UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-21515
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TS&W/Claymore Tax-Advantaged Balanced Fund
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(Exact name of registrant as specified in charter)
2455 Corporate West Drive
Lisle, IL 60532
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(Address of principal executive offices) (Zip code)
Kevin M. Robinson
2455 Corporate West Drive
Lisle, IL 60532
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(Name and address of agent for service)
Registrant's telephone number, including area code: (630) 505-3700
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Date of fiscal year end: December 31
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Date of reporting period: July 1, 2010 - June 30, 2011
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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 ( 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, 100 F Street, NE,
Washington, DC 20549-1090. The OMB has reviewed this collection of information
under the clearance requirements of 44 U.S.C. 3507.
ITEM 1. PROXY VOTING RECORD.
**************************************** FORM N-Px REPORT **********************
ICA File Number: 811-21515
Reporting Period: 07/01/2010 - 06/30/2011
TS&W / Claymore Tax Advantaged Balanced Fund
========================== TS&W / CLAYMORE TAX-ADVANTAGED BALANCED FUND ========
Abbott Laboratories
Ticker: BT Security ID: CUSIP 002824100
Meeting Date: 04/29/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Robert J. Alpern Management For For For
1.2 Elect Director Roxanne S. Austin Management For For For
1.3 Elect Director W. James Farrell Management For For For
1.4 Elect Director H. Laurance Fuller Management For For For
1.5 Elect Director Edward M. Liddy Management For For For
1.6 Elect Director Phebe N. Novakovic Management For For For
1.7 Elect Director William A. Osborn Management For For For
1.8 Elect Director Samuel C. Scott III Management For For For
1.9 Elect Director Glenn F. Tilton Management For For For
1.10 Elect Director Miles D. White Management For For For
2 Ratify Auditors Management For For For
3 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
4 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
5 Adopt Policy on Pharmaceutical Price Share Holder Against Against For
Restraint
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AT&T Inc.
Ticker: T Security ID: CUSIP 00206R102
Meeting Date: 04/29/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Randall L. Stephenson Management For For For
2 Elect Director Gilbert F. Amelio Management For For For
3 Elect Director Reuben V. Anderson Management For For For
4 Elect Director James H. Blanchard Management For For For
5 Elect Director Jaime Chico Pardo Management For For For
6 Elect Director James P. Kelly Management For For For
7 Elect Director Jon C. Madonna Management For For For
8 Elect Director Lynn M. Martin Management For For For
9 Elect Director John B. McCoy Management
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Bank of America Corporation
Ticker: BAC Security ID: CUSIP 060505104
Meeting Date: 05/11/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Mukesh D. Ambani Management For For For
2 Elect Director Susan S. Bies Management For For For
3 Elect Director Frank P. Bramble, Sr. Management For For For
4 Elect Director Virgis W. Colbert Management For For For
5 Elect Director Charles K. Gifford Management For For For
6 Elect Director Charles O. Holliday, Management For For For
Jr.
7 Elect Director D. Paul Jones, Jr. Management For For For
8 Elect Director Monica C. Lozano Management For For For
9 Elect Director Thomas J. May Management For For For
10 Elect Director Brian T. Moynihan Management For For For
11 Elect Director Donald E. Powell Management For For For
12 Elect Director Charles O. Rossotti Management For For For
13 Elect Director Robert W. Scully Management For For For
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
16 Ratify Auditors Management For For For
17 Disclose Prior Government Service Share Holder Against Against For
18 Provide Right to Act by Written Share Holder Against For Against
Consent
19 Require Audit Committee Review and Share Holder Against For Against
Report on Controls Related to
Loans, Foreclosure and
Securitizations
20 Report on Lobbying Expenses Share Holder Against For Against
21 Report on Collateral in Derivatives Share Holder Against For Against
Trading
22 Restore or Provide for Cumulative Share Holder Against For Against
Voting
23 Claw-back of Payments under Share Holder Against For Against
Restatements
24 Prohibit Certain Relocation Benefits Share Holder Against For Against
to Senior
Executives
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BCE Inc.
Ticker: BCE Security ID: CUSIP 05534B760
Meeting Date: 05/12/2011 Meeting Type: Annual
Country of Trade: Canada
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director B.K. Allen Management For For For
1.2 Elect Director A. Berard Management For For For
1.3 Elect Director R.A. Brenneman Management For For For
1.4 Elect Director S. Brochu Management For For For
1.5 Elect Director R.E. Brown Management For For For
1.6 Elect Director G.A. Cope Management For For For
1.7 Elect Director A.S. Fell Management For For For
1.8 Elect Director E.C. Lumley Management For For For
1.9 Elect Director T.C. O'Neill Management For For For
1.10 Elect Director R.C. Simmonds Management For For For
1.11 Elect Director C. Taylor Management For For For
1.12 Elect Director P.R. Weiss Management For For For
2 Ratify Deloitte & Touche LLP as Management For For For
Auditors
3 Advisory Vote on Executive Management For For For
Compensation
Approach
4.1 Critical Mass of Qualified Women on Share Holder Against Against For
the
Board
4.2 Adopt a Policy Stipulating an Share Holder Against Against For
Internal Pay
Ratio
4.3 Additional Information Regarding Share Holder Against Against For
Peer Comparisons of
Compensation
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Bristol-Myers Squibb Company
Ticker: BMY Security ID: CUSIP 110122108
Meeting Date: 05/03/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director L. Andreotti Management For For For
2 Elect Director L.B. Campbell Management For For For
3 Elect Director J.M. Cornelius Management For For For
4 Elect Director L.J. Freeh Management For For For
5 Elect Director L.H. Glimcher Management For For For
6 Elect Director M. Grobstein Management For For For
7 Elect Director L. Johansson Management For For For
8 Elect Director A.J. Lacy Management For For For
9 Elect Director V.L. Sato Management For For For
10 Elect Director E. Sigal Management For For For
11 Elect Director T.D. West, Jr. Management For For For
12 Elect Director R.S. Williams Management For For For
13 Ratify Auditors Management For For For
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Advisory Vote on Say on Pay Frequency Management Three Years One Year N/A
16 Increase Disclosure of Executive Share Holder Against Against For
Compensation
17 Provide Right to Act by Written Share Holder Against For Against
Consent
18 Adopt Policy to Restrain Share Holder Against Against For
Pharmaceutical Price
Increases
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CenterPoint Energy, Inc.
