UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-4338
HERITAGE CAPITAL APPRECIATION TRUST
(Exact name of Registrant as Specified in Charter)
880 Carillon Parkway
St. Petersburg, FL 33716 (Address of
Principal Executive Office) (Zip Code)
Registrant's Telephone Number, including Area Code: (727) 576-8143
STEPHEN G. HILL, PRESIDENT
880 Carillon Parkway
St. Petersburg, FL 33716
(Name and Address of Agent for Service)
Copy to:
CLIFFORD J. ALEXANDER, ESQ.
Kirkpatrick & Lockhart Nicholson Graham LLP
1601 K Street, NW
Washington, D.C. 20006
Date of fiscal year end: August 31
Date of Reporting Period: July 1, 2005 to June 30, 2006
ITEM 1. PROXY VOTING RECORD.
Heritage Capital Appreciation Trust
Heritage Growth Equity Fund*
*On December 23, 2005 Heritage Capital Appreciation Trust acquired all the
assets of Heritage Growth Equity Fund (formerly, a series of Heritage Series
Trust (File Nos. 033-579869; 811-07470)).
- --------------------------------------------------------------------------------
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 313400301 FRE Freddie Mac. 2005 0715
Capital Appreciation 313400301 FRE Freddie Mac. 2005 0715
Capital Appreciation 716016209 PETC Petco Animal Supplies Inc. 2005 0728
Capital Appreciation 716016209 PETC Petco Animal Supplies Inc. 2005 0728
Capital Appreciation 029912201 AMT American Tower Corp. 2005 0803
Capital Appreciation 029912201 AMT American Tower Corp. 2005 0803
Capital Appreciation 029912201 AMT American Tower Corp. 2005 0803
Capital Appreciation 747525103 QCOM Qualcomm Inc. 2006 0307
Capital Appreciation 747525103 QCOM Qualcomm Inc. 2006 0307
Capital Appreciation 747525103 QCOM Qualcomm Inc. 2006 0307
Capital Appreciation 747525103 QCOM Qualcomm Inc. 2006 0307
Capital Appreciation 747525103 QCOM Qualcomm Inc. 2006 0307
Capital Appreciation 982526105 WWY Wm. Wrigley Jr. Co 2006 0404
Capital Appreciation 982526105 WWY Wm. Wrigley Jr. Co 2006 0404
Capital Appreciation 982526105 WWY Wm. Wrigley Jr. Co 2006 0404
Capital Appreciation 982526105 WWY Wm. Wrigley Jr. Co 2006 0404
Capital Appreciation 982526105 WWY Wm. Wrigley Jr. Co 2006 0404
Capital Appreciation 982526105 WWY Wm. Wrigley Jr. Co 2006 0404
Capital Appreciation 806857108 SLB Schlumberger Ltd 2006 0412
Capital Appreciation 806857108 SLB Schlumberger Ltd 2006 0412
Capital Appreciation 806857108 SLB Schlumberger Ltd 2006 0412
Capital Appreciation 806857108 SLB Schlumberger Ltd 2006 0412
Capital Appreciation 806857108 SLB Schlumberger Ltd 2006 0412
Capital Appreciation 913017109 UTX United Technologies Corp 2006 0412
Capital Appreciation 913017109 UTX United Technologies Corp 2006 0412
Capital Appreciation 913017109 UTX United Technologies Corp 2006 0412
1
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Issue shares in connection with an acquisition Management With For Yes
Authorize Share Increase Management With For Yes
Adjourn Meeting Management With For Yes
Elect Directors Management With For Yes
Declassify the Board and Eliminate Cumulative Voting Management With For Yes
Amend Omnibus Stock Plan Management With For Yes
Ratify Auditors Management With For Yes
Adjourn Meeting Management With Against Yes
Elect Directors Management With For Yes
Approve Omnibus Stock Plan Management With Against Yes
Authorize a New Class of Common Stock Management With Against Yes
Company Specific/Increase the Class B Common Stock Automatic Management With Against Yes
Conversion
Company Specific/Automatic Conversion of Class B Common Stock Management With Against Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Adoption and approval of financials and dividends Management With For Yes
Adoption of amendment to the Articles of Incorporation Management With For Yes
Approval of amendment and restatement of the Schlumberger
2005 Stock Option Plan Management With For Yes
Approval of Independent Registered Public Accounting Firm Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Increase Authorized Common Stock Management With For Yes
