UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT
COMPANY
INVESTMENT COMPANY ACT FILE NUMBER: 811-21934
NAME OF REGISTRANT: RiverNorth Funds
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 325 N Lasalle St.
Suite 645
Chicago, IL 60654
NAME AND ADDRESS OF AGENT FOR SERVICE: Marc L. Collins
325 North LaSalle Street,
Suite 645
Chicago, IL 60654
REGISTRANT'S TELEPHONE NUMBER: 312 832 1440
DATE OF FISCAL YEAR END: 09/30
DATE OF REPORTING PERIOD: 07/01/2012 - 06/30/2013
RiverNorth Buy/Write Fund
--------------------------------------------------------------------------------------------------------------------------
ABBOTT LABORATORIES Agenda Number: 933743672
--------------------------------------------------------------------------------------------------------------------------
Security: 002824100
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ABT
ISIN: US0028241000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
R.J. ALPERN Mgmt For For
R.S. AUSTIN Mgmt For For
S.E. BLOUNT Mgmt For For
W.J. FARRELL Mgmt For For
E.M. LIDDY Mgmt For For
N. MCKINSTRY Mgmt For For
P.N. NOVAKOVIC Mgmt For For
W.A. OSBORN Mgmt For For
S.C. SCOTT III Mgmt For For
G.F. TILTON Mgmt For For
M.D. WHITE Mgmt For For
2. RATIFICATION OF DELOITTE & TOUCHE LLP AS Mgmt For For
AUDITORS
3. SAY ON PAY - AN ADVISORY VOTE TO APPROVE Mgmt For For
EXECUTIVE COMPENSATION
4. SHAREHOLDER PROPOSAL - GENETICALLY MODIFIED Shr Against For
INGREDIENTS
5. SHAREHOLDER PROPOSAL - LOBBYING DISCLOSURE Shr Against For
6. SHAREHOLDER PROPOSAL - INDEPENDENT BOARD Shr Against For
CHAIR
7. SHAREHOLDER PROPOSAL - EQUITY RETENTION AND Shr Against For
HEDGING
8. SHAREHOLDER PROPOSAL - INCENTIVE Shr Against For
COMPENSATION
9. SHAREHOLDER PROPOSAL - ACCELERATED VESTING Shr Against For
OF AWARDS UPON CHANGE IN CONTROL
--------------------------------------------------------------------------------------------------------------------------
ABBVIE INC. Agenda Number: 933751869
--------------------------------------------------------------------------------------------------------------------------
Security: 00287Y109
Meeting Type: Annual
Meeting Date: 06-May-2013
Ticker: ABBV
ISIN: US00287Y1091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H.L. BURNSIDE Mgmt No vote
EDWARD J. RAPP Mgmt No vote
ROY S. ROBERTS Mgmt No vote
2. RATIFICATION OF ERNST & YOUNG LLP AS Mgmt No vote
AUDITORS OF ABBVIE FOR 2013.
3. SAY ON PAY - AN ADVISORY VOTE ON THE Mgmt No vote
APPROVAL OF EXECUTIVE COMPENSATION.
4. SAY WHEN ON PAY - AN ADVISORY VOTE ON THE Mgmt No vote
FREQUENCY OF THE ADVISORY STOCKHOLDER VOTE
TO APPROVE EXECUTIVE COMPENSATION.
5. APPROVAL OF THE ABBVIE 2013 INCENTIVE STOCK Mgmt No vote
PROGRAM.
--------------------------------------------------------------------------------------------------------------------------
ALEXION PHARMACEUTICALS, INC. Agenda Number: 933795051
--------------------------------------------------------------------------------------------------------------------------
Security: 015351109
Meeting Type: Annual
Meeting Date: 06-May-2013
Ticker: ALXN
ISIN: US0153511094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LEONARD BELL Mgmt For For
MAX LINK Mgmt For For
WILLIAM R. KELLER Mgmt For For
JOSEPH A. MADRI Mgmt For For
LARRY L. MATHIS Mgmt For For
R. DOUGLAS NORBY Mgmt For For
ALVIN S. PARVEN Mgmt For For
ANDREAS RUMMELT Mgmt For For
ANN M. VENEMAN Mgmt For For
2. APPROVAL OF A NON-BINDING ADVISORY VOTE OF Mgmt For For
THE 2012 COMPENSATION PAID TO ALEXION'S
NAMED EXECUTIVE OFFICERS.
3. APPROVAL OF THE AMENDED AND RESTATED 2004 Mgmt For For
INCENTIVE PLAN, AS DESCRIBED IN THE
ACCOMPANYING PROXY STATEMENT, INCLUDING TO
INCREASE THE NUMBER OF SHARES OF COMMON
STOCK AVAILABLE FOR ISSUANCE BY 12 MILLION
SHARES (SUBJECT TO ADJUSTMENT IN THE EVENT
OF STOCK SPLITS AND OTHER SIMILAR EVENTS).
4. RATIFICATION OF APPOINTMENT BY THE BOARD OF Mgmt For For
DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS
ALEXION'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
--------------------------------------------------------------------------------------------------------------------------
AMGEN INC. Agenda Number: 933774968
--------------------------------------------------------------------------------------------------------------------------
Security: 031162100
Meeting Type: Annual
Meeting Date: 22-May-2013
Ticker: AMGN
ISIN: US0311621009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DR. DAVID BALTIMORE Mgmt For For
1B. ELECTION OF DIRECTOR: MR. FRANK J. BIONDI, Mgmt For For
JR.
1C. ELECTION OF DIRECTOR: MR. ROBERT A. BRADWAY Mgmt For For
1D. ELECTION OF DIRECTOR: MR. FRANCOIS DE Mgmt For For
CARBONNEL
1E. ELECTION OF DIRECTOR: DR. VANCE D. COFFMAN Mgmt For For
1F. ELECTION OF DIRECTOR: MR. ROBERT A. ECKERT Mgmt For For
1G. ELECTION OF DIRECTOR: DR. REBECCA M. Mgmt For For
HENDERSON
1H. ELECTION OF DIRECTOR: MR. FRANK C. Mgmt For For
HERRINGER
1I. ELECTION OF DIRECTOR: DR. TYLER JACKS Mgmt For For
1J. ELECTION OF DIRECTOR: DR. GILBERT S. OMENN Mgmt For For
1K. ELECTION OF DIRECTOR: MS. JUDITH C. PELHAM Mgmt For For
1L. ELECTION OF DIRECTOR: MR. LEONARD D. Mgmt For For
SCHAEFFER
1M. ELECTION OF DIRECTOR: DR. RONALD D. SUGAR Mgmt For For
2. TO RATIFY THE SELECTION OF ERNST & YOUNG Mgmt For For
LLP AS OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTANTS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013.
3. ADVISORY VOTE TO APPROVE OUR EXECUTIVE Mgmt For For
COMPENSATION.
4. APPROVAL OF OUR PROPOSED AMENDED AND Mgmt For For
RESTATED 2009 EQUITY INCENTIVE PLAN.
--------------------------------------------------------------------------------------------------------------------------
APACHE CORPORATION Agenda Number: 933774944
--------------------------------------------------------------------------------------------------------------------------
Security: 037411105
Meeting Type: Annual
Meeting Date: 16-May-2013
Ticker: APA
ISIN: US0374111054
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. ELECTION OF DIRECTOR: EUGENE C. FIEDOREK Mgmt For For
2. ELECTION OF DIRECTOR: CHANSOO JOUNG Mgmt For For
3. ELECTION OF DIRECTOR: WILLIAM C. MONTGOMERY Mgmt For For
4. RATIFICATION OF ERNST & YOUNG LLP AS Mgmt For For
APACHE'S INDEPENDENT AUDITORS
5. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt For For
OF APACHE'S NAMED EXECUTIVE OFFICERS
6. APPROVAL OF AMENDMENT TO APACHE'S 2011 Mgmt For For
OMNIBUS EQUITY COMPENSATION PLAN TO
INCREASE THE NUMBER OF SHARES ISSUABLE
UNDER THE PLAN
7. APPROVAL OF AMENDMENT TO APACHE'S RESTATED Mgmt For For
CERTIFICATE OF INCORPORATION TO ELIMINATE
APACHE'S CLASSIFIED BOARD OF DIRECTORS
--------------------------------------------------------------------------------------------------------------------------
APPLE INC. Agenda Number: 933725042
--------------------------------------------------------------------------------------------------------------------------
Security: 037833100
Meeting Type: Annual
Meeting Date: 27-Feb-2013
Ticker: AAPL
ISIN: US0378331005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM CAMPBELL Mgmt For For
TIMOTHY COOK Mgmt For For
MILLARD DREXLER Mgmt For For
AL GORE Mgmt For For
ROBERT IGER Mgmt For For
ANDREA JUNG Mgmt For For
ARTHUR LEVINSON Mgmt For For
RONALD SUGAR Mgmt For For
2. AMENDMENT OF APPLE'S RESTATED ARTICLES OF Mgmt For For
INCORPORATION TO (I) ELIMINATE CERTAIN
LANGUAGE RELATING TO TERM OF OFFICE OF
DIRECTORS IN ORDER TO FACILITATE THE
ADOPTION OF MAJORITY VOTING FOR ELECTION OF
DIRECTORS, (II) ELIMINATE "BLANK CHECK"
PREFERRED STOCK, (III) ESTABLISH A PAR
VALUE FOR COMPANY'S COMMON STOCK OF
$0.00001 PER SHARE AND (IV) MAKE OTHER
CHANGES.
3. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.
4. A NON-BINDING ADVISORY RESOLUTION TO Mgmt For For
APPROVE EXECUTIVE COMPENSATION.
5. A SHAREHOLDER PROPOSAL ENTITLED "EXECUTIVES Shr Against For
TO RETAIN SIGNIFICANT STOCK."
6. A SHAREHOLDER PROPOSAL ENTITLED "BOARD Shr Against For
COMMITTEE ON HUMAN RIGHTS."
--------------------------------------------------------------------------------------------------------------------------
ARCH COAL, INC. Agenda Number: 933743622
--------------------------------------------------------------------------------------------------------------------------
Security: 039380100
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: ACI
ISIN: US0393801008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: PAUL T. HANRAHAN Mgmt For For
1B. ELECTION OF DIRECTOR: STEVEN F. LEER Mgmt For For
1C. ELECTION OF DIRECTOR: THEODORE D. SANDS Mgmt For For
2. APPROVAL OF THE ARCH COAL, INC. OMNIBUS Mgmt For For
INCENTIVE PLAN (FORMERLY KNOWN AS THE ARCH
COAL, INC. 1997 STOCK INCENTIVE PLAN).
3. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG, LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013.
4. ADVISORY APPROVAL OF THE COMPANY'S NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
AT&T INC. Agenda Number: 933744016
--------------------------------------------------------------------------------------------------------------------------
Security: 00206R102
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: T
ISIN: US00206R1023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: RANDALL L. STEPHENSON Mgmt For For
1B. ELECTION OF DIRECTOR: GILBERT F. AMELIO Mgmt For For
1C. ELECTION OF DIRECTOR: REUBEN V. ANDERSON Mgmt For For
1D. ELECTION OF DIRECTOR: JAMES H. BLANCHARD Mgmt For For
1E. ELECTION OF DIRECTOR: JAIME CHICO PARDO Mgmt For For
1F. ELECTION OF DIRECTOR: SCOTT T. FORD Mgmt For For
1G. ELECTION OF DIRECTOR: JAMES P. KELLY Mgmt For For
1H. ELECTION OF DIRECTOR: JON C. MADONNA Mgmt For For
1I. ELECTION OF DIRECTOR: MICHAEL B. Mgmt For For
MCCALLISTER
1J. ELECTION OF DIRECTOR: JOHN B. MCCOY Mgmt For For
1K. ELECTION OF DIRECTOR: JOYCE M. ROCHE Mgmt For For
1L. ELECTION OF DIRECTOR: MATTHEW K. ROSE Mgmt For For
1M. ELECTION OF DIRECTOR: LAURA D'ANDREA TYSON Mgmt For For
2. RATIFICATION OF APPOINTMENT OF INDEPENDENT Mgmt For For
AUDITORS.
3. ADVISORY APPROVAL OF EXECUTIVE Mgmt For For
COMPENSATION.
4. APPROVE STOCK PURCHASE AND DEFERRAL PLAN. Mgmt For For
5. POLITICAL CONTRIBUTIONS REPORT. Shr Against For
6. LEAD BATTERIES REPORT. Shr Against For
7. COMPENSATION PACKAGES. Shr Against For
8. INDEPENDENT BOARD CHAIRMAN. Shr Against For
--------------------------------------------------------------------------------------------------------------------------
BILL BARRETT CORPORATION Agenda Number: 933760818
--------------------------------------------------------------------------------------------------------------------------
Security: 06846N104
Meeting Type: Annual
Meeting Date: 10-May-2013
Ticker: BBG
ISIN: US06846N1046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CARIN M. BARTH Mgmt For For
KEVIN O. MEYERS Mgmt For For
EDMUND P. SEGNER, III Mgmt For For
2. PROPOSAL TO APPROVE AN ADVISORY RESOLUTION Mgmt For For
REGARDING EXECUTIVE COMPENSATION
("SAY-ON-PAY").
3. PROPOSAL TO RATIFY THE APPOINTMENT OF Mgmt For For
DELOITTE & TOUCHE LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.
--------------------------------------------------------------------------------------------------------------------------
BP P.L.C. Agenda Number: 933773954
--------------------------------------------------------------------------------------------------------------------------
Security: 055622104
Meeting Type: Annual
Meeting Date: 11-Apr-2013
Ticker: BP
ISIN: US0556221044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO RECEIVE THE DIRECTORS' ANNUAL REPORT AND Mgmt For For
ACCOUNTS.
2. TO APPROVE THE DIRECTORS' REMUNERATION Mgmt For For
REPORT.
3. TO RE-ELECT MR. R W DUDLEY AS A DIRECTOR. Mgmt For For
4. TO RE-ELECT MR. I C CONN AS A DIRECTOR. Mgmt For For
5. TO RE-ELECT DR. B GILVARY AS A DIRECTOR. Mgmt For For
6. TO RE-ELECT MR. P M ANDERSON AS A DIRECTOR. Mgmt For For
7. TO RE-ELECT ADMIRAL F L BOWMAN AS A Mgmt For For
DIRECTOR.
8. TO RE-ELECT MR. A BURGMANS AS A DIRECTOR. Mgmt For For
9. TO RE-ELECT MRS. C B CARROLL AS A DIRECTOR. Mgmt For For
10. TO RE-ELECT MR. G DAVID AS A DIRECTOR. Mgmt For For
11. TO RE-ELECT MR. I E L DAVIS AS A DIRECTOR. Mgmt For For
12. TO RE-ELECT PROFESSOR DAME ANN DOWLING AS A Mgmt For For
DIRECTOR.
13. TO RE-ELECT MR. B R NELSON AS A DIRECTOR. Mgmt For For
14. TO RE-ELECT MR. F P NHLEKO AS A DIRECTOR. Mgmt For For
15. TO RE-ELECT MR. A B SHILSTON AS A DIRECTOR. Mgmt For For
16. TO RE-ELECT MR. C-H SVANBERG AS A DIRECTOR. Mgmt For For
17. TO REAPPOINT ERNST & YOUNG LLP AS AUDITORS Mgmt For For
AND AUTHORIZE THE BOARD TO FIX THEIR
REMUNERATION.
S18 SPECIAL RESOLUTION: TO GIVE LIMITED Mgmt For For
AUTHORITY FOR THE PURCHASE OF ITS OWN
SHARES BY THE COMPANY.
19. TO GIVE LIMITED AUTHORITY TO ALLOT SHARES Mgmt For For
UP TO A SPECIFIED AMOUNT.
S20 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO Mgmt For For
ALLOT A LIMITED NUMBER OF SHARES FOR CASH
FREE OF PRE-EMPTION RIGHTS.
S21 SPECIAL RESOLUTION: TO AUTHORIZE THE Mgmt For For
CALLING OF GENERAL MEETINGS (EXCLUDING
ANNUAL GENERAL MEETINGS) BY NOTICE OF AT
LEAST 14 CLEAR DAYS.
--------------------------------------------------------------------------------------------------------------------------
CENTURYLINK, INC. Agenda Number: 933785757
--------------------------------------------------------------------------------------------------------------------------
Security: 156700106
Meeting Type: Annual
Meeting Date: 22-May-2013
Ticker: CTL
ISIN: US1567001060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
W. BRUCE HANKS Mgmt For For
C. G. MELVILLE, JR. Mgmt For For
FRED R. NICHOLS Mgmt For For
WILLIAM A. OWENS Mgmt For For
HARVEY P. PERRY Mgmt For For
GLEN F. POST, III Mgmt For For
LAURIE A. SIEGEL Mgmt For For
JOSEPH R. ZIMMEL Mgmt For For
2 RATIFY THE APPOINTMENT OF KPMG LLP AS OUR Mgmt For For
INDEPENDENT AUDITOR FOR 2013.
3 ADVISORY VOTE REGARDING OUR EXECUTIVE Mgmt For For
COMPENSATION.
4A SHAREHOLDER PROPOSAL REGARDING EQUITY Shr Against For
COMPENSATION.
4B SHAREHOLDER PROPOSAL REGARDING BONUS Shr Against For
DEFERRALS.
4C SHAREHOLDER PROPOSAL REGARDING PROXY Shr Against For
ACCESS.
4D SHAREHOLDER PROPOSAL REGARDING CONFIDENTIAL Shr Against For
VOTING.
--------------------------------------------------------------------------------------------------------------------------
CHEVRON CORPORATION Agenda Number: 933786874
--------------------------------------------------------------------------------------------------------------------------
Security: 166764100
Meeting Type: Annual
Meeting Date: 29-May-2013
Ticker: CVX
ISIN: US1667641005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: L.F. DEILY Mgmt For For
1B. ELECTION OF DIRECTOR: R.E. DENHAM Mgmt For For
1C. ELECTION OF DIRECTOR: A.P. GAST Mgmt For For
1D. ELECTION OF DIRECTOR: E. HERNANDEZ Mgmt For For
1E. ELECTION OF DIRECTOR: G.L. KIRKLAND Mgmt For For
1F. ELECTION OF DIRECTOR: C.W. MOORMAN Mgmt For For
1G. ELECTION OF DIRECTOR: K.W. SHARER Mgmt For For
1H. ELECTION OF DIRECTOR: J.G. STUMPF Mgmt For For
1I. ELECTION OF DIRECTOR: R.D. SUGAR Mgmt For For
1J. ELECTION OF DIRECTOR: C. WARE Mgmt For For
1K. ELECTION OF DIRECTOR: J.S. WATSON Mgmt For For
2. RATIFICATION OF APPOINTMENT OF INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
4. APPROVAL OF AMENDMENTS TO LONG-TERM Mgmt For For
INCENTIVE PLAN
5. SHALE ENERGY OPERATIONS Shr Against For
6. OFFSHORE OIL WELLS Shr Against For
7. CLIMATE RISK Shr Against For
8. LOBBYING DISCLOSURE Shr Against For
9. CESSATION OF USE OF CORPORATE FUNDS FOR Shr Against For
POLITICAL PURPOSES
10. CUMULATIVE VOTING Shr Against For
11. SPECIAL MEETINGS Shr Against For
12. INDEPENDENT DIRECTOR WITH ENVIRONMENTAL Shr Against For
EXPERTISE
13. COUNTRY SELECTION GUIDELINES Shr Against For
--------------------------------------------------------------------------------------------------------------------------
CLIFFS NATURAL RESOURCES INC. Agenda Number: 933764664
--------------------------------------------------------------------------------------------------------------------------
Security: 18683K101
Meeting Type: Annual
Meeting Date: 07-May-2013
Ticker: CLF
ISIN: US18683K1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: J.A. CARRABBA Mgmt For For
1B. ELECTION OF DIRECTOR: S.M. CUNNINGHAM Mgmt For For
1C. ELECTION OF DIRECTOR: B.J. ELDRIDGE Mgmt For For
1D. ELECTION OF DIRECTOR: A.R. GLUSKI Mgmt For For
1E. ELECTION OF DIRECTOR: S.M. GREEN Mgmt For For
1F. ELECTION OF DIRECTOR: J.K. HENRY Mgmt For For
1G. ELECTION OF DIRECTOR: J.F. KIRSCH Mgmt For For
1H. ELECTION OF DIRECTOR: F.R. MCALLISTER Mgmt For For
1I. ELECTION OF DIRECTOR: R.K. RIEDERER Mgmt For For
1J. ELECTION OF DIRECTOR: T.W. SULLIVAN Mgmt For For
2. APPROVAL OF AN AMENDMENT TO OUR SECOND Mgmt For For
AMENDED ARTICLES OF INCORPORATION TO ADOPT
MAJORITY VOTING IN UNCONTESTED DIRECTOR
ELECTIONS (IMPLEMENTATION OF THIS PROPOSAL
2 IS CONDITIONED UPON THE APPROVAL OF
PROPOSALS 3 AND 4)
3. APPROVAL OF AN AMENDMENT TO OUR SECOND Mgmt For For
AMENDED ARTICLES OF INCORPORATION TO
ELIMINATE CUMULATIVE VOTING IN DIRECTOR
ELECTIONS (IMPLEMENTATION OF THIS PROPOSAL
3 IS CONDITIONED UPON THE APPROVAL OF
PROPOSALS 2 AND 4)
4. APPROVAL OF AN AMENDMENT TO OUR REGULATIONS Mgmt For For
TO ADD A PROVISION TO ALLOW THE BOARD TO
AMEND THE REGULATIONS TO THE EXTENT
PERMITTED UNDER OHIO LAW (IMPLEMENTATION OF
THIS PROPOSAL 4 IS CONDITIONED UPON THE
APPROVAL OF PROPOSALS 2 AND 3)
5. APPROVAL, ON AN ADVISORY BASIS, OF OUR Mgmt For For
NAMED EXECUTIVE OFFICER COMPENSATION
6. THE RATIFICATION OF THE APPOINTMENT OF Mgmt For For
DELOITTE & TOUCHE LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF CLIFFS
TO SERVE FOR THE 2013 FISCAL YEAR
--------------------------------------------------------------------------------------------------------------------------
CONOCOPHILLIPS Agenda Number: 933764842
--------------------------------------------------------------------------------------------------------------------------
Security: 20825C104
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: COP
ISIN: US20825C1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: RICHARD L. ARMITAGE Mgmt For For
1B. ELECTION OF DIRECTOR: RICHARD H. AUCHINLECK Mgmt For For
1C. ELECTION OF DIRECTOR: JAMES E. COPELAND, Mgmt For For
JR.
1D. ELECTION OF DIRECTOR: JODY L. FREEMAN Mgmt For For
1E. ELECTION OF DIRECTOR: GAY HUEY EVANS Mgmt For For
1F. ELECTION OF DIRECTOR: RYAN M. LANCE Mgmt For For
1G. ELECTION OF DIRECTOR: MOHD H. MARICAN Mgmt For For
1H. ELECTION OF DIRECTOR: ROBERT A. NIBLOCK Mgmt For For
1I. ELECTION OF DIRECTOR: HARALD J. NORVIK Mgmt For For
1J. ELECTION OF DIRECTOR: WILLIAM E. WADE, JR. Mgmt For For
2. TO RATIFY APPOINTMENT OF ERNST & YOUNG LLP Mgmt For For
AS CONOCOPHILLIPS' INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2013.
3. ADVISORY APPROVAL OF EXECUTIVE Mgmt For For
COMPENSATION.
4. REPORT ON GRASSROOTS LOBBYING EXPENDITURES. Shr Against For
5. GREENHOUSE GAS REDUCTION TARGETS. Shr Against For
6. GENDER IDENTITY NON-DISCRIMINATION. Shr Against For
--------------------------------------------------------------------------------------------------------------------------
CORNING INCORPORATED Agenda Number: 933742911
--------------------------------------------------------------------------------------------------------------------------
Security: 219350105
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: GLW
ISIN: US2193501051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JOHN SEELY BROWN Mgmt For For
1B. ELECTION OF DIRECTOR: STEPHANIE A. BURNS Mgmt For For
1C. ELECTION OF DIRECTOR: JOHN A. CANNING, JR. Mgmt For For
1D. ELECTION OF DIRECTOR: RICHARD T. CLARK Mgmt For For
1E. ELECTION OF DIRECTOR: ROBERT F. CUMMINGS Mgmt For For
1F. ELECTION OF DIRECTOR: JAMES B. FLAWS Mgmt For For
1G. ELECTION OF DIRECTOR: KURT M. LANDGRAF Mgmt For For
1H. ELECTION OF DIRECTOR: KEVIN J. MARTIN Mgmt For For
1I. ELECTION OF DIRECTOR: DEBORAH D. RIEMAN Mgmt For For
1J. ELECTION OF DIRECTOR: HANSEL E. TOOKES II Mgmt For For
1K. ELECTION OF DIRECTOR: WENDELL P. WEEKS Mgmt For For
1L. ELECTION OF DIRECTOR: MARK S. WRIGHTON Mgmt For For
2. ADVISORY VOTE TO APPROVE THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
3. RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS CORNING'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
--------------------------------------------------------------------------------------------------------------------------
E. I. DU PONT DE NEMOURS AND COMPANY Agenda Number: 933745145
--------------------------------------------------------------------------------------------------------------------------
Security: 263534109
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: DD
ISIN: US2635341090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: LAMBERTO ANDREOTTI Mgmt For For
1B. ELECTION OF DIRECTOR: RICHARD H. BROWN Mgmt For For
1C. ELECTION OF DIRECTOR: ROBERT A. BROWN Mgmt For For
1D. ELECTION OF DIRECTOR: BERTRAND P. COLLOMB Mgmt For For
1E. ELECTION OF DIRECTOR: CURTIS J. CRAWFORD Mgmt For For
1F. ELECTION OF DIRECTOR: ALEXANDER M. CUTLER Mgmt For For
1G. ELECTION OF DIRECTOR: ELEUTHERE I. DU PONT Mgmt For For
1H. ELECTION OF DIRECTOR: MARILLYN A. HEWSON Mgmt For For
1I. ELECTION OF DIRECTOR: LOIS D. JULIBER Mgmt For For
1J. ELECTION OF DIRECTOR: ELLEN J. KULLMAN Mgmt For For
1K. ELECTION OF DIRECTOR: LEE M. THOMAS Mgmt For For
2. ON RATIFICATION OF INDEPENDENT REGISTERED Mgmt For For
PUBLIC ACCOUNTING FIRM
3. TO APPROVE, BY ADVISORY VOTE, EXECUTIVE Mgmt For For
COMPENSATION
4. ON INDEPENDENT BOARD CHAIR Shr Against For
5. ON LOBBYING REPORT Shr Against For
6. ON GENETICALLY ENGINEERED SEED Shr Against For
7. ON EXECUTIVE COMPENSATION REPORT Shr Against For
--------------------------------------------------------------------------------------------------------------------------
ENCANA CORPORATION Agenda Number: 933761442
--------------------------------------------------------------------------------------------------------------------------
Security: 292505104
Meeting Type: Annual
Meeting Date: 23-Apr-2013
Ticker: ECA
ISIN: CA2925051047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
PETER A. DEA Mgmt For For
CLAIRE S. FARLEY Mgmt For For
FRED J. FOWLER Mgmt For For
SUZANNE P. NIMOCKS Mgmt For For
DAVID P. O'BRIEN Mgmt For For
JANE L. PEVERETT Mgmt For For
BRIAN G. SHAW Mgmt For For
BRUCE G. WATERMAN Mgmt For For
CLAYTON H. WOITAS Mgmt For For
02 APPOINTMENT OF AUDITOR - Mgmt For For
PRICEWATERHOUSECOOPERS LLP AT A
REMUNERATION TO BE FIXED BY THE BOARD OF
DIRECTORS
03 ADVISORY VOTE APPROVING THE CORPORATION'S Mgmt For For
APPROACH TO EXECUTIVE COMPENSATION
04 RECONFIRMATION OF THE SHAREHOLDER RIGHTS Mgmt For For
PLAN.
--------------------------------------------------------------------------------------------------------------------------
EXELON CORPORATION Agenda Number: 933745195
--------------------------------------------------------------------------------------------------------------------------
Security: 30161N101
Meeting Type: Annual
Meeting Date: 23-Apr-2013
Ticker: EXC
ISIN: US30161N1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: ANTHONY K. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: ANN C. BERZIN Mgmt For For
1C. ELECTION OF DIRECTOR: JOHN A. CANNING, JR. Mgmt For For
1D. ELECTION OF DIRECTOR: CHRISTOPHER M. CRANE Mgmt For For
1E. ELECTION OF DIRECTOR: YVES C. DE BALMANN Mgmt For For
1F. ELECTION OF DIRECTOR: NICHOLAS DEBENEDICTIS Mgmt For For
1G. ELECTION OF DIRECTOR: NELSON A. DIAZ Mgmt For For
1H. ELECTION OF DIRECTOR: SUE L. GIN Mgmt For For
1I. ELECTION OF DIRECTOR: PAUL L. JOSKOW Mgmt For For
1J. ELECTION OF DIRECTOR: ROBERT J. LAWLESS Mgmt For For
1K. ELECTION OF DIRECTOR: RICHARD W. MIES Mgmt For For
1L. ELECTION OF DIRECTOR: WILLIAM C. RICHARDSON Mgmt For For
1M. ELECTION OF DIRECTOR: THOMAS J. RIDGE Mgmt For For
1N. ELECTION OF DIRECTOR: JOHN W. ROGERS, JR. Mgmt For For
1O. ELECTION OF DIRECTOR: MAYO A. SHATTUCK III Mgmt For For
1P. ELECTION OF DIRECTOR: STEPHEN D. STEINOUR Mgmt For For
2. THE RATIFICATION OF PRICEWATERHOUSECOOPERS Mgmt For For
LLP AS EXELON'S INDEPENDENT ACCOUNTANT FOR
2013.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. APPROVE AMENDED & RESTATED EMPLOYEE STOCK Mgmt For For
PURCHASE PLAN.
