UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
Investment Company Act File No. 811-09235
First Defined Portfolio Fund, LLC
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Exact Name of Registrant as Specified in Declaration of Trust
1001 Warrenville Road, Suite 300, Lisle, Illinois 60532
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
1001 Warrenville Road, Suite 300
Lisle, Illinois 60532
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 241-4141
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: December 31
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Date of reporting period: July 1, 2003 - June 30, 2004
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Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington,
DC 20549-0609. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. ss. 3507. SEC 2451 (4-03) Persons who are to
respond to the collection of information contained in this form are not required
to respond unless the form displays a currently valid OMB control number.
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
SKANDIA MANAGED VIP
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
5/11/2004 3M CO *MMM* 88579Y101 3/12/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Edward A. Brennan Withhold
1.2 Elect Director Michael L. Eskew For
1.3 Elect Director W. James McNerney, Jr. Withhold
1.4 Elect Director Kevin W. Sharer Withhold
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Separate Chairman and CEO Positions Against For ShrHoldr
6/23/2004 Able Laboratories Inc *ABRX* 00371N407 4/26/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
4/29/2004 Abn Amro Holding Nv *ABN* 000937102 4/2/2004
Meeting for Holders of ADRs
1 Approval of the 2003 Financial Statements. For For Mgmt
2 Approval of the Proposed 2003 Dividend. For For Mgmt
3 Discharge of the Members of the Managing Board in Respect For For Mgmt
of Their Management in 2003.
4 Discharge of the Members of the Supervisory Board in For For Mgmt
Respect of Their Supervision in 2003.
5 Changes in Remuneration Policy for Managing Board and Top For For Mgmt
Executives.
6 Ratify Auditors. For For Mgmt
7 Appointment of Supervisory Board Member: Nomination of For For Mgmt
Mrs. T.A. Maas-De Brouwer for Reappointment.
8 Appointment of Supervisory Board Member: Nomination of For For Mgmt
Mr. A.A. Olijslager for Appointment.
9 Cancellation of Preference Shares. For For Mgmt
10 Proposal to Amend the Articles of Association. For For Mgmt
11 Authorize the Managing Board, Subject to the Approval of For For Mgmt
the Supervisory Board, to Repurchase Shares in the
Company's Capital
12 Authorize the Managing Board for a Period of 18 Months, For For Mgmt
to Issue Ordinary Shares Up to 20% of Issued Capital.
13 Authorize the Managing Board to Restrict or Exclude the For For Mgmt
Pre- Emptive Rights Granted to Shareholders.
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/28/2004 Adobe Systems Inc. *ADBE* 00724F101 3/3/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Expense Stock Options Against For ShrHoldr
4 Adopt a Plocy that will Committ Executives to Hold Against For ShrHoldr
a Significant Percentage of their Shares
5 Ratify Auditors For For Mgmt
5/20/2004 ADVANCED MEDICAL OPTICS INC *AVO* 00763M108 3/26/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
4/22/2004 ALLTEL Corp. *AT* 020039103 2/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Ammend EEO - Sexual Orientation Against For ShrHoldr
4/26/2004 American Express Co. *AXP* 025816109 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Establish Term Limits for Directors Against Against ShrHoldr
4 Report on Political Contributions/Activities Against Against ShrHoldr
6/10/2004 American Power Conversion Corp. *APCC* 029066107 4/14/2004
1 Fix Number of Directors For For Mgmt
2 Elect Directors For Split Mgmt
2.1 Elect Director Rodger B. Dowdell, Jr. Withhold
2.2 Elect Director Emanuel E. Landsman Withhold
2.3 Elect Director Neil E. Rasmussen Withhold
2.4 Elect Director Ervin F. Lyon Withhold
2.5 Elect Director James D. Gerson For
2.6 Elect Director John G. Kassakian For
2.7 Elect Director John F. Keane, Sr. For
2.8 Elect Director Ellen B. Richstone For
3 Approve Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/6/2004 Apache Corp. *APA* 037411105 3/17/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Eugene C. Fiedorek For
1.2 Elect Director Patricia Albjerg Graham For
1.3 Elect Director F. H. Merelli Withhold
1.4 Elect Director Raymond Plank For
2 Report on Greenhouse Gas Emissions Against For ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
5/19/2004 AT&T Corp. *T* 01957505 3/25/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Establish Term Limits for Directors Against Against ShrHoldr
5 Submit Shareholder Rights Plan (Poison Pill) to Against For ShrHoldr
Shareholder Vote
6 Separate Chairman and CEO Positions Against For ShrHoldr
7 Report on Executive Compensation Against Against ShrHoldr
5/6/2004 Avon Products, Inc. *AVP* 054303102 3/15/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Edward T. Fogarty For
1.2 Elect Director Susan J. Kropf For
1.3 Elect Director Maria Elena Lagomasino Withhold
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Declassify the Board of Directors Against For ShrHoldr
5 Report on Feasibility of Removing Parabens from Company Against Against ShrHoldr
Products
6 Report on Feasibility of Removing Dibutyl Phthalate from Against Against ShrHoldr
Company Products
4/29/2004 Barclays Plc *BCS* 06738E204 3/23/2004
Meeting for Holders of ADRs
1 to Receive the Directors Report and the Accounts for the For For Mgmt
Year Ended 31St December 2003.
2 to Approve the Report On Remuneration for the Year Ended For For Mgmt
31St December 2003.
3 That Sir Richard Broadbent be Re-elected a Director of For For Mgmt
the Company.
4 That Roger Davis be Re-elected a Director of the Company. For For Mgmt
5 That Gary Hoffman be Re-elected a Director of the Company. For For Mgmt
6 That Naguib Kheraj be Re-elected a Director of the Company. For For Mgmt
7 That David Roberts be Re-elected a Director of the Company. For For Mgmt
8 That Sir Peter Middleton be Re-elected a Director of the For For Mgmt
Company.
9 That Stephen Russell be Re-elected a Director of the For For Mgmt
Company.
10 That Chris Lendrum be Re-elected a Director of the For For Mgmt
Company.
11 That Sir Brian Jenkins be Re-elected a Director of the For For Mgmt
Company.
12 Ratify Auditors. For For Mgmt
13 To Authorise the Directors to Set the Remuneration of the For For Mgmt
Auditors.
14 To Renew the Authority Given to Directors to Allot For For Mgmt
Securities for Cash Other Than On a Pro Rata Basis.
15 To Renew the Company S Authority to Purchase its own For For Mgmt
Shares. *Note-voting Cut-off Date: No Later Than April
22, 2004
4/14/2004 Barnes Group, Inc. *B* 067806109 2/17/2004
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Approve Deferred Compensation Plan For For Mgmt
4 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/26/2004 Bellsouth Corp. *BLS* 079860102 3/8/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Declassify the Board of Directors For For Mgmt
4 Approve Omnibus Stock Plan For For Mgmt
5 Limit Executive Compensation Against Against ShrHoldr
6 Limit Executive Compensation Against Against ShrHoldr
7 Report on Political Contributions/Activities Against Against ShrHoldr
6/11/2004 Bentley Pharmaceuticals, Inc. *BNT* 082657107 4/13/2004
1 Elect Directors For For Mgmt
2 Eliminate Right to Act by Written Consent For Against Mgmt
3 Amend the Classified Board Provisions For Against Mgmt
4 Eliminate the Director and Office Indemnification Provision For For Mgmt
4/21/2004 British American Tobacco Plc *BTI* 110448107 3/15/2004
Meeting for Holders of ADRs
1 To Receive the Report and Accounts For For Mgmt
2 To Approve the Remuneration Report For For Mgmt
3 To Declare a Dividend For For Mgmt
4 Ratify Auditors For For Mgmt
5 To Authorise the Directors to Agree the Auditors Remuneration For For Mgmt
6 To Reappoint the Following as Director: Paul Adams For For Mgmt
7 To Reappoint the Following as Director: Antonio Monteiro For For Mgmt
De Castro
8 To Reappoint the Following as Director: Jan Du Plessis (N) For For Mgmt
9 To Reappoint the Following as Director: K S Wong (A, N, R) For For Mgmt
10 To Authorise the Company to Purchase Its Own Shares For For Mgmt
11 To Amend the Company's Articles of Association: Treasury For For Mgmt
Shares Proposal
12 To Amend the Company's Articles of Association: Directors For For Mgmt
Fees Proposal
2/25/2004 Centex Corp. *CTX* 152312104 1/23/2004
1 Increase Authorized Common Stock For For Mgmt
2 Approve Merger Agreement For For Mgmt
3 Approve Merger Agreement For For Mgmt
6/22/2004 Chico's FAS, Inc. *CHS* 168615102 4/26/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Helene B. Gralnick Withhold
1.2 Elect Director Verna K. Gibson For
1.3 Elect Director Betsy S. Atkins For
1.4 Elect Director Scott A. Edmonds Withhold
2 Change Range for Size of the Board For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/27/2004 Ciber, Inc. *CBR* 17163B102 3/8/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
5/13/2004 Citrix Systems, Inc. *CTXS* 177376100 3/15/2004
1 Elect Directors For For Mgmt
2 Expense Stock Options Against For ShrHoldr
5/26/2004 Cognizant Technology Solutions Corp. *CTSH* 192446102 4/13/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock and Eliminate Class For For Mgmt
of Common Stock
3 Amend Omnibus Stock Plan For Against Mgmt
4 Approve Employee Stock Purchase Plan For For Mgmt
5 Ratify Auditors For For Mgmt
5/13/2004 Corrections Corporation of America *CXW* 22025Y407 3/31/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Other Business For Against Mgmt
6/16/2004 CSK Auto Corp. *CAO* 125965103 4/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Approve Omnibus Stock Plan For For Mgmt
4/2/2004 ENDESA S.A. *ELE* 29258N107 3/4/2004
Meeting for Holders of ADRs
1 Approval, When Appropriate, of the Financial Statements For For Mgmt
(Notes to Financial Statements, Balance Sheet and
Statement of Income) and Management Report of the
Company.
2 Approval of the Appropriation of Income for the Year and For For Mgmt
Distribution of Dividend.
3 New Wording of Article 16 (Issue of Debentures), and For For Mgmt
Article 33 (Right to Information).
4 Inclusion of a New Article 30 B in the Current By-laws For For Mgmt
(Voting and Representation by Remote Means of
Communication).
5 New Wording for Article 9 (Right to Information), Article For For Mgmt
12 (Public Proxy Solicitation) and Article 18 (Speeches)
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
6 Inclusion of a New Article 20 Bis in the Regulations For For Mgmt
(Voting and Representation by Remote Means of
Communication).
7 Approval of the Appointment, Acceptance, Ratification and For For Mgmt
renewal Per the Bylaws of Directors.
8 Ratify Auditors For For Mgmt
9 Approval of the Authorization for the Company and its For For Mgmt
Subsidiaries to be Able to Acquire Treasury Stock.
10 Approval of the Authorization of the Board of Directors For For Mgmt
to Carry Out, Implement And, If Appropriate, Rectify any
Resolutions.
5/21/2004 ENEL SpA *ENEL* 29265W108 4/19/2004
Meeting for Holders of ADRs
1 Approval of the Financial Statements of Enel S.P.A. For For Mgmt
Reports of the Board of Directors, the Board of Statutory
Auditors and the External Auditors.
2 Approval of the Allocation of the Net Income for the Year For For Mgmt
and Distribution of Available Reserves, as Set Forth in
the Company's Notice of Meeting Enclosed Herewith.
3 Election of the Board of Statutory Auditors, as Set Forth For For Mgmt
in the Company's Notice of Meeting Enclosed Herewith.
4 Determination of the Compensation of the Regular Members For For Mgmt
of the Board of Statutory Auditors, as Set Forth in the
Company's Notice of Meeting Enclosed Herewith.
5 Harmonization of the Bylaws With the Reform of Corporate For Against Mgmt
Law (Legislative Decree N.6 of January 17, 2003).
6 Delegation to the Board of Directors of the Power to For For Mgmt
Increase the Share Capital in Connection With the 2004
Stock-option Plan by a Maximum Amount of 38,527,550
Euros.
3/2/2004 Engineered Support Systems, Inc. *EASI* 292866100 1/16/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director William H.T. Bush For
1.2 Elect Director Gerald E. Daniels For
1.3 Elect Director Ronald W. Davis For
1.4 Elect Director S. Lee Kling For
1.5 Elect Director General Crosbie E. Saint For
1.6 Elect Director Earl W. Wims, Ph.D. Withhold
2 Approve Stock Option Plan For For Mgmt
3 Approve Stock Option Plan For For Mgmt
4/20/2004 eResearch Technology, Inc. *ERES* 29481V108 3/11/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Sheldon M. Bonovitz Withhold
1.2 Elect Director Gerald A. Faich For
1.3 Elect Director Elam M. Hitchner For
2 Increase Authorized Common Stock For For Mgmt
3 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
5/26/2004 Foot Locker Inc *FL* 344849104 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
6/1/2004 Foundry Networks, Inc. *FDRY* 35063R100 4/9/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Bobby R. Johnson, Jr. For
1.2 Elect Director Andrew K. Ludwick For
1.3 Elect Director Alfred J. Amoroso For
1.4 Elect Director C. Nicholas Keating, Jr. For
1.5 Elect Director J. Steven Young Withhold
1.6 Elect Director Alan L. Earhart For
2 Ratify Auditors For For Mgmt
6/29/2004 GAMESTOP CORP *GME* 36466R101 5/5/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director R. Richard Fontaine Withhold
1.2 Elect Director Stephanie M. Shern For
2 Ratify Auditors For For Mgmt
6/2/2004 General Motors Corp. *GM* 370442105 4/5/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Prohibit Awards to Executives Against Against ShrHoldr
4 Prohibit Awards to Executives Against Against ShrHoldr
5 Separate Chairman and CEO Positions Against Against ShrHoldr
6 Limit Composition of Committees to Independent Directors Against Against ShrHoldr
7 Report on Greenhouse Gas Emissions Against Against ShrHoldr
8 Submit Severance Agreement (Change-in-Control) to Against For ShrHoldr
Shareholder Vote
9 Establish Executive and Director Stock Ownership Guidelines Against Against ShrHoldr
5/12/2004 Genesee & Wyoming Inc. *GWR* 371559105 3/29/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/13/2004 Gentex Corp. *GNTX* 371901109 3/19/2004
1 Elect Directors For For Mgmt
2 Amend Stock Option Plan For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/27/2004 HBOS PLC *HBOOY* 42205M106 4/1/2004
Meeting for Holders of ADRs
1 To Receive the Report and Accounts For For Mgmt
2 To Approve the Report On Remuneration Policy and Practice For For Mgmt
3 To Declare a Final Dividend For For Mgmt
4 To Elect Kate Nealon For For Mgmt
5 To Elect David Shearer For For Mgmt
6 To Re-elect James Crosby For For Mgmt
7 To Re-elect Phil Hodkinson For For Mgmt
8 To Re-elect Brian Ivory For For Mgmt
9 Ratify Auditors For For Mgmt
10 To Authorise the Allotment of Shares for Cash For For Mgmt
11 To Authorise the Repurchase of Ordinary Shares For For Mgmt
12 To Approve Political Donations and Expenditure For For Mgmt
13 To Approve the Alterations to the Articles of Association For For Mgmt
6/17/2004 Hot Topic, Inc. *HOTT* 441339108 4/21/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3/5/2004 Hovnanian Enterprises, Inc. *HOV* 442487203 1/16/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director K. Hovnanian Withhold
1.2 Elect Director A. Hovnanian Withhold
1.3 Elect Director G. Decesaris, Jr. Withhold
1.4 Elect Director A. Greenbaum Withhold
1.5 Elect Director D. Mcdonald For
1.6 Elect Director J. Robbins For
1.7 Elect Director J. Sorsby Withhold
1.8 Elect Director S. Weinroth For
1.9 Elect Director E. Kangas For
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
5 Amend Omnibus Stock Plan For Against Mgmt
5/25/2004 IHOP Corp. *IHP* 449623107 3/26/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/27/2004 Informatica Corporation *INFA* 45666Q102 4/5/2004
1 Elect Directors For For Mgmt
2 Amend Non-Employee Director Stock Option Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4/27/2004 ING Groep NV *ING* 456837103 3/25/2004
Meeting for Holders of ADRs
1 Discussion and Adoption of the Annual Accounts for 2003. For For Mgmt
2 Adoption of the Dividend for 2003. For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
3 Ratify Auditors. For For Mgmt
4 Proposal to Discharge the Executive Board in Respect of For For Mgmt
the Duties Performed During the Year 2003.
