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)
100 High Street, Room 1000
Boston, MA 02110
David Randall
100 High 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, 2010
Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (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
NIKE, INC.
SECURITY 654106103 MEETING TYPE Annual
TICKER SYMBOL NKE MEETING DATE 21-Sep-2009
ISIN US6541061031 AGENDA 933126941 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 JILL K. CONWAY For For
2 ALAN B. GRAF, JR. For For
3 JOHN C. LECHLEITER For For
02 TO APPROVE AN AMENDMENT TO THE NIKE, INC. Management Against Against
EMPLOYEE STOCK PURCHASE PLAN.
03 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
Page 1 of 49 23-Jul-2010
Investment Company Report
ORACLE CORPORATION
SECURITY 68389X105 MEETING TYPE Annual
TICKER SYMBOL ORCL MEETING DATE 07-Oct-2009
ISIN US68389X1054 AGENDA 933133528 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 JEFFREY S. BERG For For
2 H. RAYMOND BINGHAM For For
3 MICHAEL J. BOSKIN For For
4 SAFRA A. CATZ For For
5 BRUCE R. CHIZEN For For
6 GEORGE H. CONRADES For For
7 LAWRENCE J. ELLISON For For
8 HECTOR GARCIA-MOLINA For For
9 JEFFREY O. HENLEY For For
10 DONALD L. LUCAS For For
11 CHARLES E. PHILLIPS, JR For For
12 NAOMI O. SELIGMAN For For
02 PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF THE Management Against Against
FISCAL YEAR 2010 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, 2010.
04 STOCKHOLDER PROPOSAL REGARDING SPECIAL Shareholder For Against
STOCKHOLDER MEETINGS.
05 STOCKHOLDER PROPOSAL REGARDING ADVISORY VOTE Shareholder Against For
ON EXECUTIVE COMPENSATION.
06 STOCKHOLDER PROPOSAL REGARDING EQUITY Shareholder For Against
RETENTION POLICY.
Page 2 of 49 23-Jul-2010
Investment Company Report
THE PROCTER & GAMBLE COMPANY
SECURITY 742718109 MEETING TYPE Annual
TICKER SYMBOL PG MEETING DATE 13-Oct-2009
ISIN US7427181091 AGENDA 933134241 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: KENNETH I. CHENAULT Management For For
1B ELECTION OF DIRECTOR: SCOTT D. COOK Management For For
1C ELECTION OF DIRECTOR: RAJAT K. GUPTA Management For For
1D ELECTION OF DIRECTOR: A.G. LAFLEY Management For For
1E ELECTION OF DIRECTOR: CHARLES R. LEE Management For For
1F ELECTION OF DIRECTOR: LYNN M. MARTIN Management For For
1G ELECTION OF DIRECTOR: ROBERT A. MCDONALD Management For For
1H ELECTION OF DIRECTOR: W. JAMES MCNERNEY, JR. Management For For
1I ELECTION OF DIRECTOR: JOHNATHAN A. RODGERS Management For For
1J ELECTION OF DIRECTOR: RALPH SNYDERMAN, M.D. Management For For
1K ELECTION OF DIRECTOR: MARY AGNES WILDEROTTER Management For For
1L ELECTION OF DIRECTOR: PATRICIA A. WOERTZ Management For For
1M ELECTION OF DIRECTOR: ERNESTO ZEDILLO Management For For
02 RATIFY APPOINTMENT OF THE INDEPENDENT REGISTERED Management For For
PUBLIC ACCOUNTING FIRM
03 AMEND THE COMPANY'S CODE OF REGULATIONS Management For For
04 APPROVE THE PROCTER & GAMBLE 2009 STOCK AND Management Against Against
INCENTIVE COMPENSATION PLAN
05 SHAREHOLDER PROPOSAL #1 - CUMULATIVE VOTING Shareholder Against For
06 SHAREHOLDER PROPOSAL #2 - ADVISORY VOTE ON Shareholder Against For
EXECUTIVE COMPENSATION
Page 3 of 49 23-Jul-2010
Investment Company Report
CISCO SYSTEMS, INC.
SECURITY 17275R102 MEETING TYPE Annual
TICKER SYMBOL CSCO MEETING DATE 12-Nov-2009
ISIN US17275R1023 AGENDA 933147262 - 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: ARUN SARIN Management For For
1L ELECTION OF DIRECTOR: STEVEN M. WEST Management For For
1M ELECTION OF DIRECTOR: JERRY YANG Management For For
02 TO APPROVE THE AMENDMENT AND RESTATEMENT OF Management Against Against
THE 2005 STOCK INCENTIVE PLAN, AS SET FORTH IN THE
ACCOMPANYING PROXY STATEMENT.
03 TO APPROVE THE AMENDMENT AND RESTATEMENT OF Management Against Against
THE EMPLOYEE STOCK PURCHASE PLAN, AS SET FORTH IN
THE ACCOMPANYING PROXY STATEMENT.
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 31, 2010.
05 PROPOSAL SUBMITTED BY A SHAREHOLDER TO AMEND Shareholder Against For
CISCO'S BYLAWS TO ESTABLISH A BOARD COMMITTEE ON
HUMAN RIGHTS.
06 PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING Shareholder Against For
THE BOARD TO ADOPT A POLICY THAT SHAREHOLDERS BE
PROVIDED THE OPPORTUNITY, AT EACH ANNUAL MEETING
OF SHAREHOLDERS, TO VOTE ON AN ADVISORY
RESOLUTION TO RATIFY THE COMPENSATION OF THE
NAMED EXECUTIVE OFFICERS DESCRIBED IN THE PROXY
STATEMENT FOR THE ANNUAL MEETING.
07 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.
Page 4 of 49 23-Jul-2010
Investment Company Report
ENCANA CORPORATION
SECURITY 292505104 MEETING TYPE Special
TICKER SYMBOL ECA MEETING DATE 25-Nov-2009
ISIN CA2925051047 AGENDA 933159990 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 A SPECIAL RESOLUTION, THE FULL TEXT OF WHICH IS SET Management For For
FORTH IN APPENDIX "A" TO THE ACCOMPANYING
INFORMATION CIRCULAR, APPROVING AN ARRANGEMENT
PURSUANT TO SECTION 192 OF THE CANADA BUSINESS
CORPORATIONS ACT PURSUANT TO WHICH, AMONG
OTHER THINGS, COMMON SHAREHOLDERS OF ENCANA
WILL RECEIVE ONE NEW COMMON SHARE IN ENCANA AND
ONE COMMON SHARE IN A NEW PUBLIC COMPANY CALLED
"CENOVUS ENERGY INC." IN EXCHANGE FOR EACH
COMMON SHARE OF ENCANA HELD.
02 AN ORDINARY RESOLUTION RATIFYING AND APPROVING Management Against Against
AN EMPLOYEE STOCK OPTION PLAN FOR CENOVUS
ENERGY INC.
03 AN ORDINARY RESOLUTION RATIFYING AND APPROVING A Management Against Against
SHAREHOLDER RIGHTS PLAN FOR CENOVUS ENERGY INC.
