UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES
Investment Company Act file number 811-04873
--------------------------------------
The Gabelli Growth Fund
- --------------------------------------------------------------------------------
(Exact name of registrant as specified in charter)
One Corporate Center
Rye, NY 10580-1422
-----------------------------------------------------------------
(Address of principal executive offices) (Zip code)
Bruce N. Alpert
Gabelli Funds, LLC
One Corporate Center
Rye, NY 10580-1422
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(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-422-3554
--------------------------
Date of fiscal year end: December 31
----------------
Date of reporting period: July 1, 2003 - June 30, 2004
------------------------------
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.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2003 TO JUNE 30, 2004
- ------------------------------------------------------------------------------------------------------------------------------------
DELL COMPUTER CORPORATION DELL Annual Meeting Date: 07/18/2003
Issuer: 247025 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ELIMINATION OF CLASSIFIED BOARD Management For No No
03 CHANGE OF COMPANY NAME TO DELL INC. Management For No No
04 APPROVAL OF EXECUTIVE ANNUAL INCENTIVE BONUS PLAN Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 790,000 790,000 07/16/2003
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VODAFONE GROUP PLC VOD Annual Meeting Date: 07/30/2003
Issuer: 92857W ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 TO RECEIVE THE REPORT OF THE DIRECTORS AND FINANCIAL Management For No No
STATEMENTS
02 TO APPROVE THE REMUNERATION REPORT Management For No No
03 TO RE-APPOINT LORD MACLAURIN OF KNEBWORTH, DL Management For No No
AS A DIRECTOR
04 TO RE-APPOINT KENNETH HYDON AS A DIRECTOR Management For No No
05 TO RE-APPOINT THOMAS GEITNER AS A DIRECTOR Management For No No
06 TO RE-APPOINT PROFESSOR SIR ALEC BROERS AS A DIRECTOR Management For No No
07 TO RE-APPOINT JURGEN SCHREMPP AS A DIRECTOR Management For No No
08 TO ELECT DR. JOHN BUCHANAN AS A DIRECTOR Management For No No
09 TO APPROVE A FINAL DIVIDEND OF 0.8983 PER ORDINARY Management For No No
SHARE
10 TO RE-APPOINT DELOITTE & TOUCHE AS AUDITORS Management For No No
11 TO AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE Management For No No
THE AUDITORS REMUNERATION
12 TO AUTHORIZE DONATIONS AND EXPENDITURE UNDER Management For No No
THE POLITICAL PARTIES, ELECTIONS AND REFERENDUMS
ACT 2000
13 TO RENEW AUTHORITY TO ALLOT SHARES UNDER ARTICLE Shareholder For No No
16.2 OF THE COMPANY S ARTICLES OF ASSOCIATION
14 TO RENEW AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS Management For No No
UNDER ARTICLE 16.3 OF THE COMPANY S ARTICLES
OF ASSOCIATION
15 TO AUTHORIZE THE COMPANY S PURCHASE OF ITS OWN Shareholder For No No
SHARES *NOTE - VOTING CUT-OFF DATE: JULY 23, 2003
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 100 625,000 625,000 07/28/2003
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XILINX, INC. XLNX Annual Meeting Date: 08/07/2003
Issuer: 983919 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For No No
YOUNG LLP AS INDEPENDENT AUDITORS OF XILINX FOR
THE FISCAL YEAR ENDING APRIL 3, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 101 475,000 475,000 08/01/2003
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MICROCHIP TECHNOLOGY INCORPORATED MCHP Annual Meeting Date: 08/15/2003
Issuer: 595017 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AMEND OUR 2001 EMPLOYEE STOCK PURCHASE Management For No No
PLAN TO INCREASE THE NUMBER OF SHARES RESERVED
FOR ISSUANCE UNDER SUCH PLAN BY 975,000 SHARES.
03 PROPOSAL TO AMEND OUR 2001 EMPLOYEE STOCK PURCHASE Management For No No
PLAN TO ADD, COMMENCING JANUARY 1, 2005, AN ANNUAL
AUTOMATIC INCREASE IN THE NUMBER OF SHARES
RESERVED FOR ISSUANCE UNDER SUCH PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 900,000 900,000 08/05/2003
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MEDTRONIC, INC. MDT Annual Meeting Date: 08/28/2003
Issuer: 585055 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS MEDTRONIC S INDEPENDENT AUDITORS
03 TO APPROVE MEDTRONIC S 2003 LONG-TERM INCENTIVE Management For No No
PLAN.
04 TO APPROVE MEDTRONIC S EXECUTIVE INCENTIVE PLAN. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 106 940,000 940,000 08/18/2003
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GENERAL MOTORS CORPORATION GMH Consent Meeting Date: 10/03/2003
Issuer: 370442 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 APPROVAL OF THE FIRST GM CHARTER AMENDMENT Management For No No
02 RATIFICATION OF THE NEW HUGHES CERTIFICATE OF Management For No No
INCORPORATION
03 RATIFICATION OF THE HUGHES SPLIT-OFF, INCLUDING Management For No No
THE SPECIAL DIVIDEND
04 RATIFICATION OF THE GM/NEWS STOCK SALE Management For No No
05 RATIFICATION OF THE NEWS STOCK ACQUISITION Management For No No
06 APPROVAL OF THE SECOND GM CHARTER AMENDMENT Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 832 1,060,000 1,060,000 09/29/2003
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BOSTON SCIENTIFIC CORPORATION BSX Special Meeting Date: 10/06/2003
Issuer: 101137 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 TO APPROVE AN AMENDMENT TO THE COMPANY S SECOND Management For No No
RESTATED CERTIFICATE OF INCORPORATION.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 107 140,000 140,000 09/26/2003
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CINTAS CORPORATION CTAS Annual Meeting Date: 10/14/2003
Issuer: 172908 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 AUTHORITY TO ESTABLISH THE NUMBER OF DIRECTORS Management For No No
TO BE ELECTED AT THE MEETING AT EIGHT.
02 DIRECTOR Management For No No
03 APPROVAL OF DIRECTORS STOCK OPTION PLAN. Management For No No
04 PROPOSAL TO ADOPT A POLICY OF EXPENSING THE COST Shareholder Against No No
OF STOCK OPTIONS IN CINTAS INCOME STATEMENT.
