Page 13 of 56 07-Jul-2008
Investment Company Report
DEERE & COMPANY
SECURITY 244199105 MEETING TYPE Annual
TICKER SYMBOL DE MEETING DATE 27-Feb-2008
ISIN US2441991054 AGENDA 932805673 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: T. KEVIN DUNNIGAN Management For For
1B ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR. Management For For
1C ELECTION OF DIRECTOR: DIPAK C. JAIN Management For For
1D ELECTION OF DIRECTOR: JOACHIM MILBERG Management For For
1E ELECTION OF DIRECTOR: RICHARD B. MYERS Management For For
02 RE-APPROVAL OF THE JOHN DEERE MID-TERM INCENTIVE Management Against Against
PLAN.
03 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For
TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL 2008.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 5500 0 28-Jan-2008 28-Jan-2008
Page 14 of 56 07-Jul-2008
Investment Company Report
APPLE INC.
SECURITY 037833100 MEETING TYPE Annual
TICKER SYMBOL AAPL MEETING DATE 04-Mar-2008
ISIN US0378331005 AGENDA 932807273 - 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 ANDREA JUNG For For
6 ARTHUR D. LEVINSON For For
7 ERIC E. SCHMIDT For For
8 JEROME B. YORK For For
02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS APPLE Management For For
INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR FISCAL YEAR 2008.
03 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"ADVISORY VOTE ON COMPENSATION", IF PROPERLY
PRESENTED AT THE MEETING.
04 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"AMEND CORPORATE BYLAWS ESTABLISHING A BOARD
COMMITTEE ON SUSTAINABILITY", IF PROPERLY
PRESENTED AT THE MEETING.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 27900 0 03-Mar-2008 03-Mar-2008
Page 15 of 56 07-Jul-2008
Investment Company Report
HOLOGIC, INC.
SECURITY 436440101 MEETING TYPE Annual
TICKER SYMBOL HOLX MEETING DATE 11-Mar-2008
ISIN US4364401012 AGENDA 932812971 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 JOHN W. CUMMING For For
2 PATRICK J. SULLIVAN For For
3 DAVID R. LAVANCE, JR. For For
4 NANCY L. LEAMING For For
5 LAWRENCE M. LEVY For For
6 GLENN P. MUIR For For
7 ELAINE S. ULLIAN For For
8 DANIEL J. LEVANGIE For For
9 SALLY W. CRAWFORD For For
10 C. WILLIAM MCDANIEL For For
11 WAYNE WILSON For For
02 PROPOSAL TO AMEND THE HOLOGIC'S CERTIFICATE OF Management For For
INCORPORATION TO INCREASE THE NUMBER OF
AUTHORIZED SHARES OF COMMON STOCK FROM
300,000,000 SHARES TO 750,000,000 SHARES.
03 PROPOSAL TO APPROVE THE HOLOGIC, INC. 2008 Management Against Against
EMPLOYEE STOCK PURCHASE PLAN.
04 PROPOSAL TO APPROVE THE HOLOGIC, INC. 2008 Management Against Against
EQUITY INCENTIVE PLAN.
05 TO APPROVE THE ADJOURNMENT OF THE ANNUAL Management Against Against
MEETING, INCLUDING, IF NECESSARY, TO SOLICIT
ADDITIONAL PROXIES IN FAVOR OF THE FOREGOING
PROPOSALS, AS DESCRIBED IN THE ACCOMPANYING
PROXY STATEMENT.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 42833 3057 26-Feb-2008 26-Feb-2008
Page 16 of 56 07-Jul-2008
Investment Company Report
UNITED TECHNOLOGIES CORPORATION
SECURITY 913017109 MEETING TYPE Annual
TICKER SYMBOL UTX MEETING DATE 09-Apr-2008
ISIN US9130171096 AGENDA 932816765 - 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 H. PATRICK SWYGERT For For
11 ANDRE VILLENEUVE For For
12 CHRISTINE TODD WHITMAN For For
02 APPOINTMENT OF INDEPENDENT AUDITORS Management For For
03 APPROVAL OF AMENDMENT TO THE 2005 LONG-TERM Management Against Against
INCENTIVE PLAN
04 SHAREOWNER PROPOSAL: PRINCIPLES FOR HEALTH CARE Shareholder Against For
REFORM
05 SHAREOWNER PROPOSAL: GLOBAL SET OF CORPORATE Shareholder Against For
STANDARDS
06 SHAREOWNER PROPOSAL: PAY FOR SUPERIOR Shareholder Against For
PERFORMANCE
07 SHAREOWNER PROPOSAL: OFFSETS FOR FOREIGN Shareholder Against For
MILITARY SALES
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 34900 0 10-Mar-2008 10-Mar-2008
Page 17 of 56 07-Jul-2008
Investment Company Report
ADOBE SYSTEMS INCORPORATED
SECURITY 00724F101 MEETING TYPE Annual
TICKER SYMBOL ADBE MEETING DATE 09-Apr-2008
ISIN US00724F1012 AGENDA 932817503 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF CLASS I DIRECTOR: EDWARD W. BARNHOLT Management For For
1B ELECTION OF CLASS I DIRECTOR: MICHAEL R. CANNON Management For For
1C ELECTION OF CLASS I DIRECTOR: JAMES E. DALEY Management For For
1D ELECTION OF CLASS I DIRECTOR: CHARLES M. GESCHKE Management For For
1E ELECTION OF CLASS I DIRECTOR: SHANTANU NARAYEN Management For For
1F ELECTION OF CLASS I DIRECTOR: DELBERT W. YOCAM Management For For
02 APPROVAL OF THE AMENDMENT AND RESTATEMENT OF Management Against Against
THE ADOBE SYSTEMS INCORPORATED 2003 EQUITY
INCENTIVE PLAN.
03 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING ON
NOVEMBER 28, 2008.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 58300 0 28-Feb-2008 28-Feb-2008
Page 18 of 56 07-Jul-2008
Investment Company Report
SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.)
SECURITY 806857108 MEETING TYPE Annual
TICKER SYMBOL SLB MEETING DATE 09-Apr-2008
ISIN AN8068571086 AGENDA 932819052 - 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
02 ADOPTION AND APPROVAL OF FINANCIALS AND Management For For
DIVIDENDS
03 APPROVAL OF ADOPTION OF THE SCHLUMBERGER 2008 Management Against Against
STOCK INCENTIVE PLAN
04 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 35000 0 10-Mar-2008 10-Mar-2008