1 continued
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 913017109 UTX United Technologies Corp 2006 0412
Capital Appreciation 913017109 UTX United Technologies Corp 2006 0412
Capital Appreciation 427866108 HSY The Hershey Co 2006 0418
Capital Appreciation 427866108 HSY The Hershey Co 2006 0418
Capital Appreciation 427866108 HSY The Hershey Co 2006 0418
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 143658300 CCL Carnival Corp 2006 0420
Capital Appreciation 25816109 AXP American Express Co 2006 0424
Capital Appreciation 25816109 AXP American Express Co 2006 0424
Capital Appreciation 25816109 AXP American Express Co 2006 0424
Capital Appreciation 25816109 AXP American Express Co 2006 0424
Capital Appreciation 25816109 AXP American Express Co 2006 0424
Capital Appreciation 25816109 AXP American Express Co 2006 0424
Capital Appreciation 413619107 HET Harrah's Entertainment Inc 2006 0425
Capital Appreciation 413619107 HET Harrah's Entertainment Inc 2006 0425
Capital Appreciation 413619107 HET Harrah's Entertainment Inc 2006 0425
Capital Appreciation 615369105 MCO Moody's Corporation 2006 0425
Capital Appreciation 615369105 MCO Moody's Corporation 2006 0425
2
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Establish Term Limits for Directors Shareholder Against Against Yes
Report on Foreign Sales of Military Products Shareholder Against Against Yes
Elect Directors Management Against Split Yes
Ratify Auditors Management With For Yes
Report on Cocoa Supply Shareholder Against Against Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
To authorize the Audit Committee of Carnival PLC to agree
to the remuneration of the Independent Auditors Management With For Yes
To receive the accounts and reports for Carnival PLC for
the financial year ended November 30 2005 Management With For Yes
To approve the Directors remuneration report of Carnival PLC Management With For Yes
To approve the limits on the authority to allot shares by
Carnival PLC Management With For Yes
To approve the disapplication of pre-emptive rights for
Carnival PLC Management With For Yes
To approve a general authority for Carnival PLC to buy back
Carnival PLC ordinary shares in the open market Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Limit/Prohibit Executive Stock-Based Awards Shareholder Against Against Yes
Require a Majority Vote for the Election of Directors Shareholder Against For Yes
Exclude Reference to Sexual Orientation from the Company's
EEO Statement Shareholder Against Against Yes
Company-Specific -- Reimbursement of Expenses for Certain Shareholder Against Against Yes
Shareholder-Nominated Director Candidates
Elect Directors Management With For Yes
Amend Omnibus Stock Plan Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
2 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 615369105 MCO Moody's Corporation 2006 0425
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 184502102 CCU Clear Channel Communications Inc 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
3
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Declassify the Board of Directors Shareholder Against Against Yes
Elect Director Alan D. Feld Management With For Yes
Elect Director Perry J. Lewis Management With For Yes
Elect Director L. Lowry Mays Management With For Yes
Elect Director Mark P. Mays Management With For Yes
Elect Director Randall T. Mays Management With For Yes
Elect Director B. J. McCombs Management With For Yes
Elect Director Phyllis B. Riggins Management With For Yes
Elect Director Theodore H. Strauss Management With For Yes
Elect Director J. C. Watts Jr. Management With For Yes
Elect Director John H. Williams Management Against Withhold No
Elect Director John B. Zachry Management With For Yes
Ratify Auditors Management With For Yes
Report on Political Contributions Shareholder Against For Yes
