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OMB APPROVAL
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OMB Number: 3235-0582
Expires: March 31, 2012
Estimated average burden
hours per response 9.6
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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 811-09000
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Oak Value Trust
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(Exact name of registrant as specified in charter)
1450 Raleigh Road, Suite 220, Chapel Hill, North Carolina 27517
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(Address of principal executive offices) (Zip code)
Larry D. Coats, Jr.
Oak Value Capital Management, Inc.
1450 Raleigh Road, Suite 220, Chapel Hill, NC 27517
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(Name and address of agent for service)
Registrant's telephone number, including area code: (919) 419-1900
---------------------------
Date of fiscal year end: June 30, 2009
---------------------------
Date of reporting period: July 1, 2008 - June 30, 2009
------------------------------------
Form N-PX is to be used by a registered management investment company,
other than a small business investment company registered on Form N-5 (ss.ss.
239.24 and 274.5 of this chapter), to file reports with the Commission, not
later than August 31 of each year, containing the registrant's proxy voting
record for the most recent twelve-month period ended June 30, pursuant to
section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17
CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in
its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form
N-PX, and the Commission will make this information public. A registrant is not
required to respond to the collection of information contained in Form N-PX
unless the Form displays a currently valid Office of Management and Budget
("OMB") control number. Please direct comments concerning the accuracy of the
information collection burden estimate and any suggestions for reducing the
burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street,
NW, Washington, DC 20549-0609. The OMB has reviewed this collection of
information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
Disclose the following information for each matter relating to a portfolio
security considered at any shareholder meeting held during the period covered by
the report and with respect to which the registrant was entitled to vote:
(a) The name of the issuer of the portfolio security;
(b) The exchange ticker symbol of the portfolio security;
(c) The Council on Uniform Securities Identification Procedures
("CUSIP") number for the portfolio security;
(d) The shareholder meeting date;
(e) A brief identification of the matter voted on;
(f) Whether the matter was proposed by the issuer or by a security
holder;
(g) Whether the registrant cast its vote on the matter;
(h) How the registrant cast its vote (e.g., for or against proposal, or
abstain; for or withhold regarding election of directors); and
(i) Whether the registrant cast its vote for or against management.
SIGNATURES
----------
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) Oak Value Trust
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By (Signature and Title)* /s/ Larry D. Coats, Jr.
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Larry D. Coats, Jr., President
Date July 22, 2009
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* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
- ---------
INVESTMENT COMPANY REPORT
- --------------------------------------------------------------------------------------------------------------------------
ORACLE CORPORATION
- --------------------------------------------------------------------------------------------------------------------------
SECURITY 68389X105 MEETING TYPE Annual
TICKER SYMBOL ORCL MEETING DATE 10-Oct-2008
ISIN US68389X1054 AGENDA 932949033 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 DIRECTOR Management
1 JEFFREY O. HENLEY For For
2 LAWRENCE J. ELLISON For For
3 DONALD L. LUCAS Withheld Against
4 MICHAEL J. BOSKIN Withheld Against
5 JACK F. KEMP Withheld Against
6 JEFFREY S. BERG Withheld Against
7 SAFRA A. CATZ For For
8 HECTOR GARCIA-MOLINA Withheld Against
9 H. RAYMOND BINGHAM Withheld Against
10 CHARLES E. PHILLIPS, JR For For
11 NAOMI O. SELIGMAN For For
12 GEORGE H. CONRADES Withheld Against
13 BRUCE R. CHIZEN For For
02 PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF THE Management For For
FISCAL YEAR 2009 EXECUTIVE BONUS PLAN.
03 PROPOSAL TO RATIFY THE SELECTION OF ERNST & Management For For
YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL
YEAR ENDING MAY 31, 2009.
04 STOCKHOLDER PROPOSAL ON ADVISORY VOTE ON Shareholder For Against
EXECUTIVE COMPENSATION.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 217075 0 02-Oct-2008
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COACH, INC.