Ticker: CNP Security ID: CUSIP 15189T107
Meeting Date: 04/21/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Donald R. Campbell Management For For For
2 Elect Director Milton Carroll Management For For For
3 Elect Director O. Holcombe Crosswell Management For For For
4 Elect Director Michael P. Johnson Management For For For
5 Elect Director Janiece M. Longoria Management For For For
6 Elect Director David M. McClanahan Management For For For
7 Elect Director Susan O. Rheney Management For For For
8 Elect Director R. A. Walker Management For For For
9 Elect Director Peter S. Wareing Management For For For
10 Elect Director Sherman M. Wolff Management For For For
11 Ratify The Appointment Of Deloitte & Management For For For
Touche Llp As Independentauditors
For
2011.
12 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
13 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
14 Amend Executive Incentive Bonus Plan Management For For For
15 Amend Non-Employee Director Management For For For
Restricted Stock
Plan
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Chevron Corporation
Ticker: CVX Security ID: CUSIP 166764100
Meeting Date: 05/25/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director L.F. Deily Management For For For
2 Elect Director R.E. Denham Management For For For
3 Elect Director R.J. Eaton Management For For For
4 Elect Director C. Hagel Management For For For
5 Elect Director E. Hernandez Management For For For
6 Elect Director G.L. Kirkland Management For For For
7 Elect Director D.B. Rice Management For For For
8 Elect Director K.W. Sharer Management For For For
9 Elect Director C.R. Shoemate Management For For For
10 Elect Director J.G. Stumpf Management For For For
11 Elect Director R.D. Sugar Management For For For
12 Elect Director C. Ware Management For For For
13 Elect Director J.S. Watson Management For For For
14 Ratify Auditors Management For For For
15 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
16 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
17 Request Director Nominee with Share Holder Against For Against
Environmental
Qualifications
18 Amend Bylaws to Establish a Board Share Holder Against Against For
Committee on Human
Rights
19 Include Sustainability as a Share Holder Against Against For
Performance Measure for Senior
Executive
Compensation
20 Adopt Guidelines for Country Share Holder Against For Against
Selection
21 Report on Financial Risks of Climate Share Holder Against Against For
Change
22 Report on Environmental Impacts of Share Holder Against For Against
Natural Gas
Fracturing
23 Report on Offshore Oil Wells and Share Holder Against Against For
Spill Mitigation
Measures
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Cisco Systems, Inc.
Ticker: CSCO Security ID: CUSIP 17275R102
Meeting Date: 11/18/2010 Meeting Type: Annual
Country of Trade: nited States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Carol A. Bartz Management For For For
2 Elect Director M. Michele Burns Management For For For
3 Elect Director Michael D. Capellas Management For For For
4 Elect Director Larry R. Carter Management For For For
5 Elect Director John T. Chambers Management For For For
6 Elect Director Brian L. Halla Management For For For
7 Elect Director John L. Hennessy Management For For For
8 Elect Director Richard M. Kovacevich Management For For For
9 Elect Director Roderick C. Mcgeary Management For For For
10 Elect Director Michael K. Powell Management For For For
11 Elect Director Arun Sarin Management For For For
12 Elect Director Steven M. West Management For For For
13 Elect Director Jerry Yang Management For For For
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Ratify Auditors Management For For For
16 Amend Bylaws to Establish a Board Share Holder Against Against For
Committee on Environmental
Sustainability
17 Report on Internet Fragmentation Share Holder Against For Against
18 Adopt Policy Prohibiting Sale of Share Holder Against Against For
Products in China if they
Contribute to Human Rights
Abuses
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Citigroup Inc.
Ticker: C Security ID: CUSIP 172967101
Meeting Date: 04/21/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Alain J.P. Belda Management For For For
2 Elect Director Timothy C. Collins Management For For For
3 Elect Director Jerry A. Grundhofer Management For For For
4 Elect Director Robert L. Joss Management For For For
5 Elect Director Michael E. O'Neill Management For For For
6 Elect Director Vikram S. Pandit Management For For For
7 Elect Director Richard D. Parsons Management For For For
8 Elect Director Lawrence R. Ricciardi Management For For For
9 Elect Director Judith Rodin Management For For For
10 Elect Director Robert L. Ryan Management For For For
11 Elect Director Anthony M. Santomero Management For For For
12 Elect Director Diana L. Taylor Management For For For
13 Elect Director William S. Thompson, Management For For For
Jr.
14 Elect Director Ernesto Zedillo Management For For For
15 Ratify Auditors Management For For For
16 Amend Omnibus Stock Plan Management For For For
17 Approve Executive Incentive Bonus Management For For For
Plan
18 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
19 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
20 Approve Reverse Stock Split Management For For For
21 Affirm Political Non-Partisanship Share Holder Against Against For
22 Report on Political Contributions Share Holder Against For Against
23 Report on Restoring Trust and Share Holder Against Against For
Confidence in the Financial
System
24 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special
Meetings
25 Require Audit Committee Review and Share Holder Against For Against
Report on Controls Related to
Loans, Foreclosure and
Securitizations
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ConocoPhillips
Ticker:COP Security ID:CUSIP 20825C104
Meeting Date:05/11/2011 Meeting Type:Annual
Country of Trade:United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Richard L. Armitage Management For For For
2 Elect Director Richard H. Auchinleck Management For For For
3 Elect Director James E. Copeland, Jr. Management For For For
4 Elect Director Kenneth M. Duberstein Management For For For
5 Elect Director Ruth R. Harkin Management For For For
6 Elect Director Harold W. McGraw III Management For For For
7 Elect Director James J. Mulva Management For For For
8 Elect Director Robert A. Niblock Management For For For
9 Elect Director Harald J. Norvik Management For For For
10 Elect Director William K. Reilly Management For For For
11 Elect Director Victoria J. Tschinkel Management For For For
12 Elect Director Kathryn C. Turner Management For For For
13 Elect Director William E. Wade, Jr. Management For For For
14 Ratify Auditors Management For For For
15 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'Compensation
16 Advisory Vote on Say on Pay Frequency Management None One Year N/A
17 Approve Omnibus Stock Plan Management For For For
18 Amend EEO Policy to Prohibit Share Holder Against For Against
Discrimination based on Gender
Identity
19 Report on Political Contributions Share Holder Against For Against
20 Report on Lobbying Expenses Share Holder Against For Against
21 Report on Accident Risk Reduction Share Holder Against Against For
Efforts
22 Adopt Policy to Address Coastal Share Holder Against Against For
Louisiana Environmental Impacts
23 Adopt Quantitative GHG Goals for Share Holder Against For Against
Products and Operations
24 Report on Financial Risks of Climate Share Holder Against Against For
Change
25 Report on Environmental Impact of Share Holder Against For Against
Oil Sands Operations in Canada
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Corning Incorporated
Ticker: GLW Security ID: CUSIP 219350105
Meeting Date: 04/28/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director John Seely Brown Management For Against Against
2 Elect Director John A. Canning, Jr. Management For For For
3 Elect Director Gordon Gund Management For Against Against
4 Elect Director Kurt M. Landgraf Management For Against Against
5 Elect Director H. Onno Ruding Management For Against Against
6 Elect Director Glenn F. Tilton Management For For For
7 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
8 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
9 Ratify Auditors Management For For For
10 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special
Meetings
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Darden Restaurants, Inc.