Establish a Compensation Committee Shareholder Against For Yes
Elect Director James I. Cash Jr. Management With For Yes
Elect Director Sir William M. Castell Management With For Yes
Elect Director Ann M. Fudge Management With For Yes
Elect Director Claudio X. Gonzalez Management Against Withhold No
Elect Director Jeffrey R. Immelt Management With For Yes
Elect Director Andrea Jung Management With For Yes
Elect Director Alan G. Lafley Management With For Yes
Elect Director Robert W. Lane Management With For Yes
Elect Director Ralph S. Larsen Management With For Yes
Elect Director Rochelle B. Lazarus Management With For Yes
Elect Director Sam Nunn Management With For Yes
Elect Director Roger S. Penske Management With For Yes
Elect Director Robert J. Swieringa Management With For Yes
Elect Director Douglas A. Warner III Management With For Yes
Elect Director Robert C. Wright Management With For Yes
Ratify Auditors Management With For Yes
Restore or Provide for Cumulative Voting Shareholder Against Against Yes
Adopt Policy on Overboarded Directors Shareholder Against For Yes
Company-Specific -- One Director from the Ranks of
the Retirees Shareholder Against Against Yes
Separate Chairman and CEO Positions Shareholder Against Against Yes
3 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 369604103 GE General Electric Co 2006 0426
Capital Appreciation 863667101 SYK Stryker Corp 2006 0426
Capital Appreciation 863667101 SYK Stryker Corp 2006 0426
Capital Appreciation 863667101 SYK Stryker Corp 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 867229106 SU Suncor Energy Inc 2006 0426
Capital Appreciation 580645109 MHP The McGraw-Hill Companies Inc 2006 0426
Capital Appreciation 580645109 MHP The McGraw-Hill Companies Inc 2006 0426
Capital Appreciation 580645109 MHP The McGraw-Hill Companies Inc 2006 0426
Capital Appreciation 57224107 BHI Baker Hughes Inc 2006 0427
Capital Appreciation 57224107 BHI Baker Hughes Inc 2006 0427
Capital Appreciation 57224107 BHI Baker Hughes Inc 2006 0427
Capital Appreciation 57224107 BHI Baker Hughes Inc 2006 0427
Capital Appreciation 381317106 GDW Golden West Financial Corp 2006 0503
Capital Appreciation 381317106 GDW Golden West Financial Corp 2006 0503
Capital Appreciation 713448108 PEP PepsiCo Inc 2006 0503
Capital Appreciation 713448108 PEP PepsiCo Inc 2006 0503
Capital Appreciation 713448108 PEP PepsiCo Inc 2006 0503
Capital Appreciation 713448108 PEP PepsiCo Inc 2006 0503
Capital Appreciation 268648102 EMC EMC Corp 2006 0504
Capital Appreciation 268648102 EMC EMC Corp 2006 0504
Capital Appreciation 268648102 EMC EMC Corp 2006 0504
4
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Require a Majority Vote for the Election of Directors Shareholder Against Against Yes
Report on Environmental Policies Shareholder Against Against Yes
Elect Directors Management With For Yes
Approve Omnibus Stock Plan Management With For Yes
Ratify Auditors Management With For Yes
Elect Director Mel E. Benson Management With For Yes
Elect Director Brian A. Canfield Management With For Yes
Elect Director Bryan P. Davies Management With For Yes
Elect Director Brian A. Felesky Management With For Yes
Elect Director John T. Ferguson Management With For Yes
Elect Director W. Douglas Ford Management With For Yes
Elect Director Richard L. George Management With For Yes
Elect Director John R. Huff Management With For Yes
Elect Director M. Ann McCaig Management With For Yes
Elect Director Michael W. O'Brien Management Against Withhold No
Elect Director JR Shaw Management With For Yes
Elect Director Eira M. Thomas Management With For Yes
Ratify PriceWaterhouseCoopers as Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Declassify the Board of Directors Shareholder Against For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Amend Executive Incentive Bonus Plan Management With For Yes