--------------------------------------------------------------------------------------------------------------------------
FACEBOOK INC. Agenda Number: 933811538
--------------------------------------------------------------------------------------------------------------------------
Security: 30303M102
Meeting Type: Annual
Meeting Date: 11-Jun-2013
Ticker: FB
ISIN: US30303M1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARC L. ANDREESSEN Mgmt For For
ERSKINE B. BOWLES Mgmt For For
S.D. DESMOND-HELLMANN Mgmt For For
DONALD E. GRAHAM Mgmt For For
REED HASTINGS Mgmt For For
SHERYL K. SANDBERG Mgmt For For
PETER A. THIEL Mgmt For For
MARK ZUCKERBERG Mgmt For For
2. TO APPROVE, ON A NON-BINDING ADVISORY Mgmt Abstain Against
BASIS, THE COMPENSATION OF FACEBOOK, INC.'S
NAMED EXECUTIVE OFFICERS.
3. TO VOTE, ON A NON-BINDING ADVISORY BASIS, Mgmt Abstain Against
WHETHER A NON-BINDING ADVISORY VOTE ON THE
COMPENSATION PROGRAM FOR FACEBOOK, INC.'S
NAMED EXECUTIVE OFFICERS SHOULD BE HELD
EVERY ONE, TWO OR THREE YEARS.
4. TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt Abstain Against
LLP AS FACEBOOK, INC.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2013.
--------------------------------------------------------------------------------------------------------------------------
HEWLETT-PACKARD COMPANY Agenda Number: 933731615
--------------------------------------------------------------------------------------------------------------------------
Security: 428236103
Meeting Type: Annual
Meeting Date: 20-Mar-2013
Ticker: HPQ
ISIN: US4282361033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: M.L. ANDREESSEN Mgmt For For
1B. ELECTION OF DIRECTOR: S. BANERJI Mgmt For For
1C. ELECTION OF DIRECTOR: R.L. GUPTA Mgmt For For
1D. ELECTION OF DIRECTOR: J.H. HAMMERGREN Mgmt For For
1E. ELECTION OF DIRECTOR: R.J. LANE Mgmt For For
1F. ELECTION OF DIRECTOR: A.M. LIVERMORE Mgmt For For
1G. ELECTION OF DIRECTOR: G.M. REINER Mgmt For For
1H. ELECTION OF DIRECTOR: P.F. RUSSO Mgmt For For
1I. ELECTION OF DIRECTOR: G.K. THOMPSON Mgmt For For
1J. ELECTION OF DIRECTOR: M.C. WHITMAN Mgmt For For
1K. ELECTION OF DIRECTOR: R.V. WHITWORTH Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF THE Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31,
2013.
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
4. AMEND HP'S AMENDED AND RESTATED BYLAWS TO Mgmt For For
PERMIT STOCKHOLDER PROXY ACCESS.
5. APPROVAL OF THE SECOND AMENDED AND RESTATED Mgmt For For
HEWLETT-PACKARD COMPANY 2004 STOCK
INCENTIVE PLAN.
6. STOCKHOLDER PROPOSAL RELATING TO THE Shr Against For
FORMATION OF A HUMAN RIGHTS COMMITTEE.
7. STOCKHOLDER PROPOSAL ENTITLED "2013 Shr Against For
HEWLETT-PACKARD RESOLUTION ON HUMAN RIGHTS
POLICY."
8. STOCKHOLDER PROPOSAL ENTITLED "EXECUTIVES Shr Against For
TO RETAIN SIGNIFICANT STOCK."
--------------------------------------------------------------------------------------------------------------------------
INTEL CORPORATION Agenda Number: 933758611
--------------------------------------------------------------------------------------------------------------------------
Security: 458140100
Meeting Type: Annual
Meeting Date: 16-May-2013
Ticker: INTC
ISIN: US4581401001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: CHARLENE BARSHEFSKY Mgmt For For
1B. ELECTION OF DIRECTOR: ANDY D. BRYANT Mgmt For For
1C. ELECTION OF DIRECTOR: SUSAN L. DECKER Mgmt For For
1D. ELECTION OF DIRECTOR: JOHN J. DONAHOE Mgmt For For
1E. ELECTION OF DIRECTOR: REED E. HUNDT Mgmt For For
1F. ELECTION OF DIRECTOR: JAMES D. PLUMMER Mgmt For For
1G. ELECTION OF DIRECTOR: DAVID S. POTTRUCK Mgmt For For
1H. ELECTION OF DIRECTOR: FRANK D. YEARY Mgmt For For
1I. ELECTION OF DIRECTOR: DAVID B. YOFFIE Mgmt For For
2. RATIFICATION OF SELECTION OF ERNST & YOUNG Mgmt For For
LLP AS OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE CURRENT YEAR
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
4. APPROVAL OF AMENDMENT AND EXTENSION OF THE Mgmt For For
2006 EQUITY INCENTIVE PLAN
5. STOCKHOLDER PROPOSAL TITLED "EXECUTIVES TO Shr Against For
RETAIN SIGNIFICANT STOCK"
--------------------------------------------------------------------------------------------------------------------------
INTERNATIONAL GAME TECHNOLOGY Agenda Number: 933728529
--------------------------------------------------------------------------------------------------------------------------
Security: 459902102
Meeting Type: Annual
Meeting Date: 05-Mar-2013
Ticker: IGT
ISIN: US4599021023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAGET L. ALVES Mgmt For For
JANICE CHAFFIN Mgmt For For
GREG CREED Mgmt For For
PATTI S. HART Mgmt For For
ROBERT J. MILLER Mgmt For For
DAVID E. ROBERSON Mgmt For For
VINCENT L. SADUSKY Mgmt For For
PHILIP G. SATRE Mgmt For For
2. APPROVAL OF THE AMENDMENTS TO THE Mgmt For For
INTERNATIONAL GAME TECHNOLOGY 2002 STOCK
INCENTIVE PLAN
3. AN ADVISORY VOTE TO APPROVE INTERNATIONAL Mgmt For For
GAME TECHNOLOGY'S EXECUTIVE COMPENSATION
4. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS IGT'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER
30, 2013
--------------------------------------------------------------------------------------------------------------------------
LOCKHEED MARTIN CORPORATION Agenda Number: 933743949
--------------------------------------------------------------------------------------------------------------------------
Security: 539830109
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: LMT
ISIN: US5398301094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: NOLAN D. ARCHIBALD Mgmt For For
1B. ELECTION OF DIRECTOR: ROSALIND G. BREWER Mgmt For For
1C. ELECTION OF DIRECTOR: DAVID B. BURRITT Mgmt For For
1D. ELECTION OF DIRECTOR: JAMES O. ELLIS, JR. Mgmt For For
1E. ELECTION OF DIRECTOR: THOMAS J. FALK Mgmt For For
1F. ELECTION OF DIRECTOR: MARILLYN A. HEWSON Mgmt For For
1G. ELECTION OF DIRECTOR: GWENDOLYN S. KING Mgmt For For
1H. ELECTION OF DIRECTOR: JAMES M. LOY Mgmt For For
1I. ELECTION OF DIRECTOR: DOUGLAS H. Mgmt For For
MCCORKINDALE
1J. ELECTION OF DIRECTOR: JOSEPH W. RALSTON Mgmt For For
1K. ELECTION OF DIRECTOR: ANNE STEVENS Mgmt For For
1L. ELECTION OF DIRECTOR: ROBERT J. STEVENS Mgmt For For
2. RATIFICATION OF APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS INDEPENDENT AUDITORS FOR 2013
3. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt For For
OF OUR NAMED EXECUTIVE OFFICERS
("SAY-ON-PAY")
4. STOCKHOLDER ACTION BY WRITTEN CONSENT Shr Against For
5. ADOPT A POLICY THAT REQUIRES THE BOARD Shr Against For
CHAIRMAN TO BE AN INDEPENDENT DIRECTOR
6. REPORT ON CORPORATE LOBBYING EXPENDITURES Shr Against For
--------------------------------------------------------------------------------------------------------------------------
LORILLARD, INC. Agenda Number: 933777635
--------------------------------------------------------------------------------------------------------------------------
Security: 544147101
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: LO
ISIN: US5441471019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO AMEND THE LORILLARD, INC. AMENDED AND Mgmt For For
RESTATED CERTIFICATE OF INCORPORATION TO
DECLASSIFY THE BOARD OF DIRECTORS (THE
"DECLASSIFICATION AMENDMENT") AND PROVIDE
FOR THE ANNUAL ELECTION OF DIRECTORS.
2.1 ELECTION OF ANDREW H. CARD, JR. AS A Mgmt For For
DIRECTOR TO HOLD OFFICE UNTIL THE ANNUAL
MEETING OF SHAREHOLDERS FOR 2014 (OR AS
CLASS II DIRECTORS UNTIL THE ANNUAL MEETING
OF SHAREHOLDERS FOR 2016 IF THE
DECLASSIFICATION AMENDMENT IN PROPOSAL NO.
1 IS NOT APPROVED).
2.2 ELECTION OF VIRGIS W. COLBERT AS A DIRECTOR Mgmt For For
TO HOLD OFFICE UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2014 (OR AS CLASS II
DIRECTORS UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2016 IF THE
DECLASSIFICATION AMENDMENT IN PROPOSAL NO.
1 IS NOT APPROVED).
2.3 ELECTION OF RICHARD W. ROEDEL AS A DIRECTOR Mgmt For For
TO HOLD OFFICE UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2014 (OR AS CLASS II
DIRECTORS UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2016 IF THE
DECLASSIFICATION AMENDMENT IN PROPOSAL NO.
1 IS NOT APPROVED).
3. ADVISORY VOTE TO APPROVE THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
4. TO RATIFY THE SELECTION OF DELOITTE & Mgmt For For
TOUCHE LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
5. SHAREHOLDER PROPOSAL ON DISCLOSURE OF Shr Against For
LOBBYING POLICIES AND PRACTICES.
--------------------------------------------------------------------------------------------------------------------------
MOLSON COORS BREWING CO. Agenda Number: 933795291
--------------------------------------------------------------------------------------------------------------------------
Security: 60871R209
Meeting Type: Annual
Meeting Date: 29-May-2013
Ticker: TAP
ISIN: US60871R2094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROGER EATON Mgmt For For
CHARLES M. HERINGTON Mgmt For For
H. SANFORD RILEY Mgmt For For
4. APPROVE AN AMENDMENT TO RESTATED Mgmt For For
CERTIFICATE OF INCORPORATION TO PROVIDE
THAT THE HOLDERS OF OUR CLASS A COMMON
STOCK AND CLASS B COMMON STOCK SHALL VOTE
TOGETHER AS A SINGLE CLASS, ON AN ADVISORY
BASIS, ON ANY PROPOSAL TO APPROVE THE
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS PRESENTED AT ANY ANNUAL
MEETING OF STOCKHOLDERS HELD AFTER JANUARY
1, 2014.
--------------------------------------------------------------------------------------------------------------------------
MOODY'S CORPORATION Agenda Number: 933739370
--------------------------------------------------------------------------------------------------------------------------
Security: 615369105
Meeting Type: Annual
Meeting Date: 16-Apr-2013
Ticker: MCO
ISIN: US6153691059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: BASIL L. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: DARRELL DUFFIE, PH.D. Mgmt For For
1C. ELECTION OF DIRECTOR: RAYMOND W. MCDANIEL, Mgmt For For
JR.
2. APPROVAL OF THE AMENDED AND RESTATED 2001 Mgmt For For
MOODY'S CORPORATION KEY EMPLOYEES' STOCK
INCENTIVE PLAN.
3. APPROVAL OF THE AMENDED AND RESTATED 1998 Mgmt For For
MOODY'S CORPORATION NON-EMPLOYEE DIRECTORS'
STOCK INCENTIVE PLAN.
4. APPROVAL OF AMENDMENTS TO THE MOODY'S Mgmt For For
CORPORATION RESTATED CERTIFICATE OF
INCORPORATION TO DECLASSIFY THE BOARD OF
DIRECTORS AND PROVIDE FOR ANNUAL ELECTION
OF ALL DIRECTORS.
5. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM OF THE COMPANY FOR 2013.
6. ADVISORY RESOLUTION APPROVING EXECUTIVE Mgmt For For
COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
NEWMONT MINING CORPORATION Agenda Number: 933744559
--------------------------------------------------------------------------------------------------------------------------
Security: 651639106
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: NEM
ISIN: US6516391066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: B.R. BROOK Mgmt For For
1B. ELECTION OF DIRECTOR: J.K. BUCKNOR Mgmt For For
1C. ELECTION OF DIRECTOR: V.A. CALARCO Mgmt For For
1D. ELECTION OF DIRECTOR: J.A. CARRABBA Mgmt For For
1E. ELECTION OF DIRECTOR: N. DOYLE Mgmt For For
1F. ELECTION OF DIRECTOR: G.J. GOLDBERG Mgmt For For
1G. ELECTION OF DIRECTOR: V.M. HAGEN Mgmt For For
1H. ELECTION OF DIRECTOR: J. NELSON Mgmt For For
1I. ELECTION OF DIRECTOR: D.C. ROTH Mgmt For For
1J. ELECTION OF DIRECTOR: S.R. THOMPSON Mgmt For For
2. TO RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT AUDITORS FOR 2013.
3. ADVISORY RESOLUTION TO APPROVE NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
4. APPROVE THE 2013 STOCK INCENTIVE PLAN. Mgmt For For
5. APPROVE THE PERFORMANCE PAY PLAN. Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
NORTHROP GRUMMAN CORPORATION Agenda Number: 933768802
--------------------------------------------------------------------------------------------------------------------------
Security: 666807102
Meeting Type: Annual
Meeting Date: 15-May-2013
Ticker: NOC
ISIN: US6668071029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: WESLEY G. BUSH Mgmt For For
1B. ELECTION OF DIRECTOR: VICTOR H. FAZIO Mgmt For For
1C. ELECTION OF DIRECTOR: DONALD E. FELSINGER Mgmt For For
1D. ELECTION OF DIRECTOR: STEPHEN E. FRANK Mgmt For For
1E. ELECTION OF DIRECTOR: BRUCE S. GORDON Mgmt For For
1F. ELECTION OF DIRECTOR: MADELEINE A. KLEINER Mgmt For For
1G. ELECTION OF DIRECTOR: KARL J. KRAPEK Mgmt For For
1H. ELECTION OF DIRECTOR: RICHARD B. MYERS Mgmt For For
1I. ELECTION OF DIRECTOR: AULANA L. PETERS Mgmt For For
1J. ELECTION OF DIRECTOR: GARY ROUGHEAD Mgmt For For
1K. ELECTION OF DIRECTOR: THOMAS M. SCHOEWE Mgmt For For
1L. ELECTION OF DIRECTOR: KEVIN W. SHARER Mgmt For For
2. PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, Mgmt For For
THE COMPENSATION OF NAMED EXECUTIVE
OFFICERS.
3. PROPOSAL TO RATIFY THE APPOINTMENT OF Mgmt For For
DELOITTE & TOUCHE LLP AS THE COMPANY'S
INDEPENDENT AUDITOR FOR FISCAL YEAR ENDING
DECEMBER 31, 2013.
4. SHAREHOLDER PROPOSAL REGARDING ADDITIONAL Shr Against For
DISCLOSURE OF LOBBYING ACTIVITIES.
5. SHAREHOLDER PROPOSAL REGARDING INDEPENDENT Shr Against For
BOARD CHAIRMAN.
--------------------------------------------------------------------------------------------------------------------------
SANOFI Agenda Number: 933783753
--------------------------------------------------------------------------------------------------------------------------
Security: 80105N105
Meeting Type: Annual
Meeting Date: 03-May-2013
Ticker: SNY
ISIN: US80105N1054
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
O1 APPROVAL OF THE INDIVIDUAL COMPANY Mgmt For For
FINANCIAL STATEMENTS FOR THE YEAR ENDED
DECEMBER 31, 2012
O2 APPROVAL OF THE CONSOLIDATED FINANCIAL Mgmt For For
STATEMENTS FOR THE YEAR ENDED DECEMBER 31,
2012
O3 APPROPRIATION OF PROFITS, DECLARATION OF Mgmt For For
DIVIDEND
O4 APPOINTMENT OF A DIRECTOR (FABIENNE Mgmt For For
LECORVAISIER)
O5 AUTHORIZATION TO THE BOARD OF DIRECTORS TO Mgmt For For
CARRY OUT TRANSACTIONS IN SHARES ISSUED BY
THE COMPANY
E6 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE THE ISSUANCE, WITH
PREEMPTIVE RIGHTS MAINTAINED, OF SHARES
AND/OR SECURITIES GIVING ACCESS TO THE
COMPANY'S CAPITAL AND/OR SECURITIES GIVING
ENTITLEMENT TO THE ALLOTMENT OF DEBT
INSTRUMENTS
E7 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE THE ISSUANCE, WITH
PREEMPTIVE RIGHT BEING CANCELLED, OF SHARES
AND/OR SECURITIES GIVING ACCESS TO THE
COMPANY'S CAPITAL AND/OR SECURITIES GIVING
ENTITLEMENT TO THE ALLOTMENT OF DEBT
INSTRUMENTS BY PUBLIC OFFERING
E8 POSSIBILITY OF ISSUING, WITHOUT PREEMPTIVE Mgmt For For
RIGHT, SHARES OR SECURITIES GIVING ACCESS
TO THE COMPANY'S CAPITAL AS CONSIDERATION
FOR ASSETS TRANSFERRED TO THE COMPANY AS A
CAPITAL CONTRIBUTION IN KIND IN THE FORM OF
SHARES OR SECURITIES GIVING ACCESS TO THE
CAPITAL OF ANOTHER COMPANY
E9 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO INCREASE THE NUMBER OF SHARES
TO BE ISSUED IN THE EVENT OF A CAPITAL
INCREASE WITH OR WITHOUT PREEMPTIVE RIGHTS
E10 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE TO CARRY OUT INCREASES
IN THE SHARE CAPITAL BY INCORPORATION OF
SHARE PREMIUM, RESERVES, PROFITS OR OTHER
ITEMS
E11 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE THE ISSUANCE OF SHARES
OR SECURITIES GIVING ACCESS TO THE
COMPANY'S CAPITAL RESERVED FOR MEMBERS OF
SAVINGS PLANS, WITH WAIVER OF PREEMPTIVE
RIGHT IN THEIR FAVOR
E12 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO ALLOT, WITHOUT PREEMPTIVE
RIGHT, EXISTING OR NEW RESTRICTED SHARES IN
FULL OR PARTIAL SUBSTITUTION FOR THE
DISCOUNT TO A CAPITAL INCREASE RESERVED FOR
SALARIED EMPLOYEES
E13 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO GRANT, WITHOUT PREEMPTIVE
RIGHT, OPTIONS TO SUBSCRIBE FOR OR PURCHASE
SHARES
E14 AUTHORIZATION TO THE BOARD OF DIRECTORS TO Mgmt For For
REDUCE THE SHARE CAPITAL BY CANCELLATION OF
TREASURY SHARES
E15 POWERS FOR FORMALITIES Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
STAPLES, INC. Agenda Number: 933797207
--------------------------------------------------------------------------------------------------------------------------
Security: 855030102
Meeting Type: Annual
Meeting Date: 03-Jun-2013
Ticker: SPLS
ISIN: US8550301027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: BASIL L. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: ARTHUR M. BLANK Mgmt For For
1C. ELECTION OF DIRECTOR: DREW G. FAUST Mgmt For For
1D. ELECTION OF DIRECTOR: JUSTIN KING Mgmt For For
1E. ELECTION OF DIRECTOR: CAROL MEYROWITZ Mgmt For For
1F. ELECTION OF DIRECTOR: ROWLAND T. MORIARTY Mgmt For For
1G. ELECTION OF DIRECTOR: ROBERT C. NAKASONE Mgmt For For
1H. ELECTION OF DIRECTOR: RONALD L. SARGENT Mgmt For For
1I. ELECTION OF DIRECTOR: ELIZABETH A. SMITH Mgmt For For
1J. ELECTION OF DIRECTOR: ROBERT E. SULENTIC Mgmt For For
1K. ELECTION OF DIRECTOR: RAUL VAZQUEZ Mgmt For For
1L. ELECTION OF DIRECTOR: VIJAY VISHWANATH Mgmt For For
1M. ELECTION OF DIRECTOR: PAUL F. WALSH Mgmt For For
2. APPROVAL, ON AN ADVISORY BASIS, OF NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
3. RATIFICATION OF THE SELECTION BY THE AUDIT Mgmt For For
COMMITTEE OF ERNST & YOUNG LLP AS STAPLES'
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE CURRENT FISCAL YEAR.
4. NON-BINDING STOCKHOLDER PROPOSAL TO PROVIDE Shr Against For
PROXY ACCESS FOR STOCKHOLDERS HOLDING 1% OF
THE COMPANY'S COMMON STOCK FOR ONE YEAR.
5. NON-BINDING STOCKHOLDER PROPOSAL REQUIRING Shr Against For
COMPANY TO HAVE AN INDEPENDENT BOARD
CHAIRMAN.
--------------------------------------------------------------------------------------------------------------------------
THE BOEING COMPANY Agenda Number: 933747315
--------------------------------------------------------------------------------------------------------------------------
Security: 097023105
Meeting Type: Annual
Meeting Date: 29-Apr-2013
Ticker: BA
ISIN: US0970231058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DAVID L. CALHOUN Mgmt For For
1B. ELECTION OF DIRECTOR: ARTHUR D. COLLINS, Mgmt For For
JR.
1C. ELECTION OF DIRECTOR: LINDA Z. COOK Mgmt For For
1D. ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN Mgmt For For
1E. ELECTION OF DIRECTOR: EDMUND P. Mgmt For For
GIAMBASTIANI, JR.
1F. ELECTION OF DIRECTOR: LAWRENCE W. KELLNER Mgmt For For
1G. ELECTION OF DIRECTOR: EDWARD M. LIDDY Mgmt For For
1H. ELECTION OF DIRECTOR: W. JAMES MCNERNEY, Mgmt For For
JR.
1I. ELECTION OF DIRECTOR: SUSAN C. SCHWAB Mgmt For For
1J. ELECTION OF DIRECTOR: RONALD A. WILLIAMS Mgmt For For
1K. ELECTION OF DIRECTOR: MIKE S. ZAFIROVSKI Mgmt For For
2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE LLP AS INDEPENDENT AUDITOR FOR
2013.
4. FUTURE EXTRAORDINARY RETIREMENT BENEFITS. Shr Against For
5. ACTION BY WRITTEN CONSENT. Shr Against For
6. EXECUTIVES TO RETAIN SIGNIFICANT STOCK. Shr Against For
7. INDEPENDENT BOARD CHAIRMAN. Shr Against For
--------------------------------------------------------------------------------------------------------------------------
THE COCA-COLA COMPANY Agenda Number: 933739596
--------------------------------------------------------------------------------------------------------------------------
Security: 191216100
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: KO
ISIN: US1912161007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: HERBERT A. ALLEN Mgmt For For
1B. ELECTION OF DIRECTOR: RONALD W. ALLEN Mgmt For For
1C. ELECTION OF DIRECTOR: HOWARD G. BUFFETT Mgmt For For
1D. ELECTION OF DIRECTOR: RICHARD M. DALEY Mgmt For For
1E. ELECTION OF DIRECTOR: BARRY DILLER Mgmt For For
1F. ELECTION OF DIRECTOR: HELENE D. GAYLE Mgmt For For
1G. ELECTION OF DIRECTOR: EVAN G. GREENBERG Mgmt For For
1H. ELECTION OF DIRECTOR: ALEXIS M. HERMAN Mgmt For For
1I. ELECTION OF DIRECTOR: MUHTAR KENT Mgmt For For
1J. ELECTION OF DIRECTOR: ROBERT A. KOTICK Mgmt For For
1K. ELECTION OF DIRECTOR: MARIA ELENA Mgmt For For
LAGOMASINO
1L. ELECTION OF DIRECTOR: DONALD F. MCHENRY Mgmt For For
1M. ELECTION OF DIRECTOR: SAM NUNN Mgmt For For
1N. ELECTION OF DIRECTOR: JAMES D. ROBINSON III Mgmt For For
1O. ELECTION OF DIRECTOR: PETER V. UEBERROTH Mgmt For For
1P. ELECTION OF DIRECTOR: JACOB WALLENBERG Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS INDEPENDENT AUDITORS.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. APPROVE AN AMENDMENT TO THE COMPANY'S Mgmt For For
BY-LAWS TO PERMIT SHAREOWNERS TO CALL
SPECIAL MEETINGS.
5. SHAREOWNER PROPOSAL REGARDING A BOARD Shr Against For
COMMITTEE ON HUMAN RIGHTS.
--------------------------------------------------------------------------------------------------------------------------
THE WESTERN UNION COMPANY Agenda Number: 933793867
--------------------------------------------------------------------------------------------------------------------------
Security: 959802109
Meeting Type: Annual
Meeting Date: 30-May-2013
Ticker: WU
ISIN: US9598021098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DINYAR S. DEVITRE Mgmt For For
1B. ELECTION OF DIRECTOR: BETSY D. HOLDEN Mgmt For For
1C. ELECTION OF DIRECTOR: WULF VON SCHIMMELMANN Mgmt For For
1D. ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO Mgmt For For
2. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
3. RATIFICATION OF SELECTION OF AUDITORS Mgmt For For
4. APPROVAL OF AMENDMENTS TO THE COMPANY'S Mgmt For For
AMENDED AND RESTATED CERTIFICATE OF
INCORPORATION TO PROVIDE STOCKHOLDERS THE
RIGHT TO CALL SPECIAL MEETINGS OF
STOCKHOLDERS
5. STOCKHOLDER PROPOSAL REGARDING POLITICAL Shr Against For
CONTRIBUTIONS
--------------------------------------------------------------------------------------------------------------------------
ULTRA PETROLEUM CORP. Agenda Number: 933785947
--------------------------------------------------------------------------------------------------------------------------
Security: 903914109
Meeting Type: Annual and Special
Meeting Date: 21-May-2013
Ticker: UPL
ISIN: CA9039141093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF MICHAEL D. WATFORD AS DIRECTOR Mgmt For For
1B ELECTION OF W. CHARLES HELTON AS DIRECTOR Mgmt For For
1C ELECTION OF STEPHEN J. MCDANIEL AS DIRECTOR Mgmt For For
1D ELECTION OF ROGER A. BROWN AS DIRECTOR Mgmt For For
1E ELECTION OF MICHAEL J. KEEFFE AS DIRECTOR Mgmt For For
02 APPOINTMENT OF ERNST & YOUNG LLP AS Mgmt For For
AUDITORS OF THE COMPANY FOR THE ENSUING
YEAR AND AUTHORIZING THE DIRECTORS TO FIX
THEIR REMUNERATION
03 RESOLVED, THE SHAREHOLDERS OF ULTRA Mgmt For For
PETROLEUM CORP. APPROVE, ON AN ADVISORY
BASIS, THE COMPENSATION PAID TO ITS NAMED
EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT
TO ITEM 402 OF REGULATION S-K, INCLUDING
THE COMPENSATION DISCUSSION AND ANALYSIS,
THE ACCOMPANYING COMPENSATION TABLES, AND
THE RELATED NARRATIVE DISCUSSION, IN ITS
MOST RECENT PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
UNITED STATES STEEL CORPORATION Agenda Number: 933747834
--------------------------------------------------------------------------------------------------------------------------
Security: 912909108
Meeting Type: Annual
Meeting Date: 30-Apr-2013
Ticker: X
ISIN: US9129091081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS III DIRECTOR: DAN O. Mgmt For For
DINGES
1B. ELECTION OF CLASS III DIRECTOR: JOHN G. Mgmt For For
DROSDICK
1C. ELECTION OF CLASS III DIRECTOR: JOHN J. Mgmt For For
ENGEL
1D. ELECTION OF CLASS III DIRECTOR: CHARLES R. Mgmt For For
LEE
1E. ELECTION OF CLASS II DIRECTOR: THOMAS W. Mgmt For For
LASORDA
2. RATIFICATION OF APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
3. APPROVAL, IN A NON-BINDING ADVISORY VOTE, Mgmt For For
OF THE COMPENSATION OF THE NAMED EXECUTIVE
OFFICERS
4. SHAREHOLDER PROPOSAL RECOMMENDING THE Shr Against For
ELIMINATION OF THE CLASSIFIED BOARD OF
DIRECTORS
--------------------------------------------------------------------------------------------------------------------------
WASTE MANAGEMENT, INC. Agenda Number: 933750209
--------------------------------------------------------------------------------------------------------------------------
Security: 94106L109
Meeting Type: Annual
Meeting Date: 10-May-2013
Ticker: WM
ISIN: US94106L1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: BRADBURY H. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: FRANK M. CLARK, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: PATRICK W. GROSS Mgmt For For
1D. ELECTION OF DIRECTOR: VICTORIA M. HOLT Mgmt For For
1E. ELECTION OF DIRECTOR: JOHN C. POPE Mgmt For For
1F. ELECTION OF DIRECTOR: W. ROBERT REUM Mgmt For For
1G. ELECTION OF DIRECTOR: DAVID P. STEINER Mgmt For For
1H. ELECTION OF DIRECTOR: THOMAS H. WEIDEMEYER Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG, LLP AS THE INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2013.
3. APPROVAL OF OUR EXECUTIVE COMPENSATION. Mgmt For For
4. STOCKHOLDER PROPOSAL REGARDING A Shr Against For
REQUIREMENT FOR SENIOR EXECUTIVES TO HOLD A
SIGNIFICANT PERCENTAGE OF EQUITY AWARDS
UNTIL RETIREMENT, IF PROPERLY PRESENTED AT
THE MEETING.
5. STOCKHOLDER PROPOSAL REGARDING DISCLOSURE Shr Against For
OF POLITICAL CONTRIBUTIONS, IF PROPERLY
PRESENTED AT THE MEETING.
6. STOCKHOLDER PROPOSAL REGARDING COMPENSATION Shr Against For
BENCHMARKING CAP, IF PROPERLY PRESENTED AT
THE MEETING.