Page 19 of 56 07-Jul-2008
Investment Company Report
T. ROWE PRICE GROUP, INC.
SECURITY 74144T108 MEETING TYPE Annual
TICKER SYMBOL TROW MEETING DATE 10-Apr-2008
ISIN US74144T1088 AGENDA 932817957 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: EDWARD C. BERNARD Management For For
1B ELECTION OF DIRECTOR: JAMES T. BRADY Management For For
1C ELECTION OF DIRECTOR: J. ALFRED BROADDUS, JR. Management For For
1D ELECTION OF DIRECTOR: DONALD B. HEBB, JR. Management For For
1E ELECTION OF DIRECTOR: JAMES A.C. KENNEDY Management For For
1F ELECTION OF DIRECTOR: BRIAN C. ROGERS Management For For
1G ELECTION OF DIRECTOR: DR. ALFRED SOMMER Management For For
1H ELECTION OF DIRECTOR: DWIGHT S. TAYLOR Management For For
1I ELECTION OF DIRECTOR: ANNE MARIE WHITTEMORE Management For For
02 APPROVAL OF THE PROPOSED CHARTER AMENDMENT TO Management For For
INCREASE AUTHORIZED COMMON STOCK
03 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For
OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2008
04 IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED Management For For
TO VOTE UPON SUCH OTHER BUSINESS AND FURTHER
BUSINESS AS MAY PROPERLY COME BEFORE THE
MEETING OR ANY ADJOURNMENTS AND POSTPONEMENTS
THEREOF
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 24198 46802 10-Mar-2008 10-Mar-2008
Page 20 of 56 07-Jul-2008
Investment Company Report
THE GOLDMAN SACHS GROUP, INC.
SECURITY 38141G104 MEETING TYPE Annual
TICKER SYMBOL GS MEETING DATE 10-Apr-2008
ISIN US38141G1040 AGENDA 932820358 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF LLOYD C. BLANKFEIN TO THE BOARD OF Management For For
DIRECTORS
1B ELECTION OF JOHN H. BRYAN TO THE BOARD OF Management Against Against
DIRECTORS
1C ELECTION OF GARY D. COHN TO THE BOARD OF Management For For
DIRECTORS
1D ELECTION OF CLAES DAHLBACK TO THE BOARD OF Management For For
DIRECTORS
1E ELECTION OF STEPHEN FRIEDMAN TO THE BOARD OF Management For For
DIRECTORS
1F ELECTION OF WILLIAM W. GEORGE TO THE BOARD OF Management For For
DIRECTORS
1G ELECTION OF RAJAT K. GUPTA TO THE BOARD OF Management For For
DIRECTORS
1H ELECTION OF JAMES A. JOHNSON TO THE BOARD OF Management For For
DIRECTORS
1I ELECTION OF LOIS D. JULIBER TO THE BOARD OF Management For For
DIRECTORS
1J ELECTION OF EDWARD M. LIDDY TO THE BOARD OF Management For For
DIRECTORS
1K ELECTION OF RUTH J. SIMMONS TO THE BOARD OF Management For For
DIRECTORS
1L ELECTION OF JON WINKELRIED TO THE BOARD OF Management For For
DIRECTORS
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
AUDITORS FOR OUR 2008 FISCAL YEAR
03 SHAREHOLDER PROPOSAL REGARDING STOCK OPTIONS Shareholder For Against
04 SHAREHOLDER PROPOSAL REGARDING AN ADVISORY Shareholder Against For
VOTE ON EXECUTIVE COMPENSATION
05 SHAREHOLDER PROPOSAL REQUESTING A SUSTAINABILITY Shareholder Against For
REPORT
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 15800 0 25-Mar-2008 25-Mar-2008
Page 21 of 56 07-Jul-2008
Investment Company Report
NESTLE S.A.
SECURITY 641069406 MEETING TYPE Annual
TICKER SYMBOL NSRGY MEETING DATE 10-Apr-2008
ISIN US6410694060 AGENDA 932823657 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 APPROVAL OF THE 2007 ANNUAL REPORT, OF THE Management For For
ACCOUNTS OF NESTLE S.A. AND OF THE CONSOLIDATED
ACCOUNTS OF THE NESTLE GROUP.
02 RELEASE OF THE MEMBERS OF THE BOARD OF Management For For
DIRECTORS AND OF THE MANAGEMENT.
03 APPROVAL OF THE APPROPRIATION OF PROFITS Management For For
RESULTING FROM THE BALANCE SHEET OF NESTLE S.A.
4A1 RE-ELECTION OF MR. ANDREAS KOOPMANN, TO THE Management For For
BOARD OF DIRECTORS.
4B1 RE-ELECTION OF MR. ROLF HANGGI, TO THE BOARD OF Management For For
DIRECTORS.
4A2 ELECTION OF MR. PAUL BULCKE, TO THE BOARD OF Management For For
DIRECTORS.
4B2 ELECTION OF MR. BEAT W. HESS, TO THE BOARD OF Management For For
DIRECTORS.
4C RE-ELECTION OF THE AUDITORS KPMG KLYNVELD PEAT Management For For
MARWICK GOERDELER S.A.
5A APPROVAL OF THE CAPITAL REDUCTION. Management For For
5B APPROVAL OF THE SHARE SPLIT. Management For For
5C APPROVAL OF THE AMENDMENT TO ARTICLES 5 AND 5 Management For For
BIS PARA. 1 OF THE ARTICLES OF ASSOCIATION.
06 APPROVAL OF THE PROPOSED REVISED ARTICLES OF Management For For
ASSOCIATION, AS SET FORTH IN THE COMPANY'S
INVITATION ENCLOSED HEREWITH.
07 MARK THE "FOR" BOX TO THE RIGHT IF YOU WISH TO Management Against
GIVE A PROXY TO INDEPENDENT REPRESENTATIVE, MR.
JEAN-LUDOVIC HARTMANN (AS FURTHER DISCUSSED IN
THE COMPANY'S INVITATION).
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 25200 0 25-Mar-2008 25-Mar-2008
Page 22 of 56 07-Jul-2008
Investment Company Report
FIFTH THIRD BANCORP
SECURITY 316773100 MEETING TYPE Annual
TICKER SYMBOL FITB MEETING DATE 15-Apr-2008
ISIN US3167731005 AGENDA 932819759 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 DARRYL F. ALLEN Withheld Against
2 JOHN F. BARRETT Withheld Against
3 U.L. BRIDGEMAN, JR. Withheld Against
4 JAMES P. HACKETT Withheld Against
5 GARY R. HEMINGER Withheld Against
6 ALLEN M. HILL Withheld Against
7 KEVIN T. KABAT Withheld Against
8 ROBERT L. KOCH II Withheld Against
9 M.D. LIVINGSTON, PH.D Withheld Against
10 HENDRIK G. MEIJER Withheld Against
11 JAMES E. ROGERS Withheld Against
12 GEORGE A. SCHAEFER, JR. Withheld Against
13 JOHN J. SCHIFF, JR. Withheld Against
14 DUDLEY S. TAFT Withheld Against
15 THOMAS W. TRAYLOR Withheld Against
02 PROPOSAL TO AMEND ARTICLE FOURTH OF THE AMENDED Management For For
ARTICLES OF INCORPORATION TO INCREASE THE
AUTHORIZED NUMBER OF SHARES OF COMMON STOCK,
FROM 1,300,000,000 TO 2,000,000,000 SHARES.