Ticker: DRI Security ID: CUSIP 237194105
Meeting Date: 09/14/2010 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Leonard L. Berry Management For For For
1.2 Elect Director Odie C. Donald Management For For For
1.3 Elect Director Christopher J. Management For For For
Fraleigh
1.4 Elect Director Victoria D. Harker Management For For For
1.5 Elect Director David H. Hughes Management For For For
1.6 Elect Director Charles A. Ledsinger Management For For For
Jr
1.7 Elect Director William M. Lewis, Jr. Management For For For
1.8 Elect Director Senator Connie Mack, Management For For For
III
1.9 Elect Director Andrew H. Madsen Management For For For
1.10 Elect Director Clarence Otis, Jr. Management For For For
1.11 Elect Director Michael D. Rose Management For For For
1.12 Elect Director Maria A. Sastre Management For For For
2 Amend Omnibus Stock Plan Management For For For
3 Ratify Auditors Management For For For
----------------------------------------------------------------------------------------------------
Devon Energy Corporation
Ticker: DVN Security ID: CUSIP 25179M103
Meeting Date: 06/08/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Robert H. Henry Management For For For
1.2 Elect Director John A. Hill Management For For For
1.3 Elect Director Michael M. Kanovsky Management For For For
1.4 Elect Director Robert A. Mosbacher, Management For For For
Jr
1.5 Elect Director J. Larry Nichols Management For For For
1.6 Elect Director Duane C. Radtke Management For For For
1.7 Elect Director Mary P. Ricciardello Management For For For
1.8 Elect Director John Richels Management For For For
2 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
3 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
4 Reduce Supermajority Vote Requirement Management For For For
5 Amend Certificate of Incorporation Management For For For
6 Ratify Auditors Management For For For
7 Provide Right to Act by Written Share Holder Against For Against
Consent
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Dominion Resources, Inc.
Ticker: D Security ID: CUSIP 25746U109
Meeting Date: 05/12/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director William P. Barr Management For For For
2 Elect Director Peter W. Brown Management For For For
3 Elect Director George A. Davidson, Management For For For
Jr.
4 Elect Director Helen E. Dragas Management For For For
5 Elect Director Thomas F. Farrell II Management For For For
6 Elect Director John W. Harris Management For Against Against
7 Elect Director Robert S. Jepson, Jr. Management For For For
8 Elect Director Mark J. Kington Management For For For
9 Elect Director Margaret A. McKenna Management For For For
10 Elect Director Frank S. Royal Management For For For
11 Elect Director Robert H. Spilman, Jr. Management For For For
12 Elect Director David A. Wollard Management For For For
13 Ratify Auditors Management For For For
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
16 Report on Coal Use from Mountaintop Share Holder Against Against For
Removal
Mining
17 Adopt Renewable Energy Production Share Holder Against Against For
Goal
18 Report on Financial Risks of Coal Share Holder Against Against For
Reliance
19 Invest in Renewable Energy and Stop Share Holder Against Against For
Construction of Nuclear
Reactor
20 Require Independent Board Chairman Share Holder Against For Against
21 Provide Right to Act by Written Share Holder Against For Against
Consent
22 Submit SERP to Shareholder Vote Share Holder Against For Against
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E. I. du Pont de Nemours and Company
Ticker: DD Security ID: CUSIP 263534109
Meeting Date: 04/27/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Richard H. Brown Management For For For
2 Elect Director Robert A. Brown Management For For For
3 Elect Director Bertrand P. Collomb Management For For For
4 Elect Director Curtis J. Crawford Management For For For
5 Elect Director Alexander M. Cutler Management For For For
6 Elect Director Eleuthere I. du Pont Management For For For
7 Elect Director Marillyn A. Hewson Management For For For
8 Elect Director Lois D. Juliber Management For For For
9 Elect Director Ellen J. Kullman Management For For For
10 Elect Director William K. Reilly Management For For For
11 Ratify Auditors Management For For For
12 Amend Omnibus Stock Plan Management For For For
13 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
14 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
15 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special
Meetings
16 Report on Genetically Engineered Seed Share Holder Against Against For
17 Report on Pay Disparity Share Holder Against Against For
----------------------------------------------------------------------------------------------------
Eli Lilly and Company
Ticker: LLY Security ID: CUSIP 532457108
Meeting Date: 04/18/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director M.L. Eskew Management For For For
2 Elect Director A.G. Gilman Management For For For
3 Elect Director K.N. Horn Management For For For
4 Elect Director J.C. Lechleiter Management For For For
5 Ratify Auditors Management For For For
6 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
7 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
8 Declassify the Board of Directors Management For For For
9 Reduce Supermajority Vote Requirement Management For For For
10 Approve Executive Incentive Bonus Management For For For
Plan
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Exxon Mobil Corporation
Ticker: XOM Security ID: CUSIP 30231G102
Meeting Date: 05/25/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director M.J. Boskin Management For For For
1.2 Elect Director P. Brabeck-Letmathe Management For For For
1.3 Elect Director L.R. Faulkner Management For For For
1.4 Elect Director J.S. Fishman Management For For For
1.5 Elect Director K.C. Frazier Management For For For
1.6 Elect Director W.W. George Management For For For
1.7 Elect Director M.C. Nelson Management For For For
1.8 Elect Director S.J. Palmisano Management For For For
1.9 Elect Director S.S. Reinemund Management For For For
1.10 Elect Director R.W. Tillerson Management For For For
1.11 Elect Director E.E. Whitacre, Jr. Management For For For
2 Ratify Auditors Management For For For
3 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
4 Advisory Vote on Say on Pay Frequency Management Three Years One Year N/A
5 Require Independent Board Chairman Share Holder Against For Against
6 Report on Political Contributions Share Holder Against For Against
7 Amend EEO Policy to Prohibit Share Holder Against Against For
Discrimination based on Sexual
Orientation and Gender
Identity
8 Adopt Policy on Human Right to Water Share Holder Against Against For
9 Report on Environmental Impact of Share Holder Against For Against
Oil Sands Operations in
Canada
10 Report on Environmental Impacts of Share Holder Against For Against
Natural Gas
Fracturing
11 Report on Energy Technologies Share Holder Against Against For
Development
12 Adopt Quantitative GHG Goals for Share Holder Against For Against
Products and
Operations
----------------------------------------------------------------------------------------------------
Freeport-McMoRan Copper & Gold Inc.