05 PROPOSAL TO ESTABLISH A NOMINATING COMMITTEE Shareholder Against No No
COMPOSED OF INDEPENDENT MEMBERS AS DEFINED IN
THE PROPOSAL.
06 PROPOSAL TO ADOPT A POLICY OF NOMINATING INDEPENDENT Shareholder Against No No
DIRECTORS WHO, IF ELECTED, WOULD CONSTITUTE TWO-THIRDS
OF THE BOARD.
07 PROPOSAL TO ISSUE A REPORT ON CINTAS CODE OF Shareholder Against No No
CONDUCT FOR VENDORS AND OTHER WORKPLACE POLICIES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 220,000 220,000 10/07/2003
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THE PROCTER & GAMBLE COMPANY PG Annual Meeting Date: 10/14/2003
Issuer: 742718 ISIN:
SEDOL:
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Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
03 APPROVE THE PROCTER & GAMBLE 2003 NON-EMPLOYEE Management For No No
DIRECTORS STOCK PLAN
04 SHAREHOLDER PROPOSAL NO. 1 BOARD OF DIRECTORS Shareholder Against No No
TERMS
05 SHAREHOLDER PROPOSAL NO. 2 LABEL GENETICALLY Shareholder Against No No
ENGINEERED FOODS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 10,000 10,000 10/07/2003
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COACH, INC. COH Annual Meeting Date: 11/05/2003
Issuer: 189754 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 10,000 10,000 10/29/2003
- ------------------------------------------------------------------------------------------------------------------------------------
KLA-TENCOR CORPORATION KLAC Annual Meeting Date: 11/05/2003
Issuer: 482480 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT ACCOUNTANTS OF THE COMPANY FOR
THE FISCAL YEAR ENDING JUNE 30, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 100 315,000 315,000 10/29/2003
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LINEAR TECHNOLOGY CORPORATION LLTC Annual Meeting Date: 11/05/2003
Issuer: 535678 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Management For No No
AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE
FISCAL YEAR ENDING JUNE 27, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 106 750,000 750,000 10/29/2003
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SYSCO CORPORATION SYY Annual Meeting Date: 11/07/2003
Issuer: 871829 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENT TO RESTATED CERTIFICATE Shareholder For No No
OF INCORPORATION TO INCREASE THE NUMBER OF SHARES
OF COMMON STOCK THAT SYSCO WILL HAVE THE AUTHORITY
TO ISSUE TO TWO BILLION (2,000,000,000).
03 APPROVAL OF THE 2003 STOCK INCENTIVE PLAN. Management Against Yes No
04 SHAREHOLDER PROPOSAL REQUESTING THAT THE BOARD Shareholder Against No No
REVIEW THE COMPANY S POLICIES FOR FOOD PRODUCTS
CONTAINING GENETICALLY ENGINEERED INGREDIENTS
AND REPORT TO SHAREHOLDERS BY MARCH 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 107 855,000 855,000 11/05/2003
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CISCO SYSTEMS, INC. CSCO Annual Meeting Date: 11/11/2003
Issuer: 17275R ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE Management For No No
EMPLOYEE STOCK PURCHASE PLAN, INCLUDING AN
INCREASE OF 100,000,000 SHARES AUTHORIZED FOR
ISSUANCE UNDER THE PLAN AND A 5-YEAR EXTENSION OF
THE PLAN, AS MORE FULLY SET FORTH IN THE
ACCOMPANYING PROXY STATEMENT.
03 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS CISCO S INDEPENDENT AUDITORS FOR THE FISCAL
YEAR ENDING JULY 31, 2004.
04 PROPOSAL SUBMITTED BY A SHAREHOLDER THAT THE Shareholder Against No No
BOARD PREPARE A REPORT EACH FISCAL YEAR ON CISCO
HARDWARE AND SOFTWARE PROVIDED TO GOVERNMENT
AGENCIES AND STATE-OWNED COMMUNICATIONS OR
INFORMATION TECHNOLOGY ENTITIES IN ANY COUNTRY, AS
MORE FULLY SET FORTH IN THE ACCOMPANYING PROXY
STATEMENT.
05 PROPOSAL SUBMITTED BY SHAREHOLDERS THAT THE BOARD S Shareholder Against No No
COMPENSATION COMMITTEE PREPARE AND MAKE AVAILABLE
BY JANUARY 1, 2004, A REPORT COMPARING TOTAL
COMPENSATION OF THE COMPANY S TOP EXECUTIVES AND
ITS LOWEST PAID WORKERS IN THE U.S. AND ABROAD AS
OF SPECIFIC DATES, AS MORE FULLY SET FORTH IN THE
ACCOMPANYING PROXY STATEMENT.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 102 1,486,000 1,486,000 11/05/2003
- ------------------------------------------------------------------------------------------------------------------------------------
MICROSOFT CORPORATION MSFT Annual Meeting Date: 11/11/2003
Issuer: 594918 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ADOPTION OF THE AMENDMENTS TO THE 2001 STOCK Management For No No
PLAN
03 ADOPTION OF THE AMENDMENTS TO THE 1999 STOCK Management For No No
OPTION PLAN FOR NON-EMPLOYEE DIRECTORS
04 SHAREHOLDER PROPOSAL (THE BOARD RECOMMENDS A Shareholder Against No No
VOTE AGAINST THIS PROPOSAL)
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 2,200,000 2,200,000 11/05/2003
- ------------------------------------------------------------------------------------------------------------------------------------
APACHE CORPORATION APA Special Meeting Date: 12/18/2003
Issuer: 037411 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION Shareholder For No No
TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF
THE COMPANY S COMMON STOCK FROM 215,000,000 SHARES
TO 430,000,000 SHARES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 208,000 208,000 12/09/2003
- ------------------------------------------------------------------------------------------------------------------------------------
WALGREEN CO. WAG Annual Meeting Date: 01/14/2004
Issuer: 931422 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE AMENDED AND RESTATED WALGREEN Management For No No
CO. NONEMPLOYEE DIRECTOR STOCK PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 1,275,000 1,275,000 12/30/2003
- ------------------------------------------------------------------------------------------------------------------------------------
QUALCOMM, INCORPORATED QCOM Annual Meeting Date: 03/02/2004
Issuer: 747525 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AN AMENDMENT TO THE COMPANY S 2001 Management Against Yes No
STOCK OPTION PLAN TO INCREASE THE AGGREGATE NUMBER
OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE
UNDER SUCH PLAN.