03 PROPOSAL TO APPROVE THE FIFTH THIRD BANCORP 2008 Management Against Against
INCENTIVE COMPENSATION PLAN, INCLUDING THE
ISSUANCE OF UP TO 33,000,000 SHARES OF COMMON
STOCK THEREUNDER.
04 PROPOSAL TO AMEND ARTICLE II, SECTION 1 OF THE Management For For
CODE OF REGULATIONS, AS AMENDED, TO AMEND THE
PROVISIONS FOR FIXING THE DATE OF THE ANNUAL
MEETING OF STOCKHOLDERS.
05 PROPOSAL TO APPROVE THE APPOINTMENT OF DELOITTE Management For For
& TOUCHE LLP AS THE INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE
YEAR 2008.
06 SHAREHOLDER PROPOSAL TO REQUEST THE BOARD OF Shareholder For Against
DIRECTORS TO IMMEDIATELY ENGAGE THE SERVICES OF
AN INVESTMENT BANKING FIRM TO ACTIVELY SEEK A
SALE OR MERGER OF THE COMPANY ON TERMS THAT WILL
MAXIMIZE SHARE VALUE FOR THE SHAREHOLDERS.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 14776 26224 15-Apr-2008
Page 23 of 56 07-Jul-2008
Investment Company Report
INTUITIVE SURGICAL, INC.
SECURITY 46120E602 MEETING TYPE Annual
TICKER SYMBOL ISRG MEETING DATE 18-Apr-2008
ISIN US46120E6023 AGENDA 932820423 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 ROBERT W. DUGGAN For For
2 FLOYD D. LOOP For For
3 GEORGE STALK JR For For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 4350 0 07-Mar-2008 07-Mar-2008
Page 24 of 56 07-Jul-2008
Investment Company Report
ENCANA CORPORATION
SECURITY 292505104 MEETING TYPE Annual and Special Meeting
TICKER SYMBOL ECA MEETING DATE 22-Apr-2008
ISIN CA2925051047 AGENDA 932834511 - 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 CLAIRE S. FARLEY For For
6 MICHAEL A. GRANDIN For For
7 BARRY W. HARRISON For For
8 DALE A. LUCAS 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 JAMES M. STANFORD For For
14 WAYNE G. THOMSON For For
15 CLAYTON H. WOITAS For For
02 APPOINTMENT OF AUDITORS - Management For For
PRICEWATERHOUSECOOPERS LLP AT A REMUNERATION
TO BE FIXED BY THE BOARD OF DIRECTORS.
03 AMENDMENT TO EMPLOYEE STOCK OPTION PLAN (AS Management Against Against
DESCRIBED ON PAGES 13-15).
04 SHAREHOLDER PROPOSAL (AS DESCRIBED ON PAGE 15 Shareholder For Against
AND IN APPENDIX C).
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 49100 0 21-Apr-2008 21-Apr-2008
Page 25 of 56 07-Jul-2008
Investment Company Report
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 23-Apr-2008
ISIN US3696041033 AGENDA 932823481 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
A1 ELECTION OF DIRECTOR: JAMES I. CASH, JR. Management For For
A2 ELECTION OF DIRECTOR: SIR WILLIAM M. CASTELL Management For For
A3 ELECTION OF DIRECTOR: ANN M. FUDGE Management For For
A4 ELECTION OF DIRECTOR: CLAUDIO X. GONZALEZ Management For For
A5 ELECTION OF DIRECTOR: SUSAN HOCKFIELD Management For For
A6 ELECTION OF DIRECTOR: JEFFREY R. IMMELT Management For For
A7 ELECTION OF DIRECTOR: ANDREA JUNG Management For For
A8 ELECTION OF DIRECTOR: ALAN G. (A.G.) LAFLEY Management For For
A9 ELECTION OF DIRECTOR: ROBERT W. LANE Management For For
A10 ELECTION OF DIRECTOR: RALPH S. LARSEN Management For For
A11 ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS Management For For
A12 ELECTION OF DIRECTOR: JAMES J. MULVA Management For For
A13 ELECTION OF DIRECTOR: SAM NUNN Management For For
A14 ELECTION OF DIRECTOR: ROGER S. PENSKE Management For For
A15 ELECTION OF DIRECTOR: ROBERT J. SWIERINGA Management For For
A16 ELECTION OF DIRECTOR: DOUGLAS A. WARNER III Management For For
B RATIFICATION OF KPMG Management For For
01 CUMULATIVE VOTING Shareholder For Against
02 SEPARATE THE ROLES OF CEO AND CHAIRMAN Shareholder For Against
03 RECOUP UNEARNED MANAGEMENT BONUSES Shareholder Against For
04 CURB OVER-EXTENDED DIRECTORS Shareholder Against For
05 REPORT ON CHARITABLE CONTRIBUTIONS Shareholder Against For
06 GLOBAL WARMING REPORT Shareholder Against For
07 ADVISORY VOTE ON EXECUTIVE COMPENSATION Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 51100 0 25-Mar-2008 25-Mar-2008
Page 26 of 56 07-Jul-2008
Investment Company Report
STRYKER CORPORATION
SECURITY 863667101 MEETING TYPE Annual
TICKER SYMBOL SYK MEETING DATE 23-Apr-2008
ISIN US8636671013 AGENDA 932823998 - 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 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For For
LLP AS OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2008.
03 APPROVAL OF THE 2008 EMPLOYEE STOCK PURCHASE Management Against Against
PLAN.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 40300 0 25-Mar-2008 25-Mar-2008
Page 27 of 56 07-Jul-2008
Investment Company Report
CORNING INCORPORATED
SECURITY 219350105 MEETING TYPE Annual
TICKER SYMBOL GLW MEETING DATE 24-Apr-2008
ISIN US2193501051 AGENDA 932820613 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 JOHN SEELY BROWN For For
2 GORDON GUND For For
3 KURT M. LANDGRAF For For
4 H. ONNO RUDING For For
02 APPROVE THE AMENDMENT OF THE 2005 EMPLOYEE Management Against Against
EQUITY PARTICIPATION PROGRAM.
03 PROPOSAL TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS CORNING'S
INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2008.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 145100 0 18-Mar-2008 18-Mar-2008
Page 28 of 56 07-Jul-2008
Investment Company Report
MERRILL LYNCH & CO., INC.
SECURITY 590188108 MEETING TYPE Annual
TICKER SYMBOL MER MEETING DATE 24-Apr-2008
ISIN US5901881087 AGENDA 932826300 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: CAROL T. CHRIST Management For For
1B ELECTION OF DIRECTOR: ARMANDO M. CODINA Management For For
1C ELECTION OF DIRECTOR: JUDITH MAYHEW JONAS Management For For
1D ELECTION OF DIRECTOR: JOHN A. THAIN Management For For
02 RATIFY APPOINTMENT OF DELOITTE & TOUCHE LLP AS Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
03 ADOPT CUMULATIVE VOTING Shareholder For Against
04 PROHIBIT SENIOR EXECUTIVE OFFICER STOCK SALES Shareholder For Against
DURING BUYBACK
05 ADOPT ADVISORY VOTE ON EXECUTIVE COMPENSATION Shareholder For Against
06 ADOPT RESPONSIBLE EMPLOYMENT PRINCIPLES Shareholder For Against
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 19000 0 09-Apr-2008 09-Apr-2008
Page 29 of 56 07-Jul-2008
Investment Company Report
SUNCOR ENERGY INC.