Page 5 of 49 23-Jul-2010
Investment Company Report
BHP BILLITON LIMITED
SECURITY 088606108 MEETING TYPE Annual
TICKER SYMBOL BHP MEETING DATE 26-Nov-2009
ISIN US0886061086 AGENDA 933149329 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 TO RECEIVE THE 2009 FINANCIAL STATEMENTS AND Management For For
REPORTS FOR BHP BILLITON LIMITED AND BHP BILLITON
PLC
02 TO RE-ELECT MR CARLOS CORDEIRO AS A DIRECTOR OF Management For For
BHP BILLITON LIMITED AND BHP BILLITON PLC
03 TO RE-ELECT MR DAVID CRAWFORD AS A DIRECTOR OF Management For For
BHP BILLITON LIMITED AND BHP BILLITON PLC
04 TO RE-ELECT THE HON E GAIL DE PLANQUE AS A Management For For
DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON
PLC
05 TO RE-ELECT MR MARIUS KLOPPERS AS A DIRECTOR OF Management For For
BHP BILLITON LIMITED AND BHP BILLITON PLC
06 TO RE-ELECT MR DON ARGUS AS A DIRECTOR OF BHP Management For For
BILLITON LIMITED AND BHP BILLITON PLC
07 TO ELECT MR WAYNE MURDY AS A DIRECTOR OF BHP Management For For
BILLITON LIMITED AND BHP BILLITON PLC
08 TO REAPPOINT KPMG AUDIT PLC AS THE AUDITOR OF BHP Management For For
BILLITON PLC
09 TO RENEW THE GENERAL AUTHORITY TO ISSUE SHARES IN Management For For
BHP BILLITON PLC
10 TO RENEW THE DISAPPLICATION OF PRE-EMPTION RIGHTS Management Against Against
IN BHP BILLITON PLC
11 TO APPROVE THE REPURCHASE OF SHARES IN BHP Management For For
BILLITON PLC
12A TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LIMITED ON 30 APRIL
2010
12B TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LIMITED ON 17 JUNE
2010
12C TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LIMITED ON 15
SEPTEMBER 2010
12D TO APPROVE THE CANCELLATION OF SHARES IN BHP Management For For
BILLITON PLC HELD BY BHP BILLITON LIMITED ON 11
NOVEMBER 2010
13 TO APPROVE THE 2009 REMUNERATION REPORT Management For For
14 TO APPROVE THE GRANT OF AWARDS TO MR MARIUS Management Against Against
KLOPPERS UNDER THE GIS AND THE LTIP
Page 6 of 49 23-Jul-2010
Investment Company Report
COSTCO WHOLESALE CORPORATION
SECURITY 22160K105 MEETING TYPE Annual
TICKER SYMBOL COST MEETING DATE 28-Jan-2010
ISIN US22160K1051 AGENDA 933175300 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 B.S. CARSON, SR., M.D. For For
2 WILLIAM H. GATES For For
3 HAMILTON E. JAMES For For
4 JILL S. RUCKELSHAUS For For
02 AMENDMENT OF COMPANY'S FOURTH RESTATED STOCK Management Against Against
INCENTIVE PLAN.
03 RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS. Management For For
Page 7 of 49 23-Jul-2010
Investment Company Report
EMERSON ELECTRIC CO.
SECURITY 291011104 MEETING TYPE Annual
TICKER SYMBOL EMR MEETING DATE 02-Feb-2010
ISIN US2910111044 AGENDA 933174586 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 C.A.H. BOERSIG* For For
2 C. FERNANDEZ G.* For For
3 W.J. GALVIN* For For
4 R.L. STEPHENSON* For For
5 V.R. LOUCKS, JR.** For For
6 R.L. RIDGWAY** For For
02 RE-APPROVAL OF THE PERFORMANCE MEASURES UNDER Management Against Against
THE EMERSON ELECTRIC CO. ANNUAL INCENTIVE PLAN.
03 RATIFICATION OF KPMG LLP AS INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM.
Page 8 of 49 23-Jul-2010
Investment Company Report
BANK OF AMERICA CORPORATION
SECURITY 060505104 MEETING TYPE Special
TICKER SYMBOL BAC MEETING DATE 23-Feb-2010
ISIN US0605051046 AGENDA 933183218 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 A PROPOSAL TO ADOPT AN AMENDMENT TO THE BANK OF Management For For
AMERICA CORPORATION AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION TO INCREASE THE
NUMBER OF AUTHORIZED SHARES OF COMMON STOCK
FROM 10 BILLION TO 11.3 BILLION.
02 A PROPOSAL TO APPROVE THE ADJOURNMENT OF THE Management For For
SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO
SOLICIT ADDITIONAL PROXIES, IN THE EVENT THAT THERE
ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL
MEETING TO APPROVE THE PROPOSAL SET FORTH
IN ITEM 1.
Page 9 of 49 23-Jul-2010
Investment Company Report
DEERE & COMPANY
SECURITY 244199105 MEETING TYPE Annual
TICKER SYMBOL DE MEETING DATE 24-Feb-2010
ISIN US2441991054 AGENDA 933182824 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: SAMUEL R. ALLEN Management For For
1B ELECTION OF DIRECTOR: AULANA L. PETERS Management For For
1C ELECTION OF DIRECTOR: DAVID B. SPEER Management For For
02 COMPANY PROPOSAL #1 - AMEND RESTATED CERTIFICATE Management For For
OF INCORPORATION TO PROVIDE FOR ANNUAL ELECTION
OF ALL DIRECTORS
03 COMPANY PROPOSAL #2 - AMEND THE JOHN DEERE Management Against Against
OMNIBUS EQUITY AND INCENTIVE PLAN
04 COMPANY PROPOSAL #3 - RE-APPROVE THE JOHN DEERE Management Against Against
SHORT-TERM INCENTIVE BONUS PLAN
05 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For
TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL 2010
06 STOCKHOLDER PROPOSAL #1 - CEO PAY DISPARITY Shareholder Against For
07 STOCKHOLDER PROPOSAL #2 - ADVISORY VOTE ON Shareholder Against For
EXECUTIVE COMPENSATION
08 STOCKHOLDER PROPOSAL #3 - SEPARATION OF CEO AND Shareholder For Against
CHAIRMAN RESPONSIBILITIES
Page 10 of 49 23-Jul-2010
Investment Company Report
APPLE INC.
SECURITY 037833100 MEETING TYPE Annual
TICKER SYMBOL AAPL MEETING DATE 25-Feb-2010
ISIN US0378331005 AGENDA 933180680 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 WILLIAM V. CAMPBELL Withheld Against
2 MILLARD S. DREXLER Withheld Against
3 ALBERT A. GORE, JR. Withheld Against
4 STEVEN P. JOBS Withheld Against
5 ANDREA JUNG Withheld Against
6 A.D. LEVINSON, PH.D. Withheld Against
7 JEROME B. YORK Withheld Against
02 TO APPROVE AMENDMENTS TO THE APPLE INC. 2003 Management Against Against
EMPLOYEE STOCK PLAN.
03 TO APPROVE AMENDMENTS TO THE APPLE INC. 1997 Management Against Against
DIRECTOR STOCK OPTION PLAN.
04 TO HOLD AN ADVISORY VOTE ON EXECUTIVE Management Against Against
COMPENSATION.
05 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS Management For For
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2010. THE BOARD OF
DIRECTORS RECOMMENDS A VOTE "AGAINST" PROPOSALS 6 AND 7.
06 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"SUSTAINABILITY REPORT," IF PROPERLY PRESENTED AT
THE MEETING.
07 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For
"AMEND CORPORATE BYLAWS ESTABLISHING A BOARD
COMMITTEE ON SUSTAINABILITY," IF PROPERLY
PRESENTED AT THE MEETING.
Page 11 of 49 23-Jul-2010
Investment Company Report
QUALCOMM, INCORPORATED
SECURITY 747525103 MEETING TYPE Annual
TICKER SYMBOL QCOM MEETING DATE 02-Mar-2010
ISIN US7475251036 AGENDA 933181620 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 BARBARA T. ALEXANDER For For
2 STEPHEN M. BENNETT For For
3 DONALD G. CRUICKSHANK For For
4 RAYMOND V. DITTAMORE For For
5 THOMAS W. HORTON For For
6 IRWIN MARK JACOBS For For
7 PAUL E. JACOBS For For
8 ROBERT E. KAHN For For
9 SHERRY LANSING For For
10 DUANE A. NELLES For For
11 BRENT SCOWCROFT For For
12 MARC I. STERN For For
02 TO APPROVE AN AMENDMENT TO THE 2006 LONG-TERM Management Against Against
INCENTIVE PLAN TO INCREASE THE SHARE RESERVE BY
13,000,000 SHARES.
03 TO RATIFY THE SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING
SEPTEMBER 26, 2010.
Page 12 of 49 23-Jul-2010
Investment Company Report
AMERICA MOVIL, S.A.B. DE C.V.
SECURITY 02364W105 MEETING TYPE Annual
TICKER SYMBOL AMX MEETING DATE 17-Mar-2010
ISIN US02364W1053 AGENDA 933202614 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
I APPROVAL OF A PROPOSAL TO CARRY OUT OPERATIONS Management For
REPRESENTING 20% (TWENTY PER CENT) OR MORE OF
THE COMPANY'S CONSOLIDATED ASSETS AS SET FORTH
IN THE COMPANY'S FOURTH QUARTER 2009 FINANCIAL
AND OPERATING REPORT, IN COMPLIANCE WITH
PROVISION SEVENTEENTH OF THE COMPANY'S BY-LAWS
AND ARTICLE 47 OF THE MEXICAN SECURITIES MARKET
LAW. ADOPTIONS OF RESOLUTIONS THEREOF.
II APPOINTMENT OF DELEGATES TO EXECUTE AND, IF Management For
APPLICABLE, FORMALIZE THE RESOLUTIONS ADOPTED BY
THE MEETING. ADOPTION OF RESOLUTIONS THEREOF.