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SECURITY 189754104 MEETING TYPE Annual
TICKER SYMBOL COH MEETING DATE 30-Oct-2008
ISIN US1897541041 AGENDA 932955896 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 DIRECTOR Management
1 LEW FRANKFORT For For
2 SUSAN KROPF Withheld Against
3 GARY LOVEMAN Withheld Against
4 IVAN MENEZES For For
5 IRENE MILLER Withheld Against
6 KEITH MONDA For For
7 MICHAEL MURPHY For For
8 JIDE ZEITLIN Withheld Against
02 TO CONSIDER AND VOTE UPON A PROPOSAL TO AMEND Management For For
THE COACH, INC. PERFORMANCE-BASED ANNUAL
INCENTIVE PLAN.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 152100 0 14-Oct-2008
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CISCO SYSTEMS, INC.
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SECURITY 17275R102 MEETING TYPE Annual
TICKER SYMBOL CSCO MEETING DATE 13-Nov-2008
ISIN US17275R1023 AGENDA 932954729 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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1A ELECTION OF DIRECTOR: CAROL A. BARTZ Management
1B ELECTION OF DIRECTOR: M. MICHELE BURNS Management
1C ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS Management
1D ELECTION OF DIRECTOR: LARRY R. CARTER Management
1E ELECTION OF DIRECTOR: JOHN T. CHAMBERS Management
1F ELECTION OF DIRECTOR: BRIAN L. HALLA Management
1G ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY Management
1H ELECTION OF DIRECTOR: RICHARD M. KOVACEVICH Management
1I ELECTION OF DIRECTOR: RODERICK C. MCGEARY Management
1J ELECTION OF DIRECTOR: MICHAEL K. POWELL Management
1K ELECTION OF DIRECTOR: STEVEN M. WEST Management
1L ELECTION OF DIRECTOR: JERRY YANG Management
02 TO RATIFY THE APPOINTMENT OF Management
PRICEWATERHOUSECOOPERS LLP AS CISCO'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING JULY 25, 2009.
03 PROPOSAL SUBMITTED BY A SHAREHOLDER TO AMEND Shareholder
THE COMPANY'S BYLAWS TO ESTABLISH A BOARD
COMMITTEE ON HUMAN RIGHTS.
04 PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING Shareholder
THE BOARD TO PUBLISH A REPORT TO SHAREHOLDERS
WITHIN SIX MONTHS PROVIDING A SUMMARIZED LISTING
AND ASSESSMENT OF CONCRETE STEPS CISCO COULD
REASONABLY TAKE TO REDUCE THE LIKELIHOOD THAT ITS
BUSINESS PRACTICES MIGHT ENABLE OR ENCOURAGE
THE VIOLATION OF HUMAN RIGHTS, AS SET FORTH IN THE
PROXY STATEMENT.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 108550 0
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MICROSOFT CORPORATION
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SECURITY 594918104 MEETING TYPE Annual
TICKER SYMBOL MSFT MEETING DATE 19-Nov-2008
ISIN US5949181045 AGENDA 932960013 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 ELECTION OF DIRECTOR: STEVEN A. BALLMER Management For For
02 ELECTION OF DIRECTOR: JAMES I. CASH JR. Management For For
03 ELECTION OF DIRECTOR: DINA DUBLON Management Against Against
04 ELECTION OF DIRECTOR: WILLIAM H. GATES III Management For For
05 ELECTION OF DIRECTOR: RAYMOND V. GILMARTIN Management For For
06 ELECTION OF DIRECTOR: REED HASTINGS Management For For
07 ELECTION OF DIRECTOR: DAVID F. MARQUARDT Management For For
08 ELECTION OF DIRECTOR: CHARLES H. NOSKI Management For For
09 ELECTION OF DIRECTOR: HELMUT PANKE Management For For
10 APPROVAL OF MATERIAL TERMS OF PERFORMANCE Management For For
CRITERIA UNDER THE EXECUTIVE OFFICER INCENTIVE
PLAN.
11 APPROVAL OF AMENDMENTS TO THE 1999 STOCK OPTION Management For For
PLAN FOR NON-EMPLOYEE DIRECTORS.
12 RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE Management For For
LLP AS THE COMPANY'S INDEPENDENT AUDITOR.
13 SHAREHOLDER PROPOSAL - ADOPTION OF POLICIES ON Shareholder Against For
INTERNET CENSORSHIP.
14 SHAREHOLDER PROPOSAL - ESTABLISHMENT OF BOARD Shareholder Against For
COMMITTEE ON HUMAN RIGHTS.