5 Proposal to Discharge the Supervisory Board in Respect of For For Mgmt
the Duties Performed During the Year 2003.
6 Executive Board Remuneration: Adoption of Remuneration For For Mgmt
Policy.
7 Executive Board Remuneration: Approval of Long-term For For Mgmt
Incentive Plan.
8 Amendments to the Articles of Association. For For Mgmt
9 Composition of the Executive Board: Appointment of Eric For For Mgmt
Boyer De La Giroday.
10 Composition of the Executive Board: Appointment of Eli For For Mgmt
Leenaars.
11 Composition of the Executive Board: Appointment of Hans For For Mgmt
Verkoren.
12 Composition of the Supervisory Board: Appointment of Eric For For Mgmt
Bourdais De Charbonniere.
13 Authorization to Issue Shares and to Restrict or Exclude For Against Mgmt
Preferential Rights.
14 Authorization to Acquire Shares in Its Own Capital. For For Mgmt
*Note* Voting Cut-off Date: April 20, 2004 At 3:00 P.m.
Edt.
5/17/2004 Integra LifeSciences Holdings Corp. *IART* 457985208 4/5/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director David C. Auth For
1.2 Elect Director Keith Bradley For
1.3 Elect Director Richard E. Caruso Withhold
1.4 Elect Director Stuart M. Essig For
1.5 Elect Director Neal Moszkowski For
1.6 Elect Director James M. Sullivan For
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/19/2004 Intel Corp. *INTC* 458140100 3/22/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Craig R. Barrett For
1.2 Elect Director Charlene Barshefsky For
1.3 Elect Director E. John P. Browne For
1.4 Elect Director Andrew S. Grove For
1.5 Elect Director D. James Guzy Withhold
1.6 Elect Director Reed E. Hundt For
1.7 Elect Director Paul S. Otellini For
1.8 Elect Director David S. Pottruck For
1.9 Elect Director Jane E. Shaw For
1.10 Elect Director John L. Thornton For
1.11 Elect Director David B. Yoffie For
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Expense Stock Options Against For ShrHoldr
5 Limit/Prohibit Awards to Executives Against For ShrHoldr
6 Performance- Based/Indexed Options Against For ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/29/2004 Invitrogen Corp. *IVGN* 46185R100 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Amend Employee Stock Purchase Plan For For Mgmt
5/4/2004 ITT Educational Services, Inc. *ESI* 45068B109 3/5/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For Against Mgmt
5/17/2004 JDA Software Group, Inc. *JDAS* 46612K108 3/31/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
6/25/2004 Jos. A. Bank Clothiers, Inc. *JOSB* 480838101 5/7/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/25/2004 JP Morgan Chase & Co. *JPM* 46625H100 4/2/2004
1 Approve Merger Agreement For For Mgmt
2 Elect Directors For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Executive Incentive Bonus Plan For For Mgmt
5 Adjourn Meeting For Against Mgmt
6 Establish Term Limits for Directors Against Against ShrHoldr
7 Charitable Contributions Against Against ShrHoldr
8 Political Contributions Against Against ShrHoldr
9 Separate Chairman and CEO Positions Against For ShrHoldr
10 Provide Adequate Disclosure for over the counter Derivatives Against Against ShrHoldr
11 Auditor Independence Against Against ShrHoldr
12 Submit Non-Employee Director Compensation to Vote Against Against ShrHoldr
13 Report on Pay Disparity Against Against ShrHoldr
5/21/2004 Lloyds TSB Group plc (formerly TSB Group) *LYG* 539439109 4/14/2004
Meeting for Holders of ADRs
1 Receiving the Report and Accounts For For Mgmt
2 Approval of the Directors Remuneration Report For For Mgmt
3 Election of Director: Mr. P. G. Ayliffe For For Mgmt
4 Election of Director: Dr. W. C. G. Berndt For For Mgmt
5 Election of Director: Mrs. A. A. Knight For For Mgmt
6 Election of Director: Mrs. H. A. Weir For For Mgmt
7 Re-election of Director: Mr, Ewan Brown For For Mgmt
8 Re-election of Director: Mr. J. E. Daniels For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
9 Re-election of Director: Mr. D. P. Pritchard For For Mgmt
10 Re-election of Director: Mr. M. A. Van Den Bergh For For Mgmt
11 Ratify Auditors For For Mgmt
12 Directors Authority to Set the Remuneration of the Auditors For For Mgmt
13 Directors Authority to Allot Shares For For Mgmt
14 Directors Power to Issue Share Share for Cashres For For Mgmt
15 Authority for the Company to Purchase Its Shares For For Mgmt
16 Adoption of New Articles of Association For For Mgmt
17 Approval of a New Performance Share Plan and Changes to the For For Mgmt
Executive Share Option Scheme
4/26/2004 M.D.C. Holdings, Inc. *MDC* 552676108 2/27/2004
1 Elect Directors For For Mgmt
2 Prepare Sustainability Report Against For ShrHoldr
4/27/2004 Moody's Corporation *MCO* 615369105 3/1/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5 Performance- Based Against Against ShrHoldr
5/27/2004 Nextel Communications, Inc. *NXTL* 65332V103 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
6/22/2004 Nordstrom, Inc. *JWN* 655664100 3/17/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/18/2004 Noven Pharmaceuticals, Inc. *NOVN* 670009109 4/7/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4/30/2004 Occidental Petroleum Corp. *OXY* 674599105 3/3/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Non-Employee Director Restricted Stock Plan For For Mgmt
4 Prohibit Awards to Executives Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/27/2004 Pacer International, Inc. *PACR* 69373H106 3/1/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director P. Michael Giftos For
1.2 Elect Director Michael S. Gross Withhold
1.3 Elect Director Bruce H. Spector Withhold
1.4 Elect Director Thomas L. Finkbiner For
2 Ratify Auditors For For Mgmt
5/20/2004 PacifiCare Health Systems, Inc. *PHS* 695112102 3/31/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Aida Alvarez For
1.2 Elect Director Bradley C. Call For
1.3 Elect Director Terry O. Hartshorn Withhold
1.4 Elect Director Dominic Ng For
1.5 Elect Director Howard G. Phanstiel For
1.6 Elect Director Warren E. Pinckert Ii For
1.7 Elect Director David A. Reed For
1.8 Elect Director Charles R. Rinehart For
1.9 Elect Director Linda Rosenstock For
1.10 Elect Director Lloyd E. Ross For
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/20/2004 Patina Oil & Gas Corp. *POG* 703224105 4/7/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Ratify Auditors For For Mgmt
4 Other Business For Against Mgmt
5/5/2004 PepsiCo, Inc. *PEP* 713448108 3/12/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Report on Operational Impact of HIV/AIDS, TB, Against Against ShrHoldr
and Malaria Pandemic
6/7/2004 Per-Se Technologies, Inc. *PSTI* 713569309 5/12/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Stephen A. George, M.D. Withhold
1.2 Elect Director David R. Holbrooke, M.D. Withhold
1.3 Elect Director Craig MacNab Withhold
1.4 Elect Director David E. McDowell Withhold
1.5 Elect Director Philip M. Pead Withhold
1.6 Elect Director John C. Pope Withhold
1.7 Elect Director C. Christopher Trower Withhold
1.8 Elect Director Jeffrey W. Ubben For
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
6/10/2004 PETsMART *PETM* 716768106 4/12/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
4/22/2004 Progress Software Corp. *PRGS* 743312100 2/26/2004
1 Fix Number of Directors For For Mgmt
2 Elect Directors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
5/18/2004 Province Healthcare Co. *PRV* 743977100 3/23/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/6/2004 Prudential Plc (frm.Prudential Corporation Plc ) *PUK* 74435K204 3/19/2004
Meeting for Holders of ADRs
1 To Receive the Directors Report and the Financial For For Mgmt
Statements.
2 To Approve the Directors Remuneration Report. For For Mgmt
3 Elect Directors. For For Mgmt
4 Ratify Auditors. For For Mgmt
5 Ordinary Resolution: Prudential Plc Political Donations. For For Mgmt
6 Ordinary Resolution: Egg Plc Political Donations. For For Mgmt
7 Ordinary Resolution: Increase of Authorized Share For For Mgmt
Capital.
8 Ordinary Resolution: to Grant the Directors Authority to For For Mgmt
Allot Preference Shares.
9 Ordinary Resolution: to Renew Directors Authority to For For Mgmt
Allot Ordinary Shares.
10 Special Resolution: Renewal of Authority for For For Mgmt
Dis-application of Pre-emption Rights.
11 Special Resolution: Renewal of Authority for Purchase of For For Mgmt
Own Shares.
12 Special Resoluion: Amendment to Articles of Association. For For Mgmt
5/13/2004 Pulte Homes Inc. *PHM* 745867101 3/16/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditor Against For ShrHoldr
5/20/2004 Radioshack Corp. *RSH* 750438103 3/23/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Frank J. Belatti For
1.2 Elect Director Ronald E. Elmquist For
1.3 Elect Director Robert S. Falcone For
1.4 Elect Director Daniel R. Feehan For
1.5 Elect Director Richard J. Hernandez For
1.6 Elect Director Lawrence V. Jackson Withhold
1.7 Elect Director Robert J. Kamerschen For
1.8 Elect Director H. Eugene Lockhart For
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
1.9 Elect Director Jack L. Messman For
1.10 Elect Director William G. Morton, Jr. For
1.11 Elect Director Thomas G. Plaskett For
1.12 Elect Director Leonard H. Roberts For
1.13 Elect Director Edwina D. Woodbury For
2 Approve Deferred Compensation Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
5/19/2004 Reliance Steel & Aluminum Co. *RS* 759509102 4/8/2004
1 Change Range for Size of the Board For For Mgmt
2 Amend Non-Employee Director Stock Option Plan For For Mgmt
3 Elect Directors For Split Mgmt
3.1 Elect Director Joe D. Crider Withhold
3.2 Elect Director Thomas W. Gimbel For
3.3 Elect Director David H. Hannah For
3.4 Elect Director Gregg J. Mollins For
4 Approve Stock Option Plan For For Mgmt
5 Ratify Auditors For For Mgmt
6 Other Business For Against Mgmt
6/28/2004 Royal Dutch Petroleum Co. *RD* 780257804 5/20/2004
Meeting for Holders of ADRs
1 Finalization of the Balance Sheet as At December 31, For For Mgmt
2003, the Profit and Loss Account for the Year 2003 and
the Notes to the Balance Sheet and the Profit and Loss
Account.
2 Declaration of the Total Dividend for the Year 2003. For For Mgmt
3 Discharge of the Managing Directors of Responsibility in
Respect of Their Management for the Year 2003.
4 Discharge of the Members of the Supervisory Board of For Against Mgmt
Responsibility for their Supervision for the Year 2003.
5 Appointment of Ms. L.Z. Cook as a Managing Director of For For Mgmt
the Company.*
6 Appointment of Mrs. Ch. Morin-postel as a Member of the For For Mgmt
Supervisory Board.*
7 Appointment of Mr. M.A. Van Den Bergh as a Member of the For For Mgmt
Supervisory Board Owing to Retirement by Rotation.*
8 Reduction of the Issued Share Capital With a View to For For Mgmt
Cancellation of the Shares Acquired by the Company in
its Own Capital.
9 Authorization of the Board of Management, Pursuant to For For Mgmt
Article 98, Book 2 of the Netherlands Civil Code, as the
Competent Body to Acquire Shares in the Capital of the
Company.
5/20/2004 Sandisk Corp. *SNDK* 80004C101 3/30/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/30/2004 SBC Communications Inc. *SBC* 78387G103 3/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Bylaws For For Mgmt
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Change Size of Board of Directors Against Against ShrHoldr
6/28/2004 Shell Transport And Trading Company Plc (The) *SC* 822703609 5/20/2004
Meeting for Holders of ADRs
1 That the Report of the Directors and the Accounts of the For For Mgmt
Company for the Year Ended December 31, 2003 be Adopted.
2 That the Remuneration Report for the Year Ended December For For Mgmt
31, 2003 Set Out in the Annual Report and Accounts 2003
and Summarized in the Summary Annual Report and Accounts
2003 be Approved.
3 That Malcolm Brinded be Elected as a Director. For For Mgmt
4 That Dr Eileen Buttle be Re-elected as a Director. For For Mgmt
5 That Luis Giusti be Re-elected as a Director. For For Mgmt
6 That Mary (Nina) Henderson be Re-elected as a Director. For For Mgmt
7 That Lord Oxburgh be Re-elected as a Director. For For Mgmt
8 Ratify Auditors. For For Mgmt
9 That the Board be Authorised to Settle the Remuneration For For Mgmt
of the Auditors for 2004.
10 That the Company be Authorised to Make Market Purchases For For Mgmt
(As Defined in Section 163 of the Companies Act 1985) of
up to 483,000,000 Ordinary Shares of 25P Per Share in the
Capital of the Company.
5/12/2004 St. Jude Medical, Inc. *STJ* 790849103 3/15/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Increase Authorized Common Stock For For Mgmt
5 Limit Executive Compensation Against Against ShrHoldr
5/12/2004 Standard Pacific Corp. *SPF* 85375C101 3/17/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
6/17/2004 Staples, Inc. *SPLS* 855030102 4/19/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Amend Employee Stock Purchase Plan For For Mgmt
5 Ratify Auditors For For Mgmt
6 Submit Shareholder Rights Plan (Poison Pill) to Against Against ShrHoldr
Shareholder Vote
7 Submit Shareholder Rights Plan (Poison Pill) to Against For ShrHoldr
Shareholder Vote
8 Limit Executive Compensation Against Against ShrHoldr
9 Prohibit Auditor from Providing Non-Audit Services Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
1/22/2004 Steel Technologies Inc. *STTX* 858147101 12/5/2003
1 Elect Directors For Withhold Mgmt
4/27/2004 Suez SA(Formerly Suez Lyonnaise Des Eaux) *SZE* 864686100 3/22/2004
Meeting for Holders of ADRs
1 Approval of the Fiscal Year 2003 Company Financial For For Mgmt
Statements and the Transactions Performed During the
Year.