Page 13 of 49 23-Jul-2010
Investment Company Report
SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.)
SECURITY 806857108 MEETING TYPE Annual
TICKER SYMBOL SLB MEETING DATE 07-Apr-2010
ISIN AN8068571086 AGENDA 933201395 - 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 L.R. REIF For For
9 T.I. SANDVOLD For For
10 H. SEYDOUX For For
11 P. CURRIE For For
12 K.V. KAMATH For For
02 PROPOSAL TO ADOPT AND APPROVE FINANCIALS AND Management For For
DIVIDENDS.
03 PROPOSAL TO APPROVE THE ADOPTION OF THE Management Against Against
SCHLUMBERGER 2010 STOCK INCENTIVE PLAN.
04 PROPOSAL TO APPROVE THE ADOPTION OF AN Management Against Against
AMENDMENT TO THE SCHLUMBERGER DISCOUNTED
STOCK PURCHASE PLAN.
05 PROPOSAL TO APPROVE INDEPENDENT REGISTERED Management For For
PUBLIC ACCOUNTING FIRM.
Page 14 of 49 23-Jul-2010
Investment Company Report
AMERICA MOVIL, S.A.B. DE C.V.
SECURITY 02364W105 MEETING TYPE Special
TICKER SYMBOL AMX MEETING DATE 07-Apr-2010
ISIN US02364W1053 AGENDA 933223961 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 APPOINTMENT OR, AS THE CASE MAY BE, REELECTION OF Management For
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.
02 APPOINTMENT OF DELEGATES TO EXECUTE AND, IF Management For
APPLICABLE, FORMALIZE THE RESOLUTIONS ADOPTED BY
THE MEETING. ADOPTION OF RESOLUTIONS THEREON.
Page 15 of 49 23-Jul-2010
Investment Company Report
UNITED TECHNOLOGIES CORPORATION
SECURITY 913017109 MEETING TYPE Annual
TICKER SYMBOL UTX MEETING DATE 14-Apr-2010
ISIN US9130171096 AGENDA 933195530 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 LOUIS R. CHENEVERT For For
2 JOHN V. FARACI For For
3 JEAN-PIERRE GARNIER For For
4 JAMIE S. GORELICK For For
5 CARLOS M. GUTIERREZ For For
6 EDWARD A. KANGAS For For
7 CHARLES R. LEE For For
8 RICHARD D. MCCORMICK For For
9 HAROLD MCGRAW III For For
10 RICHARD B. MYERS For For
11 H. PATRICK SWYGERT For For
12 ANDRE VILLENEUVE For For
13 CHRISTINE TODD WHITMAN For For
02 APPOINTMENT OF THE FIRM OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITOR.
03 SHAREOWNER PROPOSAL: ADVISORY VOTE ON Shareholder Against For
EXECUTIVE COMPENSATION
Page 16 of 49 23-Jul-2010
Investment Company Report
T. ROWE PRICE GROUP, INC.
SECURITY 74144T108 MEETING TYPE Annual
TICKER SYMBOL TROW MEETING DATE 14-Apr-2010
ISIN US74144T1088 AGENDA 933196481 - 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 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For
OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2010.
Page 17 of 49 23-Jul-2010
Investment Company Report
NESTLE S.A.
SECURITY 641069406 MEETING TYPE Annual
TICKER SYMBOL NSRGY MEETING DATE 15-Apr-2010
ISIN US6410694060 AGENDA 933209529 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A APPROVAL OF ANNUAL REPORT, FIN. STATEMENTS OF Management For For
NESTLE S.A. AND CONSOLIDATED FIN. STATEMENTS OF
THE NESTLE GROUP FOR 2009.
1B ACCEPTANCE OF THE COMPENSATION REPORT 2009 (NON- Management For For
BINDING ADVISORY VOTE).
02 RELEASE OF THE MEMBERS OF THE BOARD OF Management For For
DIRECTORS AND OF THE MANAGEMENT.
03 APPROPRIATION OF PROFITS RESULTING FROM THE Management For For
BALANCE SHEET OF NESTLE S.A. (PROPOSED DIVIDEND)
FOR THE FINANCIAL YEAR 2009.
4A1 RE-ELECTION TO THE BOARD OF DIRECTORS: MR. ANDRE Management For For
KUDELSKI (FOR A TERM OF THREE YEARS).
4A2 RE-ELECTION TO THE BOARD OF DIRECTORS: MR. JEAN- Management For For
RENE FOURTOU (FOR A TERM OF TWO YEARS).
4A3 RE-ELECTION TO THE BOARD OF DIRECTORS: MR. STEVEN Management For For
G. HOCH (FOR A TERM OF THREE YEARS).
4A4 RE-ELECTION TO THE BOARD OF DIRECTORS: MR. PETER Management For For
BRABECK-LETMATHE (FOR A TERM OF THREE YEARS).
4B1 ELECTION TO THE BOARD OF DIRECTOR: MRS. TITIA DE Management For For
LANGE (FOR A TERM OF THREE YEARS).
4B2 ELECTION TO THE BOARD OF DIRECTOR: MR. JEAN-PIERRE Management For For
ROTH (FOR A TERM OF THREE YEARS).
4C RE-ELECTION OF THE STATUTORY AUDITORS KPMG S.A., Management For For
GENEVA BRANCH (FOR A TERM OF ONE YEAR).
05 CAPITAL REDUCTION (BY CANCELLATION OF SHARES). Management For For
06 OTHER AMENDMENTS IN THE ARTICLES OF ASSOCIATION. Management For For
07 MARK THE "FOR" BOX TO THE RIGHT IF YOU WISH TO GIVE Management For
A PROXY TO INDEPENDENT REPRESENTATIVE, MR. JEAN-
LUDOVIC HARTMAN
Page 18 of 49 23-Jul-2010
Investment Company Report
FIFTH THIRD BANCORP
SECURITY 316773100 MEETING TYPE Annual
TICKER SYMBOL FITB MEETING DATE 20-Apr-2010
ISIN US3167731005 AGENDA 933197837 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1 DIRECTOR Management
1 DARRYL F. ALLEN For For
2 ULYSSES L. BRIDGEMAN For For
3 EMERSON L. BRUMBACK For For
4 JAMES P. HACKETT For For
5 GARY R. HEMINGER For For
6 JEWELL D. HOOVER For For
7 KEVIN T. KABAT For For
8 MITCHEL D. LIVINGSTON For For
9 HENDRIK G. MEIJER For For
10 JOHN J. SCHIFF, JR. For For
11 DUDLEY S. TAFT For For
12 MARSHA C. WILLIAMS For For
2 TO AMEND THE ARTICLES OF INCORPORATION AND CODE Management For For
OF REGULATIONS TO PROVIDE FOR MAJORITY VOTING IN
UNCONTESTED ELECTIONS OF DIRECTORS.
3 TO AMEND THE ARTICLES OF INCORPORATION AND CODE Management Against Against
OF REGULATIONS TO ELIMINATE CUMULATIVE VOTING IN
ELECTIONS OF DIRECTORS.
4 THE PROPOSAL DESCRIBED IN THE PROXY STATEMENT TO Management Against Against
AMEND THE CODE OF REGULATIONS TO PERMIT THE
DIRECTORS TO FURTHER AMEND THE CODE OF
REGULATIONS WITHOUT SHAREHOLDER CONSENT TO THE
EXTENT PERMITTED BY OHIO LAW.
5 APPROVAL OF AN ADVISORY VOTE ON EXECUTIVE Management Against Against
COMPENSATION.
6 APPROVAL OF THE APPOINTMENT OF THE FIRM OF Management For For
DELOITTE & TOUCHE LLP TO SERVE AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
COMPANY FOR THE YEAR 2010.
7 PROPOSAL TO REQUEST THAT THE BOARD OF DIRECTORS Shareholder Against For
ADOPT A POLICY THAT THE CHAIRMAN OF THE BOARD
SHALL BE A DIRECTOR WHO IS INDEPENDENT FROM FIFTH
THIRD.