15 SHAREHOLDER PROPOSAL - DISCLOSURE OF CHARITABLE Shareholder Against For
CONTRIBUTIONS.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 149725 0 28-Oct-2008
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UNITED TECHNOLOGIES CORPORATION
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SECURITY 913017109 MEETING TYPE Annual
TICKER SYMBOL UTX MEETING DATE 08-Apr-2009
ISIN US9130171096 AGENDA 933001644 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 DIRECTOR Management
1 LOUIS R. CHENEVERT For For
2 GEORGE DAVID For For
3 JOHN V. FARACI Withheld Against
4 JEAN-PIERRE GARNIER For For
5 JAMIE S. GORELICK For For
6 CARLOS M. GUTIERREZ For For
7 EDWARD A. KANGAS Withheld Against
8 CHARLES R. LEE For For
9 RICHARD D. MCCORMICK For For
10 HAROLD MCGRAW III Withheld Against
11 RICHARD B. MYERS Withheld Against
12 H. PATRICK SWYGERT Withheld Against
13 ANDRE VILLENEUVE Withheld Against
14 CHRISTINE TODD WHITMAN For For
02 APPOINTMENT OF INDEPENDENT AUDITORS Management For For
03 SHAREOWNER PROPOSAL: OFFSETS FOR FOREIGN Shareholder Against For
MILITARY SALES
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 41750 0 23-Mar-2009
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SYNGENTA AG
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SECURITY 87160A100 MEETING TYPE Annual
TICKER SYMBOL SYT MEETING DATE 21-Apr-2009
ISIN US87160A1007 AGENDA 933015340 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 APPROVAL OF THE ANNUAL REPORT, INCLUDING THE Management For For
ANNUAL FINANCIAL STATEMENTS, THE COMPENSATION
REPORT AND THE GROUP CONSOLIDATED FINANCIAL
STATEMENTS FOR THE YEAR 2008
02 DISCHARGE OF THE MEMBERS OF THE BOARD OF Management For For
DIRECTORS AND THE EXECUTIVE COMMITTEE
03 REDUCTION OF SHARE CAPITAL BY CANCELLATION OF Management For For
REPURCHASED SHARES
04 APPROPRIATION OF BALANCE SHEET PROFIT 2008 AND Management For For
DIVIDEND DECISION
5A RE-ELECTION OF PEGGY BRUZELIUS Management Against Against
5B RE-ELECTION OF PIERRE LANDOLT Management For For
5C RE-ELECTION OF JURG WITMER Management For For
5D ELECTION OF STEFAN BORGAS Management For For
5E ELECTION OF DAVID LAWRENCE Management For For
06 ELECTION OF THE AUDITORS Management For For
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 37875 0 07-Apr-2009
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AMERICAN EXPRESS COMPANY
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SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 27-Apr-2009
ISIN US0258161092 AGENDA 933007595 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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1A ELECTION OF DIRECTOR: D.F. AKERSON Management For For
1B ELECTION OF DIRECTOR: C. BARSHEFSKY Management For For
1C ELECTION OF DIRECTOR: U.M. BURNS Management For For
1D ELECTION OF DIRECTOR: K.I. CHENAULT Management For For
1E ELECTION OF DIRECTOR: P. CHERNIN Management For For
1F ELECTION OF DIRECTOR: J. LESCHLY Management For For
1G ELECTION OF DIRECTOR: R.C. LEVIN Management For For
1H ELECTION OF DIRECTOR: R.A. MCGINN Management For For
1I ELECTION OF DIRECTOR: E.D. MILLER Management For For
1J ELECTION OF DIRECTOR: S.S REINEMUND Management For For
1K ELECTION OF DIRECTOR: R.D. WALTER Management For For
1L ELECTION OF DIRECTOR: R.A. WILLIAMS Management For For
02 RATIFICATION OF APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2009.
03 ADVISORY (NON-BINDING) VOTE APPROVING EXECUTIVE Management Against Against
COMPENSATION.
04 SHAREHOLDER PROPOSAL RELATING TO CUMULATIVE Shareholder Against For
VOTING FOR DIRECTORS.
05 SHAREHOLDER PROPOSAL RELATING TO THE CALLING OF Shareholder Against For
SPECIAL SHAREHOLDER MEETINGS.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 95500 0 17-Apr-2009
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PRAXAIR, INC.