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO & COMPANY Agenda Number: 933743696
--------------------------------------------------------------------------------------------------------------------------
Security: 949746101
Meeting Type: Annual
Meeting Date: 23-Apr-2013
Ticker: WFC
ISIN: US9497461015
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A) ELECTION OF DIRECTOR: JOHN D. BAKER II Mgmt For For
1B) ELECTION OF DIRECTOR: ELAINE L. CHAO Mgmt For For
1C) ELECTION OF DIRECTOR: JOHN S. CHEN Mgmt For For
1D) ELECTION OF DIRECTOR: LLOYD H. DEAN Mgmt For For
1E) ELECTION OF DIRECTOR: SUSAN E. ENGEL Mgmt For For
1F) ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, Mgmt For For
JR.
1G) ELECTION OF DIRECTOR: DONALD M. JAMES Mgmt For For
1H) ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN Mgmt For For
1I) ELECTION OF DIRECTOR: FEDERICO F. PENA Mgmt For For
1J) ELECTION OF DIRECTOR: HOWARD V. RICHARDSON Mgmt For For
1K) ELECTION OF DIRECTOR: JUDITH M. RUNSTAD Mgmt For For
1L) ELECTION OF DIRECTOR: STEPHEN W. SANGER Mgmt For For
1M) ELECTION OF DIRECTOR: JOHN G. STUMPF Mgmt For For
1N) ELECTION OF DIRECTOR: SUSAN G. SWENSON Mgmt For For
2. ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
3. PROPOSAL TO APPROVE THE COMPANY'S AMENDED Mgmt For For
AND RESTATED LONG-TERM INCENTIVE
COMPENSATION PLAN.
4. PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG Mgmt For For
LLP AS THE COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2013.
5. STOCKHOLDER PROPOSAL TO ADOPT A POLICY Shr Against For
REQUIRING AN INDEPENDENT CHAIRMAN.
6. STOCKHOLDER PROPOSAL TO PROVIDE A REPORT ON Shr Against For
THE COMPANY'S LOBBYING POLICIES AND
PRACTICES.
7. STOCKHOLDER PROPOSAL TO REVIEW AND REPORT Shr Against For
ON INTERNAL CONTROLS OVER THE COMPANY'S
MORTGAGE SERVICING AND FORECLOSURE
PRACTICES.
RiverNorth Core Opportunity Fund
All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a
proposal to equal more than 1%.
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMERGING MKTS Agenda Number: 933664369
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 22-Aug-2012
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL BOZIC Mgmt Split 96% For 4% Withheld Split
MICHAEL F. KLEIN Mgmt Split 96% For 4% Withheld Split
W. ALLEN REED Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ADAMS EXPRESS COMPANY Agenda Number: 933737073
--------------------------------------------------------------------------------------------------------------------------
Security: 006212104
Meeting Type: Annual
Meeting Date: 19-Mar-2013
Ticker: ADX
ISIN: US0062121043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ENRIQUE R. ARZAC Mgmt Split 55% For 45% Withheld Split
PHYLLIS O. BONANNO Mgmt Split 55% For 45% Withheld Split
KENNETH J. DALE Mgmt Split 57% For 43% Withheld Split
FREDERIC A. ESCHERICH Mgmt Split 57% For 43% Withheld Split
ROGER W. GALE Mgmt Split 56% For 44% Withheld Split
KATHLEEN T. MCGAHRAN Mgmt Split 56% For 44% Withheld Split
CRAIG R. SMITH Mgmt Split 56% For 44% Withheld Split
MARK E. STOECKLE Mgmt Split 83% For 17% Withheld Split
2. THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Mgmt Split 68% For 1% Against 31% AbstainSplit
AS INDEPENDENT PUBLIC AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
AFFILIATED MANAGERS GROUP, INC. Agenda Number: 933810536
--------------------------------------------------------------------------------------------------------------------------
Security: 008252108
Meeting Type: Annual
Meeting Date: 11-Jun-2013
Ticker: AMG
ISIN: US0082521081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: SAMUEL T. BYRNE Mgmt Split 97% For 3% Against Split
1B. ELECTION OF DIRECTOR: DWIGHT D. CHURCHILL Mgmt For For
1C. ELECTION OF DIRECTOR: SEAN M. HEALEY Mgmt Split 98% For 2% Against Split
1D. ELECTION OF DIRECTOR: HAROLD J. MEYERMAN Mgmt Split 95% For 5% Against Split
1E. ELECTION OF DIRECTOR: WILLIAM J. NUTT Mgmt Split 98% For 2% Against Split
1F. ELECTION OF DIRECTOR: TRACY P. PALANDJIAN Mgmt For For
1G. ELECTION OF DIRECTOR: RITA M. RODRIGUEZ Mgmt Split 98% For 2% Against Split
1H. ELECTION OF DIRECTOR: PATRICK T. RYAN Mgmt Split 97% For 3% Against Split
1I. ELECTION OF DIRECTOR: JIDE J. ZEITLIN Mgmt Split 97% For 3% Against Split
2. TO APPROVE THE 2013 INCENTIVE STOCK AWARD Mgmt Split 93% For 7% Against Split
PLAN.
3. TO APPROVE, BY A NON-BINDING ADVISORY VOTE, Mgmt Split 58% For 42% Against Split
THE COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
4. TO RATIFY THE SELECTION OF Mgmt Split 96% For 4% Against Split
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE CURRENT FISCAL YEAR.
--------------------------------------------------------------------------------------------------------------------------
ASA GOLD AND PRECIOUS METALS LIMITED Agenda Number: 933730079
--------------------------------------------------------------------------------------------------------------------------
Security: G3156P103
Meeting Type: Annual
Meeting Date: 14-Mar-2013
Ticker: ASA
ISIN: BMG3156P1032
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 ELECTION OF DIRECTOR: DAVID CHRISTENSEN Mgmt Split 82% For 18% Against Split
1.2 ELECTION OF DIRECTOR: GARY GLYNN Mgmt Split 99% For 1% Against Split
1.3 ELECTION OF DIRECTOR: PHILLIP GOLDSTEIN Mgmt Split 98% For 2% Against Split
1.4 ELECTION OF DIRECTOR: MICHAEL MEAD Mgmt Split 99% For 1% Against Split
1.5 ELECTION OF DIRECTOR: ROBERT PILKINGTON Mgmt Split 82% For 18% Against Split
2. TO RATIFY AND APPROVE THE APPOINTMENT OF Mgmt For For
TAIT, WELLER & BAKER LLP, AN INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM, AS THE
COMPANY'S INDEPENDENT AUDITORS FOR THE
FISCAL YEAR ENDING NOVEMBER 30, 2013, AND
TO AUTHORIZE THE AUDIT AND ETHICS COMMITTEE
OF THE BOARD OF DIRECTORS TO SET THE
INDEPENDENT AUDITORS' REMUNERATION.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK ENHANCED DIVID ACHIEVERS TR Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 09251A104
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BDJ
ISIN: US09251A1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 94% For 6% Withheld Split
JAMES T. FLYNN Mgmt Split 94% For 6% Withheld Split
KAREN P. ROBARDS Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 97% For 3% Withheld Split
KAREN P. ROBARDS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 933691037
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Special
Meeting Date: 02-Nov-2012
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2.A THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 87% For 11% Against 2% AbstainSplit
APPROVE THE ISSUANCE OF ADDITIONAL COMMON
SHARES OF BTZ IN CONNECTION WITH THE
BLACKROCK CREDIT ALLOCATION INCOME TRUST I,
INC. REORGANIZATION AGREEMENT.
2.B THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 87% For 11% Against 2% AbstainSplit
APPROVE THE ISSUANCE OF ADDITIONAL COMMON
SHARES OF BTZ IN CONNECTION WITH THE
BLACKROCK CREDIT ALLOCATION INCOME TRUST
II, INC. REORGANIZATION AGREEMENT.
2.C THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 87% For 11% Against 2% AbstainSplit
APPROVE THE ISSUANCE OF ADDITIONAL COMMON
SHARES OF BTZ IN CONNECTION WITH THE
BLACKROCK CREDIT ALLOCATION INCOME TRUST
III REORGANIZATION AGREEMENT.
3.D THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 88% For 9% Against 3% AbstainSplit
APPROVE THE REMOVAL OF BTZ'S INVESTMENT
POLICY REQUIRING THAT BTZ INVESTS AT LEAST
25% OF ITS MANAGED ASSETS IN SECURITIES OF
COMPANIES PRINCIPALLY ENGAGED IN PROVIDING
FINANCIAL SERVICES AND AMENDING BTZ'S
FUNDAMENTAL INVESTMENT RESTRICTION
REGARDING INDUSTRY CONCENTRATION TO REFLECT
THE REMOVAL OF SUCH INVESTMENT POLICY.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED OPPORTUNITY TRUST Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 09249V103
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BPP
ISIN: US09249V1035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 96% For 4% Withheld Split
KAREN P. ROBARDS Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 933821933
--------------------------------------------------------------------------------------------------------------------------
Security: 101507101
Meeting Type: Annual
Meeting Date: 21-Jun-2013
Ticker: BIF
ISIN: US1015071012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
RICHARD I. BARR Mgmt Split 94% For 6% Withheld Split
JOHN S. HOREJSI Mgmt Split 94% For 6% Withheld Split
DEAN L. JACOBSON Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BOULDER TOTAL RETURN FUND, INC. Agenda Number: 933821919
--------------------------------------------------------------------------------------------------------------------------
Security: 101541100
Meeting Type: Annual
Meeting Date: 21-Jun-2013
Ticker: BTF
ISIN: US1015411002
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
RICHARD I. BARR Mgmt Split 93% For 7% Withheld Split
JOHN S. HOREJSI Mgmt Split 93% For 7% Withheld Split
DEAN L. JACOBSON Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BR PREFERRED INCOME STRATEGIES FUND Agenda Number: 933659065
--------------------------------------------------------------------------------------------------------------------------
Security: 09255H105
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: PSY
ISIN: US09255H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 98% For 2% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
FRANK J. FABOZZI Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 98% For 2% Withheld Split
JAMES T. FLYNN Mgmt Split 98% For 2% Withheld Split
HENRY GABBAY Mgmt Split 98% For 2% Withheld Split
JERROLD B. HARRIS Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split
W. CARL KESTER Mgmt Split 98% For 2% Withheld Split
KAREN P. ROBARDS Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BR PREFERRED INCOME STRATEGIES FUND Agenda Number: 933691013
--------------------------------------------------------------------------------------------------------------------------
Security: 09255H105
Meeting Type: Special
Meeting Date: 02-Nov-2012
Ticker: PSY
ISIN: US09255H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.B THE STOCKHOLDERS OF PSY ARE BEING ASKED TO Mgmt Split 89% For 9% Against 2% AbstainSplit
APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION AMONG PSY, BTZ MERGER
SUBSIDIARY AND BLACKROCK CREDIT ALLOCATION
INCOME TRUST IV AND THE TERMINATION OF
PSY'S REGISTRATION UNDER THE INVESTMENT
COMPANY ACT OF 1940.
3.B THE STOCKHOLDERS OF PSY ARE BEING ASKED TO Mgmt Split 89% For 9% Against 2% AbstainSplit
APPROVE THE REMOVAL OF PSY'S INVESTMENT
POLICY REQUIRING THAT PSY INVESTS AT LEAST
25% OF ITS TOTAL ASSETS IN THE INDUSTRIES
COMPRISING THE FINANCIAL SERVICES SECTOR
AND AMENDING PSY'S FUNDAMENTAL INVESTMENT
RESTRICTION REGARDING INDUSTRY
CONCENTRATION TO REFLECT THE REMOVAL OF
SUCH INVESTMENT POLICY.
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL EQUITY FUND Agenda Number: 933650079
--------------------------------------------------------------------------------------------------------------------------
Security: 18914C100
Meeting Type: Annual
Meeting Date: 16-Jul-2012
Ticker: GLQ
ISIN: US18914C1009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
ANDREW C. BOYNTON Mgmt Split 98% For 2% Withheld Split
ADAM D. CRESCENZI Mgmt Split 98% For 2% Withheld Split
JERRY G. RUTLEDGE Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 933650081
--------------------------------------------------------------------------------------------------------------------------
Security: 18914E106
Meeting Type: Annual
Meeting Date: 16-Jul-2012
Ticker: GLO
ISIN: US18914E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. DIRECTOR
EDMUND J. BURKE Mgmt Split 96% For 4% Withheld Split
JOHN F. MEE Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
DNP SELECT INCOME FUND, INC. Agenda Number: 933771493
--------------------------------------------------------------------------------------------------------------------------
Security: 23325P104
Meeting Type: Annual
Meeting Date: 09-May-2013
Ticker: DNP
ISIN: US23325P1049
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
PHILIP R. MCLOUGHLIN Mgmt Split 97% For 3% Withheld Split
NATHAN I. PARTAIN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE ENHANCED EQUITY INCOME FD II Agenda Number: 933737605
--------------------------------------------------------------------------------------------------------------------------
Security: 278277108
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: EOS
ISIN: US2782771081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LYNN A. STOUT Mgmt Split 88% For 12% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 88% For 12% Withheld Split
RALPH F. VERNI Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE ENHANCED EQUITY INCOME FUND Agenda Number: 933646652
--------------------------------------------------------------------------------------------------------------------------
Security: 278274105
Meeting Type: Annual
Meeting Date: 20-Jul-2012
Ticker: EOI
ISIN: US2782741050
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON* Mgmt Split 80% For 20% Withheld Split
WILLIAM H. PARK** Mgmt Split 80% For 20% Withheld Split
RONALD A. PEARLMAN** Mgmt Split 80% For 20% Withheld Split
HARRIETT TEE TAGGART** Mgmt Split 81% For 19% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE FUNDS Agenda Number: 933737148
--------------------------------------------------------------------------------------------------------------------------
Security: 27828Y108
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ETV
ISIN: US27828Y1082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H. PARK Mgmt Split 88% For 12% Withheld Split
RONALD A. PEARLMAN Mgmt Split 87% For 13% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE RISK-MGD DIV EQTY INCM FD Agenda Number: 933737617
--------------------------------------------------------------------------------------------------------------------------
Security: 27829G106
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ETJ
ISIN: US27829G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LYNN A. STOUT Mgmt Split 83% For 17% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 83% For 17% Withheld Split
RALPH F. VERNI Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE TAX-ADVANTAGED FUND Agenda Number: 933722046
--------------------------------------------------------------------------------------------------------------------------
Security: 27828U106
Meeting Type: Annual
Meeting Date: 15-Feb-2013
Ticker: ETO
ISIN: US27828U1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RONALD A. PEARLMAN Mgmt Split 95% For 5% Withheld Split
HELEN FRAME PETERS Mgmt Split 95% For 5% Withheld Split
RALPH F. VERNI Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE TAX-MANAGED GLOBAL Agenda Number: 933737629
--------------------------------------------------------------------------------------------------------------------------
Security: 27829C105
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ETW
ISIN: US27829C1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H. PARK Mgmt Split 97% For 3% Withheld Split
RONALD A. PEARLMAN Mgmt Split 97% For 3% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE TAX-MANGD GLB DIV EQ INC FD Agenda Number: 933663456
--------------------------------------------------------------------------------------------------------------------------
Security: 27829F108
Meeting Type: Annual
Meeting Date: 24-Aug-2012
Ticker: EXG
ISIN: US27829F1084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON* Mgmt Split 94% For 6% Withheld Split
HARRIETT TEE TAGGART# Mgmt Split 94% For 6% Withheld Split
HELEN FRAME PETERS$ Mgmt Split 94% For 6% Withheld Split
LYNN A. STOUT$ Mgmt Split 94% For 6% Withheld Split
RALPH F. VERNI$ Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EV TAX-MANAGED DIVERSIFIED EQUITY INCOME Agenda Number: 933663444
--------------------------------------------------------------------------------------------------------------------------
Security: 27828N102
Meeting Type: Annual
Meeting Date: 24-Aug-2012
Ticker: ETY
ISIN: US27828N1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON* Mgmt Split 83% For 17% Withheld Split
HARRIETT TEE TAGGART# Mgmt Split 83% For 17% Withheld Split
HELEN FRAME PETERS$ Mgmt Split 83% For 17% Withheld Split
LYNN A. STOUT$ Mgmt Split 83% For 17% Withheld Split
RALPH F. VERNI$ Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GABELLI DIVIDEND & INCOME TRUST Agenda Number: 933759992
--------------------------------------------------------------------------------------------------------------------------
Security: 36242H104
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: GDV
ISIN: US36242H1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARIO J. GABELLI, CFA Mgmt Split 96% For 4% Withheld Split
MARIO D'URSO Mgmt Split 96% For 4% Withheld Split
MICHAEL J. MELARKEY Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 933736425
--------------------------------------------------------------------------------------------------------------------------
Security: 368802104
Meeting Type: Annual
Meeting Date: 10-Apr-2013
Ticker: GAM
ISIN: US3688021043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MR. BERENS Mgmt Split 79% For 21% Withheld Split
MR. CULLMAN Mgmt Split 76% For 24% Withheld Split
MR. DAVIDSON Mgmt Split 84% For 16% Withheld Split
DR. EDELMAN Mgmt Split 83% For 17% Withheld Split
MR. GORDAN Mgmt Split 85% For 15% Withheld Split
MS. GOTBAUM Mgmt Split 92% For 8% Withheld Split
MR. KNAFEL Mgmt Split 84% For 16% Withheld Split
MR. NEIDICH Mgmt Split 78% For 22% Withheld Split
MR. PRIEST Mgmt Split 85% For 15% Withheld Split
2. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 92% For 1% Against 7% AbstainSplit
YOUNG LLP AS AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 933736437
--------------------------------------------------------------------------------------------------------------------------
Security: 368802401
Meeting Type: Annual
Meeting Date: 10-Apr-2013
Ticker: GAMPRB
ISIN: US3688024013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MR. ALTSCHUL Mgmt Split 98% For 2% Withheld Split
MR. BERENS Mgmt Split 71% For 29% Withheld Split
MR. CULLMAN Mgmt Split 92% For 8% Withheld Split
MR. DAVIDSON Mgmt Split 98% For 2% Withheld Split
DR. EDELMAN Mgmt Split 97% For 3% Withheld Split
MR. GORDAN Mgmt Split 98% For 2% Withheld Split
MS. GOTBAUM Mgmt Split 97% For 3% Withheld Split
MR. KNAFEL Mgmt Split 97% For 3% Withheld Split
MR. NEIDICH Mgmt Split 71% For 29% Withheld Split
MR. PRIEST Mgmt Split 98% For 2% Withheld Split
MR. TROUBH Mgmt Split 98% For 2% Withheld Split
2. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 98% For 1% Against 1% AbstainSplit
YOUNG LLP AS AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
ING PRIME RATE TRUST Agenda Number: 933637209
--------------------------------------------------------------------------------------------------------------------------
Security: 44977W106
Meeting Type: Annual
Meeting Date: 05-Jul-2012
Ticker: PPR
ISIN: US44977W1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
COLLEEN D. BALDWIN Mgmt Split 97% For 3% Withheld Split
JOHN V. BOYER Mgmt Split 97% For 3% Withheld Split
PATRICIA W. CHADWICK Mgmt Split 97% For 3% Withheld Split
ROBERT W. CRISPIN Mgmt Split 50% For 50% Withheld Split
PETER S. DROTCH Mgmt Split 97% For 3% Withheld Split
J. MICHAEL EARLEY Mgmt Split 97% For 3% Withheld Split
PATRICK W. KENNY Mgmt Split 97% For 3% Withheld Split
SHAUN P. MATHEWS Mgmt Split 97% For 3% Withheld Split
SHERYL K. PRESSLER Mgmt Split 97% For 3% Withheld Split
ROGER B. VINCENT Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 933663848
--------------------------------------------------------------------------------------------------------------------------
Security: 46131H107
Meeting Type: Annual
Meeting Date: 25-Sep-2012
Ticker: VVR
ISIN: US46131H1077
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 APPROVAL OF AN AGREEMENT AND PLAN OF Mgmt Split 95% For 2% Against 3% AbstainSplit
REDOMESTICATION THAT PROVIDES FOR THE
REORGANIZATION OF THE FUND AS A DELAWARE
STATUTORY TRUST.
3C1 DIRECTOR
WAYNE W. WHALEN Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 933663800
--------------------------------------------------------------------------------------------------------------------------
Security: 46132R104
Meeting Type: Annual
Meeting Date: 25-Sep-2012
Ticker: VTA
ISIN: US46132R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. APPROVAL OF AN AMENDED AND RESTATED Mgmt Split 92% For 5% Against 3% AbstainSplit
AGREEMENT AND DECLARATION OF TRUST.
3D. DIRECTOR
LINDA HUTTON HEAGY Mgmt Split 97% For 3% Withheld Split
WAYNE W. WHALEN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
JOHN HANCOCK FUNDS Agenda Number: 933687824
--------------------------------------------------------------------------------------------------------------------------
Security: 47804L102
Meeting Type: Annual
Meeting Date: 09-Nov-2012
Ticker: HEQ
ISIN: US47804L1026
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CHARLES L. BARDELIS Mgmt Split 97% For 3% Withheld Split
JAMES R. BOYLE Mgmt Split 97% For 3% Withheld Split
CRAIG BROMLEY Mgmt Split 97% For 3% Withheld Split
PETER S. BURGESS Mgmt Split 97% For 3% Withheld Split
WILLIAM H. CUNNINGHAM Mgmt Split 97% For 3% Withheld Split
GRACE K. FEY Mgmt Split 97% For 3% Withheld Split
THERON S. HOFFMAN Mgmt Split 97% For 3% Withheld Split
DEBORAH C. JACKSON Mgmt Split 97% For 3% Withheld Split
HASSELL H. MCCLELLAN Mgmt Split 97% For 3% Withheld Split
JAMES M. OATES Mgmt Split 97% For 3% Withheld Split
STEVEN R. PRUCHANSKY Mgmt Split 97% For 3% Withheld Split
GREGORY A. RUSSO Mgmt Split 97% For 3% Withheld Split
WARREN A. THOMSON Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 933741159
--------------------------------------------------------------------------------------------------------------------------
Security: 184692101
Meeting Type: Annual
Meeting Date: 25-Mar-2013
Ticker: CEM
ISIN: US1846921013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EILEEN A. KAMERICK Mgmt Split 98% For 2% Withheld Split
RIORDAN ROETT Mgmt Split 98% For 2% Withheld Split
JESWALD W. SALACUSE Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 933708262
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Special
Meeting Date: 20-Dec-2012
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW PORTFOLIO MANAGEMENT Mgmt Split 86% For 11% Against 3% AbstainSplit
AGREEMENT FOR THE FUND WITH ALPS ADVISORS,
INC. AND TCW INVESTMENT MANAGEMENT COMPANY.
2. TO APPROVE A NEW PORTFOLIO MANAGEMENT Mgmt Split 86% For 11% Against 3% AbstainSplit
AGREEMENT FOR THE FUND WITH ALPS ADVISORS,
INC. AND CORNERSTONE CAPITAL MANAGEMENT
LLC.
3. TO APPROVE, SUBJECT TO THE PROVISIONS OF Mgmt Split 77% For 12% Against 11% AbstainSplit
THE EXEMPTIVE RELIEF BY THE U.S. SECURITIES
AND EXCHANGE COMMISSION, A CHANGE TO THE
"MANAGERS-OF-MANAGERS" STRUCTURE FOR THE
FUND.
--------------------------------------------------------------------------------------------------------------------------
MACQUARIE GLOBAL INFRASTRUCTURE TOTAL RT Agenda Number: 933822416
--------------------------------------------------------------------------------------------------------------------------
Security: 55608D101
Meeting Type: Annual
Meeting Date: 19-Jun-2013
Ticker: MGU
ISIN: US55608D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GORDON A. BAIRD* Mgmt Split 95% For 5% Withheld Split
THOMAS W. HUNERSEN$ Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE STRATEGY FUND Agenda Number: 933664496
--------------------------------------------------------------------------------------------------------------------------
Security: 72201J104
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: PFN
ISIN: US72201J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BRADFORD K. GALLAGHER* Mgmt Split 92% For 8% Withheld Split
WILLIAM B. OGDEN, IV** Mgmt Split 92% For 8% Withheld Split
DEBORAH A. DECOTIS* Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
POWERSHARES GLOBAL EXCHANGE Agenda Number: 933829991
--------------------------------------------------------------------------------------------------------------------------
Security: 73936T763
Meeting Type: Special
Meeting Date: 20-Jun-2013
Ticker: PXH
ISIN: US73936T7634
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RONN R. BAGGE Mgmt Split 99% For 1% Withheld Split
TODD J. BARRE Mgmt Split 99% For 1% Withheld Split
KEVIN M. CAROME Mgmt Split 99% For 1% Withheld Split
MARC M. KOLE Mgmt Split 99% For 1% Withheld Split
YUNG BONG LIM Mgmt Split 99% For 1% Withheld Split
PHILIP M. NUSSBAUM Mgmt Split 99% For 1% Withheld Split
GARY R. WICKER Mgmt Split 99% For 1% Withheld Split
DONALD H. WILSON Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
REAVES UTILITY INCOME FUND Agenda Number: 933751047
--------------------------------------------------------------------------------------------------------------------------
Security: 756158101
Meeting Type: Annual
Meeting Date: 03-May-2013
Ticker: UTG
ISIN: US7561581015
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JEREMY W. DEEMS Mgmt Split 96% For 4% Withheld Split
JEREMY O. MAY Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE FOCUS TRUST, INC. Agenda Number: 933673724
--------------------------------------------------------------------------------------------------------------------------
Security: 78080N108
Meeting Type: Annual
Meeting Date: 20-Sep-2012
Ticker: FUND
ISIN: US78080N1081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CHARLES M. ROYCE Mgmt Split 98% For 2% Withheld Split
G. PETER O'BRIEN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE VALUE TRUST, INC. Agenda Number: 933673700
--------------------------------------------------------------------------------------------------------------------------
Security: 780910105
Meeting Type: Annual
Meeting Date: 20-Sep-2012
Ticker: RVT
ISIN: US7809101055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CHARLES M. ROYCE Mgmt Split 84% For 16% Withheld Split
G. PETER O'BRIEN Mgmt Split 84% For 16% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TCW STRATEGIC INCOME FUND, INC. Agenda Number: 933677570
--------------------------------------------------------------------------------------------------------------------------
Security: 872340104
Meeting Type: Annual
Meeting Date: 10-Sep-2012
Ticker: TSI
ISIN: US8723401043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CHARLES W. BALDISWIELER Mgmt Split 98% For 2% Withheld Split
SAMUEL P. BELL Mgmt Split 97% For 3% Withheld Split
DAVID S. DEVITO Mgmt Split 97% For 3% Withheld Split
JOHN A. GAVIN Mgmt Split 98% For 2% Withheld Split
PATRICK C. HADEN Mgmt Split 97% For 3% Withheld Split
JANET E. KERR Mgmt Split 98% For 2% Withheld Split
PETER MCMILLAN Mgmt Split 98% For 2% Withheld Split
CHARLES A. PARKER Mgmt Split 97% For 3% Withheld Split
VICTORIA B. ROGERS Mgmt Split 98% For 2% Withheld Split
ANDREW TARICA Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TCW STRATEGIC INCOME FUND, INC. Agenda Number: 933698194
--------------------------------------------------------------------------------------------------------------------------
Security: 872340104
Meeting Type: Special
Meeting Date: 20-Dec-2012
Ticker: TSI
ISIN: US8723401043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT ADVISORY AND Mgmt Split 85% For 2% Against 13% AbstainSplit
MANAGEMENT AGREEMENT BETWEEN THE COMPANY
AND TCW INVESTMENT MANAGEMENT COMPANY, THE
COMPANY'S CURRENT INVESTMENT ADVISER.
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON EMERGING MARKETS FUND Agenda Number: 933722692
--------------------------------------------------------------------------------------------------------------------------
Security: 880191101
Meeting Type: Annual
Meeting Date: 01-Mar-2013
Ticker: EMF
ISIN: US8801911012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK A. OLSON Mgmt Split 90% For 10% Withheld Split
C.D. TSERETOPOULOS Mgmt Split 91% For 9% Withheld Split
CHARLES B. JOHNSON Mgmt Split 86% For 14% Withheld Split
GREGORY E. JOHNSON Mgmt Split 90% For 10% Withheld Split
2. RATIFICATION OF THE SELECTION OF Mgmt Split 99% For 1% Against Split
PRICEWATERHOUSECOOPERS LLP AS THE
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FUND FOR THE FISCAL YEAR
ENDING AUGUST 31, 2013.
3. IF PROPERLY PRESENTED, A SHAREHOLDER Shr Split 20% For 79% Against 1% AbstainSplit
PROPOSAL REQUESTING THE BOARD INSTITUTE
TRANSPARENT PROCEDURES TO AVOID HOLDING
INVESTMENTS IN COMPANIES THAT, IN
MANAGEMENT'S JUDGMENT, SUBSTANTIALLY
CONTRIBUTE TO GENOCIDE OR CRIMES AGAINST
HUMANITY.
--------------------------------------------------------------------------------------------------------------------------
THE CENTRAL EUROPE AND RUSSIA FUND Agenda Number: 933744193
--------------------------------------------------------------------------------------------------------------------------
Security: 153436100
Meeting Type: Special
Meeting Date: 19-Apr-2013
Ticker: CEE
ISIN: US1534361001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A CHANGE IN THE FUND'S Mgmt For For
INVESTMENT OBJECTIVE, ALL AS MORE FULLY
DESCRIBED IN THE PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
THE CENTRAL EUROPE AND RUSSIA FUND Agenda Number: 933833407
--------------------------------------------------------------------------------------------------------------------------
Security: 153436100
Meeting Type: Annual
Meeting Date: 26-Jun-2013
Ticker: CEE
ISIN: US1534361001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DR. WILHELM BENDER Mgmt Split 93% For 7% Withheld Split
MR. DETLEF BIERBAUM Mgmt Split 93% For 7% Withheld Split
MR. RICHARD KARL GOELTZ Mgmt Split 93% For 7% Withheld Split
2. TO RATIFY THE APPOINTMENT BY THE AUDIT Mgmt For For
COMMITTEE AND THE BOARD OF DIRECTORS OF
PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT
PUBLIC ACCOUNTING FIRM, AS INDEPENDENT
AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER
31, 2013.