SECURITY 867229106 MEETING TYPE Annual and Special Meeting
TICKER SYMBOL SU MEETING DATE 24-Apr-2008
ISIN CA8672291066 AGENDA 932826615 - 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 AMENDMENT AND RESTATEMENT OF SHAREHOLDERS Management For For
RIGHTS PLAN. PLEASE READ THE RESOLUTION IN FULL
IN THE ACCOMPANYING MANAGEMENT INFORMATION
CIRCULAR.
04 AMENDMENT OF ARTICLES: TWO FOR ONE DIVISION OF Management For For
COMMON SHARES. PLEASE READ THE RESOLUTION IN
FULL IN THE ACCOMPANYING MANAGEMENT INFORMATION
CIRCULAR.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 20332 0 02-Apr-2008 02-Apr-2008
Page 30 of 56 07-Jul-2008
Investment Company Report
AT&T INC.
SECURITY 00206R102 MEETING TYPE Annual
TICKER SYMBOL T MEETING DATE 25-Apr-2008
ISIN US00206R1023 AGENDA 932822578 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: RANDALL L. STEPHENSON Management For For
1B ELECTION OF DIRECTOR: WILLIAM F. ALDINGER III Management For For
1C ELECTION OF DIRECTOR: GILBERT F. AMELIO Management For For
1D ELECTION OF DIRECTOR: REUBEN V. ANDERSON Management For For
1E ELECTION OF DIRECTOR: JAMES H. BLANCHARD Management For For
1F ELECTION OF DIRECTOR: AUGUST A. BUSCH III Management For For
1G ELECTION OF DIRECTOR: JAMES P. KELLY Management For For
1H ELECTION OF DIRECTOR: JON C. MADONNA Management For For
1I ELECTION OF DIRECTOR: LYNN M. MARTIN Management For For
1J ELECTION OF DIRECTOR: JOHN B. MCCOY Management For For
1K ELECTION OF DIRECTOR: MARY S. METZ Management For For
1L ELECTION OF DIRECTOR: JOYCE M. ROCHE Management For For
1M ELECTION OF DIRECTOR: LAURA D'ANDREA TYSON Management For For
1N ELECTION OF DIRECTOR: PATRICIA P. UPTON Management For For
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
AUDITORS.
03 REPORT ON POLITICAL CONTRIBUTIONS. Shareholder For Against
04 PENSION CREDIT POLICY. Shareholder Against For
05 LEAD INDEPENDENT DIRECTOR BYLAW. Shareholder Against For
06 SERP POLICY Shareholder Against For
07 ADVISORY VOTE ON COMPENSATION Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 60500 0 30-Apr-2008
Page 31 of 56 07-Jul-2008
Investment Company Report
AMERICAN EXPRESS COMPANY
SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 28-Apr-2008
ISIN US0258161092 AGENDA 932823924 - 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 J. LESCHLY For For
7 R.C. LEVIN For For
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 A PROPOSAL TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2008.
03 A PROPOSAL TO AMEND THE CERTIFICATE OF Management For For
INCORPORATION TO REQUIRE A MAJORITY VOTE FOR THE
ELECTION OF DIRECTORS IN NON-CONTESTED ELECTIONS.
4A PROPOSAL TO AMEND THE CERTIFICATE OF Management For For
INCORPORATION TO ELIMINATE STATUTORY
SUPERMAJORITY VOTING: MERGER OR CONSOLIDATION.
4B PROPOSAL TO AMEND THE CERTIFICATE OF Management For For
INCORPORATION TO ELIMINATE STATUTORY
SUPERMAJORITY VOTING: SALE, LEASE, EXCHANGE OR
OTHER DISPOSITION OF ALL OR SUBSTANTIALLY ALL OF
THE COMPANY'S ASSETS OUTSIDE THE ORDINARY
COURSE OF BUSINESS.
4C PROPOSAL TO AMEND THE CERTIFICATE OF Management For For
INCORPORATION TO ELIMINATE STATUTORY
SUPERMAJORITY VOTING: PLAN FOR THE EXCHANGE OF
SHARES.
4D PROPOSAL TO AMEND THE CERTIFICATE OF Management For For
INCORPORATION TO ELIMINATE STATUTORY
SUPERMAJORITY VOTING: AUTHORIZATION OF
DISSOLUTION.
05 A SHAREHOLDER PROPOSAL RELATING TO CUMULATIVE Shareholder For Against
VOTING FOR DIRECTORS.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 36500 0 30-Apr-2008
Page 32 of 56 07-Jul-2008
Investment Company Report
THE BOEING COMPANY
SECURITY 097023105 MEETING TYPE Annual
TICKER SYMBOL BA MEETING DATE 28-Apr-2008
ISIN US0970231058 AGENDA 932826350 - 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: JAMES L. JONES Management For For
1H ELECTION OF DIRECTOR: EDWARD M. LIDDY Management For For
1I ELECTION OF DIRECTOR: JOHN F. MCDONNELL Management For For
1J ELECTION OF DIRECTOR: W. JAMES MCNERNEY, JR. 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 AUDITOR.
03 PREPARE A REPORT ON FOREIGN MILITARY SALES Shareholder Against For
04 ADOPT HEALTH CARE PRINCIPLES Shareholder Against For
05 ADOPT, IMPLEMENT AND MONITOR HUMAN RIGHTS Shareholder Against For
POLICIES
06 REQUIRE AN INDEPENDENT LEAD DIRECTOR Shareholder Against For
07 REQUIRE PERFORMANCE-BASED STOCK OPTIONS Shareholder For Against
08 REQUIRE AN ADVISORY VOTE ON NAMED EXECUTIVE Shareholder Against For
OFFICER COMPENSATION
09 REQUIRE SHAREHOLDER APPROVAL OF FUTURE Shareholder Against For
SEVERANCE ARRANGEMENTS
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 26000 0 02-Apr-2008 02-Apr-2008
Page 33 of 56 07-Jul-2008
Investment Company Report
EXELON CORPORATION
SECURITY 30161N101 MEETING TYPE Annual
TICKER SYMBOL EXC MEETING DATE 29-Apr-2008
ISIN US30161N1019 AGENDA 932833874 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: BRUCE DEMARS Management For For
1B ELECTION OF DIRECTOR: NELSON A. DIAZ Management For For
1C ELECTION OF DIRECTOR: PAUL L. JOSKOW Management For For
1D ELECTION OF DIRECTOR: JOHN W. ROWE Management For For
02 THE RATIFICATION OF PRICEWATERHOUSECOOPERS LLP Management For For
AS EXELON'S INDEPENDENT ACCOUNT FOR 2008.