2 Approval of the Appropriation of Earnings and Declaration For For Mgmt
of the Dividend.
3 Approval of the Auditors Report On Related Party For For Mgmt
Transactions.
4 Approval of the Fiscal Year 2003 Consolidated Financial For For Mgmt
Statements.
5 Elect Directors. For For Mgmt
6 Approval of the Authorization to Trade in the Company's For For Mgmt
Shares, as Set Forth in the Company S Notice of Meeting.
7 Approval of the Authorization to Increase the Share For For Mgmt
Capital With Retention of Preferential Subscription
Rights.
8 Approval of the Authorization to Increase the Share For For Mgmt
Capital With Cancellation of Preferential Subscription
Rights.
9 Approval of the Authorization Granted to the Board of For For Mgmt
Directors to Reduce the Share Capital of the Company.
10 Approval of the Authorization to Issue Shares Reserved For For Mgmt
for Employee Members of a Suez Group Corporate Savings
Plan.
11 Approval of the Authorization to Perform a Share Issue, For For Mgmt
With Cancellation of Preferential Subscription Rights.
12 Approval of the Authorization to Grant Stock Subscription For Against Mgmt
and Purchase Options to Top Executives and Employees of
the Company.
13 Approval of the Powers to Carry Out Decisions and Perform For For Mgmt
Formalities.
5/12/2004 Sunrise Senior Living Inc. *SRZ* 86768K106 3/16/2004
1 Elect Directors For Withhold Mgmt
5/27/2004 Symyx Technologies, Inc. *SMMX* 87155S108 3/30/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/12/2004 TETRA Technologies, Inc. *TTI* 88162F105 3/15/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Approve Omnibus Stock Plan For Against Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
4/21/2004 The Ryland Group, Inc. *RYL* 783764103 2/9/2004
1 Elect Directors For For Mgmt
2 Approve Non-Employee Director Stock Option Plan For For Mgmt
3 Prepare Sustainability Report Against For ShrHoldr
5/6/2004 United Online, Inc. *UNTD* 911268100 3/29/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Other Business For Against Mgmt
5/12/2004 UnitedHealth Group Incorporated *UNH* 91324P102 3/15/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Expense Stock Options Against For ShrHoldr
4 Limit Awards to Executives Against Against ShrHoldr
6/1/2004 Urban Outfitters, Inc. *URBN* 917047102 4/19/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Richard A. Hayne Withhold
1.2 Elect Director Scott A. Belair Withhold
1.3 Elect Director Harry S. Cherken, Jr. Withhold
1.4 Elect Director Joel S. Lawson III For
1.5 Elect Director Glen T. Senk Withhold
1.6 Elect Director Robert H. Strouse For
2 Increase Authorized Common Stock For Against Mgmt
3 Approve Omnibus Stock Plan For Against Mgmt
5/5/2004 Ventana Medical Systems, Inc. *VMSI* 92276H106 3/19/2004
1 Ratify Auditors For For Mgmt
2 Elect Directors For For Mgmt
5/4/2004 Waters Corp. *WAT* 941848103 3/15/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Joshua Bekenstein For
1.2 Elect Director M.J. Berendt, Ph.D. For
1.3 Elect Director Douglas A. Berthiaume For
1.4 Elect Director Philip Caldwell For
1.5 Elect Director Edward Conard Withhold
1.6 Elect Director L.H. Glimcher, M.D. For
1.7 Elect Director William J. Miller For
1.8 Elect Director Thomas P. Salice Withhold
2 Ratify Auditors For For Mgmt
3 Other Business For Against Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
5/13/2004 WRIGHT MED GROUP INC *WMGI* 98235T107 3/22/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Amend Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/10/2004 Zimmer Holdings Inc *ZMH* 98956P102 3/15/2004
1 Elect Directors For Withhold Mgmt
2 Submit Shareholder Rights Plan (Poison Pill) to Against For ShrHoldr
Shareholder Vote
3 Ratify Auditors Against For ShrHoldr
9/4/2003 Ahold Kon Nv *AHO* 500467303 None
1 Open Meeting None None Mgmt
2 Receive Explanation with Respect to Deferral of None None Mgmt
Publication of 2002 Annual Accounts and Annual Report
3.1A Elect A.C. Moberg to Management Board For For Mgmt
3.1B Elect M. van Olffen to Management Board Against Against Mgmt
3.2A Elect H.R. Ryoeppoenen to Management Board For For Mgmt
3.2B Elect J.W. Hoevers to Management Board Against Against Mgmt
4 Receive Presentation about Company's New Strategy None None Mgmt
5 Close Meeting None None Mgmt
11/26/2003 Ahold Kon Nv *AHO* 500467303 None
1 Open Meeting None None Mgmt
2 Receive Report for Fiscal Year 2002 by Management Board None None Mgmt
3 Approve Financial Statements for Fiscal Year 2002 For For Mgmt
4 Elect Management Board. For For Mgmt
5 Amend Articles Re: Increase Authorized Share Capital to For Against Mgmt
EUR 1.25 Billion; Make Supervisory Board Nomination to
Executive Board Non Binding; Require Quorum to Adopt
Shareholder Proposals; Remove Age Limit for Supervisory
Board Membership
6.1 Grant Board Authority to Issue Authorized Yet Unissued For Against Mgmt
Shares Restricting/Excluding Preemptive Rights
6.2 Grant Board Authority to Exclude Preemptive Rights from For Against Mgmt
Issuance Under Item 6.1
7 Authorize Repurchase of Up to Ten Percent of Issued Share Capital For For Mgmt
8 Receive Information about Bonus of CEO Anders Moberg None None Mgmt
9 Allow Questions; Close Meeting None None Mgmt
12/18/2003 Apache Corp. *APA* 37411105 10/29/2003
1 Increase Authorized Common Stock For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
8/27/2003 Brookline Bancorp, Inc. *BRKL* 11373M107 7/9/2003
1 Approve Omnibus Stock Plan For For Mgmt
2 Approve Restricted Stock Plan For For Mgmt
11/11/2003 Cisco Systems, Inc. *CSCO* 17275R102 9/12/2003
1 Elect Directors For For Mgmt
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
Shareholder Proposals
4 Report on Company Products Used by the Government to Against Against ShrHoldr
Monitor the Internet
5 Report on Pay Disparity Against Against ShrHoldr
11/5/2003 Coach, Inc. *COH* 189754104 9/17/2003
1 Elect Directors For For Mgmt
11/20/2003 Corinthian Colleges, Inc. *COCO* 218868107 10/1/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Paul R. St. Pierre Withhold
1.2 Elect Director Linda Arey Skladany, Esq. For
2 Increase Authorized Common Stock For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
7/18/2003 Dell Inc. *DELL* 247025109 5/23/2003
1 Elect Directors For For Mgmt
2 Declassify the Board of Directors For For Mgmt
3 Change Company Name For For Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
8/11/2003 Forest Laboratories, Inc. *FRX* 345838106 6/20/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Howard Solomon Withhold
1.2 Elect Director William J. Candee, III For
1.3 Elect Director George S. Cohan For
1.4 Elect Director Dan L. Goldwasser For
1.5 Elect Director Lester B. Salans, M.D. For
1.6 Elect Director Kenneth E. Goodman Withhold
1.7 Elect Director Phillip M. Satow Withhold
2 Increase Authorized Common Stock For Against Mgmt
3 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
10/6/2003 France Telecom SA *FTE* 35177Q105 None
Ordinary Business
1 Amend Terms of Share Repurchase Plan Submitted to For For Mgmt
Shareholder Vote at May 27, 2003, AGM/EGM
Special Business
2 Authorize Board to Issue Up to 100 Million Shares to For For Mgmt
Participants of Orange's Stock Option Plan, Share
Purchase Plan, Orange Senior Discretionary Share Plan and
Restricted Share Plan, as well as Signatories of France
Telecom Liquidity Agreement. For For Mgmt
3 Approve Capital Increase Reserved for Employees
Participating in Savings-Related Share Purchase Plan
4 Authorize Filing of Required Documents/Other Formalities. For For Mgmt
10/3/2003 General Motors Corp. *GM* 370442105 8/1/2003
1 Amend Articles For For Mgmt
2 Amend Articles For For Mgmt
3 Approve Hughes Split-Off For For Mgmt
4 Approve GM/News Stock Sale For For Mgmt
5 Approve News Stock Acquisition For For Mgmt
6 Amend Articles For For Mgmt
8/4/2003 GTECH Holdings Corp. *GTK* 400518106 6/13/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
9/10/2003 H&R Block, Inc. *HRB* 93671105 7/8/2003
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
7/11/2003 Lone Star Steakhouse & Saloon, Inc. *STAR* 542307103 5/29/2003
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
9/10/2003 Mentor Corp. *MNT* 587188103 7/14/2003
1 Fix Number of and Elect Directors For For Mgmt
1 Elect Directors For For Mgmt
2 Allow Board to Fix Number of Directors Without For Against Mgmt
Shareholder Approval
3 Ratify Auditors For For Mgmt
4 Other Business For Against Mgmt
10/1/2003 Omnivision Technologies, Inc. *OVTI* 682128103 8/28/2003
1 Elect Director Joseph Jeng For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Stock Option Plan For Against Mgmt
4 Amend Stock Option Plan For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
10/13/2003 Oracle Corp. *ORCL* 68389X105 8/21/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Non-Employee Director Omnibus Stock Plan For For Mgmt
Shareholder Proposal
5 Implement China Principles Against Against ShrHoldr
9/5/2003 Pixar, Inc. *PIXR* 725811103 7/23/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Steve Jobs Withhold
1.2 Elect Director Dr. Edwin E. Catmull Withhold
1.3 Elect Director Skip M. Brittenham Withhold
1.4 Elect Director Joseph A. Graziano For
1.5 Elect Director Lawrence B. Levy Withhold
1.6 Elect Director Joe Roth Withhold
1.7 Elect Director Larry W. Sonsini Withhold
1.8 Elect Director John S. Wadsworth, Jr. For
2 Ratify Auditors For For Mgmt
7/25/2003 Scottish Power PLC *SPI* 81013T705 None
1 Accept Financial Statements and Statutory Reports For For Mgmt
2 Approve Remuneration Report For For Mgmt
3 Elect Nick Rose as Director For For Mgmt
4 Elect Donald Brydon as Director For For Mgmt
5 Reelect Charles Smith as Director For For Mgmt
6 Reelect David Nish as Director For For Mgmt
7 Approve PricewaterhouseCoopers LLP as Auditors and Authorize For For Mgmt
Board to Fix their Remuneration
8 Authorize EU Political Donations up to GBP 100,000 For For Mgmt
9 Authorize Issuance of Equity or Equity-Linked Securities For For Mgmt
without Preemptive Rights up to Aggregate Nominal
amount of GBP 46,403,949
10 Authorize 185,615,798 Shares for Share Repurchase Program For For Mgmt
7/25/2003 Steris Corp. *STE* 859152100 5/29/2003
1 Elect Directors For For Mgmt
Shareholder Proposal
2 Declassify the Board of Directors Against For ShrHoldr
8/21/2003 Symantec Corp. *SYMC* 871503108 7/8/2003
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Amend Stock Option Plan For Against Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
5 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------- -------- ---- ---- --------- -------
11/17/2003 Take-Two Interactive Software, Inc. *TTWO* 874054109 10/6/2003
1 Increase Authorized Common Stock For For Mgmt
10/27/2003 Teva Pharmaceutical Industries *TEVA* 881624209 9/18/2003
1 Elect G. Shalev as an External Director For For Mgmt
2 Approve Increase in Remuneration of Directors other For For Mgmt
than the Chairman
12/9/2003 Thor Industries, Inc. *THO* 885160101 10/21/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Neil D. Chrisman For
1.2 Elect Director Alan Siegel Withhold
1.3 Elect Director Geoffrey A. Thomson For
2 Increase Authorized Common Stock For Against Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
11/20/2003 Western Digital Corp. *WDC* 958102105 10/2/2003
1 Elect Directors For For Mgmt
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
7/22/2003 Zimmer Holdings Inc *ZMH* 98956P102 6/16/2003
1 Issue Shares in Connection with an Acquisition For For Mgmt
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
SKANDIA DART 10
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------------------------------------------------------- -------- ---- ---- -------- -------
4/29/2004 Altria Group, Inc. *MO* 02209S103 3/8/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Report on Product Warnings for Pregnant Women Against Against ShrHoldr
4 Report on Health Risks Associated with Cigarette Filters Against Against ShrHoldr
5 Political Contributions/Activities Against Against ShrHoldr
6 Cease Use of Light and Ultra Light in Cigarette Marketing Against Against ShrHoldr
7 Place Canadian Style Warnings on Cigarette Packaging Against Against ShrHoldr
8 Separate Chairman and CEO Positions Against For ShrHoldr
4/26/2004 American Express Co. *AXP* 025816109 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Establish Term Limits for Directors Against Against ShrHoldr
4 Report on Political Contributions/Activities Against Against ShrHoldr
5/19/2004 AT&T Corp. *T* 001957505 3/25/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Establish Term Limits for Directors Against Against ShrHoldr
5 Submit Shareholder Rights Plan (Poison Pill) to
Shareholder Vote Against For ShrHoldr
6 Separate Chairman and CEO Positions Against For ShrHoldr
7 Report on Executive Compensation Against Against ShrHoldr
4/28/2004 E.I. Du Pont De Nemours & Co. *DD* 263534109 3/9/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Report on Executive Ties to Government Against Against ShrHoldr
4 Adopt and Report on a Code of Corporate Conduct Against Against ShrHoldr
5 Limit Executive Compensation Against Against ShrHoldr
5/12/2004 Eastman Kodak Co. *EK* 277461109 3/15/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Adopt Chemical Policy Against Against ShrHoldr
5 Prohibit Awards to Executives Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- --------------------------------------------------------------- -------- ---- ---- -------- -------
6/2/2004 General Motors Corp. *GM* 370442105 4/5/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Prohibit Awards to Executives Against Against ShrHoldr
4 Prohibit Awards to Executives Against Against ShrHoldr
5 Separate Chairman and CEO Positions Against Against ShrHoldr
6 Limit Composition of Committees to Independent Directors Against Against ShrHoldr
7 Report on Greenhouse Gas Emissions Against Against ShrHoldr
8 Submit Severance Agreement (Change-in-Control) to
Shareholder Vote Against For ShrHoldr
9 Establish Executive and Director Stock Ownership Guidelines Against Against ShrHoldr
5/27/2004 Home Depot, Inc. (The) *HD* 437076102 3/29/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Gregory D. Brenneman For