--------------------------------------------------------------------------------------------------------------------------
THE GREATER CHINA FUND, INC. Agenda Number: 933695528
--------------------------------------------------------------------------------------------------------------------------
Security: 39167B102
Meeting Type: Special
Meeting Date: 08-Jan-2013
Ticker: GCH
ISIN: US39167B1026
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. THE APPROVAL OF THE PROPOSED INVESTMENT Mgmt Split 92% For 6% Against 2% AbstainSplit
MANAGEMENT AGREEMENT BETWEEN THE FUND AND
ABERDEEN ASIA PACIFIC LIMITED.
--------------------------------------------------------------------------------------------------------------------------
THE NEW GERMANY FUND Agenda Number: 933833419
--------------------------------------------------------------------------------------------------------------------------
Security: 644465106
Meeting Type: Annual
Meeting Date: 26-Jun-2013
Ticker: GF
ISIN: US6444651060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MR. DETLEF BIERBAUM* Mgmt Split 86% For 14% Withheld Split
MR. C.H. STRENGER* Mgmt Split 86% For 14% Withheld Split
MR. R.H. WADSWORTH* Mgmt Split 86% For 14% Withheld Split
DR. WILHELM BENDER# Mgmt Split 86% For 14% Withheld Split
3. TO RATIFY THE APPOINTMENT BY THE AUDIT Mgmt Split 98% For 1% Against 1% AbstainSplit
COMMITTEE AND THE BOARD OF DIRECTORS OF
PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT
PUBLIC ACCOUNTING FIRM, AS INDEPENDENT
AUDITORS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013.
--------------------------------------------------------------------------------------------------------------------------
THE THAI FUND, INC. Agenda Number: 933664369
--------------------------------------------------------------------------------------------------------------------------
Security: 882904105
Meeting Type: Annual
Meeting Date: 22-Aug-2012
Ticker: TTF
ISIN: US8829041057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL BOZIC Mgmt Split 23% For 77% Withheld Split
MICHAEL F. KLEIN Mgmt Split 24% For 76% Withheld Split
W. ALLEN REED Mgmt Split 23% For 77% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
THE THAI FUND, INC. Agenda Number: 933826882
--------------------------------------------------------------------------------------------------------------------------
Security: 882904105
Meeting Type: Annual
Meeting Date: 24-Jun-2013
Ticker: TTF
ISIN: US8829041057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK L. BOWMAN Mgmt Split 44% For 56% Withheld Split
JAMES F. HIGGINS Mgmt Split 42% For 58% Withheld Split
MANUEL H. JOHNSON Mgmt Split 42% For 58% Withheld Split
2. TO CONSIDER AND ACT UPON A PROPOSAL TO Mgmt Split 99% For 1% Against Split
LIQUIDATE AND TERMINATE THE CONTRACTUAL
INVESTMENT PLAN EXISTING IN THAILAND
THROUGH WHICH THE THAI FUND, INC. (THE
"FUND") CURRENTLY HOLDS ALL OF ITS THAI
ASSETS.
3. TO CONSIDER AND ACT UPON A STOCKHOLDER Shr Split 6% For 89% Against 5% AbstainSplit
PROPOSAL TO TERMINATE THE INVESTMENT
MANAGEMENT AGREEMENT BETWEEN MORGAN STANLEY
INVESTMENT MANAGEMENT INC. AND THE FUND.
--------------------------------------------------------------------------------------------------------------------------
THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 933591617
--------------------------------------------------------------------------------------------------------------------------
Security: 989837109
Meeting Type: Annual
Meeting Date: 06-Jul-2012
Ticker:
ISIN: US9898371094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CHARLES H. BRUNIE Mgmt Split 75% For 25% Withheld Split
JAMES B. ROGERS, JR. Mgmt Split 75% For 25% Withheld Split
2A. TO APPROVE A REVISION TO THE FUND'S Mgmt Split 77% For 22% Against 1% AbstainSplit
INVESTMENT OBJECTIVE.
2B. TO APPROVE A RECLASSIFICATION OF THE FUND'S Mgmt Split 71% For 28% Against 1% AbstainSplit
INVESTMENT OBJECTIVE AS "NON-FUNDAMENTAL."
3A. TO APPROVE AN AMENDMENT TO THE FUNDAMENTAL Mgmt Split 76% For 22% Against 2% AbstainSplit
INVESTMENT RESTRICTIONS REGARDING
DIVERSIFICATION.
3B. TO APPROVE AN AMENDMENT TO THE FUNDAMENTAL Mgmt Split 76% For 22% Against 2% AbstainSplit
INVESTMENT RESTRICTIONS REGARDING THE
ISSUANCE OF SENIOR SECURITIES.
3C. TO APPROVE AN AMENDMENT TO THE FUNDAMENTAL Mgmt Split 75% For 23% Against 2% AbstainSplit
INVESTMENT RESTRICTIONS REGARDING INVESTING
IN COMMODITIES.
3F. TO APPROVE AN AMENDMENT TO THE FUNDAMENTAL Mgmt Split 76% For 23% Against 1% AbstainSplit
INVESTMENT RESTRICTIONS REGARDING
PURCHASING SECURITIES ON MARGIN.
3G. TO APPROVE AN AMENDMENT TO THE FUNDAMENTAL Mgmt Split 75% For 23% Against 2% AbstainSplit
INVESTMENT RESTRICTIONS REGARDING SHORT
SALES.
3H. TO APPROVE AN AMENDMENT TO THE FUNDAMENTAL Mgmt Split 75% For 23% Against 2% AbstainSplit
INVESTMENT RESTRICTIONS REGARDING
PURCHASING "RESTRICTED" SECURITIES.
4. TO APPROVE AN AMENDMENT TO THE FUND'S Mgmt Split 68% For 30% Against 2% AbstainSplit
INVESTMENT ADVISORY AGREEMENT.
--------------------------------------------------------------------------------------------------------------------------
THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 933787028
--------------------------------------------------------------------------------------------------------------------------
Security: 989837208
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: ZTR
ISIN: US9898372084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE R. AYLWARD Mgmt Split 83% For 17% Withheld Split
WILLIAM H. WRIGHT II Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TORTOISE CAPITAL ADVISORS, L.L.C. Agenda Number: 933757099
--------------------------------------------------------------------------------------------------------------------------
Security: 89148B101
Meeting Type: Annual
Meeting Date: 30-May-2013
Ticker: NTG
ISIN: US89148B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JOHN R. GRAHAM Mgmt Split 98% For 2% Withheld Split
2. APPROVAL FOR THE COMPANY, WITH THE APPROVAL Mgmt Split 89% For 8% Against 3% AbstainSplit
OF ITS BOARD OF DIRECTORS, TO SELL OR
OTHERWISE ISSUE SHARES OF ITS COMMON STOCK
AT A PRICE BELOW ITS THEN CURRENT NET ASSET
VALUE PER SHARE SUBJECT TO THE LIMITATIONS
SET FORTH IN THE PROXY STATEMENT FOR THE
2013 ANNUAL MEETING OF STOCKHOLDERS.
3. RATIFICATION OF ERNST & YOUNG LLP AS THE Mgmt Split 98% For 1% Against 1% AbstainSplit
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE FINANCIAL
STATEMENTS OF THE COMPANY FOR THE FISCAL
YEAR ENDING NOVEMBER 30, 2013.
--------------------------------------------------------------------------------------------------------------------------
TRI-CONTINENTAL CORPORATION Agenda Number: 933739673
--------------------------------------------------------------------------------------------------------------------------
Security: 895436103
Meeting Type: Annual
Meeting Date: 17-Apr-2013
Ticker: TY
ISIN: US8954361031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LEROY C. RICHIE Mgmt Split 66% For 34% Withheld Split
WILLIAM F. TRUSCOTT Mgmt Split 66% For 34% Withheld Split
2. TO RATIFY THE SELECTION OF Mgmt Split 80% For 10% Against 10% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE
CORPORATION'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
RiverNorth Doubleline Strategic Income Fund
All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a
proposal to equal more than 1%.
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMERGING MKTS Agenda Number: 933664369
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 22-Aug-2012
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL BOZIC Mgmt Split 96% For 4% Withheld Split
MICHAEL F. KLEIN Mgmt Split 96% For 4% Withheld Split
W. ALLEN REED Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMERGING MKTS Agenda Number: 933827985
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 24-Jun-2013
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK L. BOWMAN Mgmt Split 97% For 3% Withheld Split
JAMES F. HIGGINS Mgmt Split 97% For 3% Withheld Split
MANUEL H. JOHNSON Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ADVENT CLAYMORE Agenda Number: 933694730
--------------------------------------------------------------------------------------------------------------------------
Security: 00764C109
Meeting Type: Annual
Meeting Date: 14-Nov-2012
Ticker: AVK
ISIN: US00764C1099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS III DIRECTOR: MR. TRACY Mgmt Split 96% For 2% Against 2% AbstainSplit
V. MAITLAND
--------------------------------------------------------------------------------------------------------------------------
ADVENT/CLAYMORE ENHANCED FUND Agenda Number: 933694716
--------------------------------------------------------------------------------------------------------------------------
Security: 00765E104
Meeting Type: Annual
Meeting Date: 14-Nov-2012
Ticker: LCM
ISIN: US00765E1047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS II DIRECTOR: MR. TRACY V. Mgmt Split 95% For 2% Against 3% AbstainSplit
MAITLAND
1B. ELECTION OF CLASS II DIRECTOR: MR. RONALD Mgmt Split 95% For 2% Against 3% AbstainSplit
A. NYBERG
--------------------------------------------------------------------------------------------------------------------------
ALLIANCEBERNSTEIN INCOME FUND, INC. Agenda Number: 933739813
--------------------------------------------------------------------------------------------------------------------------
Security: 01881E101
Meeting Type: Annual
Meeting Date: 11-Jun-2013
Ticker: ACG
ISIN: US01881E1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN H. DOBKIN Mgmt Split 84% For 16% Withheld Split
MICHAEL J. DOWNEY Mgmt Split 84% For 16% Withheld Split
NANCY P. JACKLIN Mgmt Split 84% For 16% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 09248X100
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BBN
ISIN: US09248X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 98% For 2% Withheld Split
JAMES T. FLYNN Mgmt Split 97% For 3% Withheld Split
KAREN P. ROBARDS Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK DIVERSIFIED INCOME STRA FD INC Agenda Number: 933659065
--------------------------------------------------------------------------------------------------------------------------
Security: 09255W102
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: DVF
ISIN: US09255W1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 94% For 6% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 94% For 6% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 94% For 6% Withheld Split
FRANK J. FABOZZI Mgmt Split 94% For 6% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 94% For 6% Withheld Split
JAMES T. FLYNN Mgmt Split 94% For 6% Withheld Split
HENRY GABBAY Mgmt Split 94% For 6% Withheld Split
JERROLD B. HARRIS Mgmt Split 94% For 6% Withheld Split
R. GLENN HUBBARD Mgmt Split 94% For 6% Withheld Split
W. CARL KESTER Mgmt Split 94% For 6% Withheld Split
KAREN P. ROBARDS Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK DIVERSIFIED INCOME STRA FD INC Agenda Number: 933673130
--------------------------------------------------------------------------------------------------------------------------
Security: 09255W102
Meeting Type: Special
Meeting Date: 13-Sep-2012
Ticker: DVF
ISIN: US09255W1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 93% For 5% Against 2% AbstainSplit
ASKED TO APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION AMONG THE FUND, FRA MERGER
SUBSIDIARY AND BLACKROCK FLOATING RATE
INCOME STRATEGIES FUND, INC. AND THE
TERMINATION OF THE FUND'S REGISTRATION
UNDER THE INVESTMENT COMPANY ACT OF 1940.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK INCOME OPPORTUNITY TRUST Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 092475102
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BNA
ISIN: US0924751029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 97% For 3% Withheld Split
KAREN P. ROBARDS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK INCOME TRUST INC. Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 09247F100
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BKT
ISIN: US09247F1003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 91% For 9% Withheld Split
JAMES T. FLYNN Mgmt Split 91% For 9% Withheld Split
KAREN P. ROBARDS Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNI ENHANCED FD INC Agenda Number: 933659077
--------------------------------------------------------------------------------------------------------------------------
Security: 09253Y100
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: MEN
ISIN: US09253Y1001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 97% For 3% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 97% For 3% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 97% For 3% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 97% For 3% Withheld Split
HENRY GABBAY Mgmt Split 97% For 3% Withheld Split
JERROLD B. HARRIS Mgmt Split 97% For 3% Withheld Split
R. GLENN HUBBARD Mgmt Split 97% For 3% Withheld Split
KAREN P. ROBARDS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 97% For 3% Withheld Split
KAREN P. ROBARDS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 933691037
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Special
Meeting Date: 02-Nov-2012
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2.A THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 87% For 11% Against 2% AbstainSplit
APPROVE THE ISSUANCE OF ADDITIONAL COMMON
SHARES OF BTZ IN CONNECTION WITH THE
BLACKROCK CREDIT ALLOCATION INCOME TRUST I,
INC. REORGANIZATION AGREEMENT.
2.B THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 87% For 11% Against 2% AbstainSplit
APPROVE THE ISSUANCE OF ADDITIONAL COMMON
SHARES OF BTZ IN CONNECTION WITH THE
BLACKROCK CREDIT ALLOCATION INCOME TRUST
II, INC. REORGANIZATION AGREEMENT.
2.C THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 87% For 11% Against 2% AbstainSplit
APPROVE THE ISSUANCE OF ADDITIONAL COMMON
SHARES OF BTZ IN CONNECTION WITH THE
BLACKROCK CREDIT ALLOCATION INCOME TRUST
III REORGANIZATION AGREEMENT.
3.D THE SHAREHOLDERS OF BTZ ARE BEING ASKED TO Mgmt Split 88% For 9% Against 3% AbstainSplit
APPROVE THE REMOVAL OF BTZ'S INVESTMENT
POLICY REQUIRING THAT BTZ INVESTS AT LEAST
25% OF ITS MANAGED ASSETS IN SECURITIES OF
COMPANIES PRINCIPALLY ENGAGED IN PROVIDING
FINANCIAL SERVICES AND AMENDING BTZ'S
FUNDAMENTAL INVESTMENT RESTRICTION
REGARDING INDUSTRY CONCENTRATION TO REFLECT
THE REMOVAL OF SUCH INVESTMENT POLICY.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED OPPORTUNITY TRUST Agenda Number: 933659003
--------------------------------------------------------------------------------------------------------------------------
Security: 09249V103
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: BPP
ISIN: US09249V1035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FABOZZI Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 96% For 4% Withheld Split
KAREN P. ROBARDS Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED OPPORTUNITY TRUST Agenda Number: 933691025
--------------------------------------------------------------------------------------------------------------------------
Security: 09249V103
Meeting Type: Special
Meeting Date: 02-Nov-2012
Ticker: BPP
ISIN: US09249V1035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.C THE SHAREHOLDERS OF BPP ARE BEING ASKED TO Mgmt Split 84% For 14% Against 2% AbstainSplit
APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION AMONG BPP, BTZ MERGER
SUBSIDIARY AND BLACKROCK CREDIT ALLOCATION
INCOME TRUST IV AND THE TERMINATION OF
BPP'S REGISTRATION UNDER THE INVESTMENT
COMPANY ACT OF 1940.
3.C THE SHAREHOLDERS OF BPP ARE BEING ASKED TO Mgmt Split 84% For 14% Against 2% AbstainSplit
APPROVE THE REMOVAL OF BPP'S INVESTMENT
POLICY REQUIRING THAT BPP INVESTS AT LEAST
25% OF ITS MANAGED ASSETS IN SECURITIES OF
COMPANIES PRINCIPALLY ENGAGED IN PROVIDING
FINANCIAL SERVICES AND AMENDING BPP'S
FUNDAMENTAL INVESTMENT RESTRICTION ON
INDUSTRY CONCENTRATION TO TO REMOVE THE
EXCEPTION FOR THE FINANCIAL SERVICES
INDUSTRY.
--------------------------------------------------------------------------------------------------------------------------
BR PREFERRED & CORPORATE INCOME STRT FD Agenda Number: 933659065
--------------------------------------------------------------------------------------------------------------------------
Security: 09255J101
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: PSW
ISIN: US09255J1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 98% For 2% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
FRANK J. FABOZZI Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 98% For 2% Withheld Split
JAMES T. FLYNN Mgmt Split 98% For 2% Withheld Split
HENRY GABBAY Mgmt Split 98% For 2% Withheld Split
JERROLD B. HARRIS Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split
W. CARL KESTER Mgmt Split 98% For 2% Withheld Split
KAREN P. ROBARDS Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BR PREFERRED & CORPORATE INCOME STRT FD Agenda Number: 933691001
--------------------------------------------------------------------------------------------------------------------------
Security: 09255J101
Meeting Type: Special
Meeting Date: 02-Nov-2012
Ticker: PSW
ISIN: US09255J1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.A THE STOCKHOLDERS OF PSW ARE BEING ASKED TO Mgmt Split 82% For 16% Against 2% AbstainSplit
APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION AMONG PSW, BTZ MERGER
SUBSIDIARY AND BLACKROCK CREDIT ALLOCATION
INCOME TRUST IV AND THE TERMINATION OF
PSW'S REGISTRATION UNDER THE INVESTMENT
COMPANY ACT OF 1940.
3.A THE STOCKHOLDERS OF PSW ARE BEING ASKED TO Mgmt Split 83% For 15% Against 2% AbstainSplit
APPROVE THE REMOVAL OF PSW'S INVESTMENT
POLICY REQUIRING THAT PSW INVESTS AT LEAST
25% OF ITS TOTAL ASSETS IN THE INDUSTRIES
COMPRISING THE FINANCIAL SERVICES SECTOR
AND AMENDING PSW'S FUNDAMENTAL INVESTMENT
RESTRICTION REGARDING INDUSTRY
CONCENTRATION TO REFLECT THE REMOVAL OF
SUCH INVESTMENT POLICY.
--------------------------------------------------------------------------------------------------------------------------
BR PREFERRED INCOME STRATEGIES FUND Agenda Number: 933659065
--------------------------------------------------------------------------------------------------------------------------
Security: 09255H105
Meeting Type: Annual
Meeting Date: 27-Jul-2012
Ticker: PSY
ISIN: US09255H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 98% For 2% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
FRANK J. FABOZZI Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 98% For 2% Withheld Split
JAMES T. FLYNN Mgmt Split 98% For 2% Withheld Split
HENRY GABBAY Mgmt Split 98% For 2% Withheld Split
JERROLD B. HARRIS Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split
W. CARL KESTER Mgmt Split 98% For 2% Withheld Split
KAREN P. ROBARDS Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BR PREFERRED INCOME STRATEGIES FUND Agenda Number: 933691013
--------------------------------------------------------------------------------------------------------------------------
Security: 09255H105
Meeting Type: Special
Meeting Date: 02-Nov-2012
Ticker: PSY
ISIN: US09255H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.B THE STOCKHOLDERS OF PSY ARE BEING ASKED TO Mgmt Split 89% For 9% Against 2% AbstainSplit
APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION AMONG PSY, BTZ MERGER
SUBSIDIARY AND BLACKROCK CREDIT ALLOCATION
INCOME TRUST IV AND THE TERMINATION OF
PSY'S REGISTRATION UNDER THE INVESTMENT
COMPANY ACT OF 1940.
3.B THE STOCKHOLDERS OF PSY ARE BEING ASKED TO Mgmt Split 89% For 9% Against 2% AbstainSplit
APPROVE THE REMOVAL OF PSY'S INVESTMENT
POLICY REQUIRING THAT PSY INVESTS AT LEAST
25% OF ITS TOTAL ASSETS IN THE INDUSTRIES
COMPRISING THE FINANCIAL SERVICES SECTOR
AND AMENDING PSY'S FUNDAMENTAL INVESTMENT
RESTRICTION REGARDING INDUSTRY
CONCENTRATION TO REFLECT THE REMOVAL OF
SUCH INVESTMENT POLICY.
--------------------------------------------------------------------------------------------------------------------------
CALAMOS CONV & HIGH INCOME FUND Agenda Number: 933834714
--------------------------------------------------------------------------------------------------------------------------
Security: 12811P108
Meeting Type: Annual
Meeting Date: 21-Jun-2013
Ticker: CHY
ISIN: US12811P1084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WESTON W. MARSH Mgmt Split 97% For 3% Withheld Split
STEPHEN B. TIMBERS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLAYMORE FUNDS Agenda Number: 933694704
--------------------------------------------------------------------------------------------------------------------------
Security: 007639107
Meeting Type: Annual
Meeting Date: 14-Nov-2012
Ticker: AGC
ISIN: US0076391079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS III DIRECTOR: MR. TRACY Mgmt Split 95% For 3% Against 2% AbstainSplit
V. MAITLAND
--------------------------------------------------------------------------------------------------------------------------
DWS GLOBAL HIGH INCOME FUND, INC. Agenda Number: 933679889
--------------------------------------------------------------------------------------------------------------------------
Security: 23338W104
Meeting Type: Annual
Meeting Date: 28-Sep-2012
Ticker: LBF
ISIN: US23338W1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN W. BALLANTINE Mgmt Split 97% For 3% Withheld Split
HENRY P. BECTON, JR. Mgmt Split 97% For 3% Withheld Split
DAWN-MARIE DRISCOLL Mgmt Split 97% For 3% Withheld Split
PAUL K. FREEMAN Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SENIOR INCOME TRUST Agenda Number: 933681149
--------------------------------------------------------------------------------------------------------------------------
Security: 27826S103
Meeting Type: Annual
Meeting Date: 26-Oct-2012
Ticker: EVF
ISIN: US27826S1033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON* Mgmt Split 98% For 2% Withheld Split
ALLEN R. FREEDMAN* Mgmt Split 98% For 2% Withheld Split
HELEN FRAME PETERS* Mgmt Split 98% For 2% Withheld Split
HARRIETT TEE TAGGART# Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FEDERATED FUNDS Agenda Number: 933672897
--------------------------------------------------------------------------------------------------------------------------
Security: 314162108
Meeting Type: Annual
Meeting Date: 14-Sep-2012
Ticker: FTT
ISIN: US3141621082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
J. CHRISTOPHER DONAHUE Mgmt Split 75% For 25% Withheld Split
PETER E. MADDEN Mgmt Split 75% For 25% Withheld Split
C.F. MANSFIELD, JR. Mgmt Split 75% For 25% Withheld Split
2. APPROVE AMENDMENT TO DECLARATION OF TRUST. Mgmt Split 63% For 25% Against 12% AbstainSplit
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST ADVISORS Agenda Number: 933751770
--------------------------------------------------------------------------------------------------------------------------
Security: 33738E109
Meeting Type: Annual
Meeting Date: 17-Apr-2013
Ticker: FSD
ISIN: US33738E1091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JAMES A. BOWEN Mgmt Split 97% For 3% Withheld Split
NIEL B. NIELSON Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 933760060
--------------------------------------------------------------------------------------------------------------------------
Security: 361570104
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: GDL
ISIN: US3615701048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EDWARD T. TOKAR Mgmt Split 99% For 1% Withheld Split
SALVATORE J. ZIZZA Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 933760072
--------------------------------------------------------------------------------------------------------------------------
Security: 361570302
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: GDLPRB
ISIN: US3615703028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ANTHONY J. COLAVITA Mgmt For For
EDWARD T. TOKAR Mgmt For For
SALVATORE J. ZIZZA Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
GLOBAL INCOME & CURRENCY FUND, INC. Agenda Number: 933698966
--------------------------------------------------------------------------------------------------------------------------
Security: 378968101
Meeting Type: Special
Meeting Date: 16-Nov-2012
Ticker: GCF
ISIN: US3789681018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 97% For 2% Against 1% AbstainSplit
REORGANIZATION PURSUANT TO WHICH GLOBAL
INCOME & CURRENCY FUND INC. ("ACQUIRED
FUND") WOULD (I) TRANSFER SUBSTANTIALLY ALL
OF ITS ASSETS TO NUVEEN DIVERSIFIED
CURRENCY OPPORTUNITIES FUND ("ACQUIRING
FUND"), (II) DISTRIBUTE SUCH SHARES OF
ACQUIRING FUND TO COMMON HOLDERS OF
ACQUIRED FUND, (III) LIQUIDATE, DISSOLVE &
TERMINATE.
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933672051
--------------------------------------------------------------------------------------------------------------------------
Security: 42327Y202
Meeting Type: Annual
Meeting Date: 17-Aug-2012
Ticker: HMH
ISIN: US42327Y2028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
STUART A. MCFARLAND Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933672051
--------------------------------------------------------------------------------------------------------------------------
Security: 42328A203
Meeting Type: Annual
Meeting Date: 17-Aug-2012
Ticker: HSA
ISIN: US42328A2033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
STUART A. MCFARLAND Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933729999
--------------------------------------------------------------------------------------------------------------------------
Security: 42327V208
Meeting Type: Annual
Meeting Date: 26-Feb-2013
Ticker: HTR
ISIN: US42327V2088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RODMAN L. DRAKE Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ING PRIME RATE TRUST Agenda Number: 933637209
--------------------------------------------------------------------------------------------------------------------------
Security: 44977W106
Meeting Type: Annual
Meeting Date: 05-Jul-2012
Ticker: PPR
ISIN: US44977W1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
COLLEEN D. BALDWIN Mgmt Split 97% For 3% Withheld Split
JOHN V. BOYER Mgmt Split 97% For 3% Withheld Split
PATRICIA W. CHADWICK Mgmt Split 97% For 3% Withheld Split
ROBERT W. CRISPIN Mgmt Split 50% For 50% Withheld Split
PETER S. DROTCH Mgmt Split 97% For 3% Withheld Split
J. MICHAEL EARLEY Mgmt Split 97% For 3% Withheld Split
PATRICK W. KENNY Mgmt Split 97% For 3% Withheld Split
SHAUN P. MATHEWS Mgmt Split 97% For 3% Withheld Split
SHERYL K. PRESSLER Mgmt Split 97% For 3% Withheld Split
ROGER B. VINCENT Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 933663848
--------------------------------------------------------------------------------------------------------------------------
Security: 46131H107
Meeting Type: Annual
Meeting Date: 25-Sep-2012
Ticker: VVR
ISIN: US46131H1077
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 APPROVAL OF AN AGREEMENT AND PLAN OF Mgmt Split 95% For 2% Against 3% AbstainSplit
REDOMESTICATION THAT PROVIDES FOR THE
REORGANIZATION OF THE FUND AS A DELAWARE
STATUTORY TRUST.
3C1 DIRECTOR
WAYNE W. WHALEN Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 933663800
--------------------------------------------------------------------------------------------------------------------------
Security: 46132R104
Meeting Type: Annual
Meeting Date: 25-Sep-2012
Ticker: VTA
ISIN: US46132R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. APPROVAL OF AN AMENDED AND RESTATED Mgmt Split 92% For 5% Against 3% AbstainSplit
AGREEMENT AND DECLARATION OF TRUST.
3D. DIRECTOR
LINDA HUTTON HEAGY Mgmt Split 97% For 3% Withheld Split
WAYNE W. WHALEN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 933831364
--------------------------------------------------------------------------------------------------------------------------
Security: 486606502
Meeting Type: Annual
Meeting Date: 18-Jun-2013
Ticker: KYNPRE
ISIN: US4866065026
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H. SHEA, JR. Mgmt Split 15% For 85% Withheld Split
ANNE K. COSTIN Mgmt Split 67% For 33% Withheld Split
2. THE RATIFICATION OF THE SELECTION OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2013.
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 933831364
--------------------------------------------------------------------------------------------------------------------------
Security: 486606601
Meeting Type: Annual
Meeting Date: 18-Jun-2013
Ticker: KYNPRF
ISIN: US4866066016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H. SHEA, JR. Mgmt Split 39% For 61% Withheld Split
ANNE K. COSTIN Mgmt Split 59% For 41% Withheld Split
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 97% For 3% Against Split
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2013.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 933708933
--------------------------------------------------------------------------------------------------------------------------
Security: 52469B100
Meeting Type: Annual
Meeting Date: 14-Dec-2012
Ticker: BWG
ISIN: US52469B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN* Mgmt Split 96% For 4% Withheld Split
DANIEL P. CRONIN* Mgmt Split 96% For 4% Withheld Split
PAOLO M. CUCCHI* Mgmt Split 96% For 4% Withheld Split
LESLIE H. GELB$ Mgmt Split 96% For 4% Withheld Split
WILLIAM R. HUTCHINSON$ Mgmt Split 96% For 4% Withheld Split
R. JAY GERKEN$ Mgmt Split 96% For 4% Withheld Split
JESWALD W. SALACUSE# Mgmt Split 96% For 4% Withheld Split
RIORDAN ROETT# Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 933729975
--------------------------------------------------------------------------------------------------------------------------
Security: 52469B100
Meeting Type: Annual
Meeting Date: 22-Feb-2013
Ticker: BWG
ISIN: US52469B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN* Mgmt Split 97% For 3% Withheld Split
DANIEL P. CRONIN* Mgmt Split 97% For 3% Withheld Split
PAOLO M. CUCCHI* Mgmt Split 97% For 3% Withheld Split
EILEEN A. KAMERICK# Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MONTGOMERY STREET INCOME SECURITIES, INC Agenda Number: 933640371
--------------------------------------------------------------------------------------------------------------------------
Security: 614115103
Meeting Type: Annual
Meeting Date: 17-Jul-2012
Ticker: MTS
ISIN: US6141151034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
RICHARD J. BRADSHAW Mgmt Split 73% For 27% Withheld Split
VICTOR L. HYMES Mgmt Split 71% For 29% Withheld Split
WENDELL G. VAN AUKEN Mgmt Split 73% For 27% Withheld Split
NANCY E. WALLACE Mgmt Split 71% For 29% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 933664369
--------------------------------------------------------------------------------------------------------------------------
Security: 61744H105
Meeting Type: Annual
Meeting Date: 22-Aug-2012
Ticker: MSD
ISIN: US61744H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL BOZIC Mgmt Split 90% For 10% Withheld Split
MICHAEL F. KLEIN Mgmt Split 90% For 10% Withheld Split
W. ALLEN REED Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY TRUSTS Agenda Number: 933828002
--------------------------------------------------------------------------------------------------------------------------
Security: 61745P874
Meeting Type: Annual
Meeting Date: 24-Jun-2013
Ticker: ICB
ISIN: US61745P8749
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL F. KLEIN Mgmt Split 96% For 4% Withheld Split
MICHAEL E. NUGENT Mgmt Split 95% For 5% Withheld Split
W. ALLEN REED Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEXPOINT FUNDS Agenda Number: 933821200
--------------------------------------------------------------------------------------------------------------------------
Security: 65340G106
Meeting Type: Annual
Meeting Date: 07-Jun-2013
Ticker: NHF
ISIN: US65340G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO ELECT BRYAN A. WARD AS A CLASS I TRUSTEE Mgmt Split 98% For 1% Against 1% AbstainSplit
OF THE FUND, TO SERVE FOR A THREE-YEAR TERM
EXPIRING AT THE 2016 ANNUAL MEETING OR
UNTIL HIS SUCCESSOR IS DULY ELECTED AND
QUALIFIED.