03 A SHAREHOLDER RECOMMENDATION TO PREPARE A Shareholder Against For
REPORT SHOWING THAT EXELON'S ACTIONS TO REDUCE
GLOBAL WARMING HAVE REDUCED MEAN GLOBAL
TEMPERATURE AND AVOIDED DISASTERS.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 34800 0 09-Apr-2008 09-Apr-2008
Page 34 of 56 07-Jul-2008
Investment Company Report
AMERICA MOVIL, S.A.B. DE C.V.
SECURITY 02364W105 MEETING TYPE Annual
TICKER SYMBOL AMX MEETING DATE 29-Apr-2008
ISIN US02364W1053 AGENDA 932864285 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
I APPOINTMENT OR, AS THE CASE MAY BE, REELECTION Management For
OF THE MEMBERS OF THE BOARD OF DIRECTORS OF THE
COMPANY THAT THE HOLDERS OF THE SERIES "L"
SHARES ARE ENTITLED TO APPOINT. ADOPTION OF
RESOLUTIONS THEREON.
II APPOINTMENT OF DELEGATES TO EXECUTE AND, IF Management For
APPLICABLE, FORMALIZE THE RESOLUTIONS ADOPTED
BY THE MEETING. ADOPTION OF RESOLUTIONS THEREON.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 18000 0 28-Apr-2008 28-Apr-2008
Page 35 of 56 07-Jul-2008
Investment Company Report
COMPANHIA VALE DO RIO DOCE
SECURITY 204412209 MEETING TYPE Annual
TICKER SYMBOL RIO MEETING DATE 29-Apr-2008
ISIN US2044122099 AGENDA 932874236 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
O1A APPRECIATION OF THE MANAGEMENTS' REPORT AND Management For For
ANALYSIS, DISCUSSION AND VOTE ON THE FINANCIAL
STATEMENTS FOR THE FISCAL YEAR ENDING DECEMBER
31, 2007
O1B PROPOSAL FOR THE DESTINATION OF PROFITS OF THE Management For For
SAID FISCAL YEAR AND APPROVAL OF THE INVESTMENT
BUDGET FOR THE COMPANY
O1C APPOINTMENT OF THE MEMBERS OF THE FISCAL COUNCIL Management For For
O1D ESTABLISHMENT OF THE REMUNERATION OF THE SENIOR Management For For
MANAGEMENT AND FISCAL COUNCIL MEMBERS
E2A THE APPROVAL FOR THE PROTOCOL AND JUSTIFICATION Management For For
OF MERGER OF FERRO GUSA CARAJAS S.A., A WHOLLY
OWNED SUBSIDIARY OF THE COMPANY, PURSUANT TO
ARTICLES 224 AND 225 OF THE BRAZILIAN CORPORATE
LAW
E2B TO RATIFY THE APPOINTMENT OF DELOITTE TOUCHE Management For For
TOHMATSU AUDITORES INDEPENDENTES, THE EXPERTS
HIRED TO APPRAISE THE VALUE OF THE COMPANY TO BE
MERGED
E2C TO DECIDE ON THE APPRAISAL REPORT, PREPARED BY Management For For
THE EXPERT APPRAISERS
E2D THE APPROVAL FOR THE MERGER OF FERRO GUSA Management For For
CARAJAS S.A., WITHOUT A CAPITAL INCREASE OR THE
ISSUANCE OF NEW SHARES BY THE COMPANY
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 60000 0 29-Apr-2008 23-Apr-2008
Page 36 of 56 07-Jul-2008
Investment Company Report
STATE STREET CORPORATION
SECURITY 857477103 MEETING TYPE Annual
TICKER SYMBOL STT MEETING DATE 30-Apr-2008
ISIN US8574771031 AGENDA 932826982 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 K. BURNES For For
2 P. COYM For For
3 N. DAREHSHORI For For
4 A. FAWCETT For For
5 D. GRUBER For For
6 L. HILL For For
7 C. LAMANTIA For For
8 R. LOGUE For For
9 M. MISKOVIC For For
10 R. SERGEL For For
11 R. SKATES For For
12 G. SUMME For For
13 R. WEISSMAN For For
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For
STATE STREET'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31,
2008.
03 TO VOTE ON A SHAREHOLDER PROPOSAL RELATING TO Shareholder Against For
RESTRICTIONS IN SERVICES PERFORMED BY STATE
STREET'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 35600 0 24-Apr-2008 24-Apr-2008
Page 37 of 56 07-Jul-2008
Investment Company Report
VERIZON COMMUNICATIONS INC.
SECURITY 92343V104 MEETING TYPE Annual
TICKER SYMBOL VZ MEETING DATE 01-May-2008
ISIN US92343V1044 AGENDA 932832517 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: RICHARD L. CARRION Management For For
1B ELECTION OF DIRECTOR: M. FRANCES KEETH Management For For
1C ELECTION OF DIRECTOR: ROBERT W. LANE Management For For
1D ELECTION OF DIRECTOR: SANDRA O. MOOSE Management For For
1E ELECTION OF DIRECTOR: JOSEPH NEUBAUER Management For For
1F ELECTION OF DIRECTOR: DONALD T. NICOLAISEN Management For For
1G ELECTION OF DIRECTOR: THOMAS H. O'BRIEN Management For For
1H ELECTION OF DIRECTOR: CLARENCE OTIS, JR. Management For For
1I ELECTION OF DIRECTOR: HUGH B. PRICE Management For For
1J ELECTION OF DIRECTOR: IVAN G. SEIDENBERG Management For For
1K ELECTION OF DIRECTOR: JOHN W. SNOW Management For For
1L ELECTION OF DIRECTOR: JOHN R. STAFFORD Management For For
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM
03 ELIMINATE STOCK OPTIONS Shareholder For Against
04 GENDER IDENTITY NONDISCRIMINATION POLICY Shareholder Against For
05 SEPARATE OFFICES OF CHAIRMAN AND CEO Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 45600 0 07-Apr-2008 07-Apr-2008
Page 38 of 56 07-Jul-2008
Investment Company Report
ITRON, INC.
SECURITY 465741106 MEETING TYPE Annual
TICKER SYMBOL ITRI MEETING DATE 06-May-2008
ISIN US4657411066 AGENDA 932833610 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 JON E. ELIASSEN For For
2 CHARLES H. GAYLORD For For
3 GARY E. PRUITT For For
02 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For For
LLP AS THE COMPANY'S INDEPENDENT ACCOUNTING FIRM.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 21366 5534 08-Apr-2008 08-Apr-2008
Page 39 of 56 07-Jul-2008
Investment Company Report
PEPSICO, INC.