03 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT ACCOUNTANTS
FOR THE COMPANY S FISCAL YEAR ENDING SEPTEMBER
26, 2004. THE BOARD OF DIRECTORS RECOMMENDS A
VOTE AGAINST PROPOSAL 4
04 BERNARD LUBRAN - TO ELIMINATE THE CLASSIFIED Shareholder Against No No
BOARD.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 358,000 358,000 03/01/2004
- ------------------------------------------------------------------------------------------------------------------------------------
ANALOG DEVICES, INC. ADI Annual Meeting Date: 03/09/2004
Issuer: 032654 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AN AMENDMENT TO THE COMPANY S RESTATED Shareholder For No No
ARTICLES OF ORGANIZATION TO INCREASE THE NUMBER OF
AUTHORIZED SHARES OF COMMON STOCK FROM 600,000,000
SHARES TO 1,200,000,000 SHARES.
03 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For No No
AS THE COMPANY S INDEPENDENT AUDITORS FOR THE
FISCAL YEAR ENDING OCTOBER 30, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 620,000 620,000 03/03/2004
- ------------------------------------------------------------------------------------------------------------------------------------
WHOLE FOODS MARKET, INC. WFMI Annual Meeting Date: 03/22/2004
Issuer: 966837 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO APPROVE THE AMENDMENT TO THE 1992 Management Against Yes No
INCENTIVE STOCK OPTION PLAN FOR TEAM MEMBERS.
03 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG, Management For No No
LLP AS INDEPENDENT PUBLIC ACCOUNTANTS FOR FISCAL
YEAR 2004.
04 SHAREHOLDER PROPOSAL REGARDING THE COMPANY S Shareholder For Yes No
SHAREHOLDER RIGHTS PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 106 190,000 190,000 03/10/2004
- ------------------------------------------------------------------------------------------------------------------------------------
APPLIED MATERIALS, INC. AMAT Annual Meeting Date: 03/24/2004
Issuer: 038222 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE THE AMENDED AND RESTATED EMPLOYEE Management Against Yes No
STOCK INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 765,000 765,000 03/22/2004
- ------------------------------------------------------------------------------------------------------------------------------------
NOKIA CORPORATION NOK Annual Meeting Date: 03/25/2004
Issuer: 654902 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
1A APPROVAL OF THE INCOME STATEMENTS AND THE BALANCE Management For No No
SHEETS.
1B APPROVAL OF A DIVIDEND OF EUR 0.30 PER SHARE. Management For No No
1C APPROVAL OF THE DISCHARGE OF THE CHAIRMAN, THE Management For No No
MEMBERS OF THE BOARD OF DIRECTORS AND THE PRESIDENT
FROM LIABILITY.
1E DIRECTOR Management For No No
1G APPROVAL OF THE APPOINTMENT OF THE AUDITOR. (FOR Management For No No
AND ABSTAIN ARE THE ONLY VALID VOTING OPTIONS)
2 APPROVAL OF THE PROPOSAL OF THE BOARD TO REDUCE Shareholder For No No
THE SHARE CAPITAL THROUGH CANCELLATION OF NOKIA
SHARES HELD BY THE COMPANY
3 APPROVAL OF THE AUTHORIZATION TO THE BOARD TO Shareholder For No No
INCREASE THE SHARE CAPITAL OF THE COMPANY.
4 APPROVAL OF THE AUTHORIZATION TO THE BOARD TO Shareholder For No No
REPURCHASE NOKIA SHARES.
5 APPROVAL OF THE AUTHORIZATION TO THE BOARD TO Shareholder For No No
DISPOSE NOKIA SHARES HELD BY THE COMPANY.
6 APPROVAL OF THE PROPOSAL OF THE BOARD TO INCREASE Shareholder For No No
THE CAPITAL OF THE FOUNDATION OF NOKIA CORPORATION.
7 MARK THE FOR BOX IF YOU WISH TO INSTRUCT THE Management For No
DEPOSITARY TO GIVE A PROXY TO ANY ONE OF MARIANNA
UOTINEN-TARKOMA, ESA KAUNISTOLA, BOTH LEGAL
COUNSELS OF NOKIA CORPORATION, TO AUTHORIZE ANY OF
THEM (WITH FULL POWER OF SUBSTITUTION) TO VOTE, IN
THEIR DISCRETION, ON YOUR BEHALF ONLY UPON ITEM 7
OF THE ANNUAL MEETING AND ANY ADJOURNMENTS OR
POSTPONEMENT THEREOF.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 204 970,000 970,000 03/18/2004
- ------------------------------------------------------------------------------------------------------------------------------------
STARBUCKS CORPORATION SBUX Annual Meeting Date: 03/30/2004
Issuer: 855244 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE SELECTION OF DELOITTE Management For No No
& TOUCHE LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR THE FISCAL YEAR ENDING OCTOBER 3, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 580,000 580,000 03/18/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE GOLDMAN SACHS GROUP, INC. GS Annual Meeting Date: 03/31/2004
Issuer: 38141G ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT BY THE AUDIT Management For No No
COMMITTEE OF THE BOARD OF DIRECTORS OF
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS
FOR THE 2004 FISCAL YEAR.