1.2 Elect Director Richard H. Brown For
1.3 Elect Director John L. Clendenin For
1.4 Elect Director Berry R. Cox For
1.5 Elect Director Claudio X. Gonzalez Withhold
1.6 Elect Director Milledge A. Hart, III For
1.7 Elect Director Bonnie G. Hill For
1.8 Elect Director Kenneth G. Langone For
1.9 Elect Director Robert L. Nardelli For
1.10 Elect Director Roger S. Penske For
2 Ratify Auditors For For Mgmt
3 Establish Term Limits for Directors Against Against ShrHoldr
4 Submit Shareholder Rights Plan (Poison Pill) to
Shareholder Vote Against For ShrHoldr
5 Performance- Based/Indexed Options Against For ShrHoldr
6 Adopt ILO Based Code of Conduct Against Against ShrHoldr
7 Submit Severance Agreement (Change-in-Control) to
Shareholder Vote Against For ShrHoldr
8 Require Affirmative Vote of the Majority of the Shares
to Elect DirectorsAgainst Against ShrHoldr
5/25/2004 JP Morgan Chase & Co. *JPM* 46625H100 4/2/2004
1 Approve Merger Agreement For For Mgmt
2 Elect Directors For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Executive Incentive Bonus Plan For For Mgmt
5 Adjourn Meeting For Against Mgmt
6 Establish Term Limits for Directors Against Against ShrHoldr
7 Charitable Contributions Against Against ShrHoldr
8 Political Contributions Against Against ShrHoldr
9 Separate Chairman and CEO Positions Against For ShrHoldr
10 Provide Adequate Disclosure for over the counter Derivatives Against Against ShrHoldr
11 Auditor Independence Against Against ShrHoldr
12 Submit Non-Employee Director Compensation to Vote Against Against ShrHoldr
13 Report on Pay Disparity Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ---------------------------------------------------------- -------- ---- ---- --------- -------
4/27/2004 Merck & Co., Inc. *MRK* 589331107 2/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Declassify the Board of Directors For For Mgmt
4 Prohibit Awards to Executives Against Against ShrHoldr
5 Develop Ethical Criteria for Patent Extension Against Against ShrHoldr
6 Link Executive Compensation to Social Issues Against Against ShrHoldr
7 Report on Political Contributions Against Against ShrHoldr
8 Report on Operational Impact of HIV/AIDS, TB, and
Malaria Pandemic Against Against ShrHoldr
4/30/2004 SBC Communications Inc. *SBC* 78387G103 3/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Bylaws For For Mgmt
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Change Size of Board of Directors Against Against ShrHoldr
10/3/2003 General Motors Corp. *GM* 370442105 8/1/2003
1 Amend Articles For For Mgmt
2 Amend Articles For For Mgmt
3 Approve Hughes Split-Off For For Mgmt
4 Approve GM/News Stock Sale For For Mgmt
5 Approve News Stock Acquisition For For Mgmt
6 Amend Articles For For Mgmt
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
SKANDIA GLOBAL TARGET 15
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ---------------------------------------------------------------- -------- ---- ---- ------- -------
5/19/2004 AT&T Corp. *T* 001957505 3/25/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Establish Term Limits for Directors Against Against ShrHoldr
5 Submit Shareholder Rights Plan (Poison Pill) to Against For ShrHoldr
Shareholder Vote
6 Separate Chairman and CEO Positions Against For ShrHoldr
7 Report on Executive Compensation Against Against ShrHoldr
5/26/2004 Exxon Mobil Corp. *XOM* 30231G102 4/5/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Non-Employee Director Restricted Stock Plan For For Mgmt
4 Affirm Political Nonpartisanship Against Against ShrHoldr
5 Report on Political Contributions/Activities Against Against ShrHoldr
6 Report on Equatorial Guinea Against Against ShrHoldr
7 Separate Chairman and CEO Positions Against Against ShrHoldr
8 Prohibit Awards to Executives Against Against ShrHoldr
9 Report on Stock Option Distribution by Race and Gender Against Against ShrHoldr
10 Amend EEO Statement to Include Reference to Sexual Orientation Against For ShrHoldr
11 Report on Climate Change Research Against Against ShrHoldr
4/28/2004 General Electric Co. *GE* 369604103 3/1/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director James I. Cash, Jr. For
1.2 Elect Director Dennis D. Dammerman For
1.3 Elect Director Ann M. Fudge For
1.4 Elect Director Claudio X. Gonzalez Withhold
1.5 Elect Director Jeffrey R. Immelt For
1.6 Elect Director Andrea Jung For
1.7 Elect Director Alan G. Lafley For
1.8 Elect Director Kenneth G. Langone For
1.9 Elect Director Ralph S. Larsen For
1.10 Elect Director Rochelle B. Lazarus For
1.11 Elect Director Sam Nunn For
1.12 Elect Director Roger S. Penske For
1.13 Elect Director Robert J. Swieringa For
1.14 Elect Director Douglas A. Warner III For
1.15 Elect Director Robert C. Wright For
2 Ratify Auditors For For Mgmt
3 Amend Omnibus Stock Plan For For Mgmt
4 Provide for Cumulative Voting Against Against ShrHoldr
5 Eliminate Animal Testing Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ---------------------------------------------------------------- -------- ---- ---- ------- -------
6 Report on Nuclear Fuel Storage Risks Against Against ShrHoldr
7 Report on PCB Clean-up Against Against ShrHoldr
8 Report on Foreign Outsourcing Against Against ShrHoldr
9 Prepare Sustainability Report Against Against ShrHoldr
10 Limit Composition of Management Development and Against Against ShrHoldr
Compensation Committee
11 Report on Pay Disparity Against Against ShrHoldr
12 Limit Awards to Executives Against Against ShrHoldr
13 Limit Board Service for Other Companies Against For ShrHoldr
14 Separate Chairman and CEO Positions Against Against ShrHoldr
15 Hire Advisor/Maximize Shareholder Value Against Against ShrHoldr
16 Adopt a Retention Ratio for Executives and Directors Against Against ShrHoldr
17 Require 70% to 80% Independent Board Against Against ShrHoldr
18 Report on Political Contributions/Activities Against Against ShrHoldr
5/25/2004 JP Morgan Chase & Co. *JPM* 46625H100 4/2/2004
1 Approve Merger Agreement For For Mgmt
2 Elect Directors For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Executive Incentive Bonus Plan For For Mgmt
5 Adjourn Meeting For Against Mgmt
6 Establish Term Limits for Directors Against Against ShrHoldr
7 Charitable Contributions Against Against ShrHoldr
8 Political Contributions Against Against ShrHoldr
9 Separate Chairman and CEO Positions Against For ShrHoldr
10 Provide Adequate Disclosure for over the counter Derivatives Against Against ShrHoldr
11 Auditor Independence Against Against ShrHoldr
12 Submit Non-Employee Director Compensation to Vote Against Against ShrHoldr
13 Report on Pay Disparity Against Against ShrHoldr
4/30/2004 SBC Communications Inc. *SBC* 78387G103 3/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Bylaws For For Mgmt
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Change Size of Board of Directors Against Against ShrHoldr
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
S&P TARGET 24 PORTFOLIO
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---------- ------------------------------------------------------------ -------- ---- ---- ---------- -------
12/18/2003 Apache Corp. *APA* 037411105 10/29/2003
1 Increase Authorized Common Stock For For Mgmt
11/11/2003 Cisco Systems, Inc. *CSCO* 17275R102 9/12/2003
1 Elect Directors For For Mgmt
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
Shareholder Proposals
4 Report on Company Products Used by the Government to Against Against ShrHoldr
Monitor the Internet
5 Report on Pay Disparity Against Against ShrHoldr
7/18/2003 Dell Inc. *DELL* 247025109 5/23/2003
1 Elect Directors For For Mgmt
2 Declassify the Board of Directors For For Mgmt
3 Change Company Name For For Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
9/10/2003 H&R Block, Inc. *HRB* 093671105 7/8/2003
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
10/13/2003 Oracle Corp. *ORCL* 68389X105 8/21/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Non-Employee Director Omnibus Stock Plan For For Mgmt
Shareholder Proposal
5 Implement China Principles Against Against ShrHoldr
7/22/2003 Zimmer Holdings Inc *ZMH* 98956P102 6/16/2003
1 Issue Shares in Connection with an Acquisition For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---------- ------------------------------------------------------------ -------- ---- ---- ---------- -------
5/11/2004 3M CO *MMM* 88579Y101 3/12/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Edward A. Brennan Withhold
1.2 Elect Director Michael L. Eskew For
1.3 Elect Director W. James McNerney, Jr. Withhold
1.4 Elect Director Kevin W. Sharer Withhold
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Separate Chairman and CEO Positions Against For ShrHoldr
4/22/2004 ALLTEL Corp. *AT* 020039103 2/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Ammend EEO - Sexual Orientation Against For ShrHoldr
5/6/2004 Apache Corp. *APA* 037411105 3/17/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Eugene C. Fiedorek For
1.2 Elect Director Patricia Albjerg Graham For
1.3 Elect Director F. H. Merelli Withhold
1.4 Elect Director Raymond Plank For
2 Report on Greenhouse Gas Emissions Against For ShrHoldr
5/6/2004 Avon Products, Inc. *AVP* 054303102 3/15/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Edward T. Fogarty For
1.2 Elect Director Susan J. Kropf For
1.3 Elect Director Maria Elena Lagomasino Withhold
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Declassify the Board of Directors Against For ShrHoldr
5 Report on Feasibility of Removing Parabens from Company Against Against ShrHoldr
Products
6 Report on Feasibility of Removing Dibutyl Phthalate Against Against ShrHoldr
from Company Products
4/26/2004 Bellsouth Corp. *BLS* 079860102 3/8/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Declassify the Board of Directors For For Mgmt
4 Approve Omnibus Stock Plan For For Mgmt
5 Limit Executive Compensation Against Against ShrHoldr
6 Limit Executive Compensation Against Against ShrHoldr
7 Report on Political Contributions/Activities Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---------- ------------------------------------------------------------ -------- ---- ---- ---------- -------
4/27/2004 Moody's Corporation *MCO* 615369105 3/1/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5 Performance- Based Against Against ShrHoldr
5/27/2004 Nextel Communications, Inc. *NXTL* 65332V103 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4/30/2004 Occidental Petroleum Corp. *OXY* 674599105 3/3/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Non-Employee Director Restricted Stock Plan For For Mgmt
4 Prohibit Awards to Executives Against Against ShrHoldr
5/5/2004 PepsiCo, Inc. *PEP* 713448108 3/12/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Report on Operational Impact of HIV/AIDS, TB, and Against Against ShrHoldr
Malaria Pandemic
5/20/2004 Radioshack Corp. *RSH* 750438103 3/23/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Frank J. Belatti For
1.2 Elect Director Ronald E. Elmquist For
1.3 Elect Director Robert S. Falcone For
1.4 Elect Director Daniel R. Feehan For
1.5 Elect Director Richard J. Hernandez For
1.6 Elect Director Lawrence V. Jackson Withhold
1.7 Elect Director Robert J. Kamerschen For
1.8 Elect Director H. Eugene Lockhart For
1.9 Elect Director Jack L. Messman For
1.10 Elect Director William G. Morton, Jr. For
1.11 Elect Director Thomas G. Plaskett For
1.12 Elect Director Leonard H. Roberts For
1.13 Elect Director Edwina D. Woodbury For
2 Approve Deferred Compensation Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
5/12/2004 St. Jude Medical, Inc. *STJ* 790849103 3/15/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Increase Authorized Common Stock For For Mgmt
5 Limit Executive Compensation Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---------- ------------------------------------------------------------ -------- ---- ---- ---------- -------
5/12/2004 UnitedHealth Group Incorporated *UNH* 91324P102 3/15/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Expense Stock Options Against For ShrHoldr
4 Limit Awards to Executives Against Against ShrHoldr
5/4/2004 Waters Corp. *WAT* 941848103 3/15/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Joshua Bekenstein For
1.2 Elect Director M.J. Berendt, Ph.D. For
1.3 Elect Director Douglas A. Berthiaume For
1.4 Elect Director Philip Caldwell For
1.5 Elect Director Edward Conard Withhold
1.6 Elect Director L.H. Glimcher, M.D. For
1.7 Elect Director William J. Miller For
1.8 Elect Director Thomas P. Salice Withhold
2 Ratify Auditors For For Mgmt
3 Other Business For Against Mgmt
5/10/2004 Zimmer Holdings Inc *ZMH* 98956P102 3/15/2004
1 Elect Directors For Withhold Mgmt
2 Submit Shareholder Rights Plan (Poison Pill) to Against For ShrHoldr
Shareholder Vote
3 Ratify Auditors Against For ShrHoldr
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
NASDAQ TARGET 15 PORTFOLIO
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------- -------- ---- ---- ------- -------
10/13/2003 Oracle Corp. *ORCL* 68389X105 8/21/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Non-Employee Director Omnibus Stock Plan For For Mgmt
Shareholder Proposal
5 Implement China Principles Against Against ShrHoldr
9/5/2003 Pixar, Inc. *PIXR* 725811103 7/23/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Steve Jobs Withhold
1.2 Elect Director Dr. Edwin E. Catmull Withhold
1.3 Elect Director Skip M. Brittenham Withhold
1.4 Elect Director Joseph A. Graziano For
1.5 Elect Director Lawrence B. Levy Withhold
1.6 Elect Director Joe Roth Withhold
1.7 Elect Director Larry W. Sonsini Withhold
1.8 Elect Director John S. Wadsworth, Jr. For
2 Ratify Auditors For For Mgmt
8/21/2003 Symantec Corp. *SYMC* 871503108 7/8/2003
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Amend Stock Option Plan For Against Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
5 Ratify Auditors For For Mgmt
10/27/2003 Teva Pharmaceutical Industries *TEVA* 881624209 9/18/2003
1 Elect G. Shalev as an External Director For For Mgmt