Ticker: FCX Security ID: CUSIP 35671D857
Meeting Date: 06/15/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Richard C. Adkerson Management For For For
1.2 Elect Director Robert J. Allison, Jr. Management For For For
1.3 Elect Director Robert A. Day Management For For For
1.4 Elect Director Gerald J. Ford Management For For For
1.5 Elect Director H. Devon Graham, Jr. Management For For For
1.6 Elect Director Charles C. Krulak Management For For For
1.7 Elect Director Bobby Lee Lackey Management For For For
1.8 Elect Director Jon C. Madonna Management For For For
1.9 Elect Director Dustan E. McCoy Management For For For
1.10 Elect Director James R. Moffett Management For For For
1.11 Elect Director B.M. Rankin, Jr. Management For For For
1.12 Elect Director Stephen H. Siegele Management For For For
2 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
3 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
4 Ratify Auditors Management For For For
5 Request Director Nominee with Share Holder Against For Against
Environmental
Qualifications
----------------------------------------------------------------------------------------------------
GameStop Corp.
Ticker: GME Security ID: CUSIP 36467W109
Meeting Date: 06/21/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Stanley (Mickey) Management For For For
Steinberg
1.2 Elect Director Gerald R. Szczepanski Management For For For
1.3 Elect Director Lawrence S. Zilavy Management For For For
2 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
3 Advisory Vote on Say on Pay Frequency Management None One Year N/A
4 Approve Omnibus Stock Plan Management For For For
5 Ratify Auditors Management For For For
----------------------------------------------------------------------------------------------------
General Dynamics Corporation
Ticker: GD Security ID: CUSIP 369550108
Meeting Date: 05/04/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Mary T. Barra Management For For For
2 Elect Director Nicholas D. Chabraja Management For For For
3 Elect Director James S. Crown Management For For For
4 Elect Director William P. Fricks Management For For For
5 Elect Director Jay L. Johnson Management For For For
6 Elect Director George A. Joulwan Management For For For
7 Elect Director Paul G. Kaminski Management For For For
8 Elect Director John M. Keane Management For For For
9 Elect Director Lester L. Lyles Management For For For
10 Elect Director William A. Osborn Management For For For
11 Elect Director Robert Walmsley Management For For For
12 Ratify Auditors Management For For For
13 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
14 Advisory Vote on Say on Pay Frequency Management Three Years One Year N/A
15 Review and Assess Human Rights Share Holder Against For Against
Policies
16 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special
Meetings
----------------------------------------------------------------------------------------------------
General Electric Company
Ticker: GE Security ID: CUSIP 369604103
Meeting Date: 04/27/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director W. Geoffrey Beattie Management For For For
2 Elect Director James I. Cash, Jr. Management For For For
3 Elect Director Ann M. Fudge Management For For For
4 Elect Director Susan Hockfield Management For For For
5 Elect Director Jeffrey R. Immelt Management For For For
6 Elect Director Andrea Jung Management For For For
7 Elect Director Alan G. Lafley Management For For For
8 Elect Director Robert W. Lane Management For For For
9 Elect Director Ralph S. Larsen Management For For For
10 Elect Director Rochelle B. Lazarus Management For For For
11 Elect Director James J. Mulva Management For For For
12 Elect Director Sam Nunn Management For For For
13 Elect Director Roger S. Penske Management For For For
14 Elect Director Robert J. Swieringa Management For For For
15 Elect Director James S. Tisch Management For For For
16 Elect Director Douglas A. Warner III Management For For For
17 Ratify Auditors Management For For For
18 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
19 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
20 Provide for Cumulative Voting Share Holder Against For Against
21 Performance-Based Equity Awards Share Holder Against For Against
22 Withdraw Stock Options Granted to Share Holder Against Against For
Executive
Officers
23 Report on Climate Change Business Share Holder Against Against For
Risk
24 Report on Animal Testing and Plans Share Holder Against Against For
for
Reduction
----------------------------------------------------------------------------------------------------
Intel Corporation
Ticker: INTC Security ID: CUSIP 458140100
Meeting Dat: 05/19/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Charlene Barshefsky Management For For For
2 Elect Director Susan L. Decker Management For For For
3 Elect Director John J. Donahoe Management For For For
4 Elect Director Reed E. Hundt Management For For For
5 Elect Director Paul S. Otellini Management For For For
6 Elect Director James D. Plummer Management For For For
7 Elect Director David S. Pottruck Management For For For
8 Elect Director Jane E. Shaw Management For For For
9 Elect Director Frank D. Yeary Management For For For
10 Elect Director David B. Yoffie Management For For For
11 Ratify Auditors Management For For For
12 Amend Omnibus Stock Plan Management For For For
13 Amend Qualified Employee Stock Management For For For
Purchase
Plan
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Advisory Vote on Say on Pay Frequency Management None One Year N/A
----------------------------------------------------------------------------------------------------
ITT Corporation
Ticker: ITT Security ID: CUSIP 450911102
Meeting Date: 05/10/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Steven R. Loranger Management For For For
1.2 Elect Director Curtis J. Crawford Management For For For
1.3 Elect Director Christina A. Gold Management For For For
1.4 Elect Director Ralph F. Hake Management For For For
1.5 Elect Director John J. Hamre Management For For For
1.6 Elect Director Paul J. Kern Management For For For
1.7 Elect Director Frank T. MacInnis Management For For For
1.8 Elect Director Surya N. Mohapatra Management For For For
1.9 Elect Director Linda S. Sanford Management For For For
1.10 Elect Director Markos I. Tambakeras Management For For For
2 Ratify Auditors Management For For For
3 Approve Omnibus Stock Plan Management For For For
4 Provide Right to Call Special Meeting Management For For For
5 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
6 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
7 Amend Human Rights Policies Share Holder Against Against For
----------------------------------------------------------------------------------------------------
Jabil Circuit, Inc.