SECURITY 713448108 MEETING TYPE Annual
TICKER SYMBOL PEP MEETING DATE 07-May-2008
ISIN US7134481081 AGENDA 932832125 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: I.M. COOK Management For For
1B ELECTION OF DIRECTOR: D. DUBLON Management For For
1C ELECTION OF DIRECTOR: V.J. DZAU Management For For
1D ELECTION OF DIRECTOR: R.L. HUNT Management For For
1E ELECTION OF DIRECTOR: A. IBARGUEN Management For For
1F ELECTION OF DIRECTOR: A.C. MARTINEZ Management For For
1G ELECTION OF DIRECTOR: I.K. NOOYI Management For For
1H ELECTION OF DIRECTOR: S.P. ROCKEFELLER Management For For
1I ELECTION OF DIRECTOR: J.J. SCHIRO Management For For
1J ELECTION OF DIRECTOR: L.G. TROTTER Management For For
1K ELECTION OF DIRECTOR: D. VASELLA Management For For
1L ELECTION OF DIRECTOR: M.D. WHITE Management For For
02 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTANTS
03 SHAREHOLDER PROPOSAL - BEVERAGE CONTAINER Shareholder Against For
RECYCLING REPORT (PROXY STATEMENT P. 43)
04 SHAREHOLDER PROPOSAL - GENETICALLY ENGINEERED Shareholder Against For
PRODUCTS REPORT (PROXY STATEMENT P. 45)
05 SHAREHOLDER PROPOSAL - RIGHT TO WATER POLICY Shareholder Against For
(PROXY STATEMENT P. 46)
06 SHAREHOLDER PROPOSAL - GLOBAL WARMING REPORT Shareholder Against For
(PROXY STATEMENT P. 48)
07 SHAREHOLDER PROPOSAL - ADVISORY VOTE ON Shareholder Against For
COMPENSATION (PROXY STATEMENT P. 49)
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 48300 0 09-Apr-2008 09-Apr-2008
Page 40 of 56 07-Jul-2008
Investment Company Report
CVS/CAREMARK CORPORATION
SECURITY 126650100 MEETING TYPE Annual
TICKER SYMBOL CVS MEETING DATE 07-May-2008
ISIN US1266501006 AGENDA 932843344 - 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: DAVID W. DORMAN Management For For
1D ELECTION OF DIRECTOR: KRISTEN GIBNEY WILLIAMS Management For For
1E ELECTION OF DIRECTOR: MARIAN L. HEARD Management For For
1F ELECTION OF DIRECTOR: WILLIAM H. JOYCE Management For For
1G ELECTION OF DIRECTOR: JEAN-PIERRE MILLON Management For For
1H ELECTION OF DIRECTOR: TERRENCE MURRAY Management For For
1I ELECTION OF DIRECTOR: C.A. LANCE PICCOLO Management For For
1J ELECTION OF DIRECTOR: SHELI Z. ROSENBERG Management For For
1K ELECTION OF DIRECTOR: THOMAS M. RYAN Management For For
1L ELECTION OF DIRECTOR: RICHARD J. SWIFT Management For For
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For
YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2008
FISCAL YEAR.
03 STOCKHOLDER PROPOSAL REGARDING SPECIAL Shareholder For Against
SHAREHOLDER MEETINGS.
04 STOCKHOLDER PROPOSAL REGARDING TAX GROSS-UP Shareholder For Against
PAYMENTS.
05 STOCKHOLDER PROPOSAL REGARDING POLITICAL Shareholder For Against
CONTRIBUTIONS AND EXPENDITURES.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 96730 0 21-Apr-2008 21-Apr-2008
Page 41 of 56 07-Jul-2008
Investment Company Report
GOOGLE INC.
SECURITY 38259P508 MEETING TYPE Annual
TICKER SYMBOL GOOG MEETING DATE 08-May-2008
ISIN US38259P5089 AGENDA 932834131 - 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 Management For For
AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM OF GOOGLE INC. FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2008.
03 APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 STOCK Management For For
PLAN TO INCREASE THE NUMBER OF AUTHORIZED SHARES
OF CLASS A COMMON STOCK ISSUABLE THEREUNDER BY
6,500,000.
04 STOCKHOLDER PROPOSAL REGARDING INTERNET Shareholder For Against
CENSORSHIP.
05 STOCKHOLDER PROPOSAL REGARDING THE CREATION OF Shareholder Against For
A BOARD COMMITTEE ON HUMAN RIGHTS.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 7600 0 07-May-2008 07-May-2008
Page 42 of 56 07-Jul-2008
Investment Company Report
APACHE CORPORATION
SECURITY 037411105 MEETING TYPE Annual
TICKER SYMBOL APA MEETING DATE 08-May-2008
ISIN US0374111054 AGENDA 932838038 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 ELECTION OF DIRECTOR: G. STEVEN FARRIS Management For For
02 ELECTION OF DIRECTOR: RANDOLPH M. FERLIC Management For For
03 ELECTION OF DIRECTOR: A.D. FRAZIER, JR. Management For For
04 ELECTION OF DIRECTOR: JOHN A. KOCUR Management For For
05 STOCKHOLDER PROPOSAL CONCERNING Shareholder For Against
REIMBURSEMENT OF PROXY EXPENSES
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 32900 0 21-Apr-2008 21-Apr-2008
Page 43 of 56 07-Jul-2008
Investment Company Report
GILEAD SCIENCES, INC.
SECURITY 375558103 MEETING TYPE Annual
TICKER SYMBOL GILD MEETING DATE 08-May-2008
ISIN US3755581036 AGENDA 932838406 - 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, 2008.