2 Approve Increase in Remuneration of Directors other For For Mgmt
than the Chairman
4/28/2004 Adobe Systems Inc. *ADBE* 00724F101 3/3/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Expense Stock Options Against For ShrHoldr
4 Adopt a Plocy that will Committ Executives to Hold Against For ShrHoldr
a Significant Percentage of their Shares
5 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------- -------- ---- ---- ------- -------
6/10/2004 American Power Conversion Corp. *APCC* 029066107 4/14/2004
1 Fix Number of Directors For For Mgmt
2 Elect Directors For Split Mgmt
2.1 Elect Director Rodger B. Dowdell, Jr. Withhold
2.2 Elect Director Emanuel E. Landsman Withhold
2.3 Elect Director Neil E. Rasmussen Withhold
2.4 Elect Director Ervin F. Lyon Withhold
2.5 Elect Director James D. Gerson For
2.6 Elect Director John G. Kassakian For
2.7 Elect Director John F. Keane, Sr. For
2.8 Elect Director Ellen B. Richstone For
3 Approve Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/13/2004 Citrix Systems, Inc. *CTXS* 177376100 3/15/2004
1 Elect Directors For For Mgmt
2 Expense Stock Options Against For ShrHoldr
5/13/2004 Gentex Corp. *GNTX* 371901109 3/19/2004
1 Elect Directors For For Mgmt
2 Amend Stock Option Plan For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Ratify Auditors For For Mgmt
5/19/2004 Intel Corp. *INTC* 458140100 3/22/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Craig R. Barrett For
1.2 Elect Director Charlene Barshefsky For
1.3 Elect Director E. John P. Browne For
1.4 Elect Director Andrew S. Grove For
1.5 Elect Director D. James Guzy Withhold
1.6 Elect Director Reed E. Hundt For
1.7 Elect Director Paul S. Otellini For
1.8 Elect Director David S. Pottruck For
1.9 Elect Director Jane E. Shaw For
1.10 Elect Director John L. Thornton For
1.11 Elect Director David B. Yoffie For
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Expense Stock Options Against For ShrHoldr
5 Limit/Prohibit Awards to Executives Against For ShrHoldr
6 Performance- Based/Indexed Options Against For ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------- -------- ---- ---- ------- -------
4/29/2004 Invitrogen Corp. *IVGN* 46185R100 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Amend Employee Stock Purchase Plan For For Mgmt
5/27/2004 Nextel Communications, Inc. *NXTL* 65332V103 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
6/10/2004 PETsMART *PETM* 716768106 4/12/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/20/2004 Sandisk Corp. *SNDK* 80004C101 3/30/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
6/17/2004 Staples, Inc. *SPLS* 855030102 4/19/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Amend Employee Stock Purchase Plan For For Mgmt
5 Ratify Auditors For For Mgmt
6 Submit Shareholder Rights Plan (Poison Pill) to Against Against ShrHoldr
Shareholder Vote
7 Submit Shareholder Rights Plan (Poison Pill) to Against For ShrHoldr
Shareholder Vote
8 Limit Executive Compensation Against Against ShrHoldr
9 Prohibit Auditor from Providing Non-Audit Services Against Against ShrHoldr
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
VALUELINE TARGET 25
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ----------------------------------------------------------- -------- ---- ---- ------- -------
2/25/2004 Centex Corp. *CTX* 152312104 1/23/2004
1 Increase Authorized Common Stock For For Mgmt
2 Approve Merger Agreement For For Mgmt
3 Approve Merger Agreement For For Mgmt
6/22/2004 Chico's FAS, Inc. *CHS* 168615102 4/26/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Helene B. Gralnick Withhold
1.2 Elect Director Verna K. Gibson For
1.3 Elect Director Betsy S. Atkins For
1.4 Elect Director Scott A. Edmonds Withhold
2 Change Range for Size of the Board For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/26/2004 Cognizant Technology Solutions Corp. *CTSH* 192446102 4/13/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock and Eliminate For For Mgmt
Class of Common Stock
3 Amend Omnibus Stock Plan For Against Mgmt
4 Approve Employee Stock Purchase Plan For For Mgmt
5 Ratify Auditors For For Mgmt
3/2/2004 Engineered Support Systems, Inc. *EASI* 292866100 1/16/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director William H.T. Bush For
1.2 Elect Director Gerald E. Daniels For
1.3 Elect Director Ronald W. Davis For
1.4 Elect Director S. Lee Kling For
1.5 Elect Director General Crosbie E. Saint For
1.6 Elect Director Earl W. Wims, Ph.D. Withhold
2 Approve Stock Option Plan For For Mgmt
3 Approve Stock Option Plan For For Mgmt
4/20/2004 eResearch Technology, Inc. *ERES* 29481V108 3/11/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Sheldon M. Bonovitz Withhold
1.2 Elect Director Gerald A. Faich For
1.3 Elect Director Elam M. Hitchner For
2 Increase Authorized Common Stock For For Mgmt
3 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ----------------------------------------------------------- -------- ---- ---- ------- -------
5/26/2004 Foot Locker Inc *FL* 344849104 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
6/1/2004 Foundry Networks, Inc. *FDRY* 35063R100 4/9/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Bobby R. Johnson, Jr. For
1.2 Elect Director Andrew K. Ludwick For
1.3 Elect Director Alfred J. Amoroso For
1.4 Elect Director C. Nicholas Keating, Jr. For
1.5 Elect Director J. Steven Young Withhold
1.6 Elect Director Alan L. Earhart For
2 Ratify Auditors For For Mgmt
6/17/2004 Hot Topic, Inc. *HOTT* 441339108 4/21/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3/5/2004 Hovnanian Enterprises, Inc. *HOV* 442487203 1/16/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director K. Hovnanian Withhold
1.2 Elect Director A. Hovnanian Withhold
1.3 Elect Director G. Decesaris, Jr. Withhold
1.4 Elect Director A. Greenbaum Withhold
1.5 Elect Director D. Mcdonald For
1.6 Elect Director J. Robbins For
1.7 Elect Director J. Sorsby Withhold
1.8 Elect Director S. Weinroth For
1.9 Elect Director E. Kangas For
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
5 Amend Omnibus Stock Plan For Against Mgmt
5/4/2004 ITT Educational Services, Inc. *ESI* 45068B109 3/5/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For Against Mgmt
4/26/2004 M.D.C. Holdings, Inc. *MDC* 552676108 2/27/2004
1 Elect Directors For For Mgmt
2 Prepare Sustainability Report Against For ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ----------------------------------------------------------- -------- ---- ---- ------- -------
5/27/2004 Nextel Communications, Inc. *NXTL* 65332V103 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
6/22/2004 Nordstrom, Inc. *JWN* 655664100 3/17/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/20/2004 PacifiCare Health Systems, Inc. *PHS* 695112102 3/31/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Aida Alvarez For
1.2 Elect Director Bradley C. Call For
1.3 Elect Director Terry O. Hartshorn Withhold
1.4 Elect Director Dominic Ng For
1.5 Elect Director Howard G. Phanstiel For
1.6 Elect Director Warren E. Pinckert II For
1.7 Elect Director David A. Reed For
1.8 Elect Director Charles R. Rinehart For
1.9 Elect Director Linda Rosenstock For
1.10 Elect Director Lloyd E. Ross For
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/20/2004 Patina Oil & Gas Corp. *POG* 703224105 4/7/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Ratify Auditors For For Mgmt
4 Other Business For Against Mgmt
5/13/2004 Pulte Homes Inc. *PHM* 745867101 3/16/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditor Against For ShrHoldr
5/12/2004 Standard Pacific Corp. *SPF* 85375C101 3/17/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
1/22/2004 Steel Technologies Inc. *STTX* 858147101 12/5/2003
1 Elect Directors For Withhold Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ----------------------------------------------------------- -------- ---- ---- ------- -------
4/21/2004 The Ryland Group, Inc. *RYL* 783764103 2/9/2004
1 Elect Directors For For Mgmt
2 Approve Non-Employee Director Stock Option Plan For For Mgmt
3 Prepare Sustainability Report Against For ShrHoldr
6/1/2004 Urban Outfitters, Inc. *URBN* 917047102 4/19/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Richard A. Hayne Withhold
1.2 Elect Director Scott A. Belair Withhold
1.3 Elect Director Harry S. Cherken, Jr. Withhold
1.4 Elect Director Joel S. Lawson III For
1.5 Elect Director Glen T. Senk Withhold
1.6 Elect Director Robert H. Strouse For
2 Increase Authorized Common Stock For Against Mgmt
3 Approve Omnibus Stock Plan For Against Mgmt
11/5/2003 Coach, Inc. *COH* 189754104 9/17/2003
1 Elect Directors For For Mgmt
11/20/2003 Corinthian Colleges, Inc. *COCO* 218868107 10/1/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Paul R. St. Pierre Withhold
1.2 Elect Director Linda Arey Skladany, Esq. For
2 Increase Authorized Common Stock For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
8/11/2003 Forest Laboratories, Inc. *FRX* 345838106 6/20/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Howard Solomon Withhold
1.2 Elect Director William J. Candee, III For
1.3 Elect Director George S. Cohan For
1.4 Elect Director Dan L. Goldwasser For
1.5 Elect Director Lester B. Salans, M.D. For
1.6 Elect Director Kenneth E. Goodman Withhold
1.7 Elect Director Phillip M. Satow Withhold
2 Increase Authorized Common Stock For Against Mgmt
3 Ratify Auditors For For Mgmt
8/4/2003 GTECH Holdings Corp. *GTK* 400518106 6/13/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ----------------------------------------------------------- -------- ---- ---- ------- -------
9/10/2003 Mentor Corp. *MNT* 587188103 7/14/2003
1 Fix Number of and Elect Directors For For Mgmt
1 Elect Directors For For Mgmt
2 Allow Board to Fix Number of Directors Without For Against Mgmt
Shareholder Approval
3 Ratify Auditors For For Mgmt
4 Other Business For Against Mgmt
7/25/2003 Steris Corp. *STE* 859152100 5/29/2003
1 Elect Directors For For Mgmt
Shareholder Proposal
2 Declassify the Board of Directors Against For ShrHoldr
12/9/2003 Thor Industries, Inc. *THO* 885160101 10/21/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Neil D. Chrisman For
1.2 Elect Director Alan Siegel Withhold
1.3 Elect Director Geoffrey A. Thomson For
2 Increase Authorized Common Stock For Against Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
11/20/2003 Western Digital Corp. *WDC* 958102105 10/2/2003
1 Elect Directors For For Mgmt
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
SKANDIA LEHMAN 10 UNCOMMON VALUE
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
5/13/2004 Amgen, Inc. *AMGN* 031162100 3/19/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Frank J. Biondi, Jr. For
1.2 Elect Director Jerry D. Choate Withhold
1.3 Elect Director Frank C. Herringer For
1.4 Elect Director Gilbert S. Omenn For
2 Ratify Auditors For For Mgmt
3 Prepare Glass Ceiling Report Against Against ShrHoldr
4 Expense Stock Options Against For ShrHoldr
4/21/2004 Burlington Resources Inc. *BR* 122014103 2/23/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Barbara T. Alexander For
1.2 Elect Director Reuben V. Anderson For
1.3 Elect Director Laird I. Grant For
1.4 Elect Director Robert J. Harding For
1.5 Elect Director John T. LaMacchia For
1.6 Elect Director Randy L. Limbacher For
1.7 Elect Director James F. McDonald For
1.8 Elect Director Kenneth W. Orce Withhold
1.9 Elect Director Donald M. Roberts For
1.10 Elect Director James A. Runde For
1.11 Elect Director John F. Schwarz For
1.12 Elect Director Walter Scott, Jr. Withhold
1.13 Elect Director Bobby S. Shackouls For
1.14 Elect Director Steven J. Shapiro For
1.15 Elect Director William E. Wade, Jr. For
2 Approve Increase in Common Stock and a Stock Split For For Mgmt
3 Ratify Auditors For For Mgmt
4/27/2004 Exelon Corp. *EXC* 30161N101 3/1/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4/29/2004 Harrah's Entertainment, Inc. *HET* 413619107 3/1/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5 Report on Political Contributions/Activities Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ---------------------------------------------------------- -------- ---- ---- --------- -------
3/17/2004 Hewlett-Packard Co. *HPQ* 428236103 1/20/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director L.T. Babbio, Jr. For
1.2 Elect Director P.C. Dunn For
1.3 Elect Director C.S. Fiorina For
1.4 Elect Director R.A. Hackborn For
1.5 Elect Director G.A. Keyworth II For
1.6 Elect Director R.E. Knowling, Jr. For
1.7 Elect Director S.M. Litvack Withhold
1.8 Elect Director R.L. Ryan For
1.9 Elect Director L.S. Salhany For
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Expense Stock Options Against For ShrHoldr
5/26/2004 JETBLUE AIRWAYS CORP *JBLU* 477143101 4/12/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/27/2004 Nextel Communications, Inc. *NXTL* 65332V103 4/2/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4/28/2004 Piper Jaffray Cos *PJC* 724078100 3/3/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/20/2004 Teva Pharmaceutical Industries *TEVA* 881624209 4/15/2004
Meeting for Holders of ADRs
1 To Receive and Discuss the Company's Consolidated Balance For For Mgmt
Sheet as of December 31, 2003 and the Consolidated
Statements.
2 To Approve the Board of Directors Recommendation That the For Against Mgmt
Cash Dividend for the Year Ended December 31, 2003, which
was Paid in Four Installments and Aggregated Nis 1.44
(Approximately Us$0.322) Per Ordinary Share, be Declared
Final.
3 To Elect Abraham E. Cohen to Serve for a Three-year Term. For For Mgmt
4 To Elect Leslie Dan to Serve for a Three-year Term. For For Mgmt
5 To Elect Prof. Meir Heth to Serve for a Three-year Term. For For Mgmt
6 To Elect Prof. Moshe Many to Serve for a Three-year Term. For For Mgmt
7 To Elect Dov Shafir to Serve for a Three-year Term. For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- --------------------------------------------------------------- -------- ---- ---- --------- -------
8 To Approve the Purchase of Directors and Officers For Against Mgmt
Liability Insurance for the Directors and Officers
of the Company.