Amend Vote Requirements to Amend Articles/Bylaws/Charter Shareholder Against Against Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Publish Political Contributions Shareholder Against Against Yes
Report on Charitable Contributions Shareholder Against Against Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Require a Majority Vote for the Election of Directors Shareholder Against For Yes
4 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 268648102 EMC EMC Corp 2006 0504
Capital Appreciation 268648102 EMC EMC Corp 2006 0504
Capital Appreciation 268648102 EMC EMC Corp 2006 0504
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 31162100 AMGN Amgen Inc 2006 0510
Capital Appreciation 141705103 CMX Caremark Rx Inc 2006 0510
Capital Appreciation 141705103 CMX Caremark Rx Inc 2006 0510
Capital Appreciation 319963104 FDC First Data Corp 2006 0510
Capital Appreciation 319963104 FDC First Data Corp 2006 0510
Capital Appreciation 319963104 FDC First Data Corp 2006 0510
Capital Appreciation 319963104 FDC First Data Corp 2006 0510
Capital Appreciation 319963104 FDC First Data Corp 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 914906102 UVN Univision Communications Inc 2006 0510
Capital Appreciation 29912201 AMT American Tower Corp 2006 0511
Capital Appreciation 29912201 AMT American Tower Corp 2006 0511
Capital Appreciation 38259P508 GOOG Google Inc 2006 0511
Capital Appreciation 38259P508 GOOG Google Inc 2006 0511
Capital Appreciation 38259P508 GOOG Google Inc 2006 0511
Capital Appreciation 38259P508 GOOG Google Inc 2006 0511
5
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Performance-Based and/or Time-Based Equity Awards Shareholder Against For Yes
Declassify the Board of Directors Shareholder Against For Yes
Limit Composition of Committee(s) to Independent
Directors Shareholder Against Against Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Stock Retention Shareholder Against For Yes
Link Executive Compensation to Social Issues Shareholder Against Against Yes
Submit Shareholder Rights Plan (Poison Pill) to
Shareholder Vote Shareholder With For Yes
Develop an Animal Welfare Policy Shareholder Against Against Yes
Require a Majority Vote for the Election of Directors Shareholder With For Yes
Report on Political Contributions Shareholder With For Yes
Elect Directors Management With For Yes
Report Policies For Political Contributions Shareholder Against For Yes
Elect Directors Management With For Yes
Elect Director David A. Coulter Management With For Yes
Elect Director Henry C. Duques Management With For Yes
Elect Director Peter B. Ellwood Management With For Yes
Ratify Auditors Management With For Yes
Elect Director A. Jerrold Perenchio Management Against Withhold No
Elect Director Anthony Cassara Management Against Withhold No
Elect Director Harold Gaba Management With For Yes
Elect Director Alan F. Horn Management With For Yes
Elect Director Michael O. Johnson Management With For Yes
Elect Director John G. Perenchio Management Against Withhold No
Elect Director Ray Rodriguez Management Against Withhold No
Elect Director McHenry T. Tichenor Jr. Management Against Withhold No
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Amend Omnibus Stock Plan Management Against For Yes
Company-Specific-Recapitalization Plan Shareholder Against For Yes
5 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 458140100 INTC Intel Corp 2006 0517
Capital Appreciation 87612E106 TGT Target Corp 2006 0517
Capital Appreciation 87612E106 TGT Target Corp 2006 0517
Capital Appreciation 87612E106 TGT Target Corp 2006 0517
Capital Appreciation 808513105 SCHW The Charles Schwab Corp 2006 0518
Capital Appreciation 808513105 SCHW The Charles Schwab Corp 2006 0518
Capital Appreciation 808513105 SCHW The Charles Schwab Corp 2006 0518
Capital Appreciation 808513105 SCHW The Charles Schwab Corp 2006 0518
Capital Appreciation 808513105 SCHW The Charles Schwab Corp 2006 0518