03 ANNUAL ELECTION OF ALL DIRECTORS TO THE BOARD Shareholder Against No No
OF DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 185,000 185,000 03/18/2004
- ------------------------------------------------------------------------------------------------------------------------------------
SCHLUMBERGER LIMITED (SCHLUMBERGER N SLB Annual Meeting Date: 04/14/2004
Issuer: 806857 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ADOPTION AND APPROVAL OF FINANCIALS AND DIVIDENDS Management For No No
03 APPROVAL OF ADOPTION OF THE 2004 STOCK AND DEFERRAL Management For No No
PLAN FOR NON-EMPLOYEE DIRECTORS
04 APPROVAL OF AUDITORS Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 520,000 520,000 03/26/2004
- ------------------------------------------------------------------------------------------------------------------------------------
UNITED TECHNOLOGIES CORPORATION UTX Annual Meeting Date: 04/14/2004
Issuer: 913017 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF INDEPENDENT AUDITORS Management For No No
03 SHAREOWNER PROPOSAL CONCERNING DISCLOSURE OF Shareholder Against No No
EXECUTIVE COMPENSATION
04 SHAREOWNER PROPOSAL CONCERNING ETHICAL CRITERIA Shareholder Against No No
FOR MILITARY CONTRACTS
05 SHAREOWNER PROPOSAL CONCERNING PERFORMANCE BASED Shareholder Against No No
SENIOR EXECUTIVE STOCK OPTIONS
06 SHAREOWNER PROPOSAL CONCERNING AN INDEPENDENT Shareholder Against No No
CHAIRMAN OF THE BOARD
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 230,000 230,000 03/26/2004
- ------------------------------------------------------------------------------------------------------------------------------------
TEXAS INSTRUMENTS INCORPORATED TXN Annual Meeting Date: 04/15/2004
Issuer: 882508 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 BOARD PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST Management For No No
& YOUNG LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR 2004.
03 STOCKHOLDER PROPOSAL REGARDING EXPENSING OF STOCK Shareholder Against No No
OPTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 1,216,000 1,216,000 03/31/2004
- ------------------------------------------------------------------------------------------------------------------------------------
UBS AG UBS Annual Meeting Date: 04/15/2004
Issuer: H8920M ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 ANNUAL REPORT, GROUP AND PARENT COMPANY ACCOUNTS Management For No No
FOR 2003. REPORTS OF THE GROUP AND STATUTORY AUDITORS
02 APPROPRIATION OF RETAINED EARNINGS. DIVIDEND Management For No No
FOR FINANCIAL YEAR 2003
03 DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS Management For No No
AND THE GROUP EXECUTIVE BOARD
4A RE-ELECTION OF BOARD MEMBER: SIR PETER DAVIS Management For No No
4B1 ELECTION OF NEW BOARD MEMBER: STEPHAN HAERINGER Management For No No
4B2 ELECTION OF NEW BOARD MEMBER: HELMUT PANKE Management For No No
4B3 ELECTION OF NEW BOARD MEMBER: PETER SPUHLER Management For No No
4C RE-ELECTION OF GROUP AND STATUTORY AUDITORS ERNST Management For No No
& YOUNG LTD., BASEL
5A CAPITAL REDUCTION: CANCELLATION OF SHARES REPURCHASED Management For No No
UNDER THE 2003/2004 SHARE BUYBACK PROGRAM AND
RESPECTIVE AMENDMENT OF ARTICLE 4 OF THE ARTICLES
OF ASSOCIATION
5B CAPITAL REDUCTION: APPROVAL OF A NEW 2004/2005 Management For No No
SHARE BUYBACK PROGRAM
06 IN CASE OF AD-HOC SHAREHOLDERS MOTIONS DURING Management For No No
THE ANNUAL GENERAL MEETING, I/WE AUTHORIZE MY/OUR
PROXY TO VOTE IN ACCORDANCE WITH THE BOARD OF
DIRECTORS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 855 20,000 20,000 04/06/2004
- ------------------------------------------------------------------------------------------------------------------------------------
ELI LILLY AND COMPANY LLY Annual Meeting Date: 04/19/2004
Issuer: 532457 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT BY THE AUDIT Management For No No
COMMITTEE OF THE BOARD OF DIRECTORS OF ERNST
& YOUNG LLP AS PRINCIPAL INDEPENDENT AUDITORS
FOR 2004.
03 APPROVE THE ELI LILLY AND COMPANY BONUS PLAN. Management For No No
04 PROPOSAL BY SHAREHOLDERS THAT THE BOARD ADOPT Shareholder Against No No
A COMPENSATION PROGRAM LIMITING THE COMPENSATION
OF SENIOR EXECUTIVES TO SPECIFIED LEVELS.
05 PROPOSAL BY SHAREHOLDERS THAT THE BOARD REPORT Shareholder Against No No
ON HOW THE COMPANY WILL RESPOND TO PRESSURE TO
INCREASE ACCESS TO AND AFFORDABILITY OF PRESCRIPTION
DRUGS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 240,000 240,000 04/06/2004
- ------------------------------------------------------------------------------------------------------------------------------------
CITIGROUP INC. C Annual Meeting Date: 04/20/2004
Issuer: 172967 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP Management For No No
AS CITIGROUP S INDEPENDENT AUDITORS FOR 2004.
03 STOCKHOLDER PROPOSAL REQUESTING A CURB ON EXECUTIVE Shareholder Against No No
COMPENSATION, NO FUTURE STOCK OPTION GRANTS AND NO
RENEWALS OR EXTENSIONS OF OPTION PLANS.
04 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON POLITICAL Shareholder Against No No
CONTRIBUTIONS.
05 STOCKHOLDER PROPOSAL REQUESTING A DISCONTINUATION Shareholder Against No No
OF ALL RIGHTS, OPTIONS, SAR S AND POSSIBLE SEVERANCE
PAYMENTS TO THE TOP 5 OF MANAGEMENT.
06 STOCKHOLDER PROPOSAL REQUESTING THAT THE CHAIRMAN Shareholder Against No No
OF THE BOARD HAVE NO MANAGEMENT DUTIES, TITLES
OR RESPONSIBILITIES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 101 1,070,000 1,070,000 04/02/2004
- ------------------------------------------------------------------------------------------------------------------------------------
MELLON FINANCIAL CORPORATION MEL Annual Meeting Date: 04/20/2004
Issuer: 58551A ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO AMEND THE CORPORATION S LONG-TERM Management Against Yes No
PROFIT INCENTIVE PLAN.