9 Ratify Auditors For For Mgmt
4/20/2004 U.S. Bancorp *USB* 902973304 2/26/2004
1 Elect Directors For Withhold Mgmt
2 Ratify Auditors For For Mgmt
3 Limit Executive Compensation Against Against ShrHoldr
4 Submit Executive Compensation to Vote Against For ShrHoldr
5 Amend Vote Requirements to Amend Articles/Bylaws/Charter Against For ShrHoldr
11/11/2003 Cisco Systems, Inc. *CSCO* 17275R102 9/12/2003
1 Elect Directors For For Mgmt
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
Shareholder Proposals
4 Report on Company Products Used by the Government to Against Against ShrHoldr
Monitor the Internet
5 Report on Pay Disparity Against Against ShrHoldr
7/30/2003 McKesson Corp. *MCK* 58155Q103 6/3/2003
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
Shareholder Proposal
3 Submit Severance Agreement (Change-in-Control) to Against For ShrHoldr
Shareholder Vote
10/27/2003 Teva Pharmaceutical Industries *TEVA* 881624209 9/18/2003
1 Elect G. Shalev as an External Director For For Mgmt
2 Approve Increase in Remuneration of Directors other than For For Mgmt
the Chairman
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
FIRST TRUST ENERGY PORTFOLIO
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ----------------------------------------------------------- -------- --- ---- ---------- -------
12/18/2003 Apache Corp. *APA* 037411105 10/29/2003
1 Increase Authorized Common Stock For For Mgmt
7/31/2003 Tidewater Inc. *TDW* 886423102 6/2/2003
1 Elect Directors For For Mgmt
5/6/2004 Apache Corp. *APA* 037411105 3/17/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Eugene C. Fiedorek For
1.2 Elect Director Patricia Albjerg Graham For
1.3 Elect Director F. H. Merelli Withhold
1.4 Elect Director Raymond Plank For
2 Report on Greenhouse Gas Emissions Against For ShrHoldr
5/6/2004 Canadian Natural Resources Ltd. *CNQ.* 136385101 3/25/2004
1 Elect Catherine Best, N. Murray Edwards, Ambassador For For Mgmt
Gordon D. Giffin, James T. Grenon, John G. Langille,
Keith A. J. MacPhail, Allan Markin, James Palmer, Eldon
Smith and David Tuer as Directors
2 Appoint PricewaterhouseCoopers LLP as Auditors and For For Mgmt
Authorize Board to Fix Remuneration of Auditors
3 Amend Stock Option Plan For Against Mgmt
4 Approve 2:1 Stock Split For For Mgmt
4/28/2004 ChevronTexaco Corp. *CVX* 166764100 3/1/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Adopt Shareholder Rights Plan (Poison Pill) Policy For For Mgmt
4 Amend Omnibus Stock Plan For For Mgmt
5 Report on Operational Impact of HIV/AIDS, TB, Against Against ShrHoldr
and Malaria Pandemic
6 Report on Political Contributions/Activities Against Against ShrHoldr
7 Require Affirmative Vote of a Majority of the Shares Against Against ShrHoldr
to Elect Directors
8 Report on Health and Environmental Initiatives in Ecuador Against Against ShrHoldr
9 Report on Renewable Energy Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- --------------------------------------------------------------- -------- --- ---- --------- -------
5/5/2004 ConocoPhillips *COP* 20825C104 3/10/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Limit Executive Compensation Against Against ShrHoldr
5 Limit Executive Compensation Against Against ShrHoldr
6 Report on Drilling in the Arctic National Wildlife Refuge Against Against ShrHoldr
6/8/2004 Devon Energy Corp. *DVN* 25179M103 4/9/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Require a Majority Vote for the Election of Directors Against Against ShrHoldr
5/7/2004 Evergreen Resources, Inc. *EVG* 299900308 3/12/2004
1 Elect Directors For Withhold Mgmt
2 Ratify Auditors For For Mgmt
5/26/2004 Exxon Mobil Corp. *XOM* 30231G102 4/5/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Non-Employee Director Restricted Stock Plan For For Mgmt
4 Affirm Political Nonpartisanship Against Against ShrHoldr
5 Report on Political Contributions/Activities Against Against ShrHoldr
6 Report on Equatorial Guinea Against Against ShrHoldr
7 Separate Chairman and CEO Positions Against Against ShrHoldr
8 Prohibit Awards to Executives Against Against ShrHoldr
9 Report on Stock Option Distribution by Race and Gender Against Against ShrHoldr
10 Amend EEO Statement to Include Reference to Sexual Orientation Against For ShrHoldr
11 Report on Climate Change Research Against Against ShrHoldr
4/28/2004 Marathon Oil Corp *MRO* 565849106 3/1/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Report on Greenhouse Gas Emissions Against For ShrHoldr
4 Submit Severance Agreement (Change-in-Control) to Against For ShrHoldr
Shareholder Vote
5/3/2004 Maverick Tube Corp. *MVK* 577914104 3/5/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Approve Non-Employee Director Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/6/2004 Newfield Exploration Co. *NFX* 651290108 3/19/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- -------------------------------------------------------------- -------- --- ---- --------- -------
5/20/2004 Patina Oil & Gas Corp. *POG* 703224105 4/7/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Ratify Auditors For For Mgmt
4 Other Business For Against Mgmt
6/29/2004 Patterson-UTI Energy Inc. *PTEN* 703481101 5/28/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Amend Omnibus Stock Plan For For Mgmt
4 Amend Omnibus Stock Plan For For Mgmt
5 Ratify Auditors For For Mgmt
4/27/2004 Petro-Canada *PCA.* 71644E102 3/11/2004
Management Proposals
1 Elect Directors For Split Mgmt
1.1 Elect Director Ron A. Brenneman For
1.2 Elect Director Angus A. Bruneau For
1.3 Elect Director Gail Cook-Bennett For
1.4 Elect Director Richard J. Currie For
1.5 Elect Director Claude Fontaine For
1.6 Elect Director Paul Haseldonckx For
1.7 Elect Director Thomas E. Kierans For
1.8 Elect Director Brian F. MacNeill For
1.9 Elect Director Maureen McCaw For
1.10 Elect Director Paul D. Melnuk For
1.11 Elect Director Guylaine Saucier For
1.12 Elect Director William W. Siebens Withhold
2 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
3 Amend Stock Option Plan For For Mgmt
Shareholder Proposals
4 Prepare Report - Evaluation of Market Opportunities in Against For Mgmt
Wind, Solar, and Other Renewable Sources of Energy
5 Issue Report - Specific Emission Reduction Initiatives Against For ShrHoldr
5/18/2004 Petrochina Co. Ltd. *PTR* 71646E100 4/5/2004
Meeting for Holders of ADRs
1 To Approve the Report of the Board of Directors of the For For Mgmt
Company for the Year 2003.
2 To Approve the Report of the Supervisory Committee of the For For Mgmt
Company for the Year 2003.
3 To Approve the Audited Financial Statements of the Company For For Mgmt
for the Year 2003.
4 To Approve the Declaration and Payment of a Final Dividend For For Mgmt
for the Year Ended December 31, 2003 in the Amount and in
the Manner Recommended by the Board of Directors.
5 To Approve the Authorisation of the Board of Directors to For For Mgmt
Determine the Distribution of Interim Dividend for 2004.
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ---------------------------------------------------------------- -------- --- ---- -------- -------
6 Ratify Auditors For For Mgmt
7 To Approve the Proposal in Relation to the Re-election of For For Mgmt
Mr.chen Geng as a Director of the Company.
8 To Approve the Proposal in Relation to the Election of For For Mgmt
Mr.zhou Jiping as a Director of the Company.
9 To Approve the Proposal in Relation to the Election of For For Mgmt
Mr.duan Wende as a Director of the Company.
10 To Approve the Proposal in Relation to the Election of For For Mgmt
Mr. Sun Xianfeng as a Supervisor of the Company.
11 To Approve the Proposal in Relation to the Election of For For Mgmt
Mr. Xu Fengli as a Supervisor of the Company.
12 To Allot and Deal With Additional Domestic Shares. For Against Mgmt
5/11/2004 Precision Drilling Corporation *PD.* 74022D100 3/22/2004
1 Elect W.C. Dunn, Robert J.S. Gibson, Murray K. Mullen, For For Mgmt
Patrick M. Murray, Fred W. Pheasey, Robert L. Phillips,
Hank B. Swartout, H.Garth Wiggins as Directors
2 Ratify Auditors For For Mgmt
3 Approve 2004 Stock Option Plan For Against Mgmt
6/28/2004 Royal Dutch Petroleum Co. *RD* 780257804 5/20/2004
Meeting for Holders of ADRs
1 Finalization of the Balance Sheet as At December 31, For For Mgmt
2003, the Profit and Loss Account for the Year 2003
and the Notes to the Balance Sheet and the Profit
and Loss Account.
2 Declaration of the Total Dividend for the Year 2003. For For Mgmt
3 Discharge of the Managing Directors of For Against Mgmt
Responsibility in Respect of Their Management for
the Year 2003.
4 Discharge of the Members of the Supervisory Board of For Against Mgmt
Responsibility for Their Supervision for the Year
2003.
5 Appointment of Ms. L.z. Cook as a Managing Director For For Mgmt
of the Company.*
6 Appointment of Mrs. Ch. Morin-postel as a Member of For For Mgmt
the Supervisory Board.*
7 Appointment of Mr. M.a. Van Den Bergh as a Member of For For Mgmt
the Supervisory Board Owing to Retirement by
Rotation.*
8 Reduction of the Issued Share Capital With a View to For For Mgmt
Cancellation of the Shares Acquired by the Company
in its own Capital.
9 Authorization of the Board of Management, Pursuant For For Mgmt
to Article 98, Book 2 of the Netherlands Civil Code,
as the Competent Body to Acquire Shares in the
Capital of the Company.
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------- -------- --- ---- ------- -------
6/3/2004 The Houston Exploration Co. *THX* 442120101 4/14/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Robert B. Catell Withhold
1.2 Elect Director John U. Clarke For
1.3 Elect Director David G. Elkins For
1.4 Elect Director Robert J. Fani Withhold
1.5 Elect Director William G. Hargett Withhold
1.6 Elect Director Harold R. Logan, Jr. For
1.7 Elect Director Gerald Luterman Withhold
1.8 Elect Director Stephen W. McKessy For
1.9 Elect Director H. Neil Nichols Withhold
1.10 Elect Director Donald C. Vaughn For
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/14/2004 Total S.A. (Formerly Total Fina Elf S.A ) *TOT* 89151E109 3/24/2004
Meeting for Holders of ADRs
1 Approval of Certain Reports and of the Parent For For Mgmt
Company S Financial Statements
2 Approval of Consolidated Financial Statements For For Mgmt
3 Allocation of Income, Approval of the Dividend For For Mgmt
4 Agreements Mentioned in Article L. 225-38 of the For For Mgmt
French Commercial Code
5 Authorization to Trade the Company S Own Shares For For Mgmt
6 Authorization for the Board of Directors to Issue For Forr Mgmt
Debt Securities And/or Perpetual Subordinated Notes
for a Maximum Nominal Amount of 10 Billion Euros
7 Elect Directors For For Mgmt
8 Appointment of Daniel Boeuf as a Director For For Mgmt
Representing Employee Shareholders in Application of
Article 11 of the Articles of Incorporation
9 Appointment of Philippe Marchandise as a Director Against Against Mgmt
Representing Employee Shareholders in Application of
Article 11 of the Articles of Incorporation
10 Appointment of Cyril Mouche as a Director Against Against Mgmt
Representing Employee Shareholders in Application of
Article 11 of the Articles of Incorporation
11 Appointment of Alan Cramer as a Director Against Against Mgmt
Representing Employee Shareholders in Application of
Article 11 of the Articles of Incorporation
12 Ratify Auditors For For Mgmt
13 Renewal of Statutory Auditors For For Mgmt
14 Ratify Auditors For For Mgmt
15 Ratify Auditors For For Mgmt
16 Determination of the Total Amount of Directors For For Mgmt
Compensation
17 Authorization to Award Options to Subscribe for or For For Mgmt
Purchase Stock of the Company in Favour of the
Management and Key Employees of the Group
18 Authorization for Issuing Convertible or Other For For Mgmt
Equity Securities
19 Authorization to Use the Above Delegation Without For For Mgmt
Maintenance of Preferential Subscription Rights, But
With an Option to Grant a Priority Period
20 Capital Increase Reserved for Employees For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- --------------------------------------------------------- -------- --- ---- -------- -------
4/29/2004 Valero Energy Corp. *VLO* 91913Y100 3/1/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Report on Greenhouse Gas Emissions Against Against ShrHoldr
5/20/2004 Varco International, Inc. *VRC* 922122106 3/22/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Greg L. Armstrong For
1.2 Elect Director George S. Dotson For
1.3 Elect Director Richard A. Kertson Withhold
1.4 Elect Director John F. Lauletta For
1.5 Elect Director Eric L. Mattson For
1.6 Elect Director L.E. Simmons For
1.7 Elect Director Jeffery A. Smisek For
1.8 Elect Director Douglas E. Swanson For
1.9 Elect Director James D. Woods For
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/18/2004 XTO ENERGY CORP *XTO* 98385X106 3/31/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Phillip R. Kevil Withhold
1.2 Elect Director Scott G. Sherman For
1.3 Elect Director Bob R. Simpson Withhold
2 Increase Authorized Common Stock For For Mgmt
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
AMERICAN SKANDIA PHARMACEUTICAL PORTFOLIO
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
4/23/2004 Abbott Laboratories *ABT* 002824100 2/25/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Drug Pricing Against Against ShrHoldr
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Prohibit Awards to Executives Against Against ShrHoldr
6 Report on Operational Imact of HIV/AIDS, TB, and Against Against ShrHoldr
Malaria Pandemic
5/13/2004 Amgen, Inc. *AMGN* 031162100 3/19/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Frank J. Biondi, Jr. For
1.2 Elect Director Jerry D. Choate Withhold
1.3 Elect Director Frank C. Herringer For
1.4 Elect Director Gilbert S. Omenn For
2 Ratify Auditors For For Mgmt
3 Prepare Glass Ceiling Report Against Against ShrHoldr
4 Expense Stock Options Against For ShrHoldr
4/29/2004 Astrazeneca Plc (Formerly Zeneca Plc) *ACM.A* 046353108 3/8/2004
Meeting for Holders of ADRs
1 To Receive the Directors Report and Accounts for the For For Mgmt
Year Ended December 31, 2003
2 To Confirm Dividends For For Mgmt
3 Ratify Auditors
4 To Authorize the Directors to Agree the Remuneration of For For Mgmt
the Auditor
5 Elect Directors For For Mgmt
6 To Approve the Directors Remuneration Report for the For For Mgmt
Year Ended December 31, 2003
7 To Adopt New Articles of Association For For Mgmt
8 To Authorize Limited Eu Political Donations For For Mgmt
9 To Authorize the Directors to Allot Unissued Shares For For Mgmt
10 To Authorize the Directors to Disapply Pre-emption For For Mgmt
Rights
11 To Authorize the Company to Purchase Its Own Shares For For Mgmt
12 To Authorize Increase of Cap On Non-executive Directors For For Mgmt
Remuneration
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
6/11/2004 Aventis SA (Formerly Rhone-Poulenc) *AVE* 053561106 5/18/2004
Meeting for Holders of ADRs
1 Approval of the 2003 Parent-company Financial Statements For For Mgmt
2 Approval of the Consolidated Financial Statements 2003 For For Mgmt
3 Approval of the Appropriation of Earnings and Approval For For Mgmt
of a Dividend of Euro 0.82 for Distribution
4 Approval of Regulated Agreements For For Mgmt
5 Approval of the Institution of a Share Repurchase Program For For Mgmt
6 Ratify Auditors For For Mgmt
7 Approval to Amend Article 7 of the Articles of Association For Against Mgmt
and By-laws
8 Approval to Amend Article 11 of the Articles of Association For For Mgmt
and By-laws-management Board
9 Approval to Amend Article 13 of the Articles of Association For For Mgmt
and By-laws-supervisory Board
10 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Jean-marc Bruel
11 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Martin Fruehauf
12 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Serge Kampf
13 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Hubert Markl
14 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Gunter Metz
15 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Didier Pineau-valencienne
16 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Ms. Seham Razzouqi
17 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Michel Renault
18 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Hans-juergen Schinzler
19 Approval of the Renewal of the Mandate of a Supervisory For For Mgmt
Board Member, Mr. Marc Vienot
20 Approval of the Granting of Power-of-attorney for All For For Mgmt
Formalities in Connection With the Annual General Meeting
6/16/2004 BIOGEN IDEC INC *BIIB* 09062X103 4/20/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/4/2004 Bristol-Myers Squibb Co. *BMY* 110122108 3/8/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Report on Political Contributions/Activities Against Against ShrHoldr
4 Cease Political Contributions/Activities Against Against ShrHoldr
5 Separate Chairman and CEO Positions Against For ShrHoldr
6 Report on Operational Impact of HIV/AIDS, TB, and
Malaria Pandemic Against Against ShrHoldr
7 Require Affirmative Vote of a Majority of the Shares Against Against ShrHoldr
to Elect Directors
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
4/19/2004 Eli Lilly and Co. *LLY* 532457108 2/13/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Limit Executive Compensation Against Against ShrHoldr
5 Report on Drug Pricing Against Against ShrHoldr
5/17/2004 GlaxoSmithKline PLC (formerly Glaxo Wellcome Plc) *GSK* 37733W105 3/19/2004
Meeting for Holders of ADRs
1 To Receive and Adopt the Directors Report and the Financial For For Mgmt
Statements (Ordinary Resolution)
2 To Approve the Remuneration Report (Ordinary Resolution) For For Mgmt
3 To Elect Mr H Lawrence Culp as a Director (Ordinary For For Mgmt
Resolution)
4 To Elect Mr Crispin Davis as a Director (Ordinary For For Mgmt
Resolution)
5 To Elect Sir Robert Wilson as a Director (Ordinary For For Mgmt
Resolution)
6 To Elect Dr Tachi Yamada as a Director (Ordinary Resolution) For For Mgmt
7 To Re-elect Sir Christopher Hogg as a Director (Ordinary For For Mgmt
Resolution)
8 Ratify Auditors For For Mgmt
9 Remuneration of Auditors (Ordinary Resolution) For For Mgmt
10 Authorise the Company to Make Donations to Eu Political For For Mgmt
Organizations and Incur Eu Political Expenditure (Special For For Mgmt
Business)
11 Disapplication of Pre-emption Rights (Special Resolution) For For Mgmt
12 Authority for the Company to Purchase Its Own Shares For For Mgmt
(Special Resolution)
4/22/2004 Johnson & Johnson *JNJ* 478160104 2/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Cease Charitable Contributions Against Against ShrHoldr
5/20/2004 MedImmune, Inc. *MEDI* 584699102 3/31/2004
1 Elect Directors For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4/27/2004 Merck & Co., Inc. *MRK* 589331107 2/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Declassify the Board of Directors For For Mgmt
4 Prohibit Awards to Executives Against Against ShrHoldr
5 Develop Ethical Criteria for Patent Extension Against Against ShrHoldr
6 Link Executive Compensation to Social Issues Against Against ShrHoldr
7 Report on Political Contributions Against Against ShrHoldr
8 Report on Operational Impact of HIV/AIDS, TB, and Against Against ShrHoldr
Malaria Pandemic
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
2/24/2004 Novartis AG *NVS* 66987V109 1/30/2004
Meeting for Holders of ADRs
1 Approval of the Annual Report, the Financial Statements of For For Mgmt
Novartis Ag and the Group Consolidated Financial Statements
for the Year 2003.