Capital Appreciation 808513105 SCHW The Charles Schwab Corp 2006 0518
Capital Appreciation 58405U102 MHS MEDCO Health Solutions Inc 2006 0524
Capital Appreciation 58405U102 MHS MEDCO Health Solutions Inc 2006 0524
Capital Appreciation 92553P201 VIA.B Viacom Inc 2006 0524
Capital Appreciation 92553P201 VIA.B Viacom Inc 2006 0524
Capital Appreciation 228227104 CCI Crown Castle International Corp 2006 0525
Capital Appreciation 228227104 CCI Crown Castle International Corp 2006 0525
Capital Appreciation 228227104 CCI Crown Castle International Corp 2006 0525
Capital Appreciation 228227104 CCI Crown Castle International Corp 2006 0525
6
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Elect Director Craig R. Barrett Management With For Yes
Elect Director Charlene Barshefsky Management With For Yes
Elect Director E. John P. Browne Management With For Yes
Elect Director D. James Guzy Management With For Yes
Elect Director Reed E. Hundt Management With For Yes
Elect Director Paul S. Otellini Management With For Yes
Elect Director James D. Plummer Management With For Yes
Elect Director David S. Pottruck Management With For Yes
Elect Director Jane E. Shaw Management With For Yes
Elect Director John L. Thornton Management With For Yes
Elect Director David B. Yoffie Management With For Yes
Rescind Fair Price Provision Management With For Yes
Amend Articles/Bylaws/Repeal Supermajority Vote Management With For Yes
Ratify Auditors Management With For Yes
Approve Omnibus Stock Plan Management With For Yes
Approve Qualified Employee Stock Purchase Plan Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Report Political Contributions/Activities Shareholder Against Against Yes
Elect Directors Management With For Yes
Declassify the Board of Directors Management With For Yes
Report on Impact of Flat Tax Shareholder Against Against Yes
Report on Political Contributions Shareholder Against For Yes
Require a Majority Vote for the Election of Directors Shareholder Against For Yes
Submit Severance Agreement (Change in Control) to
shareholder Vote Shareholder Against For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Director Ari Q. Fitzgerald Management Against Withhold No
Elect Director John P. Kelly Management With For Yes
Elect Director Robert E. Garrison II Management With For Yes
Ratify Auditors Management With For Yes
6 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Capital Appreciation 29382R107 EVC Entravision Communication 2006 0525
Capital Appreciation 29382R107 EVC Entravision Communication 2006 0525
Capital Appreciation 512815101 LAMR Lamar Advertising Co 2006 0525
Capital Appreciation 512815101 LAMR Lamar Advertising Co 2006 0525
Capital Appreciation 548661107 LOW Lowe's Companies Inc 2006 0525
Capital Appreciation 548661107 LOW Lowe's Companies Inc 2006 0525
Capital Appreciation 548661107 LOW Lowe's Companies Inc 2006 0525
Capital Appreciation 548661107 LOW Lowe's Companies Inc 2006 0525
Capital Appreciation 548661107 LOW Lowe's Companies Inc 2006 0525
Capital Appreciation 548661107 LOW Lowe's Companies Inc 2006 0525
Capital Appreciation 580135101 MCD McDonalds Corp 2006 0525
Capital Appreciation 580135101 MCD McDonalds Corp 2006 0525
Capital Appreciation 580135101 MCD McDonalds Corp 2006 0525
Capital Appreciation 580135101 MCD McDonalds Corp 2006 0525
Capital Appreciation 984332106 YHOO Yahoo! Inc 2006 0525
Capital Appreciation 984332106 YHOO Yahoo! Inc 2006 0525
Capital Appreciation 984332106 YHOO Yahoo! Inc 2006 0525
Capital Appreciation 165167107 CHK Chesapeake Energy Corp 2006 0609
Capital Appreciation 165167107 CHK Chesapeake Energy Corp 2006 0609
Capital Appreciation 165167107 CHK Chesapeake Energy Corp 2006 0609
Growth Equity 026874107 AIG American International Group. 2005 0811
Growth Equity 026874107 AIG American International Group. 2005 0811
Growth Equity 24702R101 DELL Dell Inc. 2005 0715
Growth Equity 24702R101 DELL Dell Inc. 2005 0715