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SECURITY 74005P104 MEETING TYPE Annual
TICKER SYMBOL PX MEETING DATE 28-Apr-2009
ISIN US74005P1049 AGENDA 933012584 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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1 DIRECTOR Management
1 STEPHEN F. ANGEL For For
2 NANCE K. DICCIANI For For
3 EDWARD G. GALANTE For For
4 CLAIRE W. GARGALLI For For
5 IRA D. HALL For For
6 RAYMOND W. LEBOEUF For For
7 LARRY D. MCVAY For For
8 WAYNE T. SMITH For For
9 H. MITCHELL WATSON, JR. Withheld Against
10 ROBERT L. WOOD For For
2 PROPOSAL TO APPROVE THE 2009 PRAXAIR, INC. LONG Management For For
TERM INCENTIVE PLAN.
3 PROPOSAL TO RATIFY THE APPOINTMENT OF THE Management For For
INDEPENDENT AUDITOR.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 56550 0 15-Apr-2009
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MOODY'S CORPORATION
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SECURITY 615369105 MEETING TYPE Annual
TICKER SYMBOL MCO MEETING DATE 28-Apr-2009
ISIN US6153691059 AGENDA 933012786 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
- --------------------------------------------------------------------------------------------------------------------------
1A ELECTION OF DIRECTOR: EWALD KIST Management For For
1B ELECTION OF DIRECTOR: HENRY A. MCKINNELL, JR., PH.D. Management For For
1C ELECTION OF DIRECTOR: JOHN K. WULFF Management For For
02 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2009.
03 STOCKHOLDER PROPOSAL TO ADOPT A POLICY THAT THE Shareholder For Against
CHAIRMAN OF THE COMPANY'S BOARD OF DIRECTORS BE
AN INDEPENDENT DIRECTOR.
04 STOCKHOLDER PROPOSAL TO ADOPT A POLICY Shareholder Against For
REQUIRING SENIOR EXECUTIVES TO RETAIN A
SIGNIFICANT PERCENTAGE OF COMPANY SHARES UNTIL
TWO YEARS FOLLOWING TERMINATION OF THEIR
EMPLOYMENT.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 100450 0 15-Apr-2009
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EBAY INC.
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SECURITY 278642103 MEETING TYPE Annual
TICKER SYMBOL EBAY MEETING DATE 29-Apr-2009
ISIN US2786421030 AGENDA 933024426 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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1A ELECTION OF DIRECTOR: MARC L. ANDREESSEN Management For For
1B ELECTION OF DIRECTOR: WILLIAM C. FORD, JR. Management For For
1C ELECTION OF DIRECTOR: DAWN G. LEPORE Management For For
1D ELECTION OF DIRECTOR: PIERRE M. OMIDYAR Management For For
1E ELECTION OF DIRECTOR: RICHARD T. SCHLOSBERG, III Management For For
02 TO APPROVE AMENDMENTS TO CERTAIN OF OUR EXISTING Management Against Against
EQUITY INCENTIVE PLANS TO ALLOW FOR A ONE-TIME
STOCK OPTION EXCHANGE PROGRAM FOR EMPLOYEES
OTHER THAN OUR NAMED EXECUTIVE OFFICERS AND
DIRECTORS.
03 TO APPROVE THE AMENDMENT AND RESTATEMENT OF Management Against Against
OUR 2008 EQUITY INCENTIVE AWARD PLAN TO INCREASE
THE AGGREGATE NUMBER OF SHARES AUTHORIZED FOR
ISSUANCE UNDER THE PLAN BY 50 MILLION SHARES AND
TO ADD MARKET SHARES AND VOLUME METRICS AS
PERFORMANCE CRITERIA UNDER THE PLAN.
04 TO RATIFY THE SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
AUDITORS FOR OUR FISCAL YEAR ENDING DECEMBER 31,
2009.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 25000 0 21-Apr-2009
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BERKSHIRE HATHAWAY INC.