Ticker: JBL Security ID: CUSIP 466313103
Meeting Date: 01/20/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Mel S. Lavitt Management For For For
1.2 Elect Director Timothy L. Main Management For For For
1.3 Elect Director William D. Morean Management For For For
1.4 Elect Director Lawrence J. Murphy Management For For For
1.5 Elect Director Frank A. Newman Management For For For
1.6 Elect Director Steven A. Raymund Management For For For
1.7 Elect Director Thomas A. Sansone Management For For For
1.8 Elect Director David M. Stout Management For For For
2 Ratify Auditors Management For For For
3 Approve Omnibus Stock Plan Management For For For
4 Amend Executive Incentive Bonus Plan Management For For For
5 Approve Qualified Employee Stock Management For For For
Purchase
Plan
6 Other Business Management For Against Against
----------------------------------------------------------------------------------------------------
Johnson & Johnson
Ticker: JNJ Security ID: CUSIP 478160104
Meeting Date: 04/28/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Mary Sue Coleman Management For For For
2 Elect Director James G. Cullen Management For For For
3 Elect Director Ian E.L. Davis Management For For For
4 Elect Director Michael M.e. Johns Management For For For
5 Elect Director Susan L. Lindquist Management For For For
6 Elect Director Anne M. Mulcahy Management For For For
7 Elect Director Leo F. Mullin Management For For For
8 Elect Director William D. Perez Management For For For
9 Elect Director Charles Prince Management For For For
10 Elect Director David Satcher Management For For For
11 Elect Director William C. Weldon Management For For For
12 Ratify Auditors Management For For For
13 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
14 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
15 Adopt Policy to Restrain Share Holder Against Against For
Pharmaceutical Price
Increases
16 Amend EEO Policy to Prohibit Share Holder Against Against For
Discrimination Based on Applicant's
Health
Status
17 Adopt Animal-Free Training Methods Share Holder Against Against For
----------------------------------------------------------------------------------------------------
JPMorgan Chase & Co.
Ticker: JPM Security ID: CUSIP 46625H100
Meeting Date: 05/17/2011 Meeting Type: nnual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Crandall C. Bowles Management For For For
2 Elect Director Stephen B. Burke Management For For For
3 Elect Director David M. Cote Management For For For
4 Elect Director James S. Crown Management For For For
5 Elect Director James Dimon Management For For For
6 Elect Director Ellen V. Futter Management For For For
7 Elect Director William H. Gray, III Management For For For
8 Elect Director Laban P. Jackson, Jr. Management For For For
9 Elect Director David C. Novak Management For For For
10 Elect Director Lee R. Raymond Management For For For
11 Elect Director William C. Weldon Management For For For
12 Ratify Auditors Management For For For
13 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
14 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
15 Amend Omnibus Stock Plan Management For Against Against
16 Affirm Political Non-Partisanship Share Holder Against Against For
17 Provide Right to Act by Written Share Holder Against For Against
Consent
18 Report on Loan Modifications Share Holder Against Against For
19 Report on Political Contributions Share Holder Against For Against
20 Institute Procedures to Prevent Share Holder Against Against For
Investments in Companies that
Contribute to Genocide or Crimes
Against
Humanity
21 Require Independent Board Chairman Share Holder Against Against For
----------------------------------------------------------------------------------------------------
Kimberly-Clark Corporation
Ticker: KMB Security ID: CUSIP 494368103
Meeting Date: 04/21/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director John R. Alm Management For For For
2 Elect Director John F. Bergstrom Management For For For
3 Elect Director Abelardo E. Bru Management For For For
4 Elect Director Robert W. Decherd Management For For For
5 Elect Director Thomas J. Falk Management For For For
6 Elect Director Mae C. Jemison Management For For For
7 Elect Director James M. Jenness Management For For For
8 Elect Director Nancy J. Karch Management For For For
9 Elect Director Ian C. Read Management For For For
10 Elect Director Linda Johnson Rice Management For For For
11 Elect Director Marc J. Shapiro Management For For For
12 Elect Director G. Craig Sullivan Management For For For
13 Ratify Auditors Management For For For
14 Approve Non-Employee Director Management For For For
Omnibus Stock
Plan
15 Approve Omnibus Stock Plan Management For For For
16 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
17 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
----------------------------------------------------------------------------------------------------
Kraft Foods Inc.
Ticker: KFT Security ID: CUSIP 50075N104
Meeting Date: 05/24/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Ajaypal S. Banga Management For For For
2 Elect Director Myra M. Hart Management For For For
3 Elect Director Peter B. Henry Management For For For
4 Elect Director Lois D. Juliber Management For For For
5 Elect Director Mark D. Ketchum Management For For For
6 Elect Director Richard A. Lerner Management For For For
7 Elect Director Mackey J. McDonald Management For For For
8 Elect Director John C. Pope Management For For For
9 Elect Director Fredric G. Reynolds Management For For For
10 Elect Director Irene B. Rosenfeld Management For For For
11 Elect Director J.F. Van Boxmeer Management For For For
12 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
13 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
14 Amend Non-Employee Director Omnibus Management For For For
Stock
Plan
15 Ratify Auditors Management For For For
----------------------------------------------------------------------------------------------------
Merck & Co., Inc.
Ticker: MRK Security ID: CUSIP 58933Y105
Meeting Date: 05/24/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Leslie A. Brun Management For For For
2 Elect Director Thomas R. Cech Management For For For
3 Elect Director Richard T. Clark Management For For For
4 Elect Director Kenneth C. Frazier Management For For For
5 Elect Director Thomas H. Glocer Management For For For
6 Elect Director Steven F. Goldstone Management For For For
7 Elect Director William B. Harrison. Management For For For
Jr.
8 Elect Director Harry R. Jacobson Management For For For
9 Elect Director William N. Kelley Management For For For
10 Elect Director C. Robert Kidder Management For For For
11 Elect Director Rochelle B. Lazarus Management For For For
12 Elect Director Carlos E. Represas Management For For For
13 Elect Director Patricia F. Russo Management For For For
14 Elect Director Thomas E. Shenk Management For For For
15 Elect Director Anne M. Tatlock Management For For For
16 Elect Director Craig B. Thompson Management For For For
17 Elect Director Wendell P. Weeks Management For For For
18 Elect Director Peter C. Wendell Management For For For
19 Ratify Auditors Management For For For
20 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
21 Advisory Vote on Say on Pay Frequency Management Three Years One Year N/A
----------------------------------------------------------------------------------------------------
MetLife, Inc.