--------------------------------------------------------------------------------------------------------------------------
NUVEEN DIVIDEND ADVANTAGE MUNI FD Agenda Number: 933667187
--------------------------------------------------------------------------------------------------------------------------
Security: 67066V101
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: NAD
ISIN: US67066V1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1D. DIRECTOR
ROBERT P. BREMNER Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INSURED DIVIDEND ADV MUNI FUND Agenda Number: 933667187
--------------------------------------------------------------------------------------------------------------------------
Security: 67071L106
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: NVG
ISIN: US67071L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1D. DIRECTOR
ROBERT P. BREMNER Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INSURED MUNICIPAL OPPORTUNITY FD Agenda Number: 933667149
--------------------------------------------------------------------------------------------------------------------------
Security: 670984103
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: NIO
ISIN: US6709841034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JOHN P. AMBOIAN Mgmt Split 96% For 4% Withheld Split
ROBERT P. BREMNER Mgmt Split 96% For 4% Withheld Split
JACK B. EVANS Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 96% For 4% Withheld Split
CAROLE E. STONE Mgmt Split 96% For 4% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 933667202
--------------------------------------------------------------------------------------------------------------------------
Security: 67074C103
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: NBB
ISIN: US67074C1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1E. DIRECTOR
ROBERT P. BREMNER Mgmt Split 98% For 2% Withheld *
JACK B. EVANS Mgmt Split 98% For 2% Withheld *
WILLIAM J. SCHNEIDER Mgmt Split 98% For 2% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 933667202
--------------------------------------------------------------------------------------------------------------------------
Security: 67074Q102
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: NBD
ISIN: US67074Q1022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1E. DIRECTOR
ROBERT P. BREMNER Mgmt Split 96% For 4% Withheld *
JACK B. EVANS Mgmt Split 96% For 4% Withheld *
WILLIAM J. SCHNEIDER Mgmt Split 96% For 4% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MULTI-CURR. SHORT-TERM GOVT INC Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67090N109
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JGT
ISIN: US67090N1090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 98% For 2% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 98% For 2% Withheld Split
CAROLE E. STONE Mgmt Split 98% For 2% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERRED AND CONVERTIBLE INCOME Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67073B106
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JPC
ISIN: US67073B1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN QUALITY PREFERRED INCOME FUND 3 Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67072W101
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JHP
ISIN: US67072W1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 96% For 4% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 95% For 5% Withheld Split
CAROLE E. STONE Mgmt Split 96% For 4% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE INCOME FUND Agenda Number: 933663963
--------------------------------------------------------------------------------------------------------------------------
Security: 72201H108
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: PFL
ISIN: US72201H1086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BRADFORD K. GALLAGHER* Mgmt Split 97% For 3% Withheld Split
DEBORAH A. DECOTIS** Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE STRATEGY FUND Agenda Number: 933664496
--------------------------------------------------------------------------------------------------------------------------
Security: 72201J104
Meeting Type: Annual
Meeting Date: 31-Jul-2012
Ticker: PFN
ISIN: US72201J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BRADFORD K. GALLAGHER* Mgmt Split 92% For 8% Withheld Split
WILLIAM B. OGDEN, IV** Mgmt Split 92% For 8% Withheld Split
DEBORAH A. DECOTIS* Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO INCOME OPPORTUNITY FD Agenda Number: 933746820
--------------------------------------------------------------------------------------------------------------------------
Security: 72202B100
Meeting Type: Annual
Meeting Date: 30-Apr-2013
Ticker: PKO
ISIN: US72202B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) DIRECTOR
JAMES A. JACOBSON Mgmt Split 98% For 2% Withheld Split
JOHN C. MANEY Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MASTER INTERMEDIATE INCOME TRUST Agenda Number: 933717449
--------------------------------------------------------------------------------------------------------------------------
Security: 746909100
Meeting Type: Annual
Meeting Date: 31-Jan-2013
Ticker: PIM
ISIN: US7469091000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 15. Mgmt Split 93% For 4% Against 3% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 94% For 6% Withheld Split
RAVI AKHOURY Mgmt Split 94% For 6% Withheld Split
JAMESON A. BAXTER Mgmt Split 94% For 6% Withheld Split
BARBARA M. BAUMANN Mgmt Split 94% For 6% Withheld Split
CHARLES B. CURTIS Mgmt Split 94% For 6% Withheld Split
ROBERT J. DARRETTA Mgmt Split 94% For 6% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 94% For 6% Withheld Split
JOHN A. HILL Mgmt Split 94% For 6% Withheld Split
PAUL L. JOSKOW Mgmt Split 94% For 6% Withheld Split
ELIZABETH T. KENNAN Mgmt Split 94% For 6% Withheld Split
KENNETH R. LEIBLER Mgmt Split 94% For 6% Withheld Split
ROBERT E. PATTERSON Mgmt Split 94% For 6% Withheld Split
GEORGE PUTNAM, III Mgmt Split 94% For 6% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 94% For 6% Withheld Split
W. THOMAS STEPHENS Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TORTOISE CAPITAL ADVISORS, L.L.C. Agenda Number: 933757087
--------------------------------------------------------------------------------------------------------------------------
Security: 89148J203
Meeting Type: Annual
Meeting Date: 30-May-2013
Ticker: TYYPRC
ISIN: US89148J2033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
JOHN R. GRAHAM Mgmt Split 87% For 13% Withheld Split
H. KEVIN BIRZER Mgmt Split 70% For 30% Withheld Split
2. APPROVAL FOR THE COMPANY, WITH THE APPROVAL Mgmt Split 94% For 5% Against 1% AbstainSplit
OF ITS BOARD OF DIRECTORS, TO SELL OR
OTHERWISE ISSUE SHARES OF ITS COMMON STOCK
AT A PRICE BELOW ITS THEN CURRENT NET ASSET
VALUE PER SHARE SUBJECT TO THE LIMITATIONS
SET FORTH IN THE PROXY STATEMENT FOR THE
2013 ANNUAL MEETING OF STOCKHOLDERS.
3. RATIFICATION OF ERNST & YOUNG LLP AS THE Mgmt Split 96% For 3% Against 1% AbstainSplit
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE FINANCIAL
STATEMENTS OF THE COMPANY FOR THE FISCAL
YEAR ENDING NOVEMBER 30, 2013.
--------------------------------------------------------------------------------------------------------------------------
VIRTUS INVESTMENT PARTNERS Agenda Number: 933787585
--------------------------------------------------------------------------------------------------------------------------
Security: 92829B101
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: VGI
ISIN: US92829B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS F. MANN Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO ADVANTAGE FUNDS Agenda Number: 933724254
--------------------------------------------------------------------------------------------------------------------------
Security: 94987D101
Meeting Type: Annual
Meeting Date: 11-Feb-2013
Ticker: ERC
ISIN: US94987D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PETER G. GORDON Mgmt Split 98% For 2% Withheld Split
TIMOTHY J. PENNY Mgmt Split 98% For 2% Withheld Split
MICHAEL S. SCOFIELD Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET INFLATION MANAGEMENT FUND Agenda Number: 933769210
--------------------------------------------------------------------------------------------------------------------------
Security: 95766U107
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: IMF
ISIN: US95766U1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LESLIE H. GELB* Mgmt Split 49% For 51% Withheld Split
R. JAY GERKEN* Mgmt Split 49% For 51% Withheld Split
WILLIAM R. HUTCHINSON* Mgmt Split 49% For 51% Withheld Split
EILEEN A. KAMERICK# Mgmt Split 48% For 52% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 933773461
--------------------------------------------------------------------------------------------------------------------------
Security: 95766R104
Meeting Type: Annual
Meeting Date: 30-Apr-2013
Ticker: WIW
ISIN: US95766R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KENNETH D. FULLER Mgmt Split 93% For 7% Withheld Split
RONALD E. TOUPIN, JR. Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET/CLAYMORE LINKED SEC & INC Agenda Number: 933773459
--------------------------------------------------------------------------------------------------------------------------
Security: 95766Q106
Meeting Type: Annual
Meeting Date: 30-Apr-2013
Ticker: WIA
ISIN: US95766Q1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL LARSON Mgmt Split 94% For 6% Withheld Split
RiverNorth/Manning & Napier Dividend Income Fund
All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a
proposal to equal more than 1%.
--------------------------------------------------------------------------------------------------------------------------
3M COMPANY Agenda Number: 933754966
--------------------------------------------------------------------------------------------------------------------------
Security: 88579Y101
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: MMM
ISIN: US88579Y1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: LINDA G. ALVARADO Mgmt For For
1B. ELECTION OF DIRECTOR: VANCE D. COFFMAN Mgmt For For
1C. ELECTION OF DIRECTOR: MICHAEL L. ESKEW Mgmt For For
1D. ELECTION OF DIRECTOR: W. JAMES FARRELL Mgmt For For
1E. ELECTION OF DIRECTOR: HERBERT L. HENKEL Mgmt For For
1F. ELECTION OF DIRECTOR: MUHTAR KENT Mgmt For For
1G. ELECTION OF DIRECTOR: EDWARD M. LIDDY Mgmt For For
1H. ELECTION OF DIRECTOR: ROBERT S. MORRISON Mgmt For For
1I. ELECTION OF DIRECTOR: AULANA L. PETERS Mgmt Against Against
1J. ELECTION OF DIRECTOR: INGE G. THULIN Mgmt For For
1K. ELECTION OF DIRECTOR: ROBERT J. ULRICH Mgmt For For
2. TO RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS 3M'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3. ADVISORY APPROVAL OF EXECUTIVE Mgmt For For
COMPENSATION.
4. STOCKHOLDER PROPOSAL ON ACTION BY WRITTEN Shr For Against
CONSENT.
5. STOCKHOLDER PROPOSAL ON PROHIBITING Shr Against For
POLITICAL SPENDING FROM CORPORATE TREASURY
FUNDS.
--------------------------------------------------------------------------------------------------------------------------
ABB LTD Agenda Number: 933769854
--------------------------------------------------------------------------------------------------------------------------
Security: 000375204
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: ABB
ISIN: US0003752047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2.1 APPROVAL OF THE ANNUAL REPORT, THE Mgmt For For
CONSOLIDATED FINANCIAL STATEMENTS, AND THE
ANNUAL FINANCIAL STATEMENTS FOR 2012
2.2 CONSULTATIVE VOTE ON THE 2012 REMUNERATION Mgmt For For
REPORT
3 DISCHARGE OF THE BOARD OF DIRECTORS AND THE Mgmt For For
PERSONS ENTRUSTED WITH MANAGEMENT
4 APPROPRIATION OF AVAILABLE EARNINGS AND Mgmt For For
DISTRIBUTION OF CAPITAL CONTRIBUTION
RESERVE
5 RENEWAL OF AUTHORIZED SHARE CAPITAL Mgmt For For
6.1 RE-ELECTION TO THE BOARD OF DIRECTOR: ROGER Mgmt For For
AGNELLI
6.2 RE-ELECTION TO THE BOARD OF DIRECTOR: LOUIS Mgmt For For
R. HUGHES
6.3 RE-ELECTION TO THE BOARD OF DIRECTOR: HANS Mgmt For For
ULRICH MARKI
6.4 RE-ELECTION TO THE BOARD OF DIRECTOR: Mgmt For For
MICHEL DE ROSEN
6.5 RE-ELECTION TO THE BOARD OF DIRECTOR: Mgmt For For
MICHAEL TRESCHOW
6.6 RE-ELECTION TO THE BOARD OF DIRECTOR: JACOB Mgmt Against Against
WALLENBERG
6.7 RE-ELECTION TO THE BOARD OF DIRECTOR: YING Mgmt For For
YEH
6.8 RE-ELECTION TO THE BOARD OF DIRECTOR: Mgmt For For
HUBERTUS VON GRUNBERG
7 RE-ELECTION OF THE AUDITORS ERNST & YOUNG Mgmt For For
AG
--------------------------------------------------------------------------------------------------------------------------
ABBOTT LABORATORIES Agenda Number: 933743672
--------------------------------------------------------------------------------------------------------------------------
Security: 002824100
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ABT
ISIN: US0028241000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
R.J. ALPERN Mgmt For For
R.S. AUSTIN Mgmt For For
S.E. BLOUNT Mgmt For For
W.J. FARRELL Mgmt For For
E.M. LIDDY Mgmt For For
N. MCKINSTRY Mgmt For For
P.N. NOVAKOVIC Mgmt For For
W.A. OSBORN Mgmt For For
S.C. SCOTT III Mgmt For For
G.F. TILTON Mgmt For For
M.D. WHITE Mgmt For For
2. RATIFICATION OF DELOITTE & TOUCHE LLP AS Mgmt For For
AUDITORS
3. SAY ON PAY - AN ADVISORY VOTE TO APPROVE Mgmt Against Against
EXECUTIVE COMPENSATION
4. SHAREHOLDER PROPOSAL - GENETICALLY MODIFIED Shr Against For
INGREDIENTS
5. SHAREHOLDER PROPOSAL - LOBBYING DISCLOSURE Shr Against For
6. SHAREHOLDER PROPOSAL - INDEPENDENT BOARD Shr For Against
CHAIR
7. SHAREHOLDER PROPOSAL - EQUITY RETENTION AND Shr Against For
HEDGING
8. SHAREHOLDER PROPOSAL - INCENTIVE Shr For Against
COMPENSATION
9. SHAREHOLDER PROPOSAL - ACCELERATED VESTING Shr Against For
OF AWARDS UPON CHANGE IN CONTROL
--------------------------------------------------------------------------------------------------------------------------
ABBVIE INC. Agenda Number: 933751869
--------------------------------------------------------------------------------------------------------------------------
Security: 00287Y109
Meeting Type: Annual
Meeting Date: 06-May-2013
Ticker: ABBV
ISIN: US00287Y1091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H.L. BURNSIDE Mgmt For For
EDWARD J. RAPP Mgmt For For
ROY S. ROBERTS Mgmt For For
2. RATIFICATION OF ERNST & YOUNG LLP AS Mgmt For For
AUDITORS OF ABBVIE FOR 2013.
3. SAY ON PAY - AN ADVISORY VOTE ON THE Mgmt For For
APPROVAL OF EXECUTIVE COMPENSATION.
4. SAY WHEN ON PAY - AN ADVISORY VOTE ON THE Mgmt 1 Year For
FREQUENCY OF THE ADVISORY STOCKHOLDER VOTE
TO APPROVE EXECUTIVE COMPENSATION.
5. APPROVAL OF THE ABBVIE 2013 INCENTIVE STOCK Mgmt For For
PROGRAM.
--------------------------------------------------------------------------------------------------------------------------
ACCENTURE PLC Agenda Number: 933722945
--------------------------------------------------------------------------------------------------------------------------
Security: G1151C101
Meeting Type: Annual
Meeting Date: 06-Feb-2013
Ticker: ACN
ISIN: IE00B4BNMY34
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. ACCEPTANCE, IN A NON-BINDING VOTE, OF THE Mgmt For For
FINANCIAL STATEMENTS FOR THE TWELVE MONTH
PERIOD ENDED AUGUST 31, 2012 AS PRESENTED
2A. RE-APPOINTMENT OF THE DIRECTOR: WILLIAM L. Mgmt For For
KIMSEY
2B. RE-APPOINTMENT OF THE DIRECTOR: ROBERT I. Mgmt For For
LIPP
2C. RE-APPOINTMENT OF THE DIRECTOR: PIERRE Mgmt For For
NANTERME
2D. RE-APPOINTMENT OF THE DIRECTOR: GILLES C. Mgmt For For
PELISSON
2E. RE-APPOINTMENT OF THE DIRECTOR: WULF VON Mgmt Against Against
SCHIMMELMANN
3. RATIFICATION, IN A NON-BINDING VOTE, OF Mgmt For For
APPOINTMENT OF KPMG AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
2013 FISCAL YEAR AND AUTHORIZATION, IN A
BINDING VOTE, OF THE BOARD, ACTING THROUGH
THE AUDIT COMMITTEE, TO DETERMINE KPMG'S
REMUNERATION
4. APPROVAL, IN A NON-BINDING VOTE, OF THE Mgmt For For
COMPENSATION OF THE NAMED EXECUTIVE
OFFICERS
5. APPROVAL OF AN AMENDMENT TO THE ACCENTURE Mgmt For For
PLC 2010 SHARE INCENTIVE PLAN
6. AUTHORIZATION TO HOLD THE 2014 ANNUAL Mgmt For For
GENERAL MEETING OF SHAREHOLDERS OF
ACCENTURE PLC AT A LOCATION OUTSIDE OF
IRELAND
7. AUTHORIZATION OF ACCENTURE TO MAKE Mgmt For For
OPEN-MARKET PURCHASES OF ACCENTURE PLC
CLASS A ORDINARY SHARES
8. DETERMINATION OF THE PRICE RANGE AT WHICH Mgmt For For
ACCENTURE PLC CAN RE-ISSUE SHARES THAT IT
ACQUIRES AS TREASURY STOCK
9. SHAREHOLDER PROPOSAL: REPORT ON LOBBYING Shr Against For
PRACTICES
--------------------------------------------------------------------------------------------------------------------------
ADAMS EXPRESS COMPANY Agenda Number: 933737073
--------------------------------------------------------------------------------------------------------------------------
Security: 006212104
Meeting Type: Annual
Meeting Date: 19-Mar-2013
Ticker: ADX
ISIN: US0062121043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ENRIQUE R. ARZAC Mgmt Split 55% For 45% Withheld Split
PHYLLIS O. BONANNO Mgmt Split 55% For 45% Withheld Split
KENNETH J. DALE Mgmt Split 57% For 43% Withheld Split
FREDERIC A. ESCHERICH Mgmt Split 57% For 43% Withheld Split
ROGER W. GALE Mgmt Split 56% For 44% Withheld Split
KATHLEEN T. MCGAHRAN Mgmt Split 56% For 44% Withheld Split
CRAIG R. SMITH Mgmt Split 56% For 44% Withheld Split
MARK E. STOECKLE Mgmt Split 83% For 17% Withheld Split
2. THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Mgmt Split 68% For 1% Against 31% AbstainSplit
AS INDEPENDENT PUBLIC AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
AIR PRODUCTS AND CHEMICALS, INC. Agenda Number: 933716827
--------------------------------------------------------------------------------------------------------------------------
Security: 009158106
Meeting Type: Annual
Meeting Date: 24-Jan-2013
Ticker: APD
ISIN: US0091581068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: WILLIAM L. DAVIS III Mgmt For For
1B. ELECTION OF DIRECTOR: W. DOUGLAS FORD Mgmt For For
1C. ELECTION OF DIRECTOR: EVERT HENKES Mgmt For For
1D. ELECTION OF DIRECTOR: MARGARET G. MCGLYNN Mgmt For For
2. APPOINTMENT OF INDEPENDENT REGISTERED Mgmt For For
PUBLIC ACCOUNTANTS. RATIFICATION OF
APPOINTMENT OF KPMG LLP, AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTANTS FOR FISCAL
YEAR 2013.
3. ADVISORY VOTE ON EXECUTIVE OFFICER Mgmt For For
COMPENSATION. TO APPROVE THE COMPENSATION
OF NAMED EXECUTIVE OFFICERS.
4. APPROVAL OF AMENDMENT TO THE LONG-TERM Mgmt For For
INCENTIVE PLAN. TO APPROVE THE LONG-TERM
INCENTIVE PLAN, INCLUDING TO INCREASE THE
NUMBER OF SHARES AUTHORIZED FOR USE UNDER
THE PLAN. THE BOARD OF DIRECTORS
RECOMMENDS YOU VOTE "AGAINST"
THE FOLLOWING PROPOSAL
5. SHAREHOLDER PROPOSAL TO REPEAL CLASSIFIED Shr For Against
BOARD.
--------------------------------------------------------------------------------------------------------------------------
ALPINE GLOBAL PREMIER PPTYS FD Agenda Number: 933775186
--------------------------------------------------------------------------------------------------------------------------
Security: 021060108
Meeting Type: Annual
Meeting Date: 21-May-2013
Ticker: AOD
ISIN: US0210601086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JAMES A. JACOBSON Mgmt Split 89% For 11% Withheld Split
H. GUY LEIBLER Mgmt Split 89% For 11% Withheld Split
2. TO TRANSACT SUCH OTHER BUSINESS AS MAY Mgmt Split 77% For 20% Against 3% AbstainSplit
PROPERLY COME BEFORE THE MEETING OR ANY
ADJOURNMENTS THEREOF.
--------------------------------------------------------------------------------------------------------------------------
AMGEN INC. Agenda Number: 933774968
--------------------------------------------------------------------------------------------------------------------------
Security: 031162100
Meeting Type: Annual
Meeting Date: 22-May-2013
Ticker: AMGN
ISIN: US0311621009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DR. DAVID BALTIMORE Mgmt For For
1B. ELECTION OF DIRECTOR: MR. FRANK J. BIONDI, Mgmt For For
JR.
1C. ELECTION OF DIRECTOR: MR. ROBERT A. BRADWAY Mgmt For For
1D. ELECTION OF DIRECTOR: MR. FRANCOIS DE Mgmt For For
CARBONNEL
1E. ELECTION OF DIRECTOR: DR. VANCE D. COFFMAN Mgmt For For
1F. ELECTION OF DIRECTOR: MR. ROBERT A. ECKERT Mgmt For For
1G. ELECTION OF DIRECTOR: DR. REBECCA M. Mgmt For For
HENDERSON
1H. ELECTION OF DIRECTOR: MR. FRANK C. Mgmt For For
HERRINGER
1I. ELECTION OF DIRECTOR: DR. TYLER JACKS Mgmt For For
1J. ELECTION OF DIRECTOR: DR. GILBERT S. OMENN Mgmt For For
1K. ELECTION OF DIRECTOR: MS. JUDITH C. PELHAM Mgmt For For
1L. ELECTION OF DIRECTOR: MR. LEONARD D. Mgmt For For
SCHAEFFER
1M. ELECTION OF DIRECTOR: DR. RONALD D. SUGAR Mgmt For For
2. TO RATIFY THE SELECTION OF ERNST & YOUNG Mgmt For For
LLP AS OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTANTS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013.
3. ADVISORY VOTE TO APPROVE OUR EXECUTIVE Mgmt For For
COMPENSATION.
4. APPROVAL OF OUR PROPOSED AMENDED AND Mgmt For For
RESTATED 2009 EQUITY INCENTIVE PLAN.
--------------------------------------------------------------------------------------------------------------------------
ANALOG DEVICES, INC. Agenda Number: 933730322
--------------------------------------------------------------------------------------------------------------------------
Security: 032654105
Meeting Type: Annual
Meeting Date: 13-Mar-2013
Ticker: ADI
ISIN: US0326541051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: RAY STATA Mgmt For For
1B. ELECTION OF DIRECTOR: JERALD G. FISHMAN Mgmt For For
1C. ELECTION OF DIRECTOR: JAMES A. CHAMPY Mgmt For For
1D. ELECTION OF DIRECTOR: JOHN C. HODGSON Mgmt For For
1E. ELECTION OF DIRECTOR: YVES-ANDRE ISTEL Mgmt For For
1F. ELECTION OF DIRECTOR: NEIL NOVICH Mgmt For For
1G. ELECTION OF DIRECTOR: F. GRANT SAVIERS Mgmt For For
1H. ELECTION OF DIRECTOR: PAUL J. SEVERINO Mgmt For For
1I. ELECTION OF DIRECTOR: KENTON J. SICCHITANO Mgmt For For
1J. ELECTION OF DIRECTOR: LISA T. SU Mgmt For For
2. TO APPROVE, BY NON-BINDING "SAY-ON-PAY" Mgmt Against Against
VOTE, THE COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS, ALL AS MORE FULLY
DESCRIBED IN THE PROXY STATEMENT.
3. TO APPROVE THE ANALOG DEVICES, INC. Mgmt For For
EXECUTIVE SECTION 162(M) PLAN.
4. TO RATIFY THE SELECTION OF ERNST & YOUNG Mgmt For For
LLP AS OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING
NOVEMBER 2, 2013.
--------------------------------------------------------------------------------------------------------------------------
APPLIED MATERIALS, INC. Agenda Number: 933729266
--------------------------------------------------------------------------------------------------------------------------
Security: 038222105
Meeting Type: Annual
Meeting Date: 05-Mar-2013
Ticker: AMAT
ISIN: US0382221051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: AART J. DE GEUS Mgmt For For
1B. ELECTION OF DIRECTOR: STEPHEN R. FORREST Mgmt For For
1C. ELECTION OF DIRECTOR: THOMAS J. IANNOTTI Mgmt For For
1D. ELECTION OF DIRECTOR: SUSAN M. JAMES Mgmt For For
1E. ELECTION OF DIRECTOR: ALEXANDER A. KARSNER Mgmt For For
1F. ELECTION OF DIRECTOR: GERHARD H. PARKER Mgmt For For
1G. ELECTION OF DIRECTOR: DENNIS D. POWELL Mgmt For For
1H. ELECTION OF DIRECTOR: WILLEM P. ROELANDTS Mgmt For For
1I. ELECTION OF DIRECTOR: JAMES E. ROGERS Mgmt For For
1J. ELECTION OF DIRECTOR: MICHAEL R. SPLINTER Mgmt For For
1K. ELECTION OF DIRECTOR: ROBERT H. SWAN Mgmt For For
2. TO APPROVE, ON AN ADVISORY BASIS, THE Mgmt For For
COMPENSATION OF APPLIED MATERIALS' NAMED
EXECUTIVE OFFICERS.
3. TO RATIFY THE APPOINTMENT OF KPMG LLP AS Mgmt For For
APPLIED MATERIALS' INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR
2013.
MA PLEASE INDICATE IF YOU PLAN TO ATTEND THIS Mgmt Abstain
MEETING.
--------------------------------------------------------------------------------------------------------------------------
ARCHER-DANIELS-MIDLAND COMPANY Agenda Number: 933690807
--------------------------------------------------------------------------------------------------------------------------
Security: 039483102
Meeting Type: Annual
Meeting Date: 01-Nov-2012
Ticker: ADM
ISIN: US0394831020
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: A.L. BOECKMANN Mgmt For For
1B. ELECTION OF DIRECTOR: G.W. BUCKLEY Mgmt For For
1C. ELECTION OF DIRECTOR: M.H. CARTER Mgmt For For
1D. ELECTION OF DIRECTOR: T. CREWS Mgmt For For
1E. ELECTION OF DIRECTOR: P. DUFOUR Mgmt For For
1F. ELECTION OF DIRECTOR: D.E. FELSINGER Mgmt For For
1G. ELECTION OF DIRECTOR: A. MACIEL Mgmt For For
1H. ELECTION OF DIRECTOR: P.J. MOORE Mgmt For For
1I. ELECTION OF DIRECTOR: T.F. O'NEILL Mgmt For For
1J. ELECTION OF DIRECTOR: D. SHIH Mgmt For For
1K. ELECTION OF DIRECTOR: K.R. WESTBROOK Mgmt For For
1L. ELECTION OF DIRECTOR: P.A. WOERTZ Mgmt For For
2. RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Mgmt For For
AS INDEPENDENT AUDITORS FOR THE SIX-MONTH
PERIOD ENDING DECEMBER 31, 2012.
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
4. STOCKHOLDER'S PROPOSAL REGARDING SPECIAL Shr For Against
SHAREOWNER MEETINGS.
--------------------------------------------------------------------------------------------------------------------------
ARCHER-DANIELS-MIDLAND COMPANY Agenda Number: 933759396
--------------------------------------------------------------------------------------------------------------------------
Security: 039483102
Meeting Type: Annual
Meeting Date: 02-May-2013
Ticker: ADM
ISIN: US0394831020
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: A.L. BOECKMANN Mgmt For For
1B. ELECTION OF DIRECTOR: G.W. BUCKLEY Mgmt For For
1C. ELECTION OF DIRECTOR: M.H. CARTER Mgmt For For
1D. ELECTION OF DIRECTOR: T.K. CREWS Mgmt For For
1E. ELECTION OF DIRECTOR: P. DUFOUR Mgmt For For
1F. ELECTION OF DIRECTOR: D.E. FELSINGER Mgmt For For
1G. ELECTION OF DIRECTOR: A. MACIEL Mgmt For For
1H. ELECTION OF DIRECTOR: P.J. MOORE Mgmt For For
1I. ELECTION OF DIRECTOR: T.F. O'NEILL Mgmt For For
1J. ELECTION OF DIRECTOR: D. SHIH Mgmt For For
1K. ELECTION OF DIRECTOR: K.R. WESTBROOK Mgmt For For
1L. ELECTION OF DIRECTOR: P.A. WOERTZ Mgmt For For
2. RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP Mgmt For For
AS INDEPENDENT AUDITORS FOR THE YEAR ENDING
DECEMBER 31, 2013.