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SECURITY 084670108 MEETING TYPE Annual
TICKER SYMBOL BRKA MEETING DATE 02-May-2009
ISIN US0846701086 AGENDA 933011049 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
- --------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management
1 WARREN E. BUFFETT For For
2 CHARLES T. MUNGER For For
3 HOWARD G. BUFFETT For For
4 SUSAN L. DECKER For For
5 WILLIAM H. GATES III For For
6 DAVID S. GOTTESMAN For For
7 CHARLOTTE GUYMAN For For
8 DONALD R. KEOUGH For For
9 THOMAS S. MURPHY For For
10 RONALD L. OLSON For For
11 WALTER SCOTT, JR. For For
02 TO APPROVE THE SHAREHOLDER PROPOSAL WITH Shareholder Against For
RESPECT TO THE PRODUCTION OF A SUSTAINABILITY
REPORT.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 59 0 27-Apr-2009
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AFLAC INCORPORATED
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SECURITY 001055102 MEETING TYPE Annual
TICKER SYMBOL AFL MEETING DATE 04-May-2009
ISIN US0010551028 AGENDA 933013841 - Management
- --------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
- --------------------------------------------------------------------------------------------------------------------------
1A ELECTION OF DIRECTOR: DANIEL P. AMOS Management For For
1B ELECTION OF DIRECTOR: JOHN SHELBY AMOS II Management For For
1C ELECTION OF DIRECTOR: PAUL S. AMOS II Management For For
1D ELECTION OF DIRECTOR: YOSHIRO AOKI Management For For
1E ELECTION OF DIRECTOR: MICHAEL H. ARMACOST Management For For
1F ELECTION OF DIRECTOR: KRISS CLONINGER III Management For For
1G ELECTION OF DIRECTOR: JOE FRANK HARRIS Management For For
1H ELECTION OF DIRECTOR: ELIZABETH J. HUDSON Management For For
1I ELECTION OF DIRECTOR: KENNETH S. JANKE SR. Management For For
1J ELECTION OF DIRECTOR: DOUGLAS W. JOHNSON Management For For
1K ELECTION OF DIRECTOR: ROBERT B. JOHNSON Management For For
1L ELECTION OF DIRECTOR: CHARLES B. KNAPP Management For For
1M ELECTION OF DIRECTOR: E. STEPHEN PURDOM Management For For
1N ELECTION OF DIRECTOR: BARBARA K. RIMER, DR. PH Management For For
1O ELECTION OF DIRECTOR: MARVIN R. SCHUSTER Management For For
1P ELECTION OF DIRECTOR: DAVID GARY THOMPSON Management For For
1Q ELECTION OF DIRECTOR: ROBERT L. WRIGHT Management For For
02 TO CONSIDER AND APPROVE THE FOLLOWING ADVISORY Management For For
(NON-BINDING) PROPOSAL: "RESOLVED, THAT THE
SHAREHOLDERS APPROVE THE OVERALL EXECUTIVE PAY-
FOR-PERFORMANCE COMPENSATION POLICIES AND
PROCEDURES EMPLOYED BY THE COMPANY, AS
DESCRIBED IN THE COMPENSATION DISCUSSION AND
ANALYSIS AND THE TABULAR DISCLOSURE REGARDING
NAMED EXECUTIVE OFFICER COMPENSATION IN THIS
PROXY STATEMENT."
03 RATIFICATION OF APPOINTMENT OF KPMG LLP AS Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF
THE COMPANY FOR THE YEAR ENDING DECEMBER 31,
2009.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
- --------------------------------------------------------------------------------------------------------------------------
19-6510 3S7 107600 0 28-Apr-2009
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ZIMMER HOLDINGS, INC.
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SECURITY 98956P102 MEETING TYPE Annual
TICKER SYMBOL ZMH MEETING DATE 04-May-2009
ISIN US98956P1021 AGENDA 933017091 - Management
- --------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
- --------------------------------------------------------------------------------------------------------------------------
1A ELECTION OF DIRECTOR: BETSY J. BERNARD Management For For
1B ELECTION OF DIRECTOR: MARC N. CASPER Management For For
1C ELECTION OF DIRECTOR: DAVID C. DVORAK Management For For
1D ELECTION OF DIRECTOR: ROBERT A. HAGEMANN Management Against Against
1E ELECTION OF DIRECTOR: ARTHUR J. HIGGINS Management Against Against
1F ELECTION OF DIRECTOR: CECIL B. PICKETT, PH.D. Management Against Against
1G ELECTION OF DIRECTOR: AUGUSTUS A. WHITE, III, M.D., Management For For
PH.D.