Growth Equity 24702R101 DELL Dell Inc. 2005 0715
Growth Equity 24702R101 DELL Dell Inc. 2005 0715
Growth Equity 29362U104 ENTG Entegris Inc. 2005 0803
Growth Equity 29362U104 ENTG Entegris Inc. 2005 0803
Growth Equity 29362U104 ENTG Entegris Inc. 2005 0803
Growth Equity 29362U104 ENTG Entegris Inc. 2005 0803
Growth Equity 285512109 ERTS Electronic Arts. 2005 0728
7
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Amend Omnibus Stock Plan Management With Against Yes
Elect Directors Management With For Yes
Approve Executive Incentive Bonus Plan Management With For Yes
Approve Omnibus Stock Plan Management With For Yes
Ratify Auditors Management With For Yes
Company Specific-Relating to the Board of Directors Management With For Yes
Report on Wood Procurement Policy Shareholder Against Against Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Submit Severance Agreement (Change in Control) to
shareholder Vote Shareholder Against For Yes
Identify Food Products Manufactured or Sold that
Contain Genetically Engineered Ingredients Shareholder Against Against Yes
Elect Directors Management With For Yes
Amend Non-Employee Director Omnibus Stock Plan Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Increase Authorized Common Stock Management With For Yes
Amend Omnibus Stock Plan Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Ratify Auditors Management With For Yes
Prop: Dir election vote threshold of simple maj. Shareholder Against Against Yes
Prop: Expensing costs of future options to execs Shareholder Against Against Yes
Appr. issuance of stock in connection w/merger Management With For Yes
Reincorporate in Delaware Management With Against Yes
Amend By-Laws: authorize classified board Management With Against Yes
Adjourn meeting to permit solicitation of proxies Management With For Yes
Elect Directors Management With For Yes
7 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Growth Equity 285512109 ERTS Electronic Arts. 2005 0728
Growth Equity 285512109 ERTS Electronic Arts. 2005 0728
Growth Equity 285512109 ERTS Electronic Arts. 2005 0728
Growth Equity 31428X106 FDX FedEx Corporation. 2005 0926
Growth Equity 31428X106 FDX FedEx Corporation. 2005 0926
Growth Equity 31428X106 FDX FedEx Corporation. 2005 0926
Growth Equity 31428X106 FDX FedEx Corporation. 2005 0926
Growth Equity 31428X106 FDX FedEx Corporation. 2005 0926
Growth Equity 31428X106 FDX FedEx Corporation. 2005 0926
Growth Equity 58155Q103 MCK McKesson Corp. 2005 0727
Growth Equity 58155Q103 MCK McKesson Corp. 2005 0727
Growth Equity 58155Q103 MCK McKesson Corp. 2005 0727
Growth Equity 58155Q103 MCK McKesson Corp. 2005 0727
Growth Equity 58155Q103 MCK McKesson Corp. 2005 0727
Growth Equity 742718109 PG Procter & Gamble. 2005 0712
Growth Equity 742718109 PG Procter & Gamble. 2005 0712
Growth Equity 760975102 RIMM Research in Motion Ltd. 2005 0718
Growth Equity 760975102 RIMM Research in Motion Ltd. 2005 0718
Growth Equity 760975102 RIMM Research in Motion Ltd. 2005 0718
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
Growth Equity 881624209 TEVA Teva Pharmaceutical ADR. 2005 0727
8
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Amend Equity Incentive Plan: increase shares Management With For Yes
Amend Employee Stock Purchase Plan Management With For Yes
Ratify Auditors Management With For Yes
Elect Directors Management With For Yes
Approve Stock Option & Restricted Stock Plan Management With For Yes
Ratify Auditors Management With For Yes
Prop: Return to simple majority vote Shareholder Against For Yes
Prop: Report political contributions Shareholder Against Against Yes
Prop: Dir. Election vote threshold of simple maj. Shareholder Against Against Yes
Elect Directors Management With For Yes
Approve Stock Plan Management With For Yes
Approve Management Incentive Plan Management With For Yes
Ratify Independent Certified Public Accountants Management With For Yes