Page 19 of 49 23-Jul-2010
Investment Company Report
ENCANA CORPORATION
SECURITY 292505104 MEETING TYPE Annual and Special Meeting
TICKER SYMBOL ECA MEETING DATE 21-Apr-2010
ISIN CA2925051047 AGENDA 933212879 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 PETER A. DEA For For
2 RANDALL K. ERESMAN For For
3 CLAIRE S. FARLEY For For
4 FRED J. FOWLER For For
5 BARRY W. HARRISON For For
6 SUZANNE P. NIMOCKS For For
7 DAVID P. O'BRIEN For For
8 JANE L. PEVERETT For For
9 ALLAN P. SAWIN For For
10 BRUCE G. WATERMAN For For
11 CLAYTON H. WOITAS For For
02 APPOINTMENT OF AUDITORS - Management For For
PRICEWATERHOUSECOOPERS LLP AT A REMUNERATION
TO FIXED BY THE BOARD OF DIRECTORS.
03 AMENDMENT AND RECONFIRMATION OF THE Management For For
SHAREHOLDER RIGHTS PLAN.
04 CONFIRMATION OF AMENDMENTS TO BY-LAW NO. 1. Management For For
Page 20 of 49 23-Jul-2010
Investment Company Report
JOHNSON & JOHNSON
SECURITY 478160104 MEETING TYPE Annual
TICKER SYMBOL JNJ MEETING DATE 22-Apr-2010
ISIN US4781601046 AGENDA 933205963 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: MARY SUE COLEMAN Management For For
1B ELECTION OF DIRECTOR: JAMES G. CULLEN Management For For
1C ELECTION OF DIRECTOR: MICHAEL M.E. JOHNS Management For For
1D ELECTION OF DIRECTOR: SUSAN L. LINDQUIST Management For For
1E ELECTION OF DIRECTOR: ANNE M. MULCAHY Management For For
1F ELECTION OF DIRECTOR: LEO F. MULLIN Management For For
1G ELECTION OF DIRECTOR: WILLIAM D. PEREZ Management For For
1H ELECTION OF DIRECTOR: CHARLES PRINCE Management For For
1I ELECTION OF DIRECTOR: DAVID SATCHER Management For For
1J ELECTION OF DIRECTOR: WILLIAM C. WELDON Management For For
02 RATIFICATION OF APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2010
03 ADVISORY VOTE ON EXECUTIVE COMPENSATION Shareholder Against For
04 SPECIAL SHAREOWNER MEETINGS Shareholder For Against
Page 21 of 49 23-Jul-2010
Investment Company Report
PETROLEO BRASILEIRO S.A. - PETROBRAS
SECURITY 71654V101 MEETING TYPE Annual
TICKER SYMBOL PBRA MEETING DATE 22-Apr-2010
ISIN US71654V1017 AGENDA 933245296 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
O4 ELECTION OF MEMBERS OF THE BOARD OF DIRECTORS Management For For
O6 ELECTION OF MEMBERS OF THE AUDIT BOARD AND THEIR Management For For
RESPECTIVE SUBSTITUTES
Page 22 of 49 23-Jul-2010
Investment Company Report
INTERNATIONAL BUSINESS MACHINES CORP.
SECURITY 459200101 MEETING TYPE Annual
TICKER SYMBOL IBM MEETING DATE 27-Apr-2010
ISIN US4592001014 AGENDA 933199653 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: A.J.P. BELDA Management For For
1B ELECTION OF DIRECTOR: C. BLACK Management For For
1C ELECTION OF DIRECTOR: W.R. BRODY Management For For
1D ELECTION OF DIRECTOR: K.I. CHENAULT Management For For
1E ELECTION OF DIRECTOR: M.L. ESKEW Management For For
1F ELECTION OF DIRECTOR: S.A. JACKSON Management For For
1G ELECTION OF DIRECTOR: A.N. LIVERIS Management For For
1H ELECTION OF DIRECTOR: W.J. MCNERNEY, JR. Management For For
1I ELECTION OF DIRECTOR: T. NISHIMURO Management For For
1J ELECTION OF DIRECTOR: J.W. OWENS Management For For
1K ELECTION OF DIRECTOR: S.J. PALMISANO Management For For
1L ELECTION OF DIRECTOR: J.E. SPERO Management For For
1M ELECTION OF DIRECTOR: S. TAUREL Management For For
1N ELECTION OF DIRECTOR: L.H. ZAMBRANO Management For For
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM
03 STOCKHOLDER PROPOSAL ON EXECUTIVE Shareholder For Against
COMPENSATION ANNUAL INCENTIVE PAYOUT
04 STOCKHOLDER PROPOSAL ON CUMULATIVE VOTING Shareholder For Against
05 STOCKHOLDER PROPOSAL ON NEW THRESHOLD FOR Shareholder For Against
CALLING SPECIAL MEETINGS
06 STOCKHOLDER PROPOSAL ON ADVISORY VOTE ON Shareholder For Against
EXECUTIVE COMPENSATION.
Page 23 of 49 23-Jul-2010
Investment Company Report
UNITED STATES STEEL CORPORATION
SECURITY 912909108 MEETING TYPE Annual
TICKER SYMBOL X MEETING DATE 27-Apr-2010
ISIN US9129091081 AGENDA 933201624 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 JOHN G. DROSDICK For For
2 CHARLES R. LEE For For
3 JEFFREY M. LIPTON For For
4 DAN O. DINGES For For
02 APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
03 APPROVAL OF AMENDMENT AND RESTATEMENT OF 2005 Management Against Against
STOCK INCENTIVE PLAN.
04 APPROVAL OF 2010 ANNUAL INCENTIVE COMPENSATION Management Against Against
PLAN.
Page 24 of 49 23-Jul-2010
Investment Company Report
WELLS FARGO & COMPANY
SECURITY 949746101 MEETING TYPE Annual
TICKER SYMBOL WFC MEETING DATE 27-Apr-2010
ISIN US9497461015 AGENDA 933204593 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: JOHN D. BAKER II Management For For
1B ELECTION OF DIRECTOR: JOHN S. CHEN Management For For
1C ELECTION OF DIRECTOR: LLOYD H. DEAN Management For For
1D ELECTION OF DIRECTOR: SUSAN E. ENGEL Management For For
1E ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR. Management For For
1F ELECTION OF DIRECTOR: DONALD M. JAMES Management For For
1G ELECTION OF DIRECTOR: RICHARD D. MCCORMICK Management For For
1H ELECTION OF DIRECTOR: MACKEY J. MCDONALD Management For For
1I ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN Management For For
1J ELECTION OF DIRECTOR: NICHOLAS G. MOORE Management For For
1K ELECTION OF DIRECTOR: PHILIP J. QUIGLEY Management For For
1L ELECTION OF DIRECTOR: JUDITH M. RUNSTAD Management For For
1M ELECTION OF DIRECTOR: STEPHEN W. SANGER Management For For
1N ELECTION OF DIRECTOR: ROBERT K. STEEL Management For For
1O ELECTION OF DIRECTOR: JOHN G. STUMPF Management For For
1P ELECTION OF DIRECTOR: SUSAN G. SWENSON Management For For
02 PROPOSAL TO APPROVE A NON-BINDING ADVISORY Management Against Against
RESOLUTION REGARDING THE COMPENSATION OF THE
COMPANY'S NAMED EXECUTIVES.
03 PROPOSAL TO APPROVE AN AMENDMENT TO THE Management For For
COMPANY'S CERTIFICATE OF INCORPORATION TO
INCREASE THE COMPANY'S AUTHORIZED SHARES OF
COMMON STOCK FROM 6 BILLION TO 9 BILLION.
04 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS Management For For
INDEPENDENT AUDITORS FOR 2010.
05 STOCKHOLDER PROPOSAL REGARDING AN ADVISORY Shareholder For Against
VOTE ON EXECUTIVE AND DIRECTOR COMPENSATION.
06 STOCKHOLDER PROPOSAL REGARDING A POLICY TO Shareholder For Against
REQUIRE AN INDEPENDENT CHAIRMAN.
07 STOCKHOLDER PROPOSAL REGARDING A REPORT ON Shareholder Against For
CHARITABLE CONTRIBUTIONS.
08 STOCKHOLDER PROPOSAL REGARDING A REPORT ON Shareholder Against For
POLITICAL CONTRIBUTIONS.