02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM
03 APPROVAL OF THE 2009 STOCK INCENTIVE PLAN Management Against Against
04 APPROVAL OF AN EXTENSION OF THE STOCK PLAN FOR Management For For
NON-EMPLOYEE DIRECTORS
05 APPROVAL OF AN EXTENSION OF THE RESTATED Management For For
DEFERRED COMPENSATION PLAN FOR NON-EMPLOYEE
DIRECTORS
- --------------------------------------------------------------------------------------------------------------------------
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
- --------------------------------------------------------------------------------------------------------------------------
19-6510 3S7 43900 0 28-Apr-2009
- --------------------------------------------------------------------------------------------------------------------------
AVON PRODUCTS, INC.
- --------------------------------------------------------------------------------------------------------------------------
SECURITY 054303102 MEETING TYPE Annual
TICKER SYMBOL AVP MEETING DATE 07-May-2009
ISIN US0543031027 AGENDA 933023157 - Management
- --------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
- --------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR Management
1 W. DON CORNWELL Withheld Against
2 EDWARD T. FOGARTY For For
3 V. ANN HAILEY Withheld Against
4 FRED HASSAN For For
5 ANDREA JUNG For For
6 MARIA ELENA LAGOMASINO For For
7 ANN S. MOORE For For
8 PAUL S. PRESSLER For For
9 GARY M. RODKIN For For
10 PAULA STERN For For
11 LAWRENCE A. WEINBACH For For
2 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For For
REGISTERED PUBLIC ACCOUNTING FIRM
3 RESOLUTION REGARDING NANOMATERIAL REPORT Shareholder Against For
- --------------------------------------------------------------------------------------------------------------------------
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
- --------------------------------------------------------------------------------------------------------------------------
19-6510 3S7 166875 0 04-May-2009
- --------------------------------------------------------------------------------------------------------------------------
3M COMPANY
- --------------------------------------------------------------------------------------------------------------------------
SECURITY 88579Y101 MEETING TYPE Annual
TICKER SYMBOL MMM MEETING DATE 12-May-2009
ISIN US88579Y1010 AGENDA 933025985 - Management
- --------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
- --------------------------------------------------------------------------------------------------------------------------
1A ELECTION OF DIRECTOR: LINDA G. ALVARADO Management For For
1B ELECTION OF DIRECTOR: GEORGE W. BUCKLEY Management For For
1C ELECTION OF DIRECTOR: VANCE D. COFFMAN Management For For
1D ELECTION OF DIRECTOR: MICHAEL L. ESKEW Management Against Against
1E ELECTION OF DIRECTOR: W. JAMES FARRELL Management Against Against
1F ELECTION OF DIRECTOR: HERBERT L. HENKEL Management Against Against
1G ELECTION OF DIRECTOR: EDWARD M. LIDDY Management Against Against
1H ELECTION OF DIRECTOR: ROBERT S. MORRISON Management For For
1I ELECTION OF DIRECTOR: AULANA L. PETERS Management For For
1J ELECTION OF DIRECTOR: ROBERT J. ULRICH Management Against Against
02 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
03 STOCKHOLDER PROPOSAL ON SPECIAL MEETINGS. Shareholder Against For
04 STOCKHOLDER PROPOSAL ON THE VESTING OF STOCK Shareholder Against For
OPTIONS AND AWARDS.
- --------------------------------------------------------------------------------------------------------------------------
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
- --------------------------------------------------------------------------------------------------------------------------
19-6510 3S7 37875 0 07-May-2009 07-May-2009
- --------------------------------------------------------------------------------------------------------------------------
AON CORPORATION
- --------------------------------------------------------------------------------------------------------------------------
SECURITY 037389103 MEETING TYPE Annual
TICKER SYMBOL AOC MEETING DATE 15-May-2009
ISIN US0373891037 AGENDA 933027636 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 ELECTION OF DIRECTOR: LESTER B. KNIGHT Management For For
02 ELECTION OF DIRECTOR: GREGORY C. CASE Management For For
03 ELECTION OF DIRECTOR: FULVIO CONTI Management For For
04 ELECTION OF DIRECTOR: EDGAR D. JANNOTTA Management For For
05 ELECTION OF DIRECTOR: JAN KALFF Management Against Against
06 ELECTION OF DIRECTOR: J. MICHAEL LOSH Management Against Against
07 ELECTION OF DIRECTOR: R. EDEN MARTIN Management For For
08 ELECTION OF DIRECTOR: ANDREW J. MCKENNA Management For For
09 ELECTION OF DIRECTOR: ROBERT S. MORRISON Management Against Against
10 ELECTION OF DIRECTOR: RICHARD B. MYERS Management Against Against
11 ELECTION OF DIRECTOR: RICHARD C. NOTEBAERT Management For For
12 ELECTION OF DIRECTOR: JOHN W. ROGERS, JR. Management For For
13 ELECTION OF DIRECTOR: GLORIA SANTONA Management Against Against
14 ELECTION OF DIRECTOR: CAROLYN Y. WOO Management Against Against
2 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP Management For For
AS AON'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 56450 0 13-May-2009 13-May-2009
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TIFFANY & CO.