03 RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 351,000 351,000 04/08/2004
- ------------------------------------------------------------------------------------------------------------------------------------
NORTHERN TRUST CORPORATION NTRS Annual Meeting Date: 04/20/2004
Issuer: 665859 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For No No
THE CORPORATION S INDEPENDENT PUBLIC ACCOUNTANTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 550,900 550,900 04/06/2004
- ------------------------------------------------------------------------------------------------------------------------------------
BURLINGTON RESOURCES INC. BR Annual Meeting Date: 04/21/2004
Issuer: 122014 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AN AMENDMENT TO THE COMPANY S CERTIFICATE Shareholder For No No
OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED
SHARES OF COMMON STOCK OF THE COMPANY TO 650,000,000.
03 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS THE COMPANY S INDEPENDENT AUDITOR FOR
THE YEAR ENDED DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 90,000 90,000 04/08/2004
- ------------------------------------------------------------------------------------------------------------------------------------
STATE STREET CORPORATION STT Annual Meeting Date: 04/21/2004
Issuer: 857477 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO VOTE ON A STOCKHOLDER PROPOSAL TO EXEMPT THE Shareholder Against No No
BOARD OF DIRECTORS FROM MASSACHUSETTS GENERAL
LAWS, CHAPTER 156B, SECTION 50A(A).
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 833,800 833,800 04/08/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE COCA-COLA COMPANY KO Annual Meeting Date: 04/21/2004
Issuer: 191216 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS
03 SHARE-OWNER PROPOSAL REGARDING REPORT RELATED Shareholder For No No
TO GLOBAL HIV/AIDS PANDEMIC
04 SHARE-OWNER PROPOSAL REGARDING STOCK OPTION GLASS Shareholder Against No No
CEILING REPORT
05 SHARE-OWNER PROPOSAL REGARDING EXECUTIVE COMPENSATION Shareholder Against No No
06 SHARE-OWNER PROPOSAL REGARDING RESTRICTED STOCK Shareholder Against No No
07 SHARE-OWNER PROPOSAL REGARDING SENIOR EXECUTIVE Shareholder Against No No
PARTICIPATION IN COMPANY S COMPENSATION AND DEFERRAL
INVESTMENT PROGRAM
08 SHARE-OWNER PROPOSAL ON CHINA BUSINESS PRINCIPLES Shareholder Against No No
09 SHARE-OWNER PROPOSAL REGARDING SEPARATE POSITIONS Shareholder Against No No
OF CEO AND CHAIRMAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 100 10,000 10,000 04/08/2004
- ------------------------------------------------------------------------------------------------------------------------------------
JOHNSON & JOHNSON JNJ Annual Meeting Date: 04/22/2004
Issuer: 478160 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
AS INDEPENDENT AUDITORS
03 PROPOSAL ON CHARITABLE CONTRIBUTIONS Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 519,000 519,000 04/15/2004
- ------------------------------------------------------------------------------------------------------------------------------------
PFIZER INC. PFE Annual Meeting Date: 04/22/2004
Issuer: 717081 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 A PROPOSAL TO APPROVE THE APPOINTMENT OF KPMG Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 A PROPOSAL TO APPROVE THE PFIZER INC. 2004 STOCK Management For No No
PLAN.
04 SHAREHOLDER PROPOSAL REQUESTING REVIEW OF THE Shareholder Against No No
ECONOMIC EFFECTS OF THE HIV/AIDS, TB AND MALARIA
PANDEMICS ON THE COMPANY S BUSINESS STRATEGY.
05 SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS. Shareholder Against No No
06 SHAREHOLDER PROPOSAL RELATING TO AN ANNUAL REPORT Shareholder Against No No
ON CORPORATE RESOURCES DEVOTED TO SUPPORTING
POLITICAL ENTITIES OR CANDIDATES.
07 SHAREHOLDER PROPOSAL SEEKING TO IMPOSE TERM LIMITS Shareholder Against No No
ON DIRECTORS.
08 SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INCREASING Shareholder Against No No
ACCESS TO PFIZER PRODUCTS.
09 SHAREHOLDER PROPOSAL ON STOCK OPTIONS. Shareholder Against No No
10 SHAREHOLDER PROPOSAL ON IN VITRO TESTING. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 1,512,500 1,512,500 04/15/2004
- ------------------------------------------------------------------------------------------------------------------------------------
MERRILL LYNCH & CO., INC. MER Annual Meeting Date: 04/23/2004
Issuer: 590188 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFY APPOINTMENT OF DELOITTE & TOUCHE LLP AS Management For No No
INDEPENDENT AUDITOR
03 INSTITUTE CUMULATIVE VOTING Shareholder Against No No
04 INDEPENDENT CHAIRMAN SEPARATE FROM CHIEF EXECUTIVE Shareholder Against No No
OFFICER
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 695,000 695,000 04/21/2004
- ------------------------------------------------------------------------------------------------------------------------------------
HARLEY-DAVIDSON, INC. HDI Annual Meeting Date: 04/24/2004
Issuer: 412822 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE AMENDED CORPORATE SHORT TERM Management For No No
INCENTIVE PLAN.
03 APPROVAL OF THE 2004 INCENTIVE STOCK PLAN. Management For No No
04 RATIFICATION OF ERNST & YOUNG LLP AS AUDITORS. Management For No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 310,000 310,000 04/21/2004
- ------------------------------------------------------------------------------------------------------------------------------------
AMERICAN EXPRESS COMPANY AXP Annual Meeting Date: 04/26/2004
Issuer: 025816 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY SELECTION OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS.
03 SHAREHOLDER PROPOSAL TO ESTABLISH SIX-YEAR TERM Shareholder Against No No
LIMITS FOR DIRECTORS.
04 SHAREHOLDER PROPOSAL REQUESTING A SEPARATE ANNUAL Shareholder Against No No
REPORT DESCRIBING THE COMPANY S POLITICAL CONTRIBUTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 310,000 310,000 04/21/2004
- ------------------------------------------------------------------------------------------------------------------------------------
L-3 COMMUNICATIONS HOLDINGS, INC. LLL Annual Meeting Date: 04/27/2004
Issuer: 502424 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS Management For No No
INDEPENDENT AUDITORS.
03 APPROVAL OF AMENDMENT TO THE 1999 LONG TERM PERFORMANCE Management For No No
PLAN.