Page 25 of 49 23-Jul-2010
Investment Company Report
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 28-Apr-2010
ISIN US3696041033 AGENDA 933200090 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
A1 ELECTION OF DIRECTOR: W. GEOFFREY BEATTIE Management For For
A2 ELECTION OF DIRECTOR: JAMES I. CASH, JR. Management For For
A3 ELECTION OF DIRECTOR: WILLIAM M. CASTELL Management For For
A4 ELECTION OF DIRECTOR: ANN M. FUDGE 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
B1 RATIFICATION OF KPMG Management For For
C1 SHAREOWNER PROPOSAL: CUMULATIVE VOTING Shareholder For Against
C2 SHAREOWNER PROPOSAL: SPECIAL SHAREOWNER Shareholder For Against
MEETINGS
C3 SHAREOWNER PROPOSAL: INDEPENDENT BOARD Shareholder For Against
CHAIRMAN
C4 SHAREOWNER PROPOSAL: PAY DISPARITY Shareholder Against For
C5 SHAREOWNER PROPOSAL: KEY BOARD COMMITTEES Shareholder Against For
C6 SHAREOWNER PROPOSAL: ADVISORY VOTE ON Shareholder Against For
EXECUTIVE COMPENSATION
Page 26 of 49 23-Jul-2010
Investment Company Report
BANK OF AMERICA CORPORATION
SECURITY 060505104 MEETING TYPE Annual
TICKER SYMBOL BAC MEETING DATE 28-Apr-2010
ISIN US0605051046 AGENDA 933203111 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: SUSAN S. BIES Management For For
1B ELECTION OF DIRECTOR: WILLIAM P. BOARDMAN Management For For
1C ELECTION OF DIRECTOR: FRANK P. BRAMBLE, SR. Management For For
1D ELECTION OF DIRECTOR: VIRGIS W. COLBERT Management For For
1E ELECTION OF DIRECTOR: CHARLES K. GIFFORD Management For For
1F ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR. Management For For
1G ELECTION OF DIRECTOR: D. PAUL JONES, JR. Management For For
1H ELECTION OF DIRECTOR: MONICA C. LOZANO Management For For
1I ELECTION OF DIRECTOR: THOMAS J. MAY Management For For
1J ELECTION OF DIRECTOR: BRIAN T. MOYNIHAN Management For For
1K ELECTION OF DIRECTOR: DONALD E. POWELL Management For For
1L ELECTION OF DIRECTOR: CHARLES O. ROSSOTTI Management For For
1M ELECTION OF DIRECTOR: ROBERT W. SCULLY Management For For
02 A PROPOSAL TO RATIFY THE REGISTERED INDEPENDENT Management For For
PUBLIC ACCOUNTING FIRM FOR 2010
03 A PROPOSAL TO ADOPT AN AMENDMENT TO THE BANK OF Management Against Against
AMERICA AMENDED AND RESTATED CERTIFICATE OF
INCORPORATION TO INCREASE THE NUMBER OF
AUTHORIZED SHARES OF COMMON STOCK FROM 11.3
BILLION TO 12.8 BILLION
04 AN ADVISORY (NON-BINDING) VOTE APPROVING Management Against Against
EXECUTIVE COMPENSATION
05 A PROPOSAL TO APPROVE AN AMENDMENT TO THE 2003 Management Against Against
KEY ASSOCIATE STOCK PLAN
06 STOCKHOLDER PROPOSAL - DISCLOSURE OF Shareholder Against For
GOVERNMENT EMPLOYMENT
07 STOCKHOLDER PROPOSAL - NON-DEDUCTIBLE PAY Shareholder Against For
08 STOCKHOLDER PROPOSAL - SPECIAL STOCKHOLDER Shareholder For Against
MEETINGS
09 STOCKHOLDER PROPOSAL - ADVISORY VOTE ON Shareholder For Against
EXECUTIVE COMPENSATION
10 STOCKHOLDER PROPOSAL - SUCCESSION PLANNING Shareholder Against For
11 STOCKHOLDER PROPOSAL - DERIVATIVES TRADING Shareholder Against For
12 STOCKHOLDER PROPOSAL - RECOUP INCENTIVE Shareholder Against For
COMPENSATION
Page 27 of 49 23-Jul-2010
Investment Company Report
CORNING INCORPORATED
SECURITY 219350105 MEETING TYPE Annual
TICKER SYMBOL GLW MEETING DATE 29-Apr-2010
ISIN US2193501051 AGENDA 933203541 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: ROBERT F. CUMMINGS, JR. Management For For
1B ELECTION OF DIRECTOR: CARLOS M. GUTIERREZ Management For For
1C ELECTION OF DIRECTOR: WILLIAM D. SMITHBURG Management Against Against
1D ELECTION OF DIRECTOR: HANSEL E. TOOKES II Management For For
1E ELECTION OF DIRECTOR: WENDELL P. WEEKS Management For For
02 RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS CORNING'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS.
03 APPROVAL OF THE 2010 VARIABLE COMPENSATION PLAN. Management Against Against
04 APPROVAL OF THE 2010 EQUITY PLAN FOR NON- Management Against Against
EMPLOYEE DIRECTORS.
05 APPROVAL OF THE AMENDMENT AND RESTATEMENT OF Management For For
THE RESTATED CERTIFICATE OF INCORPORATION TO
DECLASSIFY THE BOARD OF DIRECTORS.
06 SHAREHOLDER PROPOSAL CONCERNING VOTING. Shareholder For Against
Page 28 of 49 23-Jul-2010
Investment Company Report
CME GROUP
SECURITY 12572Q105 MEETING TYPE Annual
TICKER SYMBOL CME MEETING DATE 05-May-2010
ISIN US12572Q1058 AGENDA 933210495 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 TERRENCE A. DUFFY For For
2 CHARLES P. CAREY For For
3 MARK E. CERMAK For For
4 MARTIN J. GEPSMAN For For
5 LEO MELAMED For For
6 JOSEPH NICIFORO For For
7 C.C. ODOM II For For
8 JOHN F. SANDNER For For
9 DENNIS A. SUSKIND For For
02 TO RATIFY ERNST & YOUNG LLP AS OUR INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM.
Page 29 of 49 23-Jul-2010
Investment Company Report
PEPSICO, INC.
SECURITY 713448108 MEETING TYPE Annual
TICKER SYMBOL PEP MEETING DATE 05-May-2010
ISIN US7134481081 AGENDA 933213388 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: S.L. BROWN Management For For
1B ELECTION OF DIRECTOR: I.M. COOK Management For For
1C ELECTION OF DIRECTOR: D. DUBLON Management For For
1D ELECTION OF DIRECTOR: V.J. DZAU Management For For
1E ELECTION OF DIRECTOR: R.L. HUNT Management For For
1F ELECTION OF DIRECTOR: A. IBARGUEN Management For For
1G ELECTION OF DIRECTOR: A.C. MARTINEZ Management For For
1H ELECTION OF DIRECTOR: I.K. NOOYI Management For For
1I ELECTION OF DIRECTOR: S.P. ROCKEFELLER Management For For
1J ELECTION OF DIRECTOR: J.J. SCHIRO Management For For
1K ELECTION OF DIRECTOR: L.G. TROTTER Management For For
1L ELECTION OF DIRECTOR: D. VASELLA Management For For
02 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTANTS.
03 APPROVAL OF AMENDMENT TO PEPSICO, INC. 2007 LONG- Management Against Against
TERM INCENTIVE PLAN.
04 SHAREHOLDER PROPOSAL - CHARITABLE CONTRIBUTIONS Shareholder Against For
REPORT (PROXY STATEMENT P. 67)
05 SHAREHOLDER PROPOSAL - RIGHT TO CALL SPECIAL Shareholder For Against
SHAREHOLDERS MEETING (PROXY STATEMENT P. 68)
06 SHAREHOLDER PROPOSAL - PUBLIC POLICY REPORT Shareholder Against For
(PROXY STATEMENT P. 70)
Page 30 of 49 23-Jul-2010
Investment Company Report
KINROSS GOLD CORPORATION
SECURITY 496902404 MEETING TYPE Annual
TICKER SYMBOL KGC MEETING DATE 05-May-2010
ISIN CA4969024047 AGENDA 933228579 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 JOHN A. BROUGH For For
2 TYE W. BURT For For
3 JOHN K. CARRINGTON For For
4 JOHN M.H. HUXLEY For For
5 JOHN A. KEYES For For
6 C. MCLEOD-SELTZER For For
7 GEORGE F. MICHALS For For
8 JOHN E. OLIVER For For
9 TERENCE C.W. REID For For
02 TO APPROVE THE APPOINTMENT OF KPMG LLP, Management For For
CHARTERED ACCOUNTANTS, AS AUDITORS OF THE
COMPANY FOR THE ENSUING YEAR AND TO AUTHORIZE
THE DIRECTORS TO FIX THEIR REMUNERATION.