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SECURITY 886547108 MEETING TYPE Annual
TICKER SYMBOL TIF MEETING DATE 21-May-2009
ISIN US8865471085 AGENDA 933044961 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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1 ELECTION OF DIRECTOR: MICHAEL J. KOWALSKI Management For For
2 ELECTION OF DIRECTOR: ROSE MARIE BRAVO Management Against Against
3 ELECTION OF DIRECTOR: GARY E. COSTLEY Management Against Against
4 ELECTION OF DIRECTOR: LAWRENCE K. FISH Management Against Against
5 ELECTION OF DIRECTOR: ABBY F. KOHNSTAMM Management Against Against
6 ELECTION OF DIRECTOR: CHARLES K. MARQUIS Management For For
7 ELECTION OF DIRECTOR: PETER W. MAY Management For For
8 ELECTION OF DIRECTOR: J. THOMAS PRESBY Management Against Against
9 ELECTION OF DIRECTOR: WILLIAM A. SHUTZER Management For For
02 RATIFICATION OF THE SELECTION OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2009.
03 APPROVAL OF AN AMENDMENT TO THE TIFFANY & CO. 2005 Management For For
EMPLOYEE INCENTIVE PLAN TO INCREASE BY 2,500,000
THE MAXIMUM NUMBER OF SHARES THAT MAY BE ISSUED
UNDER THE PLAN.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 99750 0 18-May-2009 18-May-2009
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MASTERCARD INCORPORATED
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SECURITY 57636Q104 MEETING TYPE Annual
TICKER SYMBOL MA MEETING DATE 09-Jun-2009
ISIN US57636Q1040 AGENDA 933069862 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 DIRECTOR Management
1 RICHARD HAYTHORNTHWAITE Withheld Against
2 DAVID R. CARLUCCI Withheld Against
3 ROBERT W. SELANDER For For
02 APPROVAL OF AMENDMENT OF SECTIONS 6.1(A) AND 6.4(B) Management For For
OF THE COMPANY'S AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION
03 RATIFICATION OF THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
COMPANY FOR 2009
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 12175 0 19-May-2009 19-May-2009
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CHESAPEAKE ENERGY CORPORATION
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SECURITY 165167107 MEETING TYPE Annual
TICKER SYMBOL CHK MEETING DATE 12-Jun-2009
ISIN US1651671075 AGENDA 933087062 - Management
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ITEM PROPOSAL TYPE VOTE FOR/AGAINST
MANAGEMENT
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01 DIRECTOR Management
1 RICHARD K. DAVIDSON For For
2 V. BURNS HARGIS For For
3 CHARLES T. MAXWELL For For
02 TO APPROVE AN AMENDMENT TO OUR CERTIFICATE OF Management For For
INCORPORATION TO INCREASE THE NUMBER OF
AUTHORIZED SHARES OF COMMON STOCK.
03 TO APPROVE AN AMENDMENT TO OUR LONG TERM Management For For
INCENTIVE PLAN.
04 TO RATIFY THE APPOINTMENT OF Management For For
PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2009.
05 SHAREHOLDER PROPOSAL REGARDING ANNUAL Shareholder For Against
ELECTIONS OF DIRECTORS.
06 SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING Shareholder For Against
STANDARD FOR DIRECTOR ELECTIONS.
07 SHAREHOLDER PROPOSAL REGARDING THE COMPANY'S Shareholder Against For
NON-DISCRIMINATION POLICY.
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ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE CONFIRMED
SHARES
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19-6510 3S7 83225 0 08-Jun-2009 08-Jun-2009