04 RATIFICATION OF THE TERMS OF PERFORMANCE-BASED Management For No No
COMPENSATION UNDER THE 1999 LONG TERM PERFORMANCE
PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 104 450,000 450,000 04/26/2004
- ------------------------------------------------------------------------------------------------------------------------------------
CLEAR CHANNEL COMMUNICATIONS, INC. CCU Annual Meeting Date: 04/28/2004
Issuer: 184502 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE SELECTION OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS FOR THE YEAR ENDING
DECEMBER 31, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 102 456,600 456,600 04/02/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE MCGRAW-HILL COMPANIES, INC. MHP Annual Meeting Date: 04/28/2004
Issuer: 580645 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDED AND RESTATED 2002 STOCK INCENTIVE Management Against Yes No
PLAN.
03 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For No No
AUDITORS FOR 2004.
04 SHAREHOLDER PROPOSAL REQUESTING SHAREHOLDER VOTE Shareholder For Yes No
ON POISON PILLS .
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 237,500 237,500 04/20/2004
- ------------------------------------------------------------------------------------------------------------------------------------
OCCIDENTAL PETROLEUM CORPORATION OXY Annual Meeting Date: 04/30/2004
Issuer: 674599 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 THE RATIFICATION OF THE SELECTION OF KPMG AS Management For No No
INDEPENDENT AUDITORS.
03 APPROVAL OF AMENDMENT TO THE RESTRICTED STOCK Management For No No
PLAN FOR NON-EMPLOYEE DIRECTORS.
04 DISCONTINUANCE OF OPTIONS, RIGHTS AND SEVERANCE Shareholder Against No No
PAYMENTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 800,000 800,000 04/26/2004
- ------------------------------------------------------------------------------------------------------------------------------------
SBC COMMUNICATIONS INC. SBC Annual Meeting Date: 04/30/2004
Issuer: 78387G ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management Unvoted No
02 APPOINTMENT OF INDEPENDENT AUDITORS. Management Unvoted No
03 APPROVE AN AMENDMENT TO SBC S BYLAWS. Management Unvoted No
04 STOCKHOLDER PROPOSAL A. Shareholder Unvoted No
05 STOCKHOLDER PROPOSAL B. Shareholder Unvoted No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 1,290 0
- ------------------------------------------------------------------------------------------------------------------------------------
GENERAL DYNAMICS CORPORATION GD Annual Meeting Date: 05/05/2004
Issuer: 369550 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE EQUITY COMPENSATION PLAN. Management Against Yes No
03 SHAREHOLDER PROPOSAL WITH REGARD TO POISON PILLS. Shareholder Against No No
04 SHAREHOLDER PROPOSAL WITH REGARD TO FOREIGN MILITARY Shareholder Against No No
SALES.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 178,500 178,500 05/04/2004
- ------------------------------------------------------------------------------------------------------------------------------------
PEPSICO, INC. PEP Annual Meeting Date: 05/05/2004
Issuer: 713448 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AUDITORS Management For No No
03 APPROVAL OF THE 2004 EXECUTIVE INCENTIVE COMPENSATION Management For No No
PLAN
04 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.22) Shareholder Against No No
05 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.23) Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 570,000 570,000 04/29/2004
- ------------------------------------------------------------------------------------------------------------------------------------
APACHE CORPORATION APA Annual Meeting Date: 05/06/2004
Issuer: 037411 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE STOCKHOLDER PROPOSAL RELATING TO CLIMATE Shareholder Against No No
CHANGE.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 416,000 416,000 04/30/2004
- ------------------------------------------------------------------------------------------------------------------------------------
WILD OATS MARKETS, INC. OATS Annual Meeting Date: 05/06/2004
Issuer: 96808B ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE SELECTION OF ERNST & YOUNG, Management For No No
LLP AS INDEPENDENT AUDITORS FOR THE COMPANY FOR
ITS FISCAL YEAR ENDING JANUARY 1, 2005.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 107 40,000 40,000 05/05/2004
- ------------------------------------------------------------------------------------------------------------------------------------
RARE HOSPITALITY INTERNATIONAL, INC. RARE Annual Meeting Date: 05/10/2004
Issuer: 753820 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO APPROVE AMENDMENTS TO THE RARE HOSPITALITY Management Against Yes No
INTERNATIONAL, INC. AMENDED AND RESTATED 2002
LONG-TERM INCENTIVE PLAN.
03 TO RATIFY THE SELECTION OF KPMG LLP TO SERVE Management For No No
AS THE INDEPENDENT AUDITORS OF THE COMPANY FOR
THE FISCAL YEAR ENDING DECEMBER 27, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 109 62,800 62,800 05/06/2004
- ------------------------------------------------------------------------------------------------------------------------------------
3M COMPANY MMM Annual Meeting Date: 05/11/2004
Issuer: 88579Y ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF INDEPENDENT AUDITORS Management For No No
03 APPROVAL OF AN AMENDMENT TO THE CERTIFICATE OF Shareholder For No No
INCORPORATION TO INCREASE THE AUTHORIZED COMMON
STOCK
04 STOCKHOLDER PROPOSAL RELATING TO SEPARATION OF Shareholder Against No No
THE ROLES OF CEO AND CHAIRMAN OF THE BOARD
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 101 215,000 215,000 05/06/2004
- ------------------------------------------------------------------------------------------------------------------------------------
TAIWAN SEMICONDUCTOR MFG. CO. LTD. TSM Annual Meeting Date: 05/11/2004
Issuer: 874039 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
05 TO ACCEPT 2003 BUSINESS REPORT AND FINANCIAL STATEMENTS. Management For No No
06 TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2003 Management For No No
PROFITS.
07 TO APPROVE THE CAPITALIZATION OF 2003 DIVIDENDS Management For No No
AND EMPLOYEE PROFIT SHARING.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 100 2,330,400 2,330,400 05/10/2004
- ------------------------------------------------------------------------------------------------------------------------------------
MURPHY OIL CORPORATION MUR Annual Meeting Date: 05/12/2004
Issuer: 626717 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVE THE APPOINTMENT OF KPMG LLP AS INDEPENDENT Management For No No
AUDITORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 102 490,000 490,000 05/10/2004
- ------------------------------------------------------------------------------------------------------------------------------------
ST. JUDE MEDICAL, INC. STJ Annual Meeting Date: 05/12/2004
Issuer: 790849 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For No No
YOUNG LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR 2004.