Page 31 of 49 23-Jul-2010
Investment Company Report
APACHE CORPORATION
SECURITY 037411105 MEETING TYPE Annual
TICKER SYMBOL APA MEETING DATE 06-May-2010
ISIN US0374111054 AGENDA 933215065 - 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 RATIFICATION OF ERNST & YOUNG AS APACHE'S Management For For
INDEPENDENT AUDITORS.
Page 32 of 49 23-Jul-2010
Investment Company Report
OCCIDENTAL PETROLEUM CORPORATION
SECURITY 674599105 MEETING TYPE Annual
TICKER SYMBOL OXY MEETING DATE 07-May-2010
ISIN US6745991058 AGENDA 933224761 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: SPENCER ABRAHAM Management For For
1B ELECTION OF DIRECTOR: JOHN S. CHALSTY Management For For
1C ELECTION OF DIRECTOR: STEPHEN I. CHAZEN Management For For
1D ELECTION OF DIRECTOR: EDWARD P. DJEREJIAN Management For For
1E ELECTION OF DIRECTOR: JOHN E. FEICK Management For For
1F ELECTION OF DIRECTOR: CARLOS M. GUTIERREZ Management For For
1G ELECTION OF DIRECTOR: RAY R. IRANI Management For For
1H ELECTION OF DIRECTOR: IRVIN W. MALONEY Management For For
1I ELECTION OF DIRECTOR: AVEDICK B. POLADIAN Management For For
1J ELECTION OF DIRECTOR: RODOLFO SEGOVIA Management For For
1K ELECTION OF DIRECTOR: AZIZ D. SYRIANI Management For For
1L ELECTION OF DIRECTOR: ROSEMARY TOMICH Management For For
1M ELECTION OF DIRECTOR: WALTER L. WEISMAN Management For For
02 RATIFICATION OF SELECTION OF KPMG AS INDEPENDENT Management For For
AUDITORS.
03 RE-APPROVAL OF PERFORMANCE GOALS UNDER Management For For
INCENTIVE PLAN PURSUANT TO TAX DEDUCTION RULES.
04 ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION Management Against Against
PHILOSOPHY AND PRACTICE.
05 ELIMINATION OF COMPENSATION OVER $500,000 PER Shareholder Against For
YEAR.
06 POLICY TO SEPARATE CHAIRMAN AND CHIEF EXECUTIVE Shareholder For Against
OFFICER ROLES.
07 PERCENTAGE OF STOCKHOLDER OWNERSHIP REQUIRED Shareholder For Against
TO CALL SPECIAL MEETING OF STOCKHOLDERS.
08 REPORT ON ASSESSMENT OF HOST COUNTRY LAWS. Shareholder Against For
09 DIRECTOR ELECTION BY MAJORITY STOCKHOLDER VOTE. Shareholder For Against
10 REPORT ON INCREASING INHERENT SECURITY OF Shareholder Against For
CHEMICAL FACILITIES.
11 POLICY ON ACCELERATED VESTING IN EVENT OF CHANGE Shareholder Against For
IN CONTROL.
Page 33 of 49 23-Jul-2010
Investment Company Report
THE GOLDMAN SACHS GROUP, INC.
SECURITY 38141G104 MEETING TYPE Annual
TICKER SYMBOL GS MEETING DATE 07-May-2010
ISIN US38141G1040 AGENDA 933232338 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: LLOYD C. BLANKFEIN Management For For
1B ELECTION OF DIRECTOR: JOHN H. BRYAN Management Against Against
1C ELECTION OF DIRECTOR: GARY D. COHN Management For For
1D ELECTION OF DIRECTOR: CLAES DAHLBACK Management For For
1E ELECTION OF DIRECTOR: STEPHEN FRIEDMAN Management For For
1F ELECTION OF DIRECTOR: WILLIAM W. GEORGE Management For For
1G ELECTION OF DIRECTOR: JAMES A. JOHNSON Management For For
1H ELECTION OF DIRECTOR: LOIS D. JULIBER Management For For
1I ELECTION OF DIRECTOR: LAKSHMI N. MITTAL Management For For
1J ELECTION OF DIRECTOR: JAMES J. SCHIRO Management For For
1K ELECTION OF DIRECTOR: H. LEE SCOTT, JR. Management For For
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR 2010
FISCAL YEAR
03 AN ADVISORY VOTE TO APPROVE EXECUTIVE Management For For
COMPENSATION MATTERS
04 APPROVAL OF AMENDMENTS TO OUR RESTATED Management For For
CERTIFICATE OF INCORPORATION TO ELIMINATE
SUPERMAJORITY VOTING
05 APPROVAL OF AN AMENDMENT TO OUR RESTATED Management For For
CERTIFICATE OF INCORPORATION TO PERMIT HOLDERS
OF 25% OF OUR OUTSTANDING SHARES OF COMMON
STOCK TO CALL SPECIAL MEETINGS
06 SHAREHOLDER PROPOSAL A REPORT ON CUMULATIVE Shareholder For Against
VOTING
07 SHAREHOLDER PROPOSAL REGARDING COLLATERAL IN Shareholder Against For
OVER-THE-COUNTER DERIVATIVES TRADING
08 SHAREHOLDER PROPOSAL REGARDING SEPARATE CHAIR Shareholder For Against
& CEO
09 SHAREHOLDER PROPOSAL REGARDING POLITICAL Shareholder Against For
CONTRIBUTIONS
10 SHAREHOLDER PROPOSAL REGARDING A REPORT ON Shareholder Against For
GLOBAL WARMING SCIENCE
11 SHAREHOLDER PROPOSAL REGARDING A REPORT ON PAY Shareholder Against For
DISPARITY
12 SHAREHOLDER PROPOSAL REGARDING EXECUTIVE Shareholder For Against
COMPENSATION AND LONG-TERM PERFORMANCE
Page 34 of 49 23-Jul-2010
Investment Company Report
DANAHER CORPORATION
SECURITY 235851102 MEETING TYPE Annual
TICKER SYMBOL DHR MEETING DATE 11-May-2010
ISIN US2358511028 AGENDA 933230536 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: STEVEN M. RALES Management For For
1B ELECTION OF DIRECTOR: JOHN T. SCHWIETERS Management For For
1C ELECTION OF DIRECTOR: ALAN G. SPOON Management 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,
2010.
03 TO ACT UPON A SHAREHOLDER PROPOSAL REQUESTING Shareholder For Against
THAT DANAHER'S BOARD OF DIRECTORS TAKE THE STEPS
NECESSARY TO DECLASSIFY THE BOARD OF DIRECTORS
WITHIN ONE YEAR, IF PROPERLY PRESENTED AT THE
MEETING.
Page 35 of 49 23-Jul-2010
Investment Company Report
MEDCO HEALTH SOLUTIONS, INC.
SECURITY 58405U102 MEETING TYPE Annual
TICKER SYMBOL MHS MEETING DATE 12-May-2010
ISIN US58405U1025 AGENDA 933210178 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: HOWARD W. BARKER, JR. Management For For
1B ELECTION OF DIRECTOR: JOHN L. CASSIS Management For For
1C ELECTION OF DIRECTOR: MICHAEL GOLDSTEIN Management For For
1D ELECTION OF DIRECTOR: CHARLES M. LILLIS Management For For
1E ELECTION OF DIRECTOR: MYRTLE S. POTTER Management For For
1F ELECTION OF DIRECTOR: WILLIAM L. ROPER Management For For
1G ELECTION OF DIRECTOR: DAVID B. SNOW, JR. Management For For
1H ELECTION OF DIRECTOR: DAVID D. STEVENS Management For For
1I ELECTION OF DIRECTOR: BLENDA J. WILSON Management For For
02 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY
FOR THE 2010 FISCAL YEAR
03 APPROVAL OF AN AMENDMENT TO THE CERTIFICATE OF Management For For
INCORPORATION TO PERMIT SHAREHOLDERS TO CALL
SPECIAL MEETINGS
Page 36 of 49 23-Jul-2010
Investment Company Report
AMERICAN TOWER CORPORATION
SECURITY 029912201 MEETING TYPE Annual
TICKER SYMBOL AMT MEETING DATE 12-May-2010
ISIN US0299122012 AGENDA 933215116 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: RAYMOND P. DOLAN Management For For
1B ELECTION OF DIRECTOR: RONALD M. DYKES Management For For
1C ELECTION OF DIRECTOR: CAROLYN F. KATZ Management For For
1D ELECTION OF DIRECTOR: GUSTAVO LARA CANTU Management For For
1E ELECTION OF DIRECTOR: JOANN A. REED Management For For
1F ELECTION OF DIRECTOR: PAMELA D.A. REEVE Management For For
1G ELECTION OF DIRECTOR: DAVID E. SHARBUTT Management For For
1H ELECTION OF DIRECTOR: JAMES D. TAICLET, JR. Management For For
1I ELECTION OF DIRECTOR: SAMME L. THOMPSON Management For For
02 RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE Management For For
LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2010.