Ticker:MET Security ID:CUSIP 59156R108
Meeting Date:04/26/2011 Meeting Type:Annual
Country of Trade:United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Steven A. Kandarian Management For For For
1.2 Elect Director Sylvia Mathews Burwell Management For For For
1.3 Elect Director Eduardo Castro-Wright Management For For For
1.4 Elect Director Cheryl W. Grise Management For For For
1.5 Elect Director Lulu C. Wang Management For For For
2 Declassify the Board of Directors Management For For For
3 Ratify Auditors Management For For For
4 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
5 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
----------------------------------------------------------------------------------------------------
Norfolk Southern Corporation
Ticker: NSC Security ID: CUSIP 655844108
Meeting Date: 05/12/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Gerald L. Baliles Management For For For
2 Elect Director Erskine B. Bowles Management For For For
3 Elect Director Karen N. Horn Management For For For
4 Elect Director J. Paul Reason Management For For For
5 Ratify Auditors Management For For For
6 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
7 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
----------------------------------------------------------------------------------------------------
Pepco Holdings, Inc.
Ticker:POM Security ID:CUSIP 713291102
Meeting Date:05/20/2011 Meeting Type:Annual
Country of Trade:United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Jack B. Dunn, IV Management For For For
1.2 Elect Director Terence C. Golden Management For For For
1.3 Elect Director Patrick T. Harker Management For For For
1.4 Elect Director Frank O. Heintz Management For For For
1.5 Elect Director Barbara J. Krumsiek Management For For For
1.6 Elect Director George F. MacCormack Management For For For
1.7 Elect Director Lawrence C. Nussdorf Management For For For
1.8 Elect Director Patricia A. Oelrich Management For For For
1.9 Elect Director Joseph M. Rigby Management For For For
1.10 Elect Director Frank K. Ross Management For For For
1.11 Elect Director Pauline A. Schneider Management For For For
1.12 Elect Director Lester P. Silverman Management For For For
2 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
3 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
4 Ratify Auditors Management For For For
----------------------------------------------------------------------------------------------------
Pfizer Inc.
Ticker: PFE Security ID: CUSIP 717081103
Meeting Date: 04/28/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Dennis A. Ausiello Management For For For
2 Elect Director Michael S. Brown Management For For For
3 Elect Director M. Anthony Burns Management For For For
4 Elect Director W. Don Cornwell Management For For For
5 Elect Director Frances D. Fergusson Management For For For
6 Elect Director William H. Gray III Management For For For
7 Elect Director Constance J. Horner Management For For For
8 Elect Director James M. Kilts Management For For For
9 Elect Director George A. Lorch Management For For For
10 Elect Director John P. Mascotte Management For For For
11 Elect Director Suzanne Nora Johnson Management For For For
12 Elect Director Ian C. Read Management For For For
13 Elect Director Stephen W. Sanger Management For For For
14 Ratify Auditors Management For For For
15 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
16 Advisory Vote on Say on Pay Frequency Management Two Years One Year N/A
17 Publish Political Contributions Share Holder Against Against For
18 Report on Public Policy Advocacy Share Holder Against Against For
Process
19 Adopt Policy to Restrain Share Holder Against Against For
Pharmaceutical Price
Increases
20 Provide Right to Act by Written Share Holder Against For Against
Consent
21 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special
Meetings
22 Report on Animal Testing and Plans Share Holder Against Against For
for
Reduction
----------------------------------------------------------------------------------------------------
R. R. Donnelley & Sons Company
Ticker: RRD Security ID: CUSIP 257867101
Meeting Date: 05/19/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Thomas J. Quinlan, III Management For For For
2 Elect Director Stephen M. Wolf Management For For For
3 Elect Director Lee A. Chaden Management For For For
4 Elect Director Judith H. Hamilton Management For For For
5 Elect Director Susan M. Ivey Management For For For
6 Elect Director Thomas S. Johnson Management For For For
7 Elect Director John C. Pope Management For For For
8 Elect Director Michael T. Riordan Management For For For
9 Elect Director Oliver R. Sockwell Management For For For
10 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
11 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
12 Ratify Auditors Management For For For
13 Report on Sustainable Paper Share Holder Against For Against
Purchasing
14 Report on Political Contributions Share Holder Against For Against
15 Provide Right to Act by Written Share Holder Against For Against
Consent
16 Other Business Management For Against Against
----------------------------------------------------------------------------------------------------
Reynolds American Inc.
Ticker: RAI Security ID: USIP 761713106
Meeting Date: 05/06/2011 Meeting Type: Annual
Country of Trade: nited States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1.1 Elect Director Luc Jobin Management For For For
1.2 Elect Director Nana Mensah Management For For For
1.3 Elect Director John J. Zillmer Management For For For
1.4 Elect Director John P. Daly Management For For For
1.5 Elect Director Daniel M. Delen Management For For For
2 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
3 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
4 Increase Authorized Common Stock Management For For For
5 Ratify Auditors Management For For For
6 Declassify the Board of Directors Share Holder Against For Against
7 Cease Production of Flavored Tobacco Share Holder Against Against For
Products
8 Adopt Human Rights Protocols for Share Holder Against For Against
Company and
Suppliers
----------------------------------------------------------------------------------------------------
Royal Dutch Shell plc
Ticker: RDSB Security ID: CUSIP G7690A118
Meeting Date: 05/17/2011 Meeting Type: Annual
Country of Trade: United Kingdom
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Accept Financial Statements and Management For For For
Statutory
Reports
2 Approve Remuneration Report Management For For For
3 Elect Linda Stuntz as Director Management For For For
4 Re-elect Josef Ackermann as Director Management For For For
5 Re-elect Malcolm Brinded as Director Management For For For
6 Elect Guy Elliott as Director Management For For For
7 Re-elect Simon Henry as Director Management For For For
8 Re-elect Charles Holliday as Director Management For For For
9 Re-elect Lord Kerr of Kinlochard as Management For For For
Director
10 Elect Gerard Kleisterlee as Director Management For For For
11 Re-elect Christine Morin-Postel as Management For For For
Director
12 Re-elect Jorma Ollila as Director Management For For For
13 Re-elect Jeroen van der Veer as Management For For For
Director
14 Re-elect Peter Voser as Director Management For For For
15 Re-elect Hans Wijers as Director Management For For For
16 Reappoint PricewaterhouseCoopers LLP Management For For For
as Auditors of the
Company
17 Authorise Board to Fix Remuneration Management For For For
of
Auditors
18 Authorise Issue of Equity with Management For For For
Pre-emptive
Rights
19 Authorise Issue of Equity without Management For For For
Pre-emptive
Rights
20 Authorise Market Purchase Management For For For
21 Authorise EU Political Donations and Management For For For
Expenditure
----------------------------------------------------------------------------------------------------