03 PROPOSAL TO APPROVE THE COMPANY S MANAGEMENT Management For No No
INCENTIVE COMPENSATION PLAN.
04 PROPOSAL TO INCREASE THE COMPANY S AUTHORIZED Shareholder For No No
SHARES OF COMMON STOCK TO 500 MILLION SHARES.
05 SHAREHOLDER PROPOSAL TO ADOPT THE COMMONSENSE Shareholder Against No No
EXECUTIVE COMPENSATION PROPOSAL.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 170,000 170,000 05/10/2004
- ------------------------------------------------------------------------------------------------------------------------------------
AMGEN INC. AMGN Annual Meeting Date: 05/13/2004
Issuer: 031162 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For No No
AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE
YEAR ENDING DECEMBER 31, 2004.
3A STOCKHOLDER PROPOSAL #1 (EEO-1 REPORT). Shareholder Against No No
3B STOCKHOLDER PROPOSAL #2 (STOCK OPTION EXPENSING). Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 100 993,000 993,000 05/11/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE CHARLES SCHWAB CORPORATION SCH Annual Meeting Date: 05/17/2004
Issuer: 808513 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE 2004 STOCK INCENTIVE PLAN. Management Against Yes No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 1,220,000 1,220,000 05/14/2004
- ------------------------------------------------------------------------------------------------------------------------------------
GUIDANT CORPORATION GDT Annual Meeting Date: 05/18/2004
Issuer: 401698 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For No No
LLP AS INDEPENDENT AUDITORS FOR 2004.
03 PROPOSAL BY SHAREHOLDER THAT THE BOARD ADOPT Shareholder Against No No
A POLICY OF EXPENSING IN THE COMPANY S ANNUAL
INCOME STATEMENT THE COST OF ALL FUTURE STOCK
OPTIONS ISSUED BY THE COMPANY.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 175,000 175,000 05/13/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE CHEESECAKE FACTORY INCORPORATED CAKE Annual Meeting Date: 05/18/2004
Issuer: 163072 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE COMPANY S AMENDED AND RESTATED Management Against Yes No
YEAR 2000 OMNIBUS PERFORMANCE STOCK INCENTIVE
PLAN.
03 APPROVAL OF THE COMPANY S AMENDED AND RESTATED Management Against Yes No
2001 OMNIBUS STOCK INCENTIVE PLAN.
04 APPROVAL OF AN AMENDMENT TO THE COMPANY S 1997 Management Against Yes No
NON-EMPLOYEE DIRECTOR STOCK OPTION PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 101 260,000 260,000 05/14/2004
- ------------------------------------------------------------------------------------------------------------------------------------
AMERICAN INTERNATIONAL GROUP, INC. AIG Annual Meeting Date: 05/19/2004
Issuer: 026874 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 ADOPT CHIEF EXECUTIVE OFFICER ANNUAL COMPENSATION Management For No No
PLAN
03 ADOPT A DIRECTOR STOCK PLAN Management For No No
04 RATIFICATION OF INDEPENDENT ACCOUNTANTS Management For No No
05 SHAREHOLDER PROPOSAL I DESCRIBED IN THE PROXY Shareholder Against No No
STATEMENT
06 SHAREHOLDER PROPOSAL II DESCRIBED IN THE PROXY Shareholder Against No No
STATEMENT
07 SHAREHOLDER PROPOSAL III DESCRIBED IN THE PROXY Shareholder Against No No
STATEMENT
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 107 475,000 475,000 05/14/2004
- ------------------------------------------------------------------------------------------------------------------------------------
INTEL CORPORATION INTC Annual Meeting Date: 05/19/2004
Issuer: 458140 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS Management For No No
03 APPROVAL OF THE 2004 EQUITY INCENTIVE PLAN Management For No No
04 STOCKHOLDER PROPOSAL REQUESTING THE EXPENSING Shareholder Against No No
OF STOCK OPTIONS
05 STOCKHOLDER PROPOSAL REQUESTING THE USE OF Shareholder Against No No
PERFORMANCE-VESTING STOCK
06 STOCKHOLDER PROPOSAL REQUESTING THE USE OF Shareholder Against No No
PERFORMANCE-BASED STOCK OPTIONS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 100 1,345,000 1,345,000 05/14/2004
- ------------------------------------------------------------------------------------------------------------------------------------
TARGET CORPORATION TGT Annual Meeting Date: 05/19/2004
Issuer: 87612E ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For No No
AUDITORS.
03 APPROVAL OF THE TARGET CORPORATION LONG-TERM Management For No No
INCENTIVE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 106 330,000 330,000 05/14/2004
- ------------------------------------------------------------------------------------------------------------------------------------
MARSH & MCLENNAN COMPANIES, INC. MMC Annual Meeting Date: 05/20/2004
Issuer: 571748 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No
AUDITORS FOR 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 102 367,000 367,000 05/18/2004
- ------------------------------------------------------------------------------------------------------------------------------------
TIFFANY & CO. TIF Annual Meeting Date: 05/20/2004
Issuer: 886547 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT AUDITORS OF THE COMPANY S
FISCAL 2004 FINANCIAL STATEMENTS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 953,400 953,400 05/18/2004
- ------------------------------------------------------------------------------------------------------------------------------------
TIME WARNER INC. Annual Meeting Date: 05/21/2004
Issuer: 887317 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF AUDITORS. Management For No No
03 STOCKHOLDER PROPOSAL REGARDING CHINA BUSINESS Shareholder Against No No
PRINCIPLES.
04 STOCKHOLDER PROPOSAL REGARDING REPORT ON PAY DISPARITY. Shareholder Against No No
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 105 3,835,000 3,835,000 05/19/2004
- ------------------------------------------------------------------------------------------------------------------------------------
NEXTEL COMMUNICATIONS, INC. NXTL Annual Meeting Date: 05/27/2004
Issuer: 65332V ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For No No
TOUCHE LLP AS THE COMPANY S INDEPENDENT AUDITORS
FOR 2004.