Page 37 of 49 23-Jul-2010
Investment Company Report
CVS CAREMARK CORPORATION
SECURITY 126650100 MEETING TYPE Annual
TICKER SYMBOL CVS MEETING DATE 12-May-2010
ISIN US1266501006 AGENDA 933219152 - 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
2 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For
YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2010
FISCAL YEAR.
03 PROPOSAL TO ADOPT THE COMPANY'S 2010 INCENTIVE Management Against Against
COMPENSATION PLAN.
04 PROPOSAL TO ADOPT AN AMENDMENT TO THE Management For For
COMPANY'S CHARTER TO ALLOW STOCKHOLDERS TO
CALL SPECIAL MEETINGS.
05 STOCKHOLDER PROPOSAL REGARDING A REPORT ON Shareholder Against For
POLITICAL CONTRIBUTIONS AND EXPENDITURES.
06 STOCKHOLDER PROPOSAL REGARDING PRINCIPLES TO Shareholder Against For
STOP GLOBAL WARMING.
Page 38 of 49 23-Jul-2010
Investment Company Report
NATIONAL OILWELL VARCO, INC.
SECURITY 637071101 MEETING TYPE Annual
TICKER SYMBOL NOV MEETING DATE 12-May-2010
ISIN US6370711011 AGENDA 933226688 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: BEN A. GUILL Management For For
1B ELECTION OF DIRECTOR: ROGER L. JARVIS Management For For
1C ELECTION OF DIRECTOR: ERIC L. MATTSON Management For For
02 RATIFICATION OF INDEPENDENT AUDITORS Management For For
Page 39 of 49 23-Jul-2010
Investment Company Report
GOOGLE INC.
SECURITY 38259P508 MEETING TYPE Annual
TICKER SYMBOL GOOG MEETING DATE 13-May-2010
ISIN US38259P5089 AGENDA 933216738 - 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 ANN MATHER For For
7 PAUL S. OTELLINI For For
8 K. RAM SHRIRAM For For
9 SHIRLEY M. TILGHMAN For For
02 THE RATIFICATION OF ERNST & YOUNG LLP AS GOOGLE'S Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER 31, 2010.
03 THE APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 Management Against Against
STOCK PLAN TO INCREASE THE NUMBER OF AUTHORIZED
SHARES OF CLASS A COMMON STOCK ISSUABLE UNDER
THE PLAN BY 6,500,000.
04 A STOCKHOLDER PROPOSAL REGARDING A Shareholder Against For
SUSTAINABILITY REPORT, IF PROPERLY PRESENTED AT
THE MEETING.
05 A STOCKHOLDER PROPOSAL REGARDING ONLINE Shareholder Against For
ADVERTISING, PRIVACY, AND SENSITIVE INFORMATION, IF
PROPERLY PRESENTED AT THE MEETING.
06 A STOCKHOLDER PROPOSAL REGARDING THE ADOPTION Shareholder Against For
OF HUMAN RIGHTS PRINCIPLES WITH RESPECT TO
BUSINESS IN CHINA, IF PROPERLY PRESENTED AT THE
MEETING.
Page 40 of 49 23-Jul-2010
Investment Company Report
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 18-May-2010
ISIN US46625H1005 AGENDA 933226501 - 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: DAVID C. NOVAK Management For For
1J ELECTION OF DIRECTOR: LEE R. RAYMOND Management For For
1K ELECTION OF DIRECTOR: WILLIAM C. WELDON Management For For
02 APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM
03 ADVISORY VOTE ON EXECUTIVE COMPENSATION Management For For
04 POLITICAL NON-PARTISANSHIP Shareholder Against For
05 SPECIAL SHAREOWNER MEETINGS Shareholder For Against
06 COLLATERAL IN OVER THE COUNTER DERIVATIVES Shareholder Against For
TRADING
07 SHAREHOLDER ACTION BY WRITTEN CONSENT Shareholder For Against
08 INDEPENDENT CHAIRMAN Shareholder Against For
09 PAY DISPARITY Shareholder Against For
10 SHARE RETENTION Shareholder For Against
Page 41 of 49 23-Jul-2010
Investment Company Report
AKAMAI TECHNOLOGIES, INC.
SECURITY 00971T101 MEETING TYPE Annual
TICKER SYMBOL AKAM MEETING DATE 19-May-2010
ISIN US00971T1016 AGENDA 933242529 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: F. THOMSON LEIGHTON Management For For
1B ELECTION OF DIRECTOR: PAUL SAGAN Management For For
1C ELECTION OF DIRECTOR: NAOMI O. SELIGMAN 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, 2010.
Page 42 of 49 23-Jul-2010
Investment Company Report
MCDONALD'S CORPORATION
SECURITY 580135101 MEETING TYPE Annual
TICKER SYMBOL MCD MEETING DATE 20-May-2010
ISIN US5801351017 AGENDA 933232491 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1A ELECTION OF DIRECTOR: WALTER E. MASSEY Management For For
1B ELECTION OF DIRECTOR: JOHN W. ROGERS, JR. Management For For
1C ELECTION OF DIRECTOR: ROGER W. STONE Management For For
1D ELECTION OF DIRECTOR: MILES D. WHITE Management For For
02 APPROVAL OF THE APPOINTMENT OF AN INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM TO SERVE AS
INDEPENDENT AUDITORS FOR 2010.
03 SHAREHOLDER PROPOSAL RELATING TO SHAREHOLDER Shareholder Against For
VOTE ON EXECUTIVE COMPENSATION.
04 SHAREHOLDER PROPOSAL RELATING TO SIMPLE Shareholder For Against
MAJORITY VOTE.
05 SHAREHOLDER PROPOSAL RELATING TO THE USE OF Shareholder Against For
CONTROLLED ATMOSPHERE STUNNING.
06 SHAREHOLDER PROPOSAL RELATING TO THE USE OF Shareholder Against For
CAGE-FREE EGGS.
Page 43 of 49 23-Jul-2010
Investment Company Report
EXXON MOBIL CORPORATION
SECURITY 30231G102 MEETING TYPE Annual
TICKER SYMBOL XOM MEETING DATE 26-May-2010
ISIN US30231G1022 AGENDA 933239267 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 DIRECTOR Management
1 M.J. BOSKIN For For
2 P. BRABECK-LETMATHE For For
3 L.R. FAULKNER For For
4 J.S. FISHMAN For For
5 K.C. FRAZIER For For
6 W.W. GEORGE For For
7 M.C. NELSON For For
8 S.J. PALMISANO For For
9 S.S REINEMUND For For
10 R.W. TILLERSON For For
11 E.E. WHITACRE, JR. For For
02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 52) Management For For
03 SPECIAL SHAREHOLDER MEETINGS (PAGE 54) Shareholder For Against
04 INCORPORATE IN NORTH DAKOTA (PAGE 55) Shareholder Against For
05 SHAREHOLDER ADVISORY VOTE ON EXECUTIVE Shareholder Against For
COMPENSATION (PAGE 56)
06 AMENDMENT OF EEO POLICY (PAGE 57) Shareholder Against For
07 POLICY ON WATER (PAGE 59) Shareholder Against For
08 WETLANDS RESTORATION POLICY (PAGE 60) Shareholder Against For
09 REPORT ON CANADIAN OIL SANDS (PAGE 62) Shareholder Against For
10 REPORT ON NATURAL GAS PRODUCTION (PAGE 64) Shareholder Against For
11 REPORT ON ENERGY TECHNOLOGY (PAGE 65) Shareholder Against For
12 GREENHOUSE GAS EMISSIONS GOALS (PAGE 67) Shareholder Against For
13 PLANNING ASSUMPTIONS (PAGE 69) Shareholder Against For
Page 44 of 49 23-Jul-2010
Investment Company Report
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 26-May-2010
ISIN US1667641005 AGENDA 933241743 - 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: C. HAGEL Management For For
1F ELECTION OF DIRECTOR: E. HERNANDEZ Management For For
1G ELECTION OF DIRECTOR: F.G. JENIFER Management For For
1H ELECTION OF DIRECTOR: G.L. KIRKLAND Management For For
1I ELECTION OF DIRECTOR: S. NUNN Management Against Against
1J ELECTION OF DIRECTOR: D.B. RICE 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: J.G. STUMPF Management For For
1N ELECTION OF DIRECTOR: R.D. SUGAR Management For For
1O ELECTION OF DIRECTOR: C. WARE Management For For
1P ELECTION OF DIRECTOR: J.S. WATSON Management For For
02 RATIFICATION OF INDEPENDENT REGISTERED PUBLIC Management For For
ACCOUNTING FIRM
03 AMENDMENT TO CHEVRON'S BY-LAWS TO REDUCE THE Management For For
PERCENTAGE OF STOCKHOLDINGS REQUIRED FOR
STOCKHOLDERS TO CALL FOR SPECIAL MEETINGS
04 APPOINTMENT OF AN INDEPENDENT DIRECTOR WITH Shareholder Against For
ENVIRONMENTAL EXPERTISE
05 HOLDING EQUITY-BASED COMPENSATION THROUGH Shareholder For Against
RETIREMENT
06 DISCLOSURE OF PAYMENTS TO HOST GOVERNMENTS Shareholder Against For
07 GUIDELINES FOR COUNTRY SELECTION Shareholder Against For
08 FINANCIAL RISKS FROM CLIMATE CHANGE Shareholder Against For
09 HUMAN RIGHTS COMMITTEE Shareholder Against For
Page 45 of 49 23-Jul-2010
Investment Company Report
FREEPORT-MCMORAN COPPER & GOLD INC.