03 TO APPROVE THE PROPOSED AMENDMENT TO GILEAD'S Management Against Against
2004 EQUITY INCENTIVE PLAN.
04 TO APPROVE AN AMENDMENT TO GILEAD'S RESTATED Management For For
CERTIFICATE OF INCORPORATION TO INCREASE THE
AUTHORIZED NUMBER OF SHARES OF GILEAD'S COMMON
STOCK FROM 1,400,000,000 TO 2,800,000,000
SHARES.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 84200 0 08-Apr-2008 08-Apr-2008
Page 44 of 56 07-Jul-2008
Investment Company Report
3M COMPANY
SECURITY 88579Y101 MEETING TYPE Annual
TICKER SYMBOL MMM MEETING DATE 13-May-2008
ISIN US88579Y1010 AGENDA 932834941 - 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 ROBERT J. ULRICH For For
02 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
03 TO APPROVE THE LONG-TERM INCENTIVE PLAN. Management Against Against
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 29200 0 27-Mar-2008 27-Mar-2008
Page 45 of 56 07-Jul-2008
Investment Company Report
CONOCOPHILLIPS
SECURITY 20825C104 MEETING TYPE Annual
TICKER SYMBOL COP MEETING DATE 14-May-2008
ISIN US20825C1045 AGENDA 932842912 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: HAROLD W. MCGRAW III Management For For
1B ELECTION OF DIRECTOR: JAMES J. MULVA Management For For
1C ELECTION OF DIRECTOR: BOBBY S. SHACKOULS Management For For
02 TO AMEND AMENDED AND RESTATED BY-LAWS AND Management Against Against
RESTATED CERTIFICATE OF INCORPORATION TO PROVIDE
FOR THE ANNUAL ELECTION OF DIRECTORS
03 TO RATIFY APPOINTMENT OF ERNST & YOUNG LLP AS Management For For
CONOCOPHILLIPS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2008
04 QUALIFICATIONS FOR DIRECTOR NOMINEES Shareholder Against For
05 REPORT ON RECOGNITION OF INDIGENOUS RIGHTS Shareholder Against For
06 ADVISORY VOTE ON EXECUTIVE COMPENSATION Shareholder For Against
07 POLITICAL CONTRIBUTIONS Shareholder Against For
08 GREENHOUSE GAS REDUCTION Shareholder Against For
09 COMMUNITY ACCOUNTABILITY Shareholder Against For
10 DRILLING IN SENSITIVE/PROTECTED AREAS Shareholder Against For
11 ENVIRONMENTAL IMPACT Shareholder For Against
12 GLOBAL WARMING Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 30500 0 12-May-2008 12-May-2008
Page 46 of 56 07-Jul-2008
Investment Company Report
AMERICAN TOWER CORPORATION
SECURITY 029912201 MEETING TYPE Annual
TICKER SYMBOL AMT MEETING DATE 15-May-2008
ISIN US0299122012 AGENDA 932846693 - 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 JOANN A. REED For For
6 PAMELA D.A. REEVE For For
7 DAVID E. SHARBUTT For For
8 JAMES D. TAICLET, JR. For For
9 SAMME L. THOMPSON For For
02 RATIFICATION OF THE SELECTION OF DELOITTE & Management For For
TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2008.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 43781 0 04-Apr-2008 04-Apr-2008
Page 47 of 56 07-Jul-2008
Investment Company Report
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 20-May-2008
ISIN US46625H1005 AGENDA 932852280 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: CRANDALL C. BOWLES Management For For
1B ELECTION OF DIRECTOR: STEPHEN B. BURKE Management For For
1C ELECTION OF DIRECTOR: DAVID M. COTE Management For For
1D ELECTION OF DIRECTOR: JAMES S. CROWN Management For For
1E ELECTION OF DIRECTOR: JAMES DIMON Management For For
1F ELECTION OF DIRECTOR: ELLEN V. FUTTER Management For For
1G ELECTION OF DIRECTOR: WILLIAM H. GRAY, III Management For For
1H ELECTION OF DIRECTOR: LABAN P. JACKSON, JR. Management For For
1I ELECTION OF DIRECTOR: ROBERT I. LIPP Management For For
1J ELECTION OF DIRECTOR: DAVID C. NOVAK Management For For
1K ELECTION OF DIRECTOR: LEE R. RAYMOND Management For For
1L ELECTION OF DIRECTOR: WILLIAM C. WELDON Management For For
02 APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM
03 APPROVAL OF AMENDMENT TO 2005 LONG-TERM Management Against Against
INCENTIVE PLAN
04 REAPPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN Management Against Against
05 GOVERNMENTAL SERVICE REPORT Shareholder Against For
06 POLITICAL CONTRIBUTIONS REPORT Shareholder Against For
07 INDEPENDENT CHAIRMAN OF THE BOARD Shareholder Against For
08 EXECUTIVE COMPENSATION APPROVAL Shareholder Against For
09 TWO CANDIDATES PER DIRECTORSHIP Shareholder Against For
10 HUMAN RIGHTS AND INVESTMENT REPORT Shareholder Against For
11 LOBBYING PRIORITIES REPORT Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 55300 0 16-Apr-2008 16-Apr-2008
Page 48 of 56 07-Jul-2008
Investment Company Report
AKAMAI TECHNOLOGIES, INC.
SECURITY 00971T101 MEETING TYPE Annual
TICKER SYMBOL AKAM MEETING DATE 20-May-2008
ISIN US00971T1016 AGENDA 932863423 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF CLASS III DIRECTOR: DAVID W. KENNY Management For For
1B ELECTION OF CLASS III DIRECTOR: PETER J. KIGHT Management For For
1C ELECTION OF CLASS III DIRECTOR: FREDERIC V.
SALERNO Management For For
02 TO RATIFY THE SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT
AUDITORS OF AKAMAI TECHNOLOGIES, INC. FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2008.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 0 84100 15-Apr-2008 15-Apr-2008
Page 49 of 56 07-Jul-2008
Investment Company Report
WELLPOINT, INC.
SECURITY 94973V107 MEETING TYPE Annual
TICKER SYMBOL WLP MEETING DATE 21-May-2008
ISIN US94973V1070 AGENDA 932847304 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 ANGELA F. BRALY For For
2 WILLIAM H.T. BUSH For For
3 WARREN Y. JOBE For For
4 WILLIAM G. MAYS For For
5 SENATOR D.W. RIEGLE, JR For For
6 WILLIAM J. RYAN For For
02 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Management For For
AS THE REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
COMPANY FOR 2008.
03 SHAREHOLDER PROPOSAL CONCERNING AN ADVISORY Shareholder For Against
RESOLUTION ON COMPENSATION OF NAMED EXECUTIVE
OFFICERS.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 26050 0 19-May-2008 19-May-2008
Page 50 of 56 07-Jul-2008
Investment Company Report
MEDCO HEALTH SOLUTIONS, INC.