03 APPROVAL OF THE NEXTEL COMMUNICATIONS, INC. AMENDED Management For No No
AND RESTATED ASSOCIATE STOCK PURCHASE PLAN.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 1,030,000 1,030,000 05/21/2004
- ------------------------------------------------------------------------------------------------------------------------------------
PANERA BREAD COMPANY PNRA Annual Meeting Date: 05/27/2004
Issuer: 69840W ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS INDEPENDENT PUBLIC ACCOUNTANTS FOR THE
COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 25, 2004.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 108 50,000 50,000 05/21/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE HOME DEPOT, INC. HD Annual Meeting Date: 05/27/2004
Issuer: 437076 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 COMPANY PROPOSAL TO RATIFY THE APPOINTMENT OF Management For No No
KPMG LLP AS INDEPENDENT AUDITORS OF THE COMPANY
FOR FISCAL 2004.
03 STOCKHOLDER PROPOSAL REGARDING OUTSIDE DIRECTOR Shareholder Against No No
TERM LIMITS.
04 STOCKHOLDER PROPOSAL REGARDING POISON PILL IMPLEMENTATION. Shareholder For Yes No
05 STOCKHOLDER PROPOSAL REGARDING PERFORMANCE GOALS Shareholder Against No No
AS A PREREQUISITE TO VESTING.
06 STOCKHOLDER PROPOSAL REGARDING IMPLEMENTATION Shareholder Against No No
OF ILO HUMAN RIGHTS STANDARDS.
07 STOCKHOLDER PROPOSAL REGARDING FUTURE SEVERANCE Shareholder Against No No
AGREEMENTS.
08 STOCKHOLDER PROPOSAL REGARDING METHOD OF VOTING Shareholder Against No No
FOR DIRECTORS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 102 721,577 721,577 05/21/2004
- ------------------------------------------------------------------------------------------------------------------------------------
THE DIRECTV GROUP, INC. Annual Meeting Date: 06/02/2004
Issuer: 25459L ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE 2004 STOCK PLAN Management For No No
03 APPROVAL OF THE EXECUTIVE OFFICER CASH BONUS Management For No No
PLAN
04 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For No No
PUBLIC ACCOUNTANTS
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 106 773,823 773,823 05/24/2004
- ------------------------------------------------------------------------------------------------------------------------------------
WAL-MART STORES, INC. WMT Annual Meeting Date: 06/04/2004
Issuer: 931142 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF THE ASDA COLLEAGUE SHARE OWNERSHIP Management For No No
PLAN 1999
03 APPROVAL OF THE ASDA SHARESAVE PLAN 2000 Management For No No
04 APPROVAL OF THE WAL-MART STORES, INC. 2004 ASSOCIATE Management For No No
STOCK PURCHASE PLAN
05 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For No No
ACCOUNTANTS
06 A SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT Shareholder Against No No
CHAIRMAN
07 A SHAREHOLDER PROPOSAL REGARDING A SUSTAINABILITY Shareholder Against No No
REPORT
08 A SHAREHOLDER PROPOSAL REGARDING EQUITY COMPENSATION Shareholder Against No No
09 A SHAREHOLDER PROPOSAL REGARDING GENETICALLY Shareholder Against No No
ENGINEERED FOOD PRODUCTS
10 A SHAREHOLDER PROPOSAL REGARDING AN EQUAL EMPLOYMENT Shareholder Against No No
OPPORTUNITY REPORT
11 A SHAREHOLDER PROPOSAL REGARDING SHAREHOLDER Shareholder Against No No
APPROVAL OF PARTICIPATION IN THE OFFICER DEFERRED
COMPENSATION PLAN
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 300,000 300,000 05/25/2004
- ------------------------------------------------------------------------------------------------------------------------------------
EBAY INC. EBAY Annual Meeting Date: 06/24/2004
Issuer: 278642 ISIN:
SEDOL:
- ------------------------------------------------------------------------------------------------------------------------------------
Vote Group: GLOBAL
Proposal Proposal Vote Against Contrary to
Number Proposal Type Cast Mgmt. Policy
- ------------------------------------------------------------------------------------------------------------------------------------
01 DIRECTOR Management For No No
02 APPROVAL OF AMENDMENTS TO OUR 1999 GLOBAL EQUITY Management Against Yes No
INCENTIVE PLAN, INCLUDING AN AMENDMENT TO INCREASE
BY 6,000,000 THE NUMBER OF SHARES OF COMMON STOCK
THAT MAY BE ISSUED UNDER OUR 1999 PLAN.
03 APPROVAL OF AN AMENDMENT TO OUR 2001 EQUITY INCENTIVE Management Against Yes No
PLAN TO INCREASE BY 18,000,000 THE NUMBER OF
SHARES OF COMMON STOCK THAT MAY BE ISSUED UNDER
OUR 2001 PLAN.
04 APPROVAL OF AN AMENDMENT TO OUR CERTIFICATE OF Shareholder For No No
INCORPORATION TO INCREASE THE AUTHORIZED NUMBER OF
SHARES OF COMMON STOCK FROM 900,000,000 TO
1,790,000,000 SHARES.
05 RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS Management For No No
LLP AS OUR INDEPENDENT AUDITORS FOR OUR FISCAL
YEAR ENDING DECEMBER 31, 2004.
06 STOCKHOLDER PROPOSAL REQUESTING THE EXPENSING Shareholder For Yes No
OF STOCK OPTIONS.
Custodian Stock Ballot Voted Vote
Account Name Account Class Shares Shares Date
--------------------------------------------------------------------------------------------------------------------------
GABELLI GROWTH FUND 997G002 103 115,000 115,000 06/18/2004
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.
Registrant The Gabelli Growth Fund
---------------------------------------------------------------------
By (Signature and Title)* /s/ Bruce N. Alpert
-------------------------------------------------------
Bruce N. Alpert, Principal Executive Officer
(Principal Executive Officer)
Date August 18, 2004
---------------------------------------------------------------------------
*Print the name and title of each signing officer under his or her signature.