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
ASTRAZENECA PLC Agenda Number: 933755918
--------------------------------------------------------------------------------------------------------------------------
Security: 046353108
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: AZN
ISIN: US0463531089
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO RECEIVE THE COMPANY'S ACCOUNTS AND THE Mgmt For For
REPORTS OF THE DIRECTORS AND AUDITOR FOR
THE YEAR ENDED 31 DECEMBER 2012
2. TO CONFIRM DIVIDENDS Mgmt For For
3. TO RE-APPOINT KPMG AUDIT PLC, LONDON AS Mgmt For For
AUDITOR
4. TO AUTHORISE THE DIRECTORS TO AGREE TO THE Mgmt For For
REMUNERATION OF THE AUDITOR
5A. RE-ELECTION OF DIRECTOR: LEIF JOHANSSON Mgmt For For
5B. RE-ELECTION OF DIRECTOR: PASCAL SORIOT Mgmt For For
5C. RE-ELECTION OF DIRECTOR: SIMON LOWTH Mgmt For For
5D. RE-ELECTION OF DIRECTOR: GENEVIEVE BERGER Mgmt For For
5E. RE-ELECTION OF DIRECTOR: BRUCE BURLINGTON Mgmt For For
5F. RE-ELECTION OF DIRECTOR: GRAHAM CHIPCHASE Mgmt For For
5G. RE-ELECTION OF DIRECTOR: JEAN-PHILIPPE Mgmt Against Against
COURTOIS
5H. RE-ELECTION OF DIRECTOR: RUDY MARKHAM Mgmt For For
5I. RE-ELECTION OF DIRECTOR: NANCY ROTHWELL Mgmt For For
5J. RE-ELECTION OF DIRECTOR: SHRITI VADERA Mgmt For For
5K. RE-ELECTION OF DIRECTOR: JOHN VARLEY Mgmt For For
5L. RE-ELECTION OF DIRECTOR: MARCUS WALLENBERG Mgmt Against Against
6. TO APPROVE THE DIRECTORS' REMUNERATION Mgmt For For
REPORT FOR THE YEAR ENDED 31 DECEMBER 2012
7. TO AUTHORISE LIMITED EU POLITICAL DONATIONS Mgmt For For
8. TO AUTHORISE THE DIRECTORS TO ALLOT SHARES Mgmt For For
9. TO AUTHORISE THE DIRECTORS TO DISAPPLY Mgmt For For
PRE-EMPTION RIGHTS
10. TO AUTHORISE THE COMPANY TO PURCHASE ITS Mgmt For For
OWN SHARES
11. TO REDUCE THE NOTICE PERIOD FOR GENERAL Mgmt Against Against
MEETINGS
--------------------------------------------------------------------------------------------------------------------------
AUTOMATIC DATA PROCESSING, INC. Agenda Number: 933691291
--------------------------------------------------------------------------------------------------------------------------
Security: 053015103
Meeting Type: Annual
Meeting Date: 13-Nov-2012
Ticker: ADP
ISIN: US0530151036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ELLEN R. ALEMANY Mgmt For For
GREGORY D. BRENNEMAN Mgmt For For
LESLIE A. BRUN Mgmt For For
RICHARD T. CLARK Mgmt For For
ERIC C. FAST Mgmt For For
LINDA R. GOODEN Mgmt For For
R. GLENN HUBBARD Mgmt For For
JOHN P. JONES Mgmt For For
CARLOS A. RODRIGUEZ Mgmt For For
ENRIQUE T. SALEM Mgmt For For
GREGORY L. SUMME Mgmt For For
2. APPOINTMENT OF DELOITTE & TOUCHE LLP. Mgmt For For
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
AVON PRODUCTS, INC. Agenda Number: 933779146
--------------------------------------------------------------------------------------------------------------------------
Security: 054303102
Meeting Type: Annual
Meeting Date: 02-May-2013
Ticker: AVP
ISIN: US0543031027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DOUGLAS R. CONANT Mgmt For For
W. DON CORNWELL Mgmt Withheld Against
V. ANN HAILEY Mgmt Withheld Against
FRED HASSAN Mgmt Withheld Against
MARIA ELENA LAGOMASINO Mgmt Withheld Against
SHERI S. MCCOY Mgmt For For
ANN S. MOORE Mgmt Withheld Against
CHARLES H. NOSKI Mgmt For For
GARY M. RODKIN Mgmt Withheld Against
PAULA STERN Mgmt Withheld Against
2. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt Against Against
COMPENSATION.
3. APPROVAL OF 2013 STOCK INCENTIVE PLAN. Mgmt For For
4. APPROVAL OF 2013 - 2017 EXECUTIVE INCENTIVE Mgmt For For
PLAN.
5. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
6. RESOLUTION REQUESTING A REPORT ON Shr Against For
SUBSTITUTING SAFER ALTERNATIVES IN PERSONAL
CARE PRODUCTS.
--------------------------------------------------------------------------------------------------------------------------
BAXTER INTERNATIONAL INC. Agenda Number: 933754916
--------------------------------------------------------------------------------------------------------------------------
Security: 071813109
Meeting Type: Annual
Meeting Date: 07-May-2013
Ticker: BAX
ISIN: US0718131099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: THOMAS F. CHEN Mgmt For For
1B. ELECTION OF DIRECTOR: BLAKE E. DEVITT Mgmt For For
1C. ELECTION OF DIRECTOR: JOHN D. FORSYTH Mgmt For For
1D. ELECTION OF DIRECTOR: GAIL D. FOSLER Mgmt For For
1E. ELECTION OF DIRECTOR: CAROLE J. SHAPAZIAN Mgmt For For
2. RATIFICATION OF INDEPENDENT REGISTERED Mgmt For For
PUBLIC ACCOUNTING FIRM
3. APPROVAL OF NAMED EXECUTIVE OFFICER Mgmt For For
COMPENSATION
4. AMENDMENT OF ARTICLE SIXTH OF THE AMENDED Mgmt For For
AND RESTATED CERTIFICATE OF INCORPORATION
ELIMINATING THE CLASSIFIED STRUCTURE OF THE
BOARD OF DIRECTORS
5. AMENDMENT OF THE AMENDED AND RESTATED Mgmt For For
CERTIFICATE OF INCORPORATION GRANTING
HOLDERS OF AT LEAST 25% OF OUTSTANDING
COMMON STOCK THE RIGHT TO CALL A SPECIAL
MEETING OF SHAREHOLDERS
--------------------------------------------------------------------------------------------------------------------------
BECTON, DICKINSON AND COMPANY Agenda Number: 933718756
--------------------------------------------------------------------------------------------------------------------------
Security: 075887109
Meeting Type: Annual
Meeting Date: 29-Jan-2013
Ticker: BDX
ISIN: US0758871091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: BASIL L. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: HENRY P. BECTON, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: CATHERINE M. BURZIK Mgmt For For
1D. ELECTION OF DIRECTOR: EDWARD F. DEGRAAN Mgmt For For
1E. ELECTION OF DIRECTOR: VINCENT A. FORLENZA Mgmt For For
1F. ELECTION OF DIRECTOR: CLAIRE M. FRASER Mgmt For For
1G. ELECTION OF DIRECTOR: CHRISTOPHER JONES Mgmt For For
1H. ELECTION OF DIRECTOR: MARSHALL O. LARSEN Mgmt For For
1I. ELECTION OF DIRECTOR: ADEL A.F. MAHMOUD Mgmt For For
1J. ELECTION OF DIRECTOR: GARY A. MECKLENBURG Mgmt For For
1K. ELECTION OF DIRECTOR: JAMES F. ORR Mgmt For For
1L. ELECTION OF DIRECTOR: WILLARD J. OVERLOCK, Mgmt For For
JR.
1M. ELECTION OF DIRECTOR: REBECCA W. RIMEL Mgmt For For
1N. ELECTION OF DIRECTOR: BERTRAM L. SCOTT Mgmt For For
1O. ELECTION OF DIRECTOR: ALFRED SOMMER Mgmt For For
2. RATIFICATION OF SELECTION OF INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM.
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION.
4. AMENDMENT TO THE COMPANY'S RESTATED Mgmt For For
CERTIFICATE OF INCORPORATION.
5. AMENDMENTS TO THE 2004 EMPLOYEE AND Mgmt For For
DIRECTOR EQUITY-BASED COMPENSATION PLAN.
--------------------------------------------------------------------------------------------------------------------------
BHP BILLITON PLC Agenda Number: 933690934
--------------------------------------------------------------------------------------------------------------------------
Security: 05545E209
Meeting Type: Annual
Meeting Date: 25-Oct-2012
Ticker: BBL
ISIN: US05545E2090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO RECEIVE THE 2012 FINANCIAL STATEMENTS Mgmt For For
AND REPORTS FOR BHP BILLITON PLC AND BHP
BILLITON LIMITED
2. TO ELECT PAT DAVIES AS A DIRECTOR OF EACH Mgmt For For
OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
3. TO RE-ELECT MALCOLM BROOMHEAD AS A DIRECTOR Mgmt For For
OF EACH OF BHP BILLITON PLC AND BHP
BILLITON LIMITED
4. TO RE-ELECT SIR JOHN BUCHANAN AS A DIRECTOR Mgmt For For
OF EACH OF BHP BILLITON PLC AND BHP
BILLITON LIMITED
5. TO RE-ELECT CARLOS CORDEIRO AS A DIRECTOR Mgmt For For
OF EACH OF BHP BILLITON PLC AND BHP
BILLITON LIMITED
6. TO RE-ELECT DAVID CRAWFORD AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
7. TO RE-ELECT CAROLYN HEWSON AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
8. TO RE-ELECT MARIUS KLOPPERS AS A DIRECTOR Mgmt For For
OF EACH OF BHP BILLITON PLC AND BHP
BILLITON LIMITED
9. TO RE-ELECT LINDSAY MAXSTED AS A DIRECTOR Mgmt For For
OF EACH OF BHP BILLITON PLC AND BHP
BILLITON LIMITED
10. TO RE-ELECT WAYNE MURDY AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
11. TO RE-ELECT KEITH RUMBLE AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
12. TO RE-ELECT JOHN SCHUBERT AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
13. TO RE-ELECT SHRITI VADERA AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
14. TO RE-ELECT JAC NASSER AS A DIRECTOR OF Mgmt For For
EACH OF BHP BILLITON PLC AND BHP BILLITON
LIMITED
15. TO REAPPOINT KPMG AUDIT PLC AS THE AUDITOR Mgmt For For
OF BHP BILLITON PLC
16. TO RENEW THE GENERAL AUTHORITY TO ISSUE Mgmt For For
SHARES IN BHP BILLITON PLC
17. TO APPROVE THE AUTHORITY TO ISSUE SHARES IN Mgmt For For
BHP BILLITON PLC FOR CASH
18. TO APPROVE THE REPURCHASE OF SHARES IN BHP Mgmt For For
BILLITON PLC
19. TO APPROVE THE 2012 REMUNERATION REPORT Mgmt For For
20. TO APPROVE THE GRANT OF LONG-TERM INCENTIVE Mgmt For For
PERFORMANCE SHARES TO MARIUS KLOPPERS
--------------------------------------------------------------------------------------------------------------------------
BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 933821933
--------------------------------------------------------------------------------------------------------------------------
Security: 101507101
Meeting Type: Annual
Meeting Date: 21-Jun-2013
Ticker: BIF
ISIN: US1015071012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
RICHARD I. BARR Mgmt Split 94% For 6% Withheld Split
JOHN S. HOREJSI Mgmt Split 94% For 6% Withheld Split
DEAN L. JACOBSON Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BOULDER TOTAL RETURN FUND, INC. Agenda Number: 933821919
--------------------------------------------------------------------------------------------------------------------------
Security: 101541100
Meeting Type: Annual
Meeting Date: 21-Jun-2013
Ticker: BTF
ISIN: US1015411002
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
RICHARD I. BARR Mgmt Split 93% For 7% Withheld Split
JOHN S. HOREJSI Mgmt Split 93% For 7% Withheld Split
DEAN L. JACOBSON Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BP P.L.C. Agenda Number: 933773954
--------------------------------------------------------------------------------------------------------------------------
Security: 055622104
Meeting Type: Annual
Meeting Date: 11-Apr-2013
Ticker: BP
ISIN: US0556221044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO RECEIVE THE DIRECTORS' ANNUAL REPORT AND Mgmt For For
ACCOUNTS.
2. TO APPROVE THE DIRECTORS' REMUNERATION Mgmt For For
REPORT.
3. TO RE-ELECT MR. R W DUDLEY AS A DIRECTOR. Mgmt For For
4. TO RE-ELECT MR. I C CONN AS A DIRECTOR. Mgmt For For
5. TO RE-ELECT DR. B GILVARY AS A DIRECTOR. Mgmt For For
6. TO RE-ELECT MR. P M ANDERSON AS A DIRECTOR. Mgmt For For
7. TO RE-ELECT ADMIRAL F L BOWMAN AS A Mgmt For For
DIRECTOR.
8. TO RE-ELECT MR. A BURGMANS AS A DIRECTOR. Mgmt For For
9. TO RE-ELECT MRS. C B CARROLL AS A DIRECTOR. Mgmt For For
10. TO RE-ELECT MR. G DAVID AS A DIRECTOR. Mgmt Against Against
11. TO RE-ELECT MR. I E L DAVIS AS A DIRECTOR. Mgmt For For
12. TO RE-ELECT PROFESSOR DAME ANN DOWLING AS A Mgmt For For
DIRECTOR.
13. TO RE-ELECT MR. B R NELSON AS A DIRECTOR. Mgmt For For
14. TO RE-ELECT MR. F P NHLEKO AS A DIRECTOR. Mgmt For For
15. TO RE-ELECT MR. A B SHILSTON AS A DIRECTOR. Mgmt For For
16. TO RE-ELECT MR. C-H SVANBERG AS A DIRECTOR. Mgmt For For
17. TO REAPPOINT ERNST & YOUNG LLP AS AUDITORS Mgmt For For
AND AUTHORIZE THE BOARD TO FIX THEIR
REMUNERATION.
S18 SPECIAL RESOLUTION: TO GIVE LIMITED Mgmt For For
AUTHORITY FOR THE PURCHASE OF ITS OWN
SHARES BY THE COMPANY.
19. TO GIVE LIMITED AUTHORITY TO ALLOT SHARES Mgmt For For
UP TO A SPECIFIED AMOUNT.
S20 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO Mgmt For For
ALLOT A LIMITED NUMBER OF SHARES FOR CASH
FREE OF PRE-EMPTION RIGHTS.
S21 SPECIAL RESOLUTION: TO AUTHORIZE THE Mgmt Against Against
CALLING OF GENERAL MEETINGS (EXCLUDING
ANNUAL GENERAL MEETINGS) BY NOTICE OF AT
LEAST 14 CLEAR DAYS.
--------------------------------------------------------------------------------------------------------------------------
BRISTOL-MYERS SQUIBB COMPANY Agenda Number: 933756794
--------------------------------------------------------------------------------------------------------------------------
Security: 110122108
Meeting Type: Annual
Meeting Date: 07-May-2013
Ticker: BMY
ISIN: US1101221083
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: L. ANDREOTTI Mgmt For For
1B. ELECTION OF DIRECTOR: L.B. CAMPBELL Mgmt Against Against
1C. ELECTION OF DIRECTOR: J.M. CORNELIUS Mgmt For For
1D. ELECTION OF DIRECTOR: L.H. GLIMCHER, M.D. Mgmt For For
1E. ELECTION OF DIRECTOR: M. GROBSTEIN Mgmt For For
1F. ELECTION OF DIRECTOR: A.J. LACY Mgmt For For
1G. ELECTION OF DIRECTOR: V.L. SATO, PH.D. Mgmt For For
1H. ELECTION OF DIRECTOR: E. SIGAL, M.D., PH.D. Mgmt For For
1I. ELECTION OF DIRECTOR: G.L. STORCH Mgmt For For
1J. ELECTION OF DIRECTOR: T.D. WEST, JR. Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt For For
OF OUR NAMED EXECUTIVE OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
CAMPBELL SOUP COMPANY Agenda Number: 933694552
--------------------------------------------------------------------------------------------------------------------------
Security: 134429109
Meeting Type: Annual
Meeting Date: 14-Nov-2012
Ticker: CPB
ISIN: US1344291091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
EDMUND M. CARPENTER Mgmt For For
PAUL R. CHARRON Mgmt For For
BENNETT DORRANCE Mgmt For For
LAWRENCE C. KARLSON Mgmt For For
RANDALL W. LARRIMORE Mgmt For For
MARY ALICE D. MALONE Mgmt For For
SARA MATHEW Mgmt For For
DENISE M. MORRISON Mgmt For For
CHARLES R. PERRIN Mgmt For For
A. BARRY RAND Mgmt For For
NICK SHREIBER Mgmt For For
TRACEY T. TRAVIS Mgmt For For
ARCHBOLD D. VAN BEUREN Mgmt For For
LES C. VINNEY Mgmt For For
CHARLOTTE C. WEBER Mgmt For For
2 RATIFICATION OF APPOINTMENT OF THE Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3 ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
CANON INC. Agenda Number: 933738671
--------------------------------------------------------------------------------------------------------------------------
Security: 138006309
Meeting Type: Annual
Meeting Date: 28-Mar-2013
Ticker: CAJ
ISIN: US1380063099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIVIDEND FROM SURPLUS Mgmt For For
2. DIRECTOR
DIRECTOR 1 Mgmt Withheld Against
DIRECTOR 2 Mgmt For For
DIRECTOR 3 Mgmt For For
DIRECTOR 4 Mgmt For For
DIRECTOR 5 Mgmt For For
DIRECTOR 6 Mgmt For For
DIRECTOR 7 Mgmt For For
DIRECTOR 8 Mgmt For For
DIRECTOR 9 Mgmt For For
DIRECTOR 10 Mgmt For For
DIRECTOR 11 Mgmt For For
DIRECTOR 12 Mgmt For For
DIRECTOR 13 Mgmt For For
DIRECTOR 14 Mgmt For For
DIRECTOR 15 Mgmt For For
DIRECTOR 16 Mgmt For For
DIRECTOR 17 Mgmt For For
DIRECTOR 18 Mgmt For For
DIRECTOR 19 Mgmt For For
DIRECTOR 20 Mgmt For For
DIRECTOR 21 Mgmt For For
3. FINAL PAYMENTS OF RETIREMENT ALLOWANCE DUE Mgmt Against Against
TO THE ABOLISHMENT OF THE RETIREMENT
ALLOWANCE SYSTEM FOR DIRECTORS
4. REVISION TO AMOUNT OF REMUNERATION FOR Mgmt For For
DIRECTORS
5. GRANT OF BONUS TO DIRECTORS Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
CARDINAL HEALTH, INC. Agenda Number: 933688511
--------------------------------------------------------------------------------------------------------------------------
Security: 14149Y108
Meeting Type: Annual
Meeting Date: 02-Nov-2012
Ticker: CAH
ISIN: US14149Y1082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: COLLEEN F. ARNOLD Mgmt For For
1B ELECTION OF DIRECTOR: GEORGE S. BARRETT Mgmt For For
1C ELECTION OF DIRECTOR: GLENN A. BRITT Mgmt For For
1D ELECTION OF DIRECTOR: CARRIE S. COX Mgmt For For
1E ELECTION OF DIRECTOR: CALVIN DARDEN Mgmt For For
1F ELECTION OF DIRECTOR: BRUCE L. DOWNEY Mgmt For For
1G ELECTION OF DIRECTOR: JOHN F. FINN Mgmt For For
1H ELECTION OF DIRECTOR: CLAYTON M. JONES Mgmt For For
1I ELECTION OF DIRECTOR: GREGORY B. KENNY Mgmt For For
1J ELECTION OF DIRECTOR: DAVID P. KING Mgmt For For
1K ELECTION OF DIRECTOR: RICHARD C. NOTEBAERT Mgmt For For
1L ELECTION OF DIRECTOR: JEAN G. SPAULDING, MD Mgmt For For
2. PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST Mgmt For For
& YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING JUNE 30, 2013.
3. PROPOSAL TO APPROVE, ON A NON-BINDING Mgmt For For
ADVISORY BASIS, THE COMPENSATION OF OUR
NAMED EXECUTIVE OFFICERS.
4. SHAREHOLDER PROPOSAL, IF PROPERLY Shr Against For
PRESENTED, REGARDING EXECUTIVES RETAINING
SIGNIFICANT STOCK.
--------------------------------------------------------------------------------------------------------------------------
CHEVRON CORPORATION Agenda Number: 933786874
--------------------------------------------------------------------------------------------------------------------------
Security: 166764100
Meeting Type: Annual
Meeting Date: 29-May-2013
Ticker: CVX
ISIN: US1667641005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: L.F. DEILY Mgmt For For
1B. ELECTION OF DIRECTOR: R.E. DENHAM Mgmt For For
1C. ELECTION OF DIRECTOR: A.P. GAST Mgmt For For
1D. ELECTION OF DIRECTOR: E. HERNANDEZ Mgmt For For
1E. ELECTION OF DIRECTOR: G.L. KIRKLAND Mgmt For For
1F. ELECTION OF DIRECTOR: C.W. MOORMAN Mgmt For For
1G. ELECTION OF DIRECTOR: K.W. SHARER Mgmt For For
1H. ELECTION OF DIRECTOR: J.G. STUMPF Mgmt For For
1I. ELECTION OF DIRECTOR: R.D. SUGAR Mgmt For For
1J. ELECTION OF DIRECTOR: C. WARE Mgmt For For
1K. ELECTION OF DIRECTOR: J.S. WATSON Mgmt For For
2. RATIFICATION OF APPOINTMENT OF INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
4. APPROVAL OF AMENDMENTS TO LONG-TERM Mgmt For For
INCENTIVE PLAN
5. SHALE ENERGY OPERATIONS Shr Against For
6. OFFSHORE OIL WELLS Shr Against For
7. CLIMATE RISK Shr Against For
8. LOBBYING DISCLOSURE Shr Against For
9. CESSATION OF USE OF CORPORATE FUNDS FOR Shr Against For
POLITICAL PURPOSES
10. CUMULATIVE VOTING Shr Against For
11. SPECIAL MEETINGS Shr Against For
12. INDEPENDENT DIRECTOR WITH ENVIRONMENTAL Shr Against For
EXPERTISE
13. COUNTRY SELECTION GUIDELINES Shr Against For
--------------------------------------------------------------------------------------------------------------------------
COLGATE-PALMOLIVE COMPANY Agenda Number: 933756477
--------------------------------------------------------------------------------------------------------------------------
Security: 194162103
Meeting Type: Annual
Meeting Date: 10-May-2013
Ticker: CL
ISIN: US1941621039
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: NIKESH ARORA Mgmt For For
1B ELECTION OF DIRECTOR: JOHN T. CAHILL Mgmt For For
1C ELECTION OF DIRECTOR: IAN COOK Mgmt For For
1D ELECTION OF DIRECTOR: HELENE D. GAYLE Mgmt For For
1E ELECTION OF DIRECTOR: ELLEN M. HANCOCK Mgmt For For
1F ELECTION OF DIRECTOR: JOSEPH JIMENEZ Mgmt For For
1G ELECTION OF DIRECTOR: RICHARD J. KOGAN Mgmt For For
1H ELECTION OF DIRECTOR: DELANO E. LEWIS Mgmt For For
1I ELECTION OF DIRECTOR: J. PEDRO REINHARD Mgmt For For
1J ELECTION OF DIRECTOR: STEPHEN I. SADOVE Mgmt For For
2. RATIFY SELECTION OF PRICEWATERHOUSECOOPERS Mgmt For For
LLP AS COLGATE'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM.
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
4. APPROVE THE COLGATE-PALMOLIVE COMPANY 2013 Mgmt For For
INCENTIVE COMPENSATION PLAN.
5. STOCKHOLDER PROPOSAL ON EXECUTIVE STOCK Shr Against For
RETENTION REQUIREMENT.
--------------------------------------------------------------------------------------------------------------------------
COMPANHIA DE SANEAMENTO BASICO DO ESTADO Agenda Number: 933780959
--------------------------------------------------------------------------------------------------------------------------
Security: 20441A102
Meeting Type: Annual
Meeting Date: 22-Apr-2013
Ticker: SBS
ISIN: US20441A1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
E1. RATIFICATION OF CODEC (STATE COUNCIL FOR Mgmt For For
PROTECTION OF CAPITAL OF THE STATE OF SAO
PAULO) OPINION NO 003/2013 DEALING WITH THE
COMPENSATION ADJUSTMENT OF OFFICERS,
MEMBERS OF THE BOARD OF DIRECTORS AND
FISCAL COUNCIL OF COMPANIES CONTROLLED BY
THE STATE GOVERNMENT.
E2. RESOLUTION ON THE SPLIT OF THE COMPANY Mgmt For For
COMMON SHARES THROUGH WHICH EACH COMMON
SHARE WILL BE THEN REPRESENTED BY THREE (3)
COMMON SHARES, AT THE RATIO OF 1:3.
E3. AMENDMENT TO THE CAPUT OF ARTICLE 3 OF THE Mgmt For For
COMPANY'S BYLAWS, WITHOUT ANY ALTERATION IN
THE FINANCIAL AMOUNT OF SHARE CAPITAL, AS A
RESULT OF THE SPLIT OF THE COMPANY COMMON
SHARES, PURSUANT TO ITEM II ABOVE.
A1. ANALYSIS OF THE MANAGEMENT ANNUAL REPORT; Mgmt For For
RESOLUTION ON THE FINANCIAL STATEMENTS,
NAMELY: BALANCE SHEET AND RELATED
STATEMENTS OF INCOME, STATEMENTS OF CHANGES
IN SHAREHOLDERS' EQUITY, STATEMENTS OF CASH
FLOWS, STATEMENTS OF VALUE ADDED AND NOTES
TO THE FINANCIAL STATEMENTS, ACCOMPANIED BY
REPORTS OF INDEPENDENT AUDITORS AND FISCAL
COUNCIL.
A2. RESOLUTION ON THE ALLOCATION OF NET INCOME Mgmt For For
FOR 2012.
A3. ELECTION OF MEMBERS OF THE BOARD, SITTING Mgmt For For
AND ALTERNATE MEMBERS OF THE FISCAL COUNCIL
AND DEFINITION OF THEIR COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
CONOCOPHILLIPS Agenda Number: 933764842
--------------------------------------------------------------------------------------------------------------------------
Security: 20825C104
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: COP
ISIN: US20825C1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: RICHARD L. ARMITAGE Mgmt For For
1B. ELECTION OF DIRECTOR: RICHARD H. AUCHINLECK Mgmt For For
1C. ELECTION OF DIRECTOR: JAMES E. COPELAND, Mgmt For For
JR.
1D. ELECTION OF DIRECTOR: JODY L. FREEMAN Mgmt For For
1E. ELECTION OF DIRECTOR: GAY HUEY EVANS Mgmt For For
1F. ELECTION OF DIRECTOR: RYAN M. LANCE Mgmt For For
1G. ELECTION OF DIRECTOR: MOHD H. MARICAN Mgmt For For
1H. ELECTION OF DIRECTOR: ROBERT A. NIBLOCK Mgmt For For
1I. ELECTION OF DIRECTOR: HARALD J. NORVIK Mgmt For For
1J. ELECTION OF DIRECTOR: WILLIAM E. WADE, JR. Mgmt For For
2. TO RATIFY APPOINTMENT OF ERNST & YOUNG LLP Mgmt Against Against
AS CONOCOPHILLIPS' INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2013.
3. ADVISORY APPROVAL OF EXECUTIVE Mgmt Against Against
COMPENSATION.
4. REPORT ON GRASSROOTS LOBBYING EXPENDITURES. Shr Against For
5. GREENHOUSE GAS REDUCTION TARGETS. Shr Against For
6. GENDER IDENTITY NON-DISCRIMINATION. Shr For Against
--------------------------------------------------------------------------------------------------------------------------
CORNING INCORPORATED Agenda Number: 933742911
--------------------------------------------------------------------------------------------------------------------------
Security: 219350105
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: GLW
ISIN: US2193501051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JOHN SEELY BROWN Mgmt For For
1B. ELECTION OF DIRECTOR: STEPHANIE A. BURNS Mgmt For For
1C. ELECTION OF DIRECTOR: JOHN A. CANNING, JR. Mgmt For For
1D. ELECTION OF DIRECTOR: RICHARD T. CLARK Mgmt For For
1E. ELECTION OF DIRECTOR: ROBERT F. CUMMINGS Mgmt Against Against
1F. ELECTION OF DIRECTOR: JAMES B. FLAWS Mgmt Against Against
1G. ELECTION OF DIRECTOR: KURT M. LANDGRAF Mgmt For For
1H. ELECTION OF DIRECTOR: KEVIN J. MARTIN Mgmt For For
1I. ELECTION OF DIRECTOR: DEBORAH D. RIEMAN Mgmt For For
1J. ELECTION OF DIRECTOR: HANSEL E. TOOKES II Mgmt For For
1K. ELECTION OF DIRECTOR: WENDELL P. WEEKS Mgmt For For
1L. ELECTION OF DIRECTOR: MARK S. WRIGHTON Mgmt For For
2. ADVISORY VOTE TO APPROVE THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
3. RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS CORNING'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
--------------------------------------------------------------------------------------------------------------------------
CSX CORPORATION Agenda Number: 933753306
--------------------------------------------------------------------------------------------------------------------------
Security: 126408103
Meeting Type: Annual
Meeting Date: 08-May-2013
Ticker: CSX
ISIN: US1264081035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: D.M. ALVARADO Mgmt For For
1B. ELECTION OF DIRECTOR: J.B. BREAUX Mgmt For For
1C. ELECTION OF DIRECTOR: P.L. CARTER Mgmt For For
1D. ELECTION OF DIRECTOR: S.T. HALVERSON Mgmt For For
1E. ELECTION OF DIRECTOR: E.J. KELLY, III Mgmt For For
1F. ELECTION OF DIRECTOR: G.H. LAMPHERE Mgmt For For
1G. ELECTION OF DIRECTOR: J.D. MCPHERSON Mgmt For For
1H. ELECTION OF DIRECTOR: T.T. O'TOOLE Mgmt For For
1I. ELECTION OF DIRECTOR: D.M. RATCLIFFE Mgmt For For
1J. ELECTION OF DIRECTOR: D.J. SHEPARD Mgmt For For
1K. ELECTION OF DIRECTOR: M.J. WARD Mgmt For For
1L. ELECTION OF DIRECTOR: J.C. WATTS, JR. Mgmt For For
1M. ELECTION OF DIRECTOR: J.S. WHISLER Mgmt For For
2. THE RATIFICATION OF THE APPOINTMENT OF Mgmt For For
ERNST & YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.