SECURITY 35671D857 MEETING TYPE Annual
TICKER SYMBOL FCX MEETING DATE 09-Jun-2010
ISIN US35671D8570 AGENDA 933262064 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
1 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 CHARLES C. KRULAK For For
7 BOBBY LEE LACKEY For For
8 JON C. MADONNA For For
9 DUSTAN E. MCCOY For For
10 JAMES R. MOFFETT For For
11 B. M. RANKIN, JR. For For
12 STEPHEN H. SIEGELE For For
2 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For For
LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3 ADOPTION OF THE AMENDED AND RESTATED 2006 STOCK Management Against Against
INCENTIVE PLAN.
4 STOCKHOLDER PROPOSAL REGARDING THE SELECTION Shareholder Against For
OF A CANDIDATE WITH ENVIRONMENTAL EXPERTISE TO BE
RECOMMENDED FOR ELECTION TO THE COMPANY'S
BOARD OF DIRECTORS.
5 STOCKHOLDER PROPOSAL REGARDING THE ADOPTION OF Shareholder For Against
A POLICY REQUIRING SENIOR EXECUTIVES TO RETAIN
SHARES ACQUIRED THROUGH EQUITY COMPENSATION
PROGRAMS UNTIL TWO YEARS FOLLOWING TERMINATION
OF THEIR EMPLOYMENT.
Page 46 of 49 23-Jul-2010
Investment Company Report
VALE S.A.
SECURITY 91912E105 MEETING TYPE Special
TICKER SYMBOL VALE MEETING DATE 22-Jun-2010
ISIN US91912E1055 AGENDA 933298069 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 APPOINTMENT OF A MEMBER OF BOARD OF DIRECTORS- Management For For
VALEPAR S.A. NOMINEE FOR THIS POSITION IS MR. JOSE
MAURO METTRAU CARNEIRO DA CUNHA. FOR MORE
DETAILS ON VALEPAR'S PROPOSAL, PLEASE REVIEW THE
DOCUMENTS RELATED TO THIS MEETING ON THE
COMPANY'S WEBPAGE.
Page 47 of 49 23-Jul-2010
Investment Company Report
TEVA PHARMACEUTICAL INDUSTRIES LIMITED
SECURITY 881624209 MEETING TYPE Annual
TICKER SYMBOL TEVA MEETING DATE 29-Jun-2010
ISIN US8816242098 AGENDA 933290532 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
- --------- ----------------------------------------------------------- ------------- ----------------- -----------
01 TO APPROVE THE BOARD OF DIRECTORS' Management For For
RECOMMENDATION THAT THE CASH DIVIDEND FOR THE
YEAR ENDED DECEMBER 31, 2009, WHICH WAS PAID IN
FOUR INSTALLMENTS AND AGGREGATED NIS 2.50
(APPROXIMATELY US$0.642, ACCORDING TO THE
APPLICABLE EXCHANGE RATES) PER ORDINARY SHARE
(OR ADS), BE DECLARED FINAL.
2A ELECTION OF DIRECTOR: MR. ABRAHAM E. COHEN Management For For
2B ELECTION OF DIRECTOR: MR. AMIR ELSTEIN Management For For
2C ELECTION OF DIRECTOR: PROF. ROGER KORNBERG Management For For
2D ELECTION OF DIRECTOR: PROF. MOSHE MANY Management For For
2E ELECTION OF DIRECTOR: MR. DAN PROPPER Management For For
03 TO APPOINT KESSELMAN & KESSELMAN, A MEMBER OF Management For For
PRICEWATERHOUSECOOPERS INTERNATIONAL LTD., AS
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM UNTIL THE 2011 ANNUAL MEETING OF
SHAREHOLDERS AND TO AUTHORIZE THE BOARD OF
DIRECTORS TO DETERMINE THEIR COMPENSATION
PROVIDED SUCH COMPENSATION IS ALSO APPROVED BY
THE AUDIT COMMITTEE.
04 TO APPROVE THE COMPANY'S 2010 LONG-TERM EQUITY- Management Against Against
BASED INCENTIVE PLAN.
5A APPROVE REMUNERATION OF DR. PHILLIP FROST, IN HIS Management For For
CAPACITY AS CHAIRMAN OF THE BOARD, EFFECTIVE AS OF
MARCH 9, 2010, IN THE AMOUNT OF NIS EQUIVALENT OF
USD 385,702 (AS OF MARCH 9, 2010) PER ANNUM, PLUS VAT
(AS APPLICABLE), AS ADJUSTED BY THE ISRAELI
CONSUMER PRICE INDEX (IN ADDITION TO PER MEETING
FEES PAID TO DIRECTORS), PROVISION TO DR. FROST, IN
HIS CAPACITY AS CHAIRMAN OF THE BOARD, OF AN
OFFICE AND SECRETARIAL SERVICES, AND, EFFECTIVE AS
OF FEBRUARY 15, 2010, ALL AS MORE FULLY DESCRIBED IN
THE PROXY STATEMENT.
5B TO APPROVE THE REMUNERATION OF PROF. MOSHE Management For For
MANY, IN HIS CAPACITY AS VICE CHAIRMAN OF THE BOARD
OF TEVA, EFFECTIVE AS OF MARCH 9, 2010, IN THE
AMOUNT OF THE NIS EQUIVALENT OF USD 150,000 (AS OF
MARCH 9, 2010) PER ANNUM, PLUS VAT (AS APPLICABLE),
AS ADJUSTED BY THE ISRAELI CONSUMER PRICE INDEX (IN
ADDITION TO PER MEETING FEES PAID TO DIRECTORS).
AND THE PROVISION TO PROF. MANY, IN HIS CAPACITY AS
VICE CHAIRMAN OF THE BOARD, OF SECRETARIAL
SERVICES.
Page 48 of 49 23-Jul-2010
Investment Company Report
5C TO APPROVE THE REMUNERATION OF PROF. ROGER Management For For
KORNBERG, IN HIS CAPACITY AS A DIRECTOR OF TEVA,
EFFECTIVE AS OF MAY 10, 2010, IN THE AMOUNT OF THE
NIS EQUIVALENT OF USD 150,000 (AS OF MAY 10, 2010) PER
ANNUM, PLUS VAT (AS APPLICABLE), AS ADJUSTED BY THE
ISRAELI CONSUMER PRICE INDEX (IN ADDITION TO PER
MEETING FEES PAID TO DIRECTORS).
06 TO APPROVE AN INCREASE IN THE REGISTERED SHARE Management For For
CAPITAL OF THE COMPANY BY NIS 100,000,000 TO A TOTAL
OF NIS 250,000,000 BY THE CREATION OF 1,000,000,000
ADDITIONAL ORDINARY SHARES OF PAR VALUE NIS 0.1
EACH, AND THE AMENDMENT OF THE COMPANY'S
INCORPORATION DOCUMENTS ACCORDINGLY.
Page 49 of 49 23-Jul-2010
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
/s/ William A. Oates
By (Signature and Title)* William A. Oates, President and Trustee
Date August 26, 2010
* Print the name and title of each signing officer under his or her
signature
By the Commission