2 Approval of the Activities of the Board of Directors. For For Mgmt
3 Appropriation of Available Earnings of Novartis Ag as Per For For Mgmt
Balance Sheet and Declaration of Dividend.
4 Conversion of General Reserves Into Free Reserves. For For Mgmt
5 Reduction of Share Capital. For For Mgmt
6 Further Share Repurchase Program. For For Mgmt
7 Amendment to the Articles of Incorporation. For For Mgmt
8 Election to the Board of Directors. Re-election of Prof. For For Mgmt
Dr. Helmut Sihler for a Three-year Term.
9 Election to the Board of Directors. Re-election of Mr. For For Mgmt
Hans-Jorg Rudloff for a Three-year Term.
10 Election to the Board of Directors. Re-election of Dr. For For Mgmt
Daniel Vasella for a Three-year Term.
11 Ratify Auditors
3/16/2004 Novo Nordisk A/S *NVO* 670100205 2/12/2004
Meeting for Holders of ADRs
1 Adoption of the Audited Annual Report, Including Discharge For For Mgmt
of the Management and the Board of Directors.
2 Application of Profits According to the Adopted Audited For For Mgmt
Annual Report.
3 Re-election of Pricewaterhousecoopers. For For Mgmt
4 Re-election of Ernst & Young, State-authorized Public
Accountants.
5 Changes to the Articles of Association. For Against Mgmt
6 Elect Directors
7 Authorization to Purchase Own Shares of Up to 10% of the For For Mgmt
Share Capital.
8 Authorization to the Chairman of the Annual General Meeting. For For Mgmt
4/22/2004 Pfizer Inc. *PFE* 717081103 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Report on Operational Impact of HIV/AIDS, TB, and Malaria Against Against ShrHoldr
Pandemic
5 Cease Political Contributions/Activities Against Against ShrHoldr
6 Report on Political Contributions/Activities Against Against ShrHoldr
7 Establish Term Limits for Directors Against Against ShrHoldr
8 Report on Drug Pricing Against Against ShrHoldr
9 Limit Awards to Executives Against Against ShrHoldr
10 Amend Animal Testing Policy Against Against ShrHoldr
6/23/2004 Sanofi-Synthelabo (Formerly Sanofi) *SNY* 80105N105 5/17/2004
Meeting for Holders of ADRs
1 Company Financial Statements For For Mgmt
2 Consolidated Financial Statements For For Mgmt
3 Appropriation of Profits; Declaration of Dividend For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
4 Approval of Transactions Covered by the Statutory Auditors For For Mgmt
Special Report
5 Authorization to the Board of Directors to Purchase, Hold For For Mgmt
and Transfer the Company S Own Shares.
6 Authorization to Issue Bonds. For For Mgmt
7 Increase the Share Capital by Issuance, With Preemptive
Rights Maintained
8 Increase the Share Capital by Issuance, Without Preemptive For Against Mgmt
Rights
9 Increase the Share Capital by Issuance of Shares And/or For Against Mgmt
Other Securities in the Event of Public Offers for the For For Mgmt
Company S Securities
10 Increase the Share Capital by Incorporation of Share For For Mgmt
Premium, Reserves, Profits or Other Items
11 Increase the Share Capital by Issuance of Shares Reserved For For Mgmt
for Employees With Waiver of Preemptive Rights in Their
Favor
12 to Grant Options to Subscribe for or Purchase Shares For For Mgmt
13 Reduce the Share Capital by Cancellation of Treasury Shares
14 an Increase in the Share Capital by Issuance, Without For For Mgmt
Preemptive Rights, of New Shares Allotted to Aventis
Shareholders
15 Change of Company Name. For For Mgmt
16 Change in the Term of Office of Board Members. For For Mgmt
17 Amendment of Article 12 Paragraph 5 of the Bylaws. For For Mgmt
6/23/2004 Sanofi-Synthelabo (Formerly Sanofi) *SNY* 80105N105 6/4/2004
Meeting for Holders of ADRs
1 Reappointment of Jean-francois Dehecq as a Member of the For For Mgmt
Board of Directors
2 Reappointment of Rene Barbier De La Serre as a Member of For For Mgmt
the Board of Directors
3 Reappointment of Robert Castaigne as a Member of the For For Mgmt
Board of Directors
4 Reappointment of Thierry Desmarest as a Member of the For For Mgmt
Board of Directors
5 Reappointment of Lindsey Owen-jones as a Member of the For For Mgmt
Board of Directors
6 Reappointment of Bruno Weymuller as a Member of the For For Mgmt
Board of Directors
7 Confirmation of Appointment of Lord Douro as a Member of For For Mgmt
the Board of Directors
8 Confirmation of Appointment of Gerard Van Kemmel as a For For Mgmt
Member of the Board of Directors
9 Appointment of Christian Mulliez as a Member of the For For Mgmt
Board of Directors
10 Appointment of Jean-marc Bruel as a Member of the Board For For Mgmt
of Directors Subject to Condition Precedent
11 Appointment of Jurgen Dormann as a Member of the Board For For Mgmt
of Directors Subject to Condition Precedent
12 Appointment of Jean-rene Fourtou as a Member of the For For Mgmt
Board of Directors Subject to Condition Precedent
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
13 Appointment of Serge Kampf as a Member of the Board of For For Mgmt
Directors Subject to Condition Precedent
14 Appointment of Igor Landau as a Member of the Board of For For Mgmt
Directors Subject to Condition Precedent
15 Appointment of Hubert Markl as a Member of the Board of For For Mgmt
Directors Subject to Condition Precedent
16 Appointment of Klaus Pohle as a Member of the Board of For For Mgmt
Directors Subject to Condition Precedent
17 Appointment of Hermann Scholl as a Member of the Board For For Mgmt
of Directors Subject to Condition Precedent
18 Formal Note of the Expiry of the Terms of Office of For For Mgmt
Five Members of the Board of Directors
19 Amount of Directors Attendance Fees For For Mgmt
20 Powers for the Accomplishment of Formalities For For Mgmt
5/20/2004 Teva Pharmaceutical Industries *TEVA* 881624209
1 4/15/2004 Meeting for Holders of Adrs to Receive and For For Mgmt
Discuss the Company S Consolidated Balance Sheet as of
December 31, 2003 and the Consolidated Statements.
2 to Approve the Board of Directors Recommendation That For Against Mgmt
the Cash Dividend for the Year Ended December 31,
2003, Which was Paid in Four Installments and
Aggregated Nis 1.44 (Approximately Us$0.322) Per
Ordinary Share, be Declared Final.
3 to Elect Abraham E. Cohen to Serve for a Three-year Term. For For Mgmt
4 to Elect Leslie Dan to Serve for a Three-year Term. For For Mgmt
5 to Elect Prof. Meir Heth to Serve for a Three-year Term. For For Mgmt
6 to Elect Prof. Moshe Many to Serve for a Three-year Term. For For Mgmt
7 to Elect Dov Shafir to Serve for a Three-year Term. For For Mgmt
8 to Approve the Purchase of Directors and Officers For Against Mgmt
Liability Insurance for the Directors and Officers of the
Company.
9 Ratify Auditors For For Mgmt
4/22/2004 Wyeth *WYE* 983024100 3/12/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Report on Drug Pricing Against Against ShrHoldr
4 Amend Animal Testing Policy Against Against ShrHoldr
10/23/2003 Barr Pharmaceuticals Inc *BRL* 068306109 9/2/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Bruce L. Downey Withhold
1.2 Elect Director Paul M. Bisaro Withhold
1.3 Elect Director Carole S. Ben-Maimon Withhold
1.4 Elect Director George P. Stephan For
1.5 Elect Director Jack M. Kay For
1.6 Elect Director Harold N. Chefitz For
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
1.7 Elect Director Richard R. Frankovic For
1.8 Elect Director Peter R. Seaver For
1.9 Elect Director James S. Gilmore, III For
2 Change State of Incorporation from New York to Delaware For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
11/12/2003 BIOGEN IDEC INC *BIIB* 449370105 9/25/2003
1 Approve Merger Agreement For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
5 Adjourn Meeting For Against Mgmt
8/11/2003 Forest Laboratories, Inc. *FRX* 345838106 6/20/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director Howard Solomon Withhold
1.2 Elect Director William J. Candee, III For
1.3 Elect Director George S. Cohan For
1.4 Elect Director Dan L. Goldwasser For
1.5 Elect Director Lester B. Salans, M.D. For
1.6 Elect Director Kenneth E. Goodman Withhold
1.7 Elect Director Phillip M. Satow Withhold
2 Increase Authorized Common Stock For Against Mgmt
3 Ratify Auditors For For Mgmt
10/27/2003 Teva Pharmaceutical Industries *TEVA* 881624209 9/18/2003
1 Elect G. Shalev as an External Director For For Mgmt
2 Approve Increase in Remuneration of Directors other For For Mgmt
than the Chairman
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
SKANDIA TECHNOLOGY
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
4/28/2004 Adobe Systems Inc. *ADBE* 00724F101 3/3/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Expense Stock Options Against For ShrHoldr
4 Adopt a Plocy that will Committ Executives to hold Against For ShrHoldr
a Significant Percentage of their Shares
5 Ratify Auditors For For Mgmt
3/24/2004 Applied Materials, Inc. *AMAT* 038222105 1/30/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
4/29/2004 Broadcom Corp. *BRCM* 111320107 3/5/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For Against Mgmt
3 Ratify Auditors For For Mgmt
3/17/2004 Hewlett-Packard Co. *HPQ* 428236103 1/20/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director L.T. Babbio, Jr. For
1.2 Elect Director P.C. Dunn For
1.3 Elect Director C.S. Fiorina For
1.4 Elect Director R.A. Hackborn For
1.5 Elect Director G.A. Keyworth II For
1.6 Elect Director R.E. Knowling, Jr. For
1.7 Elect Director S.M. Litvack Withhold
1.8 Elect Director R.L. Ryan For
1.9 Elect Director L.S. Salhany For
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Expense Stock Options Against For ShrHoldr
5/19/2004 Intel Corp. *INTC* 458140100 3/22/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Craig R. Barrett For
1.2 Elect Director Charlene Barshefsky For
1.3 Elect Director E. John P. Browne For
1.4 Elect Director Andrew S. Grove For
1.5 Elect Director D. James Guzy Withhold
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
1.6 Elect Director Reed E. Hundt For
1.7 Elect Director Paul S. Otellini For
1.8 Elect Director David S. Pottruck For
1.9 Elect Director Jane E. Shaw For
1.10 Elect Director John L. Thornton For
1.11 Elect Director David B. Yoffie For
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4 Expense Stock Options Against For ShrHoldr
5 Limit/Prohibit Awards to Executives Against For ShrHoldr
6 Performance- Based/Indexed Options Against For ShrHoldr
4/22/2004 Lexmark International, Inc. *LXK* 529771107 3/5/2004
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
3/25/2004 Nokia Corp. *NOK* 654902204 1/30/2004
Meeting for Holders of ADRs
1 Approval of the Income Statements and the Balance Sheets. For For Mgmt
2 Approval of a Dividend of Eur 0.30 Per Share. For For Mgmt
3 Approval of the Discharge of the Chairman, the Members of For For Mgmt
the Board of Directors and the President From Liability.
4 Elect Directors. For For Mgmt
5 Ratify Auditors. For For Mgmt
6 Approval of the Proposal of the Board to Reduce the Share For For Mgmt
Capital Through Cancellation of Nokia Shares Held by the
Company
7 Approval of the Authorization to the Board to Increase For For Mgmt
the Share Capital of the Company.
8 Approval of the Authorization to the Board to Repurchase For For Mgmt
Nokia Shares.
9 Approval of the Authorization to the Board to Dispose For For Mgmt
Nokia Shares Held by the Company.
10 Approval of the Proposal of the Board to Increase the For For Mgmt
Capital of the Foundation of Nokia Corporation.
11 Mark the for Box If You Wish to Instruct the Depositary None Against Mgmt
to Give a Proxy to Any One of Marianna Uotinen-tarkoma,
Esa Kaunistola, Both Legal Counsels of Nokia Corporation,
to Authorize Any of Them (With Full Power of
Substitution) to Vote, in Their Discretion.