Prop: Independent Dir. & Chaiirman of the Board Shareholder Against Against Yes
Adopt Merger Agreement Management With For Yes
Adjourn meeting to permit solicitation of Proxies Management With For Yes
Elect Directors Management With For Yes
Reappointment of Auditors Management With For Yes
Approve Restricted Stock Plan Management With For Yes
Approve Consolidated Financial Statements Management With For Yes
Approve final dividend Management With For Yes
Election of 1 Director Management With For Yes
Reappointment of 1 Director Management With For Yes
Reappointment of 1 Director Management With For Yes
Reappointment of 1 Director Management With For Yes
Reappointment of 1 Director Management With For Yes
Approve Directors & Officers Liability Insurance Management With For Yes
Approve Omnibus Incentive Plan Management With For Yes
Amend Articles of Inc.: Indemnification Management With For Yes
Authority to increase authorized share capital Management With For Yes
Appointment of Auditors Management With For Yes
8 (continued)
HERITAGE NAME CUSIP TICKER ISSUER MEETING DATE
Growth Equity '14149Y108 CAH Cardinal Health Inc 2005 1102
Growth Equity '14149Y108 CAH Cardinal Health Inc 2005 1102
Growth Equity '14149Y108 CAH Cardinal Health Inc 2005 1102
Growth Equity '320771108 FMD First Marblehead Corp 2005 1027
Growth Equity '320771108 FMD First Marblehead Corp 2005 1027
Growth Equity '57772K101 MXIM Maxim Integrated Products Inc 2005 1110
Growth Equity '57772K101 MXIM Maxim Integrated Products Inc 2005 1110
Growth Equity '57772K101 MXIM Maxim Integrated Products Inc 2005 1110
Growth Equity '57772K101 MXIM Maxim Integrated Products Inc 2005 1110
Growth Equity '594918104 MSFT Microsoft Corporation 2005 1109
Growth Equity '594918104 MSFT Microsoft Corporation 2005 1109
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '742718109 PG Procter & Gamble 2005 1011
Growth Equity '81941Q203 SNDA Shanda Interactive ADR (Cayman) 2005 1018
Growth Equity '81941Q203 SNDA Shanda Interactive ADR (Cayman) 2005 1018
Growth Equity '881624209 TEVA Teva Pharmaceutical ADR (Israel) 2005 1027
Growth Equity '91913Y100 VLO Valero Energy Corporation 2005 1201
9
SHAREHOLDER, HOW THE
MANAGEMENT VOTED WITH FUND
OR ISSUER OR AGAINST CAST ITS
ISSUE PROPSOAL MANAGEMENT VOTE VOTED?
Elect Directors Management With For Yes
Approve Long Term Incentive Plan Management With For Yes
Amend Code of Regulations Management With For Yes
Approve Long Term Incentive Plan Management With For Yes
Elect Directors Management With For Yes
Amend Employee Stock Purchase Plan increase shares Management With For Yes
Amend Stock Option and Incentive Plan Management With For Yes
Ratify independent Certified Public Accountants Management With For Yes
Elect Directors Management With For Yes
Elect Directors Management With For Yes
Ratify independent Certified Public Accountants Management With For Yes
Eliminate animal testing whenever possible Shareholder Against Against Yes
Ratify Auditors Management With For Yes
Amend Code of Regulations Provide annual election of Directors Management With For Yes
Elect Directors Management With For Yes
Report political contributions Shareholder Against Against Yes
Retain Investment Banking firm to explore options Shareholder Against Against Yes
Discharge Board of Directors and Executive Committee Management With For Yes
Elect Directors Management With For Yes
Approve Equity Compensation Plan Management With For Yes
Approve Issuance of stock in connection with Merger Management With For Yes
Amend Cert of Inc Increase Authorized Shares Management With For Yes
9 (continued)
- --------------------------------------------------------------------------------
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.
Heritage Capital Appreciation Trust
By: /s/ K.C. Clark
----------------------------
K.C. Clark
Executive Vice President
Principal Executive Officer
Date: August 24, 2006