Siemens AG
Ticker: SIE Security ID: CUSIP D69671218
Meeting Date: Meeting Type: Annual
Country of Trade: Germany
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Receive Supervisory Board Report, Management N/A N/A N/A
Corporate Governance Report,
Remuneration Report, and Compliance
Report for Fiscal 2009/2010
(Non-Voting)
2 Receive Financial Statements and Management N/A N/A N/A
Statutory Reports for Fiscal
2009/2010
(Non-Voting)
3 Approve Allocation of Income and Management For For For
Dividends of EUR 2.70 per
Share
4 Approve Discharge of Management Management For For For
Board for Fiscal
2009/2010
5 Approve Discharge of Supervisory Management For For For
Board for Fiscal
2009/2010
6 Approve Remuneration System for Management For For For
Management Board
Members
7 Ratify Ernst & Young GmbH as Management For For For
Auditors for Fiscal 2010/2011 and
for the Inspection of the
Abbreviated Financial Statements
for the First Half of Fiscal
2010/2011
8 Authorize Share Repurchase Program Management For For For
and Reissuance or Cancellation of
Repurchased
Shares
9 Authorize Use of Financial Management For For For
Derivatives when Repurchasing
Shares
10 Approve Creation of EUR 90 Million Management For For For
Pool of Capital to Guarantee
Conversion Rights for Issuance of
Shares to
Employees
11 Approve Remuneration of Supervisory Management For For For
Board
12 Approve Affiliation Agreements with Management For For For
Siemens Finance
GmbH
13 Approve Issuance of Warrants/Bonds Management For For For
with Warrants Attached/Convertible
Bonds without Preemptive Rights up
to Aggregate Nominal Amount of EUR
15 Billion; Approve Creation of EUR
270 Million Pool of Capital to
Guarantee Conversion
Rights
14 Amend Corporate Purpose Share Holder Against Against For
----------------------------------------------------------------------------------------------------
Symantec Corporation
Ticker:SYMC Security ID:CUSIP 871503108
Meeting Date:09/20/2010 Meeting Type:Annual
Country of Trade:United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Stephen M. Bennett Management For For For
2 Elect Director Michael A. Brown Management For For For
3 Elect Director William T. Coleman, Management For For For
III
4 Elect Director Frank E. Dangeard Management For For For
5 Elect Director Geraldine B. Laybourne Management For For For
6 Elect Director David L. Mahoney Management For For For
7 Elect Director Robert S. Miller Management For For For
8 Elect Director Enrique Salem Management For For For
9 Elect Director Daniel H. Schulman Management For For For
10 Elect Director John W. Thompson Management For For For
11 Elect Director V. Paul Unruh Management For For For
12 Ratify Auditors Management For For For
13 Amend Omnibus Stock Plan Management For For For
14 Amend Qualified Employee Stock Management For For For
Purchase Plan
----------------------------------------------------------------------------------------------------
Target Corporation
Ticker: TGT Security ID: CUSIP 87612E106
Meeting Date: 06/08/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Roxanne S. Austin Management For For For
2 Elect Director Calvin Darden Management For For For
3 Elect Director Mary N. Dillon Management For For For
4 Elect Director James A. Johnson Management For For For
5 Elect Director Mary E. Minnick Management For For For
6 Elect Director Anne M. Mulcahy Management For For For
7 Elect Director Derica W. Rice Management For For For
8 Elect Director Stephen W. Sanger Management For For For
9 Elect Director Gregg W. Steinhafel Management For For For
10 Elect Director John G. Stumpf Management For For For
11 Elect Director Solomon D. Trujillo Management For For For
12 Ratify Auditors Management For For For
13 Approve Omnibus Stock Plan Management For For For
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
16 Adopt Compensation Benchmarking Share Holder Against For Against
Policy
17 Report on Electronics Recycling and Share Holder Against For Against
Preventing E-Waste
Export
----------------------------------------------------------------------------------------------------
The Goldman Sachs Group, Inc.
Ticker: GS Security ID: CUSIP 38141G104
Meeting Date: 05/06/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Lloyd C. Blankfein Management For For For
2 Elect Director John H. Bryan Management For For For
3 Elect Director Gary D. Cohn Management For For For
4 Elect Director Claes Dahlback Management For For For
5 Elect Director Stephen Friedman Management For For For
6 Elect Director William W. George Management For For For
7 Elect Director James A. Johnson Management For For For
8 Elect Director Lois D. Juliber Management For For For
9 Elect Director Lakshmi N. Mittal Management For For For
10 Elect Director James J. Schiro Management For For For
11 Advisory Vote to Ratify Named Management For Against Against
Executive Officers'
Compensation
12 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
13 Ratify Auditors Management For For For
14 Provide for Cumulative Voting Share Holder Against For Against
15 Amend Bylaws-- Call Special Meetings Share Holder Against For Against
16 Stock Retention/Holding Period Share Holder Against For Against
17 Review Executive Compensation Share Holder Against Against For
18 Report on Climate Change Business Share Holder Against Against For
Risks
19 Report on Political Contributions Share Holder Against Against For
----------------------------------------------------------------------------------------------------
The Hartford Financial Services Group, Inc.
Ticker: HIG Security ID: CUSIP 416515104
Meeting Date: 05/18/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Robert B. Allardice, Management For For For
III
2 Elect Director Trevor Fetter Management For For For
3 Elect Director Paul G. Kirk, Jr. Management For For For
4 Elect Director Liam E. McGee Management For For For
5 Elect Director Kathryn A. Mikells Management For For For
6 Elect Director Michael G. Morris Management For For For
7 Elect Director Thomas A. Renyi Management For For For
8 Elect Director Charles B. Strauss Management For For For
9 Elect Director H. Patrick Swygert Management For For For
10 Ratify Auditors Management For For For
11 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
12 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
----------------------------------------------------------------------------------------------------
The TJX Companies, Inc.
Ticker: TJX Security ID: CUSIP 872540109
Meeting Date: 06/14/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Jose B. Alvarez Management For For For
2 Elect Director Alan M. Bennett Management For For For
3 Elect Director Bernard Cammarata Management For For For
4 Elect Director David T. Ching Management For For For
5 Elect Director Michael F. Hines Management For For For
6 Elect Director Amy B. Lane Management For For For
7 Elect Director Carol Meyrowitz Management For For For
8 Elect Director John F. O'Brien Management For For For
9 Elect Director Willow B. Shire Management For For For
10 Ratify Auditors Management For For For
11 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
12 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
----------------------------------------------------------------------------------------------------
The Travelers Companies, Inc.
Ticker: TRV Security ID: CUSIP 89417E109
Meeting Date: 05/26/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Alan L. Beller Management For For For
2 Elect Director John H. Dasburg Management For For For
3 Elect Director Janet M. Dolan Management For For For
4 Elect Director Kenneth M. Duberstein Management For For For
5 Elect Director Jay S. Fishman Management For For For
6 Elect Director Lawrence G. Graev Management For For For
7 Elect Director Patricia L. Higgins Management For For For
8 Elect Director Thomas R. Hodgson Management For For For
9 Elect Director Cleve L. Management For For For
Killingsworth,
Jr.