SECURITY 58405U102 MEETING TYPE Annual
TICKER SYMBOL MHS MEETING DATE 22-May-2008
ISIN US58405U1025 AGENDA 932848700 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION OF DIRECTOR: JOHN L. CASSIS Management For For
1B ELECTION OF DIRECTOR: MICHAEL GOLDSTEIN Management For For
1C ELECTION OF DIRECTOR: BLENDA J. WILSON Management For For
02 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY
FOR THE 2008 FISCAL YEAR
03 APPROVAL OF PROPOSED AMENDMENT TO THE Management For For
COMPANY'S CERTIFICATE OF INCORPORATION TO
INCREASE THE NUMBER OF AUTHORIZED SHARES OF THE
COMPANY'S COMMON STOCK FROM 1,000,000,000 SHARES
TO 2,000,000,000 SHARES
04 SHAREHOLDER PROPOSAL REGARDING EXECUTIVE Shareholder For Against
COMPENSATION
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 33650 0 19-May-2008 19-May-2008
Page 51 of 56 07-Jul-2008
Investment Company Report
EXXON MOBIL CORPORATION
SECURITY 30231G102 MEETING TYPE Annual
TICKER SYMBOL XOM MEETING DATE 28-May-2008
ISIN US30231G1022 AGENDA 932858232 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 M.J. BOSKIN For For
2 L.R. FAULKNER For For
3 W.W. GEORGE For For
4 J.R. HOUGHTON For For
5 R.C. KING For For
6 M.C. NELSON For For
7 S.J. PALMISANO For For
8 S.S REINEMUND For For
9 W.V. SHIPLEY For For
10 R.W. TILLERSON For For
11 E.E. WHITACRE, JR. For For
02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 47) Management For For
03 SHAREHOLDER PROPOSALS PROHIBITED (PAGE 49) Shareholder Against For
04 DIRECTOR NOMINEE QUALIFICATIONS (PAGE 49) Shareholder Against For
05 BOARD CHAIRMAN AND CEO (PAGE 50) Shareholder Against For
06 SHAREHOLDER RETURN POLICY (PAGE 52) Shareholder Against For
07 SHAREHOLDER ADVISORY VOTE ON EXECUTIVE Shareholder Against For
COMPENSATION (PAGE 53)
08 EXECUTIVE COMPENSATION REPORT (PAGE 55) Shareholder Against For
09 INCENTIVE PAY RECOUPMENT (PAGE 57) Shareholder Against For
10 CORPORATE SPONSORSHIPS REPORT (PAGE 58) Shareholder Against For
11 POLITICAL CONTRIBUTIONS REPORT (PAGE 60) Shareholder Against For
12 AMENDMENT OF EEO POLICY (PAGE 61) Shareholder Against For
13 COMMUNITY ENVIRONMENTAL IMPACT (PAGE 63) Shareholder Against For
14 ANWR DRILLING REPORT (PAGE 65) Shareholder Against For
15 GREENHOUSE GAS EMISSIONS GOALS (PAGE 66) Shareholder Against For
16 CO2 INFORMATION AT THE PUMP (PAGE 68) Shareholder Against For
17 CLIMATE CHANGE AND TECHNOLOGY REPORT (PAGE 69) Shareholder Against For
18 ENERGY TECHNOLOGY REPORT (PAGE 70) Shareholder Against For
19 RENEWABLE ENERGY POLICY (PAGE 71) Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 22582 0 28-Apr-2008 28-Apr-2008
Page 52 of 56 07-Jul-2008
Investment Company Report
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 28-May-2008
ISIN US1667641005 AGENDA 932865047 - 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: J.L. JONES Management For For
1H ELECTION OF DIRECTOR: S. NUNN Management For For
1I ELECTION OF DIRECTOR: D.J. O'REILLY Management For For
1J ELECTION OF DIRECTOR: D.B. RICE Management For For
1K ELECTION OF DIRECTOR: P.J. ROBERTSON Management For For
1L ELECTION OF DIRECTOR: K.W. SHARER Management For For
1M ELECTION OF DIRECTOR: C.R. SHOEMATE Management For For
1N ELECTION OF DIRECTOR: R.D. SUGAR Management For For
1O 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 INCREASE THE
NUMBER OF AUTHORIZED SHARES OF COMMON STOCK
04 ADOPT POLICY TO SEPARATE THE CEO/CHAIRMAN Shareholder For Against
POSITIONS
05 ADOPT POLICY AND REPORT ON HUMAN RIGHTS Shareholder Against For
06 REPORT ON ENVIRONMENTAL IMPACT OF CANADIAN OIL Shareholder Against For
SANDS OPERATIONS
07 ADOPT GOALS AND REPORT ON GREENHOUSE GAS Management Against For
EMISSIONS
08 REVIEW AND REPORT ON GUIDELINES FOR COUNTRY Shareholder Against For
SELECTION
09 REPORT ON HOST COUNTRY LAWS Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 30700 0 27-May-2008 27-May-2008
Page 53 of 56 07-Jul-2008
Investment Company Report
WEATHERFORD INTERNATIONAL LTD.
SECURITY G95089101 MEETING TYPE Annual
TICKER SYMBOL WFT MEETING DATE 02-Jun-2008
ISIN BMG950891017 AGENDA 932901451 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
1A ELECTION AS DIRECTOR: NICHOLAS F. BRADY Management For For
1B ELECTION AS DIRECTOR: WILLIAM E. MACAULAY Management For For
1C ELECTION AS DIRECTOR: DAVID J. BUTTERS Management For For
1D ELECTION AS DIRECTOR: ROBERT B. MILLARD Management For For
1E ELECTION AS DIRECTOR: BERNARD J. DUROC-DANNER Management For For
1F ELECTION AS DIRECTOR: ROBERT K. MOSES, JR. Management For For
1G ELECTION OF DIRECTOR: ROBERT A. RAYNE Management For For
02 APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For For
AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2008,
AND AUTHORIZATION OF THE AUDIT COMMITTEE OF THE
BOARD OF DIRECTORS TO SET ERNST & YOUNG LLP'S
REMUNERATION.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 34500 0 14-May-2008 14-May-2008
Page 54 of 56 07-Jul-2008
Investment Company Report
FREEPORT-MCMORAN COPPER & GOLD INC.
SECURITY 35671D857 MEETING TYPE Annual
TICKER SYMBOL FCX MEETING DATE 05-Jun-2008
ISIN US35671D8570 AGENDA 932893527 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 RICHARD C. ADKERSON For For
2 ROBERT J. ALLISON, JR. For For
3 ROBERT A. DAY For For
4 GERALD J. FORD For For
5 H. DEVON GRAHAM, JR. For For
6 J. BENNETT JOHNSTON For For
7 CHARLES C. KRULAK For For
8 BOBBY LEE LACKEY For For
9 JON C. MADONNA For For
10 DUSTAN E. MCCOY For For
11 GABRIELLE K. MCDONALD For For
12 JAMES R. MOFFETT For For
13 B.M. RANKIN, JR. For For
14 J. STAPLETON ROY For For
15 STEPHEN H. SIEGELE For For
16 J. TAYLOR WHARTON For For
02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP Management For For
AS INDEPENDENT AUDITORS.
03 APPROVAL OF THE PROPOSED AMENDMENT TO THE Management For For
FREEPORT-MCMORAN COPPER & GOLD INC. AMENDED
AND RESTATED CERTIFICATE OF INCORPORATION TO
INCREASE THE NUMBER OF AUTHORIZED SHARES OF
COMMON STOCK TO 1,800,000,000.
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 0 20500 07-May-2008 07-May-2008
Page 55 of 56 07-Jul-2008
Investment Company Report
CATERPILLAR INC.
SECURITY 149123101 MEETING TYPE Annual
TICKER SYMBOL CAT MEETING DATE 11-Jun-2008
ISIN US1491231015 AGENDA 932886736 -Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- ---- ------------------------------------------------ ---------- -------- -----------
01 DIRECTOR Management
1 W. FRANK BLOUNT For For
2 JOHN R. BRAZIL For For
3 EUGENE V. FIFE For For
4 GAIL D. FOSLER For For
5 PETER A. MAGOWAN For For
02 RATIFY AUDITORS Management For For
03 STOCKHOLDER PROPOSAL-ANNUAL ELECTION OF Shareholder For Against
DIRECTORS
04 STOCKHOLDER PROPOSAL-DIRECTOR ELECTION Management For Against
MAJORITY VOTE STANDARD
05 STOCKHOLDER PROPOSAL-FOREIGN MILITARY SALES Shareholder Against For
UNAVAILABLE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES SHARES VOTE DATE DATE CONFIRMED
- -------------- --------- ------------- ----------- ----------- --------------
997IBE1 837 25392 2708 06-Jun-2008 06-Jun-2008
Page 56 of 56 07-Jul-2008
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 20, 2008
* Print the name and title of each signing officer under his or her
signature
By the Commission