3. TO CONSIDER AN ADVISORY RESOLUTION TO Mgmt For For
APPROVE COMPENSATION FOR THE COMPANY'S
NAMED EXECUTIVE OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
DEERE & COMPANY Agenda Number: 933725698
--------------------------------------------------------------------------------------------------------------------------
Security: 244199105
Meeting Type: Annual
Meeting Date: 27-Feb-2013
Ticker: DE
ISIN: US2441991054
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: SAMUEL R. ALLEN Mgmt For For
1B. ELECTION OF DIRECTOR: CRANDALL C. BOWLES Mgmt For For
1C. ELECTION OF DIRECTOR: VANCE D. COFFMAN Mgmt For For
1D. ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, Mgmt For For
JR.
1E. ELECTION OF DIRECTOR: DIPAK C. JAIN Mgmt For For
1F. ELECTION OF DIRECTOR: CLAYTON M. JONES Mgmt For For
1G. ELECTION OF DIRECTOR: JOACHIM MILBERG Mgmt For For
1H. ELECTION OF DIRECTOR: RICHARD B. MYERS Mgmt For For
1I. ELECTION OF DIRECTOR: THOMAS H. PATRICK Mgmt For For
1J. ELECTION OF DIRECTOR: AULANA L. PETERS Mgmt For For
1K. ELECTION OF DIRECTOR: SHERRY M. SMITH Mgmt For For
2. ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt For For
3. RE-APPROVAL OF THE JOHN DEERE MID-TERM Mgmt For For
INCENTIVE PLAN
4. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE LLP AS DEERE'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR
FISCAL 2013
--------------------------------------------------------------------------------------------------------------------------
DOVER CORPORATION Agenda Number: 933749131
--------------------------------------------------------------------------------------------------------------------------
Security: 260003108
Meeting Type: Annual
Meeting Date: 02-May-2013
Ticker: DOV
ISIN: US2600031080
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: D.H. BENSON Mgmt For For
1B. ELECTION OF DIRECTOR: R.W. CREMIN Mgmt For For
1C. ELECTION OF DIRECTOR: J-P.M. ERGAS Mgmt For For
1D. ELECTION OF DIRECTOR: P.T. FRANCIS Mgmt For For
1E. ELECTION OF DIRECTOR: K.C. GRAHAM Mgmt For For
1F. ELECTION OF DIRECTOR: M.F. JOHNSTON Mgmt For For
1G. ELECTION OF DIRECTOR: R.A. LIVINGSTON Mgmt For For
1H. ELECTION OF DIRECTOR: R.K. LOCHRIDGE Mgmt For For
1I. ELECTION OF DIRECTOR: B.G. RETHORE Mgmt For For
1J. ELECTION OF DIRECTOR: M.B. STUBBS Mgmt For For
1K. ELECTION OF DIRECTOR: S.M. TODD Mgmt For For
1L. ELECTION OF DIRECTOR: S.K. WAGNER Mgmt For For
1M. ELECTION OF DIRECTOR: M.A. WINSTON Mgmt For For
2. TO RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2013.
3. TO APPROVE, ON AN ADVISORY BASIS, NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
4. TO CONSIDER A SHAREHOLDER PROPOSAL Shr For Against
REGARDING THE ADOPTION OF A SIMPLE MAJORITY
VOTING STANDARD FOR SHAREHOLDER MATTERS, IF
PROPERLY PRESENTED AT THE MEETING.
--------------------------------------------------------------------------------------------------------------------------
E. I. DU PONT DE NEMOURS AND COMPANY Agenda Number: 933745145
--------------------------------------------------------------------------------------------------------------------------
Security: 263534109
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: DD
ISIN: US2635341090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: LAMBERTO ANDREOTTI Mgmt For For
1B. ELECTION OF DIRECTOR: RICHARD H. BROWN Mgmt For For
1C. ELECTION OF DIRECTOR: ROBERT A. BROWN Mgmt For For
1D. ELECTION OF DIRECTOR: BERTRAND P. COLLOMB Mgmt For For
1E. ELECTION OF DIRECTOR: CURTIS J. CRAWFORD Mgmt For For
1F. ELECTION OF DIRECTOR: ALEXANDER M. CUTLER Mgmt For For
1G. ELECTION OF DIRECTOR: ELEUTHERE I. DU PONT Mgmt For For
1H. ELECTION OF DIRECTOR: MARILLYN A. HEWSON Mgmt For For
1I. ELECTION OF DIRECTOR: LOIS D. JULIBER Mgmt For For
1J. ELECTION OF DIRECTOR: ELLEN J. KULLMAN Mgmt For For
1K. ELECTION OF DIRECTOR: LEE M. THOMAS Mgmt For For
2. ON RATIFICATION OF INDEPENDENT REGISTERED Mgmt For For
PUBLIC ACCOUNTING FIRM
3. TO APPROVE, BY ADVISORY VOTE, EXECUTIVE Mgmt For For
COMPENSATION
4. ON INDEPENDENT BOARD CHAIR Shr For Against
5. ON LOBBYING REPORT Shr For Against
6. ON GENETICALLY ENGINEERED SEED Shr Against For
7. ON EXECUTIVE COMPENSATION REPORT Shr Against For
--------------------------------------------------------------------------------------------------------------------------
EATON CORPORATION Agenda Number: 933689575
--------------------------------------------------------------------------------------------------------------------------
Security: 278058102
Meeting Type: Special
Meeting Date: 26-Oct-2012
Ticker: ETN
ISIN: US2780581029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. ADOPTING THE TRANSACTION AGREEMENT, DATED Mgmt For For
MAY 21, 2012, AMONG EATON CORPORATION,
COOPER INDUSTRIES PLC, NEW EATON
CORPORATION (F/K/A ABEIRON LIMITED),
ABEIRON II LIMITED (F/K/A COMDELL LIMITED),
TURLOCK B.V. AND TURLOCK CORPORATION, AS
AMENDED BY AMENDMENT NO. 1 TO THE
TRANSACTION AGREEMENT, DATED JUNE 22, 2012,
AND APPROVING THE MERGER.
2. APPROVING THE REDUCTION OF CAPITAL OF NEW Mgmt For For
EATON TO ALLOW THE CREATION OF
DISTRIBUTABLE RESERVES OF NEW EATON WHICH
ARE REQUIRED UNDER IRISH LAW IN ORDER TO
ALLOW NEW EATON TO MAKE DISTRIBUTIONS AND
TO PAY DIVIDENDS AND REPURCHASE OR REDEEM
SHARES FOLLOWING COMPLETION OF THE
TRANSACTION.
3. APPROVING, ON AN ADVISORY BASIS, SPECIFIED Mgmt For For
COMPENSATORY ARRANGEMENTS BETWEEN EATON AND
ITS NAMED EXECUTIVE OFFICERS RELATING TO
THE TRANSACTION AGREEMENT.
4. APPROVING ANY MOTION TO ADJOURN THE SPECIAL Mgmt For For
MEETING, OR ANY ADJOURNMENTS THEREOF, TO
ANOTHER TIME OR PLACE IF NECESSARY OR
APPROPRIATE, ALL AS MORE FULLY DESCRIBED IN
THE PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
EATON CORPORATION PLC Agenda Number: 933749143
--------------------------------------------------------------------------------------------------------------------------
Security: G29183103
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: ETN
ISIN: IE00B8KQN827
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: GEORGE S. BARRETT Mgmt For For
1B. ELECTION OF DIRECTOR: TODD M. BLUEDORN Mgmt For For
1C. ELECTION OF DIRECTOR: CHRISTOPHER M. CONNOR Mgmt For For
1D. ELECTION OF DIRECTOR: MICHAEL J. CRITELLI Mgmt For For
1E. ELECTION OF DIRECTOR: ALEXANDER M. CUTLER Mgmt For For
1F. ELECTION OF DIRECTOR: CHARLES E. GOLDEN Mgmt For For
1G. ELECTION OF DIRECTOR: LINDA A. HILL Mgmt For For
1H. ELECTION OF DIRECTOR: ARTHUR E. JOHNSON Mgmt For For
1I. ELECTION OF DIRECTOR: NED C. LAUTENBACH Mgmt For For
1J. ELECTION OF DIRECTOR: DEBORAH L. MCCOY Mgmt For For
1K. ELECTION OF DIRECTOR: GREGORY R. PAGE Mgmt For For
1L. ELECTION OF DIRECTOR: GERALD B. SMITH Mgmt For For
2. APPROVING THE APPOINTMENT OF ERNST & YOUNG Mgmt For For
LLP AS INDEPENDENT AUDITOR FOR 2013 AND
AUTHORIZING THE AUDIT COMMITTEE OF THE
BOARD OF DIRECTORS TO SET ITS REMUNERATION.
3. APPROVING THE SENIOR EXECUTIVE INCENTIVE Mgmt For For
COMPENSATION PLAN.
4. APPROVING THE EXECUTIVE STRATEGIC INCENTIVE Mgmt For For
PLAN.
5. ADVISORY APPROVAL OF THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
6. AUTHORIZING THE COMPANY AND OR ANY Mgmt For For
SUBSIDIARY OF THE COMPANY TO MAKE OVERSEAS
MARKET PURCHASES OF COMPANY SHARES.
7. AUTHORIZING THE PRICE RANGE AT WHICH THE Mgmt Against Against
COMPANY CAN REISSUE SHARES THAT IT HOLDS AS
TREASURY SHARES.
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE ENHANCED EQUITY INCOME FD II Agenda Number: 933737605
--------------------------------------------------------------------------------------------------------------------------
Security: 278277108
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: EOS
ISIN: US2782771081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LYNN A. STOUT Mgmt Split 88% For 12% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 88% For 12% Withheld Split
RALPH F. VERNI Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE RISK-MGD DIV EQTY INCM FD Agenda Number: 933737617
--------------------------------------------------------------------------------------------------------------------------
Security: 27829G106
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ETJ
ISIN: US27829G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LYNN A. STOUT Mgmt Split 83% For 17% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 83% For 17% Withheld Split
RALPH F. VERNI Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE TAX-MANAGED GLOBAL Agenda Number: 933737629
--------------------------------------------------------------------------------------------------------------------------
Security: 27829C105
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: ETW
ISIN: US27829C1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM H. PARK Mgmt Split 97% For 3% Withheld Split
RONALD A. PEARLMAN Mgmt Split 97% For 3% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ELI LILLY AND COMPANY Agenda Number: 933750057
--------------------------------------------------------------------------------------------------------------------------
Security: 532457108
Meeting Type: Annual
Meeting Date: 06-May-2013
Ticker: LLY
ISIN: US5324571083
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: R. ALVAREZ Mgmt For For
1B. ELECTION OF DIRECTOR: W. BISCHOFF Mgmt For For
1C. ELECTION OF DIRECTOR: R.D. HOOVER Mgmt For For
1D. ELECTION OF DIRECTOR: F.G. PRENDERGAST Mgmt For For
1E. ELECTION OF DIRECTOR: K.P. SEIFERT Mgmt For For
2. RATIFICATION OF THE APPOINTMENT BY THE Mgmt For For
AUDIT COMMITTEE OF THE BOARD OF DIRECTORS
OF ERNST & YOUNG LLP AS PRINCIPAL
INDEPENDENT AUDITOR FOR 2013.
3. APPROVE, BY NON-BINDING VOTE, COMPENSATION Mgmt For For
PAID TO THE COMPANY'S NAMED EXECUTIVE
OFFICERS.
4. REAPPROVE MATERIAL TERMS OF THE PERFORMANCE Mgmt For For
GOALS FOR THE 2002 LILLY STOCK PLAN.
--------------------------------------------------------------------------------------------------------------------------
EMERSON ELECTRIC CO. Agenda Number: 933717261
--------------------------------------------------------------------------------------------------------------------------
Security: 291011104
Meeting Type: Annual
Meeting Date: 05-Feb-2013
Ticker: EMR
ISIN: US2910111044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
C.A.H. BOERSIG* Mgmt For For
J.B. BOLTEN* Mgmt For For
M.S. LEVATICH* Mgmt For For
R.L. STEPHENSON* Mgmt Withheld Against
A.A. BUSCH III# Mgmt For For
2. APPROVAL, BY NON-BINDING ADVISORY VOTE, OF Mgmt For For
EMERSON ELECTRIC CO. EXECUTIVE
COMPENSATION.
3. RATIFICATION OF KPMG LLP AS INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM.
4. APPROVAL OF AN AMENDMENT TO THE RESTATED Mgmt For For
ARTICLES OF INCORPORATION TO DECLASSIFY THE
BOARD OF DIRECTORS.
5. APPROVAL OF THE STOCKHOLDER PROPOSAL Shr Against For
REQUESTING THE ISSUANCE OF A SUSTAINABILITY
REPORT AS DESCRIBED IN THE PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
ENERSIS S.A. Agenda Number: 933711372
--------------------------------------------------------------------------------------------------------------------------
Security: 29274F104
Meeting Type: Special
Meeting Date: 20-Dec-2012
Ticker: ENI
ISIN: US29274F1049
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVE A RELATED PARTY TRANSACTION THAT Mgmt For For
CONSISTS OF THE CAPITAL INCREASE, ALL AS
MORE FULLY DESCRIBED IN THE PROXY
STATEMENT.
2. INCREASE THE ISSUED CAPITAL BY AN AMOUNT Mgmt For For
DETERMINED IN CHILEAN PESOS ("CH$").
3. APPROVE ALL OF THE NON-MONETARY Mgmt For For
CONTRIBUTIONS THAT MAY BE CAPITALIZED AND
THEIR RESPECTIVE CONTRIBUTION VALUES.
4. AGREE ON A SUBSCRIPTION PRICE OF SHARES TO Mgmt For For
BE ISSUED BY COMPANY, OR ESTABLISH A
FORMULA TO DETERMINE THE SUBSCRIPTION
PRICE.
5. ESTABLISH I) SHARE SUBSCRIPTION OFFER, II) Mgmt For For
OFFER FOR REMAINING SHARES NOT SUBSCRIBED
WITHIN INITIAL PERIOD, III) DEADLINES.
6. APPROVE THAT ALL THE SHARE SUBSCRIPTION Mgmt For For
CONTRACTS SHOULD BE SUBJECT TO THE
FULFILLMENT, ALL AS MORE FULLY DESCRIBED.
7. TO APPROVE THE USE OF PROCEEDS FROM THE Mgmt For For
CAPITAL INCREASE.
8. AMEND ARTICLES FIFTH AND SECOND OF THE Mgmt For For
COMPANY'S BYLAWS.
9. AGREE ON THOSE OTHER ASPECTS OF THE Mgmt For For
DESCRIBED CAPITAL INCREASE TRANSACTION THAT
THE MEETING DEEMS APPROPRIATE TO APPROVE.
10. ADOPT ALL AGREEMENTS NECESSARY AND Mgmt For For
CONVENIENT FOR DEVELOPMENT AND
IMPLEMENTATION OF RESPECTIVE DECISIONS
ADOPTED BY MEETING.
11. RATIFY THE SELECTION OF A THIRD CREDIT Mgmt For For
RATING AGENCY DESIGNATED BY THE BOARD OF
DIRECTORS OF THE COMPANY.
--------------------------------------------------------------------------------------------------------------------------
ENERSIS S.A. Agenda Number: 933762280
--------------------------------------------------------------------------------------------------------------------------
Security: 29274F104
Meeting Type: Annual
Meeting Date: 16-Apr-2013
Ticker: ENI
ISIN: US29274F1049
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVAL OF ANNUAL REPORT, FINANCIAL Mgmt For For
STATEMENTS, REPORT OF THE EXTERNAL AUDITORS
AND ACCOUNT INSPECTORS FOR THE FISCAL YEAR
ENDED ON DECEMBER 31, 2012.
2. APPROVAL OF PROFITS AND DIVIDENDS Mgmt For For
DISTRIBUTION.
3. ELECTION OF THE BOARD OF DIRECTORS. Mgmt Abstain Against
4. COMPENSATION FOR THE BOARD OF DIRECTORS. Mgmt Abstain Against
5. COMPENSATION FOR THE DIRECTORS' COMMITTEE Mgmt Abstain Against
AND APPROVAL OF THEIR 2013 BUDGET.
7. APPOINTMENT OF AN EXTERNAL AUDITING FIRM Mgmt For For
GOVERNED BY CHAPTER XXVIII OF SECURITIES
MARKET LAW 18,045.
8. ELECTION OF TWO ACCOUNT INSPECTORS AND Mgmt Abstain Against
THEIR SUBSTITUTES, AS WELL AS THEIR
COMPENSATION.
9. APPOINTMENT OF RISK RATING AGENCIES. Mgmt For For
10. APPROVAL OF THE INVESTMENT AND FINANCING Mgmt For For
POLICY.
14. OTHER MATTERS OF INTEREST AND COMPETENCE OF Mgmt Against Against
THE ORDINARY SHAREHOLDERS' MEETING.
15. OTHER NECESSARY RESOLUTIONS FOR THE PROPER Mgmt For For
IMPLEMENTATION OF THE ABOVE MENTIONED
AGREEMENTS.
--------------------------------------------------------------------------------------------------------------------------
EXXON MOBIL CORPORATION Agenda Number: 933791243
--------------------------------------------------------------------------------------------------------------------------
Security: 30231G102
Meeting Type: Annual
Meeting Date: 29-May-2013
Ticker: XOM
ISIN: US30231G1022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
M.J. BOSKIN Mgmt For For
P. BRABECK-LETMATHE Mgmt For For
U.M. BURNS Mgmt For For
L.R. FAULKNER Mgmt For For
J.S. FISHMAN Mgmt For For
H.H. FORE Mgmt For For
K.C. FRAZIER Mgmt For For
W.W. GEORGE Mgmt For For
S.J. PALMISANO Mgmt For For
S.S REINEMUND Mgmt For For
R.W. TILLERSON Mgmt For For
W.C. WELDON Mgmt For For
E.E. WHITACRE, JR. Mgmt For For
2. RATIFICATION OF INDEPENDENT AUDITORS (PAGE Mgmt For For
60)
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION (PAGE 61)
4. INDEPENDENT CHAIRMAN (PAGE 63) Shr For Against
5. MAJORITY VOTE FOR DIRECTORS (PAGE 64) Shr For Against
6. LIMIT DIRECTORSHIPS (PAGE 65) Shr Against For
7. REPORT ON LOBBYING (PAGE 66) Shr Against For
8. POLITICAL CONTRIBUTIONS POLICY (PAGE 67) Shr Against For
9. AMENDMENT OF EEO POLICY (PAGE 69) Shr For Against
10. REPORT ON NATURAL GAS PRODUCTION (PAGE 70) Shr Against For
11. GREENHOUSE GAS EMISSIONS GOALS (PAGE 72) Shr Against For
--------------------------------------------------------------------------------------------------------------------------
GABELLI UTILITY TRUST Agenda Number: 933760046
--------------------------------------------------------------------------------------------------------------------------
Security: 36240A101
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: GUT
ISIN: US36240A1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARIO J. GABELLI, CFA Mgmt Split 96% For 4% Withheld Split
VINCENT D. ENRIGHT Mgmt Split 96% For 4% Withheld Split
KUNI NAKAMURA Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GENERAL DYNAMICS CORPORATION Agenda Number: 933750691
--------------------------------------------------------------------------------------------------------------------------
Security: 369550108
Meeting Type: Annual
Meeting Date: 01-May-2013
Ticker: GD
ISIN: US3695501086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: MARY T. BARRA Mgmt For For
1B. ELECTION OF DIRECTOR: NICHOLAS D. CHABRAJA Mgmt For For
1C. ELECTION OF DIRECTOR: JAMES S. CROWN Mgmt Against Against
1D. ELECTION OF DIRECTOR: WILLIAM P. FRICKS Mgmt For For
1E. ELECTION OF DIRECTOR: PAUL G. KAMINSKI Mgmt For For
1F. ELECTION OF DIRECTOR: JOHN M. KEANE Mgmt For For
1G. ELECTION OF DIRECTOR: LESTER L. LYLES Mgmt For For
1H. ELECTION OF DIRECTOR: PHEBE N. NOVAKOVIC Mgmt For For
1I. ELECTION OF DIRECTOR: WILLIAM A. OSBORN Mgmt For For
1J. ELECTION OF DIRECTOR: ROBERT WALMSLEY Mgmt For For
2. SELECTION OF INDEPENDENT AUDITORS. Mgmt For For
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt Against Against
COMPENSATION.
4. SHAREHOLDER PROPOSAL WITH REGARD TO Shr Against For
LOBBYING DISCLOSURE.
5. SHAREHOLDER PROPOSAL WITH REGARD TO A HUMAN Shr Against For
RIGHTS POLICY.
--------------------------------------------------------------------------------------------------------------------------
GENUINE PARTS COMPANY Agenda Number: 933737554
--------------------------------------------------------------------------------------------------------------------------
Security: 372460105
Meeting Type: Annual
Meeting Date: 22-Apr-2013
Ticker: GPC
ISIN: US3724601055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DR. MARY B. BULLOCK Mgmt For For
PAUL D. DONAHUE Mgmt For For
JEAN DOUVILLE Mgmt For For
THOMAS C. GALLAGHER Mgmt For For
GEORGE C. "JACK" GUYNN Mgmt For For
JOHN R. HOLDER Mgmt For For
JOHN D. JOHNS Mgmt For For
MICHAEL M.E. JOHNS, MD Mgmt For For
R.C. LOUDERMILK, JR. Mgmt For For
WENDY B. NEEDHAM Mgmt For For
JERRY W. NIX Mgmt For For
GARY W. ROLLINS Mgmt For For
2. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
3. RATIFICATION OF THE SELECTION OF ERNST & Mgmt For For
YOUNG LLP AS THE COMPANY'S INDEPENDENT
AUDITORS FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013.
--------------------------------------------------------------------------------------------------------------------------
GLAXOSMITHKLINE PLC Agenda Number: 933755716
--------------------------------------------------------------------------------------------------------------------------
Security: 37733W105
Meeting Type: Annual
Meeting Date: 01-May-2013
Ticker: GSK
ISIN: US37733W1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 TO RECEIVE AND ADOPT THE DIRECTORS' REPORT Mgmt For For
AND THE FINANCIAL STATEMENTS
2 TO APPROVE THE REMUNERATION REPORT Mgmt For For
3 TO ELECT LYNN ELSENHANS AS A DIRECTOR Mgmt For For
4 TO ELECT JING ULRICH AS A DIRECTOR Mgmt For For
5 TO ELECT HANS WIJERS AS A DIRECTOR Mgmt For For
6 TO RE-ELECT SIR CHRISTOPHER GENT AS A Mgmt Against Against
DIRECTOR
7 TO RE-ELECT SIR ANDREW WITTY AS A DIRECTOR Mgmt For For
8 TO RE-ELECT PROFESSOR SIR ROY ANDERSON AS A Mgmt For For
DIRECTOR
9 TO RE-ELECT DR STEPHANIE BURNS AS A Mgmt For For
DIRECTOR
10 TO RE-ELECT STACEY CARTWRIGHT AS A DIRECTOR Mgmt For For
11 TO RE-ELECT SIMON DINGEMANS AS A DIRECTOR Mgmt For For
12 TO RE-ELECT JUDY LEWENT AS A DIRECTOR Mgmt For For
13 TO RE-ELECT SIR DERYCK MAUGHAN AS A Mgmt For For
DIRECTOR
14 TO RE-ELECT DR DANIEL PODOLSKY AS A Mgmt For For
DIRECTOR
15 TO RE-ELECT DR MONCEF SLAOUI AS A DIRECTOR Mgmt For For
16 TO RE-ELECT TOM DE SWAAN AS A DIRECTOR Mgmt Against Against
17 TO RE-ELECT SIR ROBERT WILSON AS A DIRECTOR Mgmt For For
18 TO RE-APPOINT AUDITORS Mgmt For For
19 TO DETERMINE REMUNERATION OF AUDITORS Mgmt For For
20 TO AUTHORISE THE COMPANY AND ITS Mgmt For For
SUBSIDIARIES TO MAKE DONATIONS TO POLITICAL
ORGANISATIONS AND INCUR POLITICAL
EXPENDITURE
21 TO AUTHORISE ALLOTMENT OF SHARES Mgmt For For
S22 TO DISAPPLY PRE-EMPTION RIGHTS Mgmt For For
S23 TO AUTHORISE THE COMPANY TO PURCHASE ITS Mgmt For For
OWN SHARES
24 TO AUTHORISE EXEMPTION FROM STATEMENT OF Mgmt For For
NAME OF SENIOR STATUTORY AUDITOR
S25 TO AUTHORISE REDUCED NOTICE OF A GENERAL Mgmt Against Against
MEETING OTHER THAN AN AGM
--------------------------------------------------------------------------------------------------------------------------
GUGGENHEIM FUNDS Agenda Number: 933744749
--------------------------------------------------------------------------------------------------------------------------
Security: 40167K100
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: GGE
ISIN: US40167K1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: DONALD C. Mgmt Split 96% For 2% Against 2% AbstainSplit
CACCIAPAGLIA
1B. ELECTION OF CLASS III TRUSTEE: ROBERT B. Mgmt Split 96% For 2% Against 2% AbstainSplit
KARN III
1C. ELECTION OF CLASS III TRUSTEE: RONALD E. Mgmt Split 96% For 2% Against 2% AbstainSplit
TOUPIN, JR.
--------------------------------------------------------------------------------------------------------------------------
HEWLETT-PACKARD COMPANY Agenda Number: 933731615
--------------------------------------------------------------------------------------------------------------------------
Security: 428236103
Meeting Type: Annual
Meeting Date: 20-Mar-2013
Ticker: HPQ
ISIN: US4282361033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: M.L. ANDREESSEN Mgmt Against Against
1B. ELECTION OF DIRECTOR: S. BANERJI Mgmt For For
1C. ELECTION OF DIRECTOR: R.L. GUPTA Mgmt Against Against
1D. ELECTION OF DIRECTOR: J.H. HAMMERGREN Mgmt Against Against
1E. ELECTION OF DIRECTOR: R.J. LANE Mgmt For For
1F. ELECTION OF DIRECTOR: A.M. LIVERMORE Mgmt For For
1G. ELECTION OF DIRECTOR: G.M. REINER Mgmt For For
1H. ELECTION OF DIRECTOR: P.F. RUSSO Mgmt For For
1I. ELECTION OF DIRECTOR: G.K. THOMPSON Mgmt Against Against
1J. ELECTION OF DIRECTOR: M.C. WHITMAN Mgmt For For
1K. ELECTION OF DIRECTOR: R.V. WHITWORTH Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF THE Mgmt Against Against
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31,
2013.
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt Against Against
4. AMEND HP'S AMENDED AND RESTATED BYLAWS TO Mgmt For For
PERMIT STOCKHOLDER PROXY ACCESS.
5. APPROVAL OF THE SECOND AMENDED AND RESTATED Mgmt For For
HEWLETT-PACKARD COMPANY 2004 STOCK
INCENTIVE PLAN.
6. STOCKHOLDER PROPOSAL RELATING TO THE Shr Against For
FORMATION OF A HUMAN RIGHTS COMMITTEE.
7. STOCKHOLDER PROPOSAL ENTITLED "2013 Shr Against For
HEWLETT-PACKARD RESOLUTION ON HUMAN RIGHTS
POLICY."
8. STOCKHOLDER PROPOSAL ENTITLED "EXECUTIVES Shr Against For
TO RETAIN SIGNIFICANT STOCK."
--------------------------------------------------------------------------------------------------------------------------
HONEYWELL INTERNATIONAL INC. Agenda Number: 933739368
--------------------------------------------------------------------------------------------------------------------------
Security: 438516106
Meeting Type: Annual
Meeting Date: 22-Apr-2013
Ticker: HON
ISIN: US4385161066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: GORDON M. BETHUNE Mgmt For For
1B. ELECTION OF DIRECTOR: KEVIN BURKE Mgmt For For
1C. ELECTION OF DIRECTOR: JAIME CHICO PARDO Mgmt For For
1D. ELECTION OF DIRECTOR: DAVID M. COTE Mgmt For For
1E. ELECTION OF DIRECTOR: D. SCOTT DAVIS Mgmt For For
1F. ELECTION OF DIRECTOR: LINNET F. DEILY Mgmt Against Against
1G. ELECTION OF DIRECTOR: JUDD GREGG Mgmt For For
1H. ELECTION OF DIRECTOR: CLIVE HOLLICK Mgmt For For
1I. ELECTION OF DIRECTOR: GRACE D. LIEBLEIN Mgmt For For
1J. ELECTION OF DIRECTOR: GEORGE PAZ Mgmt For For
1K. ELECTION OF DIRECTOR: BRADLEY T. SHEARES Mgmt For For
1L. ELECTION OF DIRECTOR: ROBIN L. WASHINGTON Mgmt For For
2. APPROVAL OF INDEPENDENT ACCOUNTANTS. Mgmt For For
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. INDEPENDENT BOARD CHAIRMAN. Shr For Against
5. RIGHT TO ACT BY WRITTEN CONSENT. Shr For Against
6. ELIMINATE ACCELERATED VESTING IN A CHANGE Shr For Against
IN CONTROL.
--------------------------------------------------------------------------------------------------------------------------
ILLINOIS TOOL WORKS INC. Agenda Number: 933753255
--------------------------------------------------------------------------------------------------------------------------
Security: 452308109
Meeting Type: Annual
Meeting Date: 03-May-2013
Ticker: ITW
ISIN: US4523081093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DANIEL J. BRUTTO Mgmt For For
1B. ELECTION OF DIRECTOR: SUSAN CROWN Mgmt For For
1C. ELECTION OF DIRECTOR: DON H. DAVIS, JR. Mgmt For For
1D. ELECTION OF DIRECTOR: JAMES W. GRIFFITH Mgmt For For
1E. ELECTION OF DIRECTOR: ROBERT C. MCCORMACK Mgmt For For
1F. ELECTION OF DIRECTOR: ROBERT S. MORRISON Mgmt For For
1G. ELECTION OF DIRECTOR: E. SCOTT SANTI Mgmt For For
1H. ELECTION OF DIRECTOR: JAMES A. SKINNER Mgmt For For
1I. ELECTION OF DIRECTOR: DAVID B. SMITH, JR. Mgmt For For
1J. ELECTION OF DIRECTOR: PAMELA B. STROBEL Mgmt For For
1K. ELECTION OF DIRECTOR: KEVIN M. WARREN Mgmt For For
1L. ELECTION OF DIRECTOR: ANRE D. WILLIAMS Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE LLP AS ITW'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. STOCKHOLDER PROPOSAL TO ADOPT SIMPLE Shr For Against
MAJORITY VOTE RIGHT.
--------------------------------------------------------------------------------------------------------------------------
INTEL CORPORATION Agenda Number: 933758611
--------------------------------------------------------------------------------------------------------------------------
Security: 458140100
Meeting Type: Annual
Meeting Date: 16-May-2013
Ticker: INTC
ISIN: US4581401001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: CHARLENE BARSHEFSKY Mgmt Against Against
1B. ELECTION OF DIRECTOR: ANDY D. BRYANT Mgmt For For
1C. ELECTION OF DIRECTOR: SUSAN L. DECKER Mgmt For For
1D. ELECTION OF DIRECTOR: JOHN J. DONAHOE Mgmt For For
1E. ELECTION OF DIRECTOR: REED E. HUNDT Mgmt For For
1F. ELECTION OF DIRECTOR: JAMES D. PLUMMER Mgmt For For
1G. ELECTION OF DIRECTOR: DAVID S. POTTRUCK Mgmt For For
1H. ELECTION OF DIRECTOR: FRANK D. YEARY Mgmt For For
1I. ELECTION OF DIRECTOR: DAVID B. YOFFIE Mgmt Against Against
2. RATIFICATION OF SELECTION OF ERNST & YOUNG Mgmt For For
LLP AS OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE CURRENT YEAR
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
4. APPROVAL OF AMENDMENT AND EXTENSION OF THE Mgmt For For
2006 EQUITY INCENTIVE PLAN
5. STOCKHOLDER PROPOSAL TITLED "EXECUTIVES TO Shr Against For
RETAIN SIGNIFICANT STOCK"
--------------------------------------------------------------------------------------------------------------------------
INTERNATIONAL PAPER COMPANY Agenda Number: 933779362
--------------------------------------------------------------------------------------------------------------------------
Security: 460146103
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: IP
ISIN: US4601461035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DAVID J. BRONCZEK Mgmt For For
1B. ELECTION OF DIRECTOR: AHMET C. DORDUNCU Mgmt For For
1C. ELECTION OF DIRECTOR: JOHN V. FARACI Mgmt For For
1D. ELECTION OF DIRECTOR: ILENE S. GORDON Mgmt For For
1E. ELECTION OF DIRECTOR: STACEY J. MOBLEY Mgmt For For
1F. ELECTION OF DIRECTOR: JOAN E. SPERO Mgmt For For
1G. ELECTION OF DIRECTOR: JOHN L. TOWNSEND, III Mgmt For For
1H. ELECTION OF DIRECTOR: JOHN F. TURNER Mgmt For For
1I. ELECTION OF DIRECTOR: WILLIAM G. WALTER Mgmt For For
1J. ELECTION OF DIRECTOR: J. STEVEN WHISLER Mgmt For For
2. RATIFICATION OF DELOITTE & TOUCHE LLP AS Mgmt For For
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2013
3. AMENDMENT OF THE COMPANY'S RESTATED Mgmt For For
CERTIFICATE OF INCORPORATION REGARDING
SHAREOWNER ACTION BY WRITTEN CONSENT
4. A NON-BINDING RESOLUTION TO APPROVE THE Mgmt For For
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS, AS DISCLOSED UNDER THE
HEADING "COMPENSATION DISCUSSION &
ANALYSIS"
5. SHAREOWNER PROPOSAL CONCERNING A POLICY ON Shr Against For
ACCELERATED VESTING OF EQUITY AWARDS OF
SENIOR EXECUTIVES UPON A CHANGE IN CONTROL
--------------------------------------------------------------------------------------------------------------------------
JOHNSON & JOHNSON Agenda Number: 933745068
--------------------------------------------------------------------------------------------------------------------------
Security: 478160104
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: JNJ
ISIN: US4781601046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: MARY SUE COLEMAN Mgmt For For
1B. ELECTION OF DIRECTOR: JAMES G. CULLEN Mgmt For For
1C. ELECTION OF DIRECTOR: IAN E.L. DAVIS Mgmt For For
1D. ELECTION OF DIRECTOR: ALEX GORSKY Mgmt For For
1E. ELECTION OF DIRECTOR: MICHAEL M.E. JOHNS Mgmt For For
1F. ELECTION OF DIRECTOR: SUSAN L. LINDQUIST Mgmt For For
1G. ELECTION OF DIRECTOR: ANNE M. MULCAHY Mgmt Against Against
1H. ELECTION OF DIRECTOR: LEO F. MULLIN Mgmt For For
1I. ELECTION OF DIRECTOR: WILLIAM D. PEREZ Mgmt For For
1J. ELECTION OF DIRECTOR: CHARLES PRINCE Mgmt Against Against
1K. ELECTION OF DIRECTOR: A. EUGENE WASHINGTON Mgmt For For
1L. ELECTION OF DIRECTOR: RONALD A. WILLIAMS Mgmt For For
2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
3. RATIFICATION OF APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013
4. SHAREHOLDER PROPOSAL - EXECUTIVES TO RETAIN Shr Against For
SIGNIFICANT STOCK
5. SHAREHOLDER PROPOSAL ON POLITICAL Shr Against For
CONTRIBUTIONS AND CORPORATE VALUES
6. SHAREHOLDER PROPOSAL ON INDEPENDENT BOARD Shr For Against
CHAIRMAN
--------------------------------------------------------------------------------------------------------------------------
KELLOGG COMPANY Agenda Number: 933745157
--------------------------------------------------------------------------------------------------------------------------
Security: 487836108
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: K
ISIN: US4878361082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GORDON GUND Mgmt For For
MARY LASCHINGER Mgmt For For
A. MCLAUGHLIN KOROLOGOS Mgmt For For
CYNTHIA MILLIGAN Mgmt For For
2. ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
3. APPROVAL OF THE KELLOGG COMPANY 2013 Mgmt For For
LONG-TERM INCENTIVE PLAN.
4. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS KELLOGG'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR FISCAL YEAR 2013.
5. SHAREOWNER PROPOSAL, IF PROPERLY PRESENTED Shr For Against
AT THE MEETING, TO REPEAL CLASSIFIED BOARD.
--------------------------------------------------------------------------------------------------------------------------
KIMBERLY-CLARK CORPORATION Agenda Number: 933742214
--------------------------------------------------------------------------------------------------------------------------
Security: 494368103
Meeting Type: Annual
Meeting Date: 02-May-2013
Ticker: KMB
ISIN: US4943681035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JOHN R. ALM Mgmt For For
1B. ELECTION OF DIRECTOR: JOHN F. BERGSTROM Mgmt For For
1C. ELECTION OF DIRECTOR: ABELARDO E. BRU Mgmt For For
1D. ELECTION OF DIRECTOR: ROBERT W. DECHERD Mgmt For For
1E. ELECTION OF DIRECTOR: THOMAS J. FALK Mgmt For For
1F. ELECTION OF DIRECTOR: FABIAN T. GARCIA Mgmt For For
1G. ELECTION OF DIRECTOR: MAE C. JEMISON, M.D. Mgmt For For
1H. ELECTION OF DIRECTOR: JAMES M. JENNESS Mgmt For For
1I. ELECTION OF DIRECTOR: NANCY J. KARCH Mgmt For For
1J. ELECTION OF DIRECTOR: IAN C. READ Mgmt For For
1K. ELECTION OF DIRECTOR: LINDA JOHNSON RICE Mgmt For For
1L. ELECTION OF DIRECTOR: MARC J. SHAPIRO Mgmt For For
2. RATIFICATION OF AUDITORS Mgmt For For
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
--------------------------------------------------------------------------------------------------------------------------
KOHL'S CORPORATION Agenda Number: 933759043
--------------------------------------------------------------------------------------------------------------------------
Security: 500255104
Meeting Type: Annual
Meeting Date: 16-May-2013
Ticker: KSS
ISIN: US5002551043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: PETER BONEPARTH Mgmt For For
1B. ELECTION OF DIRECTOR: STEVEN A. BURD Mgmt For For
1C. ELECTION OF DIRECTOR: DALE E. JONES Mgmt For For
1D. ELECTION OF DIRECTOR: KEVIN MANSELL Mgmt For For
1E. ELECTION OF DIRECTOR: JOHN E. SCHLIFSKE Mgmt For For
1F. ELECTION OF DIRECTOR: FRANK V. SICA Mgmt For For
1G. ELECTION OF DIRECTOR: PETER M. SOMMERHAUSER Mgmt Against Against
1H. ELECTION OF DIRECTOR: STEPHANIE A. STREETER Mgmt For For
1I. ELECTION OF DIRECTOR: NINA G. VACA Mgmt For For
1J. ELECTION OF DIRECTOR: STEPHEN E. WATSON Mgmt For For
2. RATIFY APPOINTMENT OF ERNST & YOUNG LLP AS Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3. ADVISORY VOTE ON APPROVAL OF NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
4. SHAREHOLDER PROPOSAL: POLICY ON ANIMAL Shr Against For
CRUELTY RELATED TO THE SALE OF PRODUCTS
CONTAINING ANIMAL FUR.
5. SHAREHOLDER PROPOSAL: INDEPENDENT BOARD Shr For Against
CHAIRMAN.
--------------------------------------------------------------------------------------------------------------------------
KONINKLIJKE PHILIPS ELECTRONICS N.V. Agenda Number: 933785808
--------------------------------------------------------------------------------------------------------------------------
Security: 500472303
Meeting Type: Annual
Meeting Date: 03-May-2013
Ticker: PHG
ISIN: US5004723038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2A. PROPOSAL TO ADOPT THE 2012 FINANCIAL Mgmt For For
STATEMENTS
2C. PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.75 Mgmt For For
PER COMMON SHARE, OPTION OF THE
SHAREHOLDER, TO BE CHARGED AGAINST THE NET
INCOME FOR 2012 AND RETAINED EARNINGS OF
THE COMPANY
2D. PROPOSAL TO DISCHARGE THE MEMBERS OF THE Mgmt For For
BOARD OF MANAGEMENT FOR THEIR
RESPONSIBILITIES
2E. PROPOSAL TO DISCHARGE THE MEMBERS OF THE Mgmt For For
SUPERVISORY BOARD FOR THEIR
RESPONSIBILITIES
3A. PROPOSAL TO RE-APPOINT MS C.A. POON AS A Mgmt For For
MEMBER OF THE SUPERVISORY BOARD OF THE
COMPANY WITH EFFECT FROM MAY 3, 2013
3B. PROPOSAL TO RE-APPOINT MR J.J. SCHIRO AS A Mgmt For For
MEMBER OF THE SUPERVISORY BOARD OF THE
COMPANY WITH EFFECT FROM MAY 3, 2013
3C. PROPOSAL TO RE-APPOINT MR J. VAN DER VEER Mgmt For For
AS A MEMBER OF THE SUPERVISORY BOARD OF THE
COMPANY WITH EFFECT FROM MAY 3, 2013
4A. PROPOSAL TO AMEND THE LONG-TERM INCENTIVE Mgmt For For
PLAN FOR THE BOARD OF MANAGEMENT
4B. PROPOSAL TO ADOPT THE ACCELERATE! GRANT FOR Mgmt For For
THE BOARD OF MANAGEMENT
5. PROPOSAL TO AMEND THE ARTICLES OF Mgmt For For
ASSOCIATION OF THE COMPANY TO CHANGE THE
NAME OF THE COMPANY TO KONINKLIJKE PHILIPS
N.V.
6A. PROPOSAL TO AUTHORIZE THE BOARD OF Mgmt For For
MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER
MAY 3, 2013, AS THE BODY WHICH IS
AUTHORIZED, WITH THE APPROVAL OF THE
SUPERVISORY BOARD, TO ISSUE SHARES OR GRANT
RIGHTS TO ACQUIRE SHARES WITHIN THE LIMITS
LAID DOWN IN THE ARTICLES OF ASSOCIATION OF
THE COMPANY
6B. PROPOSAL TO AUTHORIZE THE BOARD OF Mgmt For For
MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER
MAY 3, 2013, AS THE BODY WHICH IS
AUTHORIZED, WITH THE APPROVAL OF THE
SUPERVISORY BOARD, TO RESTRICT OR EXCLUDE
THE PRE-EMPTION RIGHTS ACCRUING TO
SHAREHOLDERS
7. PROPOSAL TO AUTHORIZE THE BOARD OF Mgmt For For
MANAGEMENT FOR A PERIOD OF 18 MONTHS, PER
MAY 3, 2013, WITHIN THE LIMITS OF THE LAW
AND THE ARTICLES OF ASSOCIATION, TO
ACQUIRE, WITH THE APPROVAL OF THE
SUPERVISORY BOARD, SHARES IN THE COMPANY
PURSUANT TO AND SUBJECT TO THE LIMITATIONS
SET FORTH IN THE AGENDA ATTACHED HERETO
8. PROPOSAL TO CANCEL COMMON SHARES IN THE Mgmt For For
SHARE CAPITAL OF THE COMPANY HELD OR TO BE
ACQUIRED BY THE COMPANY
--------------------------------------------------------------------------------------------------------------------------
L BRANDS, INC. Agenda Number: 933797043
--------------------------------------------------------------------------------------------------------------------------
Security: 501797104
Meeting Type: Annual
Meeting Date: 23-May-2013
Ticker: LTD
ISIN: US5017971046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: DENNIS S. HERSCH Mgmt For For
1B ELECTION OF DIRECTOR: DAVID T. KOLLAT Mgmt Against Against
1C ELECTION OF DIRECTOR: WILLIAM R. LOOMIS, Mgmt For For
JR.
1D ELECTION OF DIRECTOR: LESLIE H. WEXNER Mgmt For For
2 RATIFICATION OF THE APPOINTMENT OF Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
3 ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt Against Against
OFFICER COMPENSATION
4 PROPOSAL TO AMEND THE CERTIFICATE OF Mgmt For For
INCORPORATION TO PROVIDE FOR THE ANNUAL
ELECTION OF DIRECTORS
5 STOCKHOLDER PROPOSAL REGARDING ACCELERATED Shr Against For
VESTING OF EQUITY AWARDS
--------------------------------------------------------------------------------------------------------------------------
L M ERICSSON TELEPHONE CO Agenda Number: 933751516
--------------------------------------------------------------------------------------------------------------------------
Security: 294821608
Meeting Type: Annual
Meeting Date: 09-Apr-2013
Ticker: ERIC
ISIN: US2948216088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 ELECTION OF THE CHAIRMAN OF THE ANNUAL Mgmt For For
GENERAL MEETING.
8A ADOPTION OF THE INCOME STATEMENT AND THE Mgmt For For
BALANCE SHEET, THE CONSOLIDATED INCOME
STATEMENT AND THE CONSOLIDATED BALANCE
SHEET.
8B DISCHARGE OF LIABILITY FOR THE MEMBERS OF Mgmt For For
THE BOARD OF DIRECTORS AND THE PRESIDENT.
8C THE APPROPRIATION OF THE PROFIT IN Mgmt For For
ACCORDANCE WITH THE APPROVED BALANCE SHEET
AND DETERMINATION OF THE RECORD DATE FOR
DIVIDEND.
9A DETERMINATION OF THE NUMBER OF BOARD Mgmt For For
MEMBERS AND DEPUTIES OF THE BOARD OF
DIRECTORS TO BE ELECTED BY THE ANNUAL
GENERAL MEETING.
9B DETERMINATION OF THE FEES PAYABLE TO Mgmt For For
NON-EMPLOYED MEMBERS OF THE BOARD OF
DIRECTORS ELECTED BY THE ANNUAL GENERAL
MEETING AND NON-EMPLOYED MEMBERS OF THE
COMMITTEES OF THE BOARD OF DIRECTORS
ELECTED BY THE ANNUAL GENERAL MEETING.
9C ELECTION OF THE CHAIRMAN OF THE BOARD OF Mgmt For For
DIRECTORS, OTHER BOARD MEMBERS AND DEPUTIES
OF THE BOARD OF DIRECTORS.
9D DETERMINATION OF THE FEES PAYABLE TO THE Mgmt For For
AUDITOR.
9E ELECTION OF AUDITOR. Mgmt For For
10 RESOLUTION ON THE GUIDELINES FOR Mgmt For For
REMUNERATION TO GROUP MANAGEMENT.
11A RESOLUTION ON IMPLEMENTATION OF THE STOCK Mgmt For For
PURCHASE PLAN.
11B RESOLUTION ON TRANSFER OF TREASURY STOCK Mgmt For For
FOR THE STOCK PURCHASE PLAN.
11C RESOLUTION ON EQUITY SWAP AGREEMENT WITH Mgmt For For
THIRD PARTY IN RELATION TO THE STOCK
PURCHASE PLAN.
11D RESOLUTION ON IMPLEMENTATION OF THE KEY Mgmt For For
CONTRIBUTOR RETENTION PLAN.
11E RESOLUTION ON TRANSFER OF TREASURY STOCK Mgmt For For
FOR THE KEY CONTRIBUTOR RETENTION PLAN.
11F RESOLUTION ON EQUITY SWAP AGREEMENT WITH Mgmt For For
THIRD PARTY IN RELATION TO THE KEY
CONTRIBUTOR RETENTION PLAN.
11G RESOLUTION ON IMPLEMENTATION OF THE Mgmt For For
EXECUTIVE PERFORMANCE STOCK PLAN.
11H RESOLUTION ON TRANSFER OF TREASURY STOCK Mgmt For For
FOR THE EXECUTIVE PERFORMANCE STOCK PLAN.
11I RESOLUTION ON EQUITY SWAP AGREEMENT WITH Mgmt For For
THIRD PARTY IN RELATION TO THE EXECUTIVE
PERFORMANCE STOCK PLAN.
12 RESOLUTION ON TRANSFER OF TREASURY STOCK IN Mgmt For For
RELATION TO THE RESOLUTIONS ON THE
LONG-TERM VARIABLE REMUNERATION PROGRAMS
2009, 2010, 2011 AND 2012.
13 RESOLUTION ON PROPOSAL FROM THE SHAREHOLDER Mgmt Against Against
CARL AXEL BRUNO TO AMEND THE ARTICLES OF
ASSOCIATION BY ADDING THE FOLLOWING WORDING
TO THE SECTION ON THE BOARD OF DIRECTORS IN
THE ARTICLES OF ASSOCIATION: "AT LEAST ONE
FOURTH OF THE DIRECTORS ON THE BOARD OF
DIRECTORS SHALL BE MEN AND AT LEAST ONE
FOURTH OF THE DIRECTORS SHALL BE WOMEN. THE
MINIMUM NUMBER OF PROPOSED MEN AND THE
MINIMUM NUMBER OF PROPOSED WOMEN SHALL BE
INCREASED TO THE NEXT HIGHER WHOLE NUMBER."
14 RESOLUTION ON PROPOSAL FROM THE SHAREHOLDER Mgmt For For
EINAR HELLBOM THAT THE ANNUAL GENERAL
MEETING RESOLVE TO DELEGATE TO THE BOARD OF
DIRECTORS TO REVIEW HOW SHARES ARE TO BE
GIVEN EQUAL VOTING RIGHTS AND TO PRESENT A
PROPOSAL TO THAT EFFECT AT THE ANNUAL
GENERAL MEETING 2014.
15A TO TAKE NECESSARY ACTION TO CREATE A Mgmt Against Against
SHAREHOLDERS' ASSOCIATION IN THE COMPANY.
15B TO WRITE TO THE GOVERNMENT OF SWEDEN, Mgmt Against Against
REQUESTING A PROMPT APPOINTMENT OF A
COMMISSION INSTRUCTED TO PROPOSE
LEGISLATION ON THE ABOLISHMENT OF VOTING
POWER DIFFERENCES IN SWEDISH LIMITED
LIABILITY COMPANIES.
15C TO PREPARE A PROPOSAL REGARDING BOARD Mgmt Against Against
REPRESENTATION FOR THE SMALL AND MIDSIZE
SHAREHOLDERS.
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 933708262
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Special
Meeting Date: 20-Dec-2012
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW PORTFOLIO MANAGEMENT Mgmt Split 86% For 11% Against 3% AbstainSplit
AGREEMENT FOR THE FUND WITH ALPS ADVISORS,
INC. AND TCW INVESTMENT MANAGEMENT COMPANY.
2. TO APPROVE A NEW PORTFOLIO MANAGEMENT Mgmt Split 86% For 11% Against 3% AbstainSplit
AGREEMENT FOR THE FUND WITH ALPS ADVISORS,
INC. AND CORNERSTONE CAPITAL MANAGEMENT
LLC.
3. TO APPROVE, SUBJECT TO THE PROVISIONS OF Mgmt Split 77% For 12% Against 11% AbstainSplit
THE EXEMPTIVE RELIEF BY THE U.S. SECURITIES
AND EXCHANGE COMMISSION, A CHANGE TO THE
"MANAGERS-OF-MANAGERS" STRUCTURE FOR THE
FUND.
--------------------------------------------------------------------------------------------------------------------------
LINEAR TECHNOLOGY CORPORATION Agenda Number: 933690756
--------------------------------------------------------------------------------------------------------------------------
Security: 535678106
Meeting Type: Annual
Meeting Date: 07-Nov-2012
Ticker: LLTC
ISIN: US5356781063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT H. SWANSON, JR. Mgmt For For
LOTHAR MAIER Mgmt For For
ARTHUR C. AGNOS Mgmt For For
JOHN J. GORDON Mgmt For For
DAVID S. LEE Mgmt Withheld Against
RICHARD M. MOLEY Mgmt For For
THOMAS S. VOLPE Mgmt For For
2. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt Against Against
COMPENSATION.
3. TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For
LLP AS THE INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM OF THE COMPANY FOR THE
FISCAL YEAR ENDING JUNE 30, 2013.
--------------------------------------------------------------------------------------------------------------------------
LORILLARD, INC. Agenda Number: 933777635
--------------------------------------------------------------------------------------------------------------------------
Security: 544147101
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: LO
ISIN: US5441471019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO AMEND THE LORILLARD, INC. AMENDED AND Mgmt For For
RESTATED CERTIFICATE OF INCORPORATION TO
DECLASSIFY THE BOARD OF DIRECTORS (THE
"DECLASSIFICATION AMENDMENT") AND PROVIDE
FOR THE ANNUAL ELECTION OF DIRECTORS.
2.1 ELECTION OF ANDREW H. CARD, JR. AS A Mgmt For For
DIRECTOR TO HOLD OFFICE UNTIL THE ANNUAL
MEETING OF SHAREHOLDERS FOR 2014 (OR AS
CLASS II DIRECTORS UNTIL THE ANNUAL MEETING
OF SHAREHOLDERS FOR 2016 IF THE
DECLASSIFICATION AMENDMENT IN PROPOSAL NO.
1 IS NOT APPROVED).
2.2 ELECTION OF VIRGIS W. COLBERT AS A DIRECTOR Mgmt Against Against
TO HOLD OFFICE UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2014 (OR AS CLASS II
DIRECTORS UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2016 IF THE
DECLASSIFICATION AMENDMENT IN PROPOSAL NO.
1 IS NOT APPROVED).
2.3 ELECTION OF RICHARD W. ROEDEL AS A DIRECTOR Mgmt For For
TO HOLD OFFICE UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2014 (OR AS CLASS II
DIRECTORS UNTIL THE ANNUAL MEETING OF
SHAREHOLDERS FOR 2016 IF THE
DECLASSIFICATION AMENDMENT IN PROPOSAL NO.
1 IS NOT APPROVED).
3. ADVISORY VOTE TO APPROVE THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
4. TO RATIFY THE SELECTION OF DELOITTE & Mgmt For For
TOUCHE LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
5. SHAREHOLDER PROPOSAL ON DISCLOSURE OF Shr For Against
LOBBYING POLICIES AND PRACTICES.
--------------------------------------------------------------------------------------------------------------------------
MACQUARIE GLOBAL INFRASTRUCTURE TOTAL RT Agenda Number: 933822416
--------------------------------------------------------------------------------------------------------------------------
Security: 55608D101
Meeting Type: Annual
Meeting Date: 19-Jun-2013
Ticker: MGU
ISIN: US55608D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GORDON A. BAIRD* Mgmt Split 95% For 5% Withheld Split
THOMAS W. HUNERSEN$ Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MAGNA INTERNATIONAL INC. Agenda Number: 933785959
--------------------------------------------------------------------------------------------------------------------------
Security: 559222401
Meeting Type: Annual
Meeting Date: 10-May-2013
Ticker: MGA
ISIN: CA5592224011
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
SCOTT B. BONHAM Mgmt For For
PETER G. BOWIE Mgmt For For
HON. J. TREVOR EYTON Mgmt For For
V. PETER HARDER Mgmt For For
LADY BARBARA JUDGE Mgmt For For
KURT J. LAUK Mgmt For For
DONALD J. WALKER Mgmt For For
LAWRENCE D. WORRALL Mgmt For For
WILLIAM L. YOUNG Mgmt For For
02 RE-APPOINTMENT OF ERNST & YOUNG LLP AS THE Mgmt For For
INDEPENDENT AUDITOR OF THE CORPORATION AND
AUTHORIZATION OF THE AUDIT COMMITTEE TO FIX
THE INDEPENDENT AUDITOR'S REMUNERATION.
03 RESOLVED, ON AN ADVISORY BASIS AND NOT TO Mgmt Against Against
DIMINISH THE ROLES AND RESPONSIBILITIES OF
THE BOARD OF DIRECTORS, THAT THE
SHAREHOLDERS ACCEPT THE APPROACH TO
EXECUTIVE COMPENSATION DISCLOSED IN THE
ACCOMPANYING MANAGEMENT INFORMATION
CIRCULAR / PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
MARATHON OIL CORPORATION Agenda Number: 933743103
--------------------------------------------------------------------------------------------------------------------------
Security: 565849106
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: MRO
ISIN: US5658491064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: GREGORY H. BOYCE Mgmt For For
1B. ELECTION OF DIRECTOR: PIERRE BRONDEAU Mgmt For For
1C. ELECTION OF DIRECTOR: CLARENCE P. CAZALOT, Mgmt For For
JR.
1D. ELECTION OF DIRECTOR: LINDA Z. COOK Mgmt For For
1E. ELECTION OF DIRECTOR: SHIRLEY ANN JACKSON Mgmt For For
1F. ELECTION OF DIRECTOR: PHILIP LADER Mgmt For For
1G. ELECTION OF DIRECTOR: MICHAEL E.J. PHELPS Mgmt For For
1H. ELECTION OF DIRECTOR: DENNIS H. REILLEY Mgmt For For
2. RATIFICATION OF THE SELECTION OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT AUDITOR FOR 2013.
3. BOARD PROPOSAL FOR A NON-BINDING ADVISORY Mgmt For For
VOTE TO APPROVE OUR NAMED EXECUTIVE OFFICER
COMPENSATION.
4. STOCKHOLDER PROPOSAL SEEKING A REPORT Shr For Against
REGARDING THE COMPANY'S LOBBYING
ACTIVITIES, POLICIES AND PROCEDURES.
--------------------------------------------------------------------------------------------------------------------------
MARSH & MCLENNAN COMPANIES, INC. Agenda Number: 933768989
--------------------------------------------------------------------------------------------------------------------------
Security: 571748102
Meeting Type: Annual
Meeting Date: 16-May-2013
Ticker: MMC
ISIN: US5717481023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: ZACHARY W. CARTER Mgmt For For
1B. ELECTION OF DIRECTOR: OSCAR FANJUL Mgmt For For
1C. ELECTION OF DIRECTOR: DANIEL S. GLASER Mgmt For For
1D. ELECTION OF DIRECTOR: H. EDWARD HANWAY Mgmt For For
1E. ELECTION OF DIRECTOR: LORD LANG OF MONKTON Mgmt For For
1F. ELECTION OF DIRECTOR: ELAINE LA ROCHE Mgmt For For
1G. ELECTION OF DIRECTOR: STEVEN A. MILLS Mgmt For For
1H. ELECTION OF DIRECTOR: BRUCE P. NOLOP Mgmt For For
1I. ELECTION OF DIRECTOR: MARC D. OKEN Mgmt For For
1J. ELECTION OF DIRECTOR: MORTON O. SCHAPIRO Mgmt For For
1K. ELECTION OF DIRECTOR: ADELE SIMMONS Mgmt For For
1L. ELECTION OF DIRECTOR: LLOYD M. YATES Mgmt For For
1M. ELECTION OF DIRECTOR: R. DAVID YOST Mgmt For For
2. ADVISORY (NONBINDING) VOTE TO APPROVE NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION
3. RATIFICATION OF SELECTION OF INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM
--------------------------------------------------------------------------------------------------------------------------
MATTEL, INC. Agenda Number: 933753635
--------------------------------------------------------------------------------------------------------------------------
Security: 577081102
Meeting Type: Annual
Meeting Date: 10-May-2013
Ticker: MAT
ISIN: US5770811025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: MICHAEL J. DOLAN Mgmt For For
1B. ELECTION OF DIRECTOR: TREVOR A. EDWARDS Mgmt For For
1C. ELECTION OF DIRECTOR: DR. FRANCES D. Mgmt For For
FERGUSSON
1D. ELECTION OF DIRECTOR: DOMINIC NG Mgmt For For
1E. ELECTION OF DIRECTOR: VASANT M. PRABHU Mgmt For For
1F. ELECTION OF