10 Elect Director Donald J. Shepard Management For For For
11 Elect Director Laurie J. Thomsen Management For For For
12 Ratify Auditors Management For For For
13 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
14 Advisory Vote on Say on Pay Frequency Management Three Years One Year N/A
----------------------------------------------------------------------------------------------------
Total SA
Ticker: FP Security ID: CUSIP F92124100
Meeting Date: 05/13/2011 Meeting Type: Special
Country of Trade: France
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Approve Financial Statements and Management For For For
Statutory
Reports
2 Accept Consolidated Financial Management For For For
Statements and Statutory
Reports
3 Approve Allocation of Income and Management For For For
Dividends of EUR 2.28 per
Share
4 Approve Auditors' Special Report on Management For For For
Related-Party
Transactions
5 Authorize Repurchase of Up to 10 Management For For For
Percent of Issued Share
Capital
6 Reelect Patricia Barbizet as Director Management For Against Against
7 Reelect Paul Desmarais Jr. as Management For Against Against
Director
8 Reelect Claude Mandil as Director Management For For For
9 Elect Marie-Christine Coisne as Management For For For
Director
10 Elect Barbara Kux as Director Management For For For
11 Authorize up to 0.8 Percent of Management For For For
Issued Capital for Use in
Restricted Stock
Plan
12 Amend Article 9 of Bylaws Re: Share Share Holder Against Against For
Ownership Disclosure Threshold
Publication
----------------------------------------------------------------------------------------------------
Unilever NV
Ticker: Security ID: CUSIP N8981F271
Meeting Date: 05/12/2011 Meeting Type: Annual
Country of Trade: Netherlands
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Receive Report of Management Board Management N/A N/A N/A
(Non-Voting)
2 Approve Financial Statements and Management For For For
Allocation of
Income
3 Approve Discharge of Executive Board Management For For For
Members
4 Approve Discharge of Non-Executive Management For For For
Board
Members
5 Reelect P.G.J.M. Polman as CEO to Management For For For
Board of
Directors
6 Relect R.J.M.S. Huet as CFO to Board Management For For For
of
Directors
7 Reelect L.O. Fresco to Board of Management For For For
Directors
8 Reelect A.M. Fudge to Board of Management For For For
Directors
9 Reelect C.E. Golden to Board of Management For For For
Directors
10 Reelect B.E. Grote to Board of Management For For For
Directors
11 Reelect H. Nyasulu to Board of Management For For For
Directors
12 Reelect M. Rifkind to Board of Management For For For
Directors
13 Reelect K.J. Storm to Board of Management For For For
Directors
14 Reelect M. Treschow to Board of Management For For For
Directors
15 Reelect P.S. Walsh to Board of Management For For For
Directors
16 Elect S. Bharti Mittal to Board of Management For For For
Directors
17 Authorize Repurchase of Up to 10 Management For For For
Percent of Issued Share
Capital
18 Approve Authorization to Cancel Management For For For
Ordinary
Shares
19 Grant Board Authority to Issue Management For For For
Shares Up To10 Percent of Issued
Capital Plus Additional 10 Percent
in Case of Takeover/Merger and
Restricting/Excluding Preemptive
Rights
20 Ratify PricewaterhouseCoopers as Management For For For
Auditors
21 Allow Questions and Close Meeting Management N/A N/A N/A
----------------------------------------------------------------------------------------------------
Verizon Communications Inc.
Ticker: VZ Security ID: CUSIP 92343V104
Meeting Date: 05/05/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Elect Director Richard L. Carrion Management For For For
2 Elect Director M. Frances Keeth Management For For For
3 Elect Director Robert W. Lane Management For For For
4 Elect Director Lowell C. Mcadam Management For For For
5 Elect Director Sandra O. Moose Management For For For
6 Elect Director Joseph Neubauer Management For For For
7 Elect Director Donald T. Nicolaisen Management For For For
8 Elect Director Clarence Otis, Jr. Management For For For
9 Elect Director Hugh B. Price Management For For For
10 Elect Director Ivan G. Seidenberg Management For For For
11 Elect Director Rodney E. Slater Management For For For
12 Elect Director John W. Snow Management For For For
13 Ratify Auditors Management For For For
14 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
15 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
16 Disclose Prior Government Service Share Holder Against Against For
17 Performance-Based Equity Awards Share Holder Against For Against
18 Restore or Provide for Cumulative Share Holder Against For Against
Voting
19 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special Meetings
----------------------------------------------------------------------------------------------------
Wells Fargo & Company
Ticker: WFC Security ID: CUSIP 949746101
Meeting Date: 05/03/2011 Meeting Type: Annual
Country of Trade: United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst
Mgmt
1 Election Director John D. Baker II Management For For For
2 Election Director John S. Chen Management For For For
3 Election Director Lloyd H. Dean Management For For For
4 Election Director Susan E. Engel Management For For For
5 Election Director Enrique Hernandez, Management For For For
Jr.
6 Election Director Donald M. James Management For For For
7 Election Director Mackey J. McDonald Management For For For
8 Election Director Cynthia H. Milligan Management For For For
9 Elect Director Nicholas G. Moore Management For For For
10 Elect Director Philip J. Quigley Management For Against Against
11 Elect Director Judith M. Runstad Management For For For
12 Elect Director Stephen W. Sanger Management For For For
13 Elect Director John G. Stumpf Management For For For
14 Elect Director an G. Swenson Management For For For
15 Advisory Vote to Ratify Named Management For For For
Executive Officers'
Compensation
16 Advisory Vote on Say on Pay Frequency Management One Year One Year N/A
17 Ratify Auditors Management For For For
18 Amend Articles/Bylaws/Charter -- Share Holder Against For Against
Call Special
Meetings
19 Provide for Cumulative Voting Share Holder Against For Against
20 Require Independent Board Chairman Share Holder Against For Against
21 Advisory Vote to Ratify Directors' Share Holder Against Against For
Compensation
22 Require Audit Committee Review and Share Holder Against For Against
Report on Controls Related to
Loans, Foreclosure and
Securitizations
========== END NPX REPORT
SIGNATURES
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.
TS&W / Claymore Tax-Advantaged Balanced Fund
--------------------------------------------
By: /s/ Kevin M. Robinson
--------------------------
Name: Kevin M. Robinson
Title: Chief Executive Officer and Chief Legal Officer
Date: August 17, 2011