4/16/2004 Novellus Systems, Inc. *NVLS* 670008101 2/17/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Provision of Non-Audit Services by Independent Auditors Against Against ShrHoldr
4 Limit Executive Compensation Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- -------- ------------------------------------------------------------ -------- ---- ---- --------- -------
3/2/2004 QUALCOMM Inc. *QCOM* 747525103 1/2/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Adelia A. Coffman Withhold
1.2 Elect Director Raymond V. Dittamore For
1.3 Elect Director Irwin Mark Jacobs For
1.4 Elect Director Richard Sulpizio For
2 Amend Stock Option Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4 Declassify the Board of Directors Against For ShrHoldr
5/20/2004 Sandisk Corp. *SNDK* 80004C101 3/30/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/6/2004 Sap Ag *SAP* 803054204 3/30/2004
Meeting for Holders of ADRs
1 Resolution On the Appropriation of the Retained Earnings For For Mgmt
of the Fiscal Year 2003
2 Resolution On the Formal Approval of the Acts of the For For Mgmt
Executive Board in the Fiscal Year 2003
3 Resolution On the Formal Approval of the Acts of the For For Mgmt
Supervisory Board in the Fiscal Year 2003
4 Ratify Auditors For For Mgmt
5 Resolution On Adjustments to Section 4 of the Articles of For For Mgmt
Association
6 Resolution On the Authorization to Acquire and Use For For Mgmt
Treasury Shares
7 Resolution On the Authorization to Use Equity Derivatives For Against Mgmt
in Connection With the Acquisition of Treasury Shares
5/14/2004 SunGard Data Systems Inc. *SDS* 867363103 3/15/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Gregory S. Bentley Withhold
1.2 Elect Director Michael C. Brooks For
1.3 Elect Director Cristobal Conde For
1.4 Elect Director Ramon de Oliveira For
1.5 Elect Director Henry C. Duques For
1.6 Elect Director Albert A. Eisenstat For
1.7 Elect Director Bernard Goldstein For
1.8 Elect Director Janet Brutschea Haugen For
1.9 Elect Director James L. Mann For
1.10 Elect Director Malcolm I. Ruddock For
2 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- --------- ------------------------------------------------------------ -------- ---- ---- --------- -------
5/14/2004 UTStarcom, Inc. *UTSI* 918076100 3/29/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Thomas J. Toy For
1.2 Elect Director Ying Wu Withhold
2 Ratify Auditors For For Mgmt
10/30/2003 Affiliated Computer Services, Inc. *ACS* 008190100 9/19/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
11/11/2003 Cisco Systems, Inc. *CSCO* 17275R102 9/12/2003
1 Elect Directors For For Mgmt
2 Amend Employee Stock Purchase Plan For For Mgmt
3 Ratify Auditors For For Mgmt
Shareholder Proposals
4 Report on Company Products Used by the Government to Against Against ShrHoldr
Monitor the Internet
5 Report on Pay Disparity Against Against ShrHoldr
7/18/2003 Dell Inc. *DELL* 247025109 5/23/2003
1 Elect Directors For For Mgmt
2 Declassify the Board of Directors For For Mgmt
3 Change Company Name For For Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
7/31/2003 Electronic Arts, Inc. *ERTS* 285512109 6/4/2003
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Ratify Auditors For For Mgmt
11/13/2003 Maxim Integrated Products, Inc. *MXIM* 57772K101 9/15/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director James R. Bergman For
1.2 Elect Director John F. Gifford Withhold
1.3 Elect Director B. Kipling Hagopian For
1.4 Elect Director M. D. Sampels For
1.5 Elect Director A. R. Frank Wazzan For
2 Amend Stock Option Plan For Against Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---------- ------------------------------------------------------------ -------- ---- ---- --------- -------
11/11/2003 Microsoft Corp. *MSFT* 594918104 9/12/2003
1 Elect Directors For Split Mgmt
1.1 Elect Director William H. Gates, III For
1.2 Elect Director Steven A. Ballmer For
1.3 Elect Director James I. Cash, Jr., Ph.D. For
1.4 Elect Director Raymond V. Gilmartin For
1.5 Elect Director Ann McLaughlin Korologos For
1.6 Elect Director David F. Marquardt For
1.7 Elect Director Charles H. Noski For
1.8 Elect Director Dr. Helmut Panke For
1.9 Elect Director Wm. G. Reed, Jr. For
1.10 Elect Director Jon A. Shirley Withhold
2 Amend Omnibus Stock Plan For For Mgmt
3 Amend Non-Employee Director Stock Option Plan For For Mgmt
Shareholder Proposal
4 Refrain from Giving Charitable Contributions Against Against ShrHoldr
10/13/2003 Oracle Corp. *ORCL* 68389X105 8/21/2003
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4 Amend Non-Employee Director Omnibus Stock Plan For For Mgmt
Shareholder Proposal
5 Implement China Principles Against Against ShrHoldr
8/21/2003 Symantec Corp. *SYMC* 871503108 7/8/2003
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Amend Stock Option Plan For Against Mgmt
4 Approve Executive Incentive Bonus Plan For For Mgmt
5 Ratify Auditors For For Mgmt
9/24/2003 UTStarcom, Inc. *UTSI* 918076100 8/15/2003
1 Increase Authorized Common Stock For For Mgmt
VOTE SUMMARY REPORT
July 1, 2003 - June 30, 2004
FIRST TRUST FINANCIAL SERVICES PORTFOLIO
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------------------------------------------------- -------- ---- ---- ---------- -------
1/9/2004 Countrywide Financial Corp. *CFC* 222372104 11/28/2003
1 Increase Authorized Common Stock For For Mgmt
5/3/2004 AFLAC Incorporated *AFL* 001055102 2/25/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Daniel P. Amos For
1.2 Elect Director John Shelby Amos II For
1.3 Elect Director Michael H. Armacost Withhold
1.4 Elect Director Kriss Cloninger III For
1.5 Elect Director Joe Frank Harris For
1.6 Elect Director Elizabeth J. Hudson For
1.7 Elect Director Kenneth S. Janke, Sr. For
1.8 Elect Director Douglas W. Johnson For
1.9 Elect Director Robert B. Johnson For
1.10 Elect Director Charles B. Knapp For
1.11 Elect Director Hidefumi Matsui For
1.12 Elect Director Nobuhiro Mori For
1.13 Elect Director E. Stephen Purdom, M.D. For
1.14 Elect Director Barbara K. Rimer, Ph.D. For
1.15 Elect Director Marvin R. Schuster For
1.16 Elect Director Glenn Vaughn, Jr. For
1.17 Elect Director Robert L. Wright For
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
5/4/2004 Ambac Financial Group, Inc. *ABK* 023139108 3/9/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Amend Non-Employee Director Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5/19/2004 American International Group, Inc. *AIG* 026874107 3/26/2004
1 Elect Directors For For Mgmt
2 Approve Executive Incentive Bonus Plan For For Mgmt
3 Approve Non-Employee Director Stock Option Plan For For Mgmt
4 Ratify Auditors For For Mgmt
5 Report on Political Contributions/Activities Against Against ShrHoldr
6 Divest from Tobacco Equities Against Against ShrHoldr
7 Link Executive Compensation to Predatory Lending Against Against ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- --------------------------------------------------------------- -------- ---- ---- --------- -------
3/17/2004 Bank of America Corp. *BAC* 060505104 1/26/2004
1 Approve Merger Agreement For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Adjourn Meeting For Against Mgmt
5/26/2004 Bank of America Corp. *BAC* 060505104 4/7/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Change Date of Annual Meeting Against Against ShrHoldr
4 Adopt Nomination Procedures for the Board Against Against ShrHoldr
5 Charitable Contributions Against Against ShrHoldr
6 Establish Independent Committee to Review Mutual Fund Policy Against Against ShrHoldr
7 Adopt Standards Regarding Privacy and Information Security Against Against ShrHoldr
4/29/2004 Capital One Financial Corp. *COF* 14040H105 2/29/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Omnibus Stock Plan For For Mgmt
4/21/2004 Charter One Financial, Inc. *CF* 160903100 2/23/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4/20/2004 Citigroup Inc. *C* 172967101 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Limit Executive Compensation Against Against ShrHoldr
4 Report on Political Contributions/Activities Against Against ShrHoldr
5 Prohibit Awards to Executives Against Against ShrHoldr
6 Separate Chairman and CEO Positions Against Against ShrHoldr
6/16/2004 Countrywide Financial Corp. *CFC* 222372104 4/19/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
4/21/2004 Doral Financial Corp. *DRL* 25811P100 3/12/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
3 Increase Authorized Preferred Stock For Against Mgmt
4 Approve Omnibus Stock Plan For For Mgmt
5 Ratify Auditors For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ------------------------------------------------------------- -------- ---- ---- -------- -------
5/25/2004 Fannie Mae *FNM* 313586109 4/6/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Employee Stock Purchase Plan For For Mgmt
4 Provide for Cumulative Voting Against For ShrHoldr
4/20/2004 First Horizon National Corp *FHN* 337162101 2/27/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Robert C. Blattberg For
1.2 Elect Director J. Kenneth Glass For
1.3 Elect Director Michael D. Rose For
1.4 Elect Director Luke Yancy III Withhold
1.5 Elect Director Mary F. Sammons For
2 Change Company Name For For Mgmt
3 Amend Omnibus Stock Plan For For Mgmt
4 Ratify Auditors For For Mgmt
4/27/2004 Golden West Financial Corp. *GDW* 381317106 3/1/2004
1 Elect Directors For For Mgmt
2 Increase Authorized Common Stock For Against Mgmt
3 Ratify Auditors For For Mgmt
4/2/2004 Lehman Brothers Holdings Inc. *LEH* 524908100 2/13/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/6/2004 MBIA Inc. *MBI* 55262C100 3/18/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/3/2004 MBNA Corp. *KRB* 55262L100 2/13/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director James H. Berick Withhold
1.2 Elect Director Benjamin R. Civiletti Withhold
1.3 Elect Director Bruce L. Hammonds Withhold
1.4 Elect Director William L. Jews For
1.5 Elect Director Randolph D. Lerner Withhold
1.6 Elect Director Stuart L. Markowitz For
1.7 Elect Director William B. Milstead For
2 Ratify Auditors For For Mgmt
3 Expense Stock Options Against For ShrHoldr
4 Require Majority of Independent Directors on Board Against For ShrHoldr
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ----------------------------------------------------------- -------- ---- ---- --------- -------
4/23/2004 Merrill Lynch & Co., Inc. *MER* 590188108 2/24/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Restore or Provide for Cumulative Voting Against For ShrHoldr
4 Separate Chairman and CEO Positions Against For ShrHoldr
4/27/2004 Metlife, Inc *MET* 59156R108 3/1/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director Curtis H. Barnette For
1.2 Elect Director John C. Danforth Withhold
1.3 Elect Director Burton A. Dole, Jr. For
1.4 Elect Director Harry P. Kamen Withhold
1.5 Elect Director Charles M. Leighton For
2 Approve Omnibus Stock Plan For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Approve Non-Employee Director Omnibus Stock Plan For For Mgmt
5 Ratify Auditors For For Mgmt
6 Limit Executive Compensation Against Against ShrHoldr
4/20/2004 Morgan Stanley *MWD* 617446448 2/20/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director John W. Madigan Withhold
1.2 Elect Director Dr. Klaus Zumwinkel For
1.3 Elect Director Sir Howard Davies For
2 Ratify Auditors For For Mgmt
3 Declassify the Board of Directors Against For ShrHoldr
4 Submit Severance Agreement (Change-in-Control) to Against For ShrHoldr
Shareholder Vote
5 Report on Political Contributions/Activities Against Against ShrHoldr
4/27/2004 North Fork Bancorporation, Inc. *NFB* 659424105 3/1/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
5/28/2004 Old Republic International Corp. *ORI* 680223104 3/22/2004
1 Elect Directors For Withhold Mgmt
4/30/2004 Popular Inc. *BPOP* 733174106 3/11/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Increase Authorized Common Stock For For Mgmt
4 Increase Authorized Preferred Stock For Against Mgmt
5 Amend Articles For For Mgmt
6 Approve Omnibus Stock Plan For For Mgmt
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ----------------------------------------------------------- -------- ---- ---- --------- -------
5/11/2004 Radian Group Inc. *RDN* 750236101 3/15/2004
1 Elect Directors For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Amend Articles For For Mgmt
4 Ratify Auditors For For Mgmt
4/21/2004 SouthTrust Corp. *SOTR* 844730101 2/20/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Approve Executive Incentive Bonus Plan For For Mgmt
4 Approve Omnibus Stock Plan For For Mgmt
5/18/2004 The Allstate Corp. *ALL* 020002101 3/19/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Amend Executive Incentive Bonus Plan For For Mgmt
4 Amend Executive Incentive Bonus Plan For For Mgmt
5 Provide for Cumulative Voting Against For ShrHoldr
3/31/2004 The Bear Stearns Companies Inc. *BSC* 073902108 2/19/2004
1 Elect Directors For For Mgmt
2 Amend the Capital Accumulation Plan for Senior For Against Mgmt
Managing Directors
3 Amend Stock Option Plan For Against Mgmt
4 Approve Restricted Stock Plan For Against Mgmt
5 Ratify Auditors For For Mgmt
4/20/2004 U.S. Bancorp *USB* 902973304 2/26/2004
1 Elect Directors For Withhold Mgmt
2 Ratify Auditors For For Mgmt
3 Limit Executive Compensation Against Against ShrHoldr
4 Submit Executive Compensation to Vote Against For ShrHoldr
5 Amend Vote Requirements to Amend Articles/Bylaws/Charter Against For ShrHoldr
4/20/2004 Washington Mutual, Inc *WM* 939322103 2/27/2004
1 Elect Directors For For Mgmt
2 Ratify Auditors For For Mgmt
3 Limit Executive Compensation Against Against ShrHoldr
4/27/2004 Wells Fargo & Company *WFC* 949746101 3/9/2004
1 Elect Directors For Split Mgmt
1.1 Elect Director J.A. Blanchard III For
1.2 Elect Director Susan E. Engel For
1.3 Elect Director Enrique Hernandez, Jr. For
1.4 Elect Director Robert L. Joss For
1.5 Elect Director Reatha Clark King For
1.6 Elect Director Richard M. Kovacevich For
1.7 Elect Director Richard D. McCormick For
1.8 Elect Director Cynthia H. Milligan For
1.9 Elect Director Philip J. Quigley For
1.10 Elect Director Donald B. Rice Withhold
Mtg Company/ Mgmt Vote Record
Date Ballot Issues Security Rec Cast Date Prpnent
- ---- ---------------------------------------------------- -------- ---- ---- ------- -------
1.11 Elect Director Judith M. Runstad Withhold
1.12 Elect Director Stephen W. Sanger For
1.13 Elect Director Susan G. Swenson For
1.14 Elect Director Michael W. Wright Withhold
2 Approve Retirement Plan For For Mgmt
3 Ratify Auditors For For Mgmt
4 Expense Stock Options Against For ShrHoldr
5 Limit Executive Compensation Against Against ShrHoldr
6 Link Executive Compensation to Social Issues Against Against ShrHoldr
7 Report on Political Contributions/Activities Against Against ShrHoldr
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) FIRST DEFINED PORTFOLIO FUND, LLC
---------------------------------------
By (Signature and Title)* /s/ James A. Bowen
-----------------------------------
James A. Bowen, President
Date August 31, 2004
-------------------------
* Print the name and title of each signing officer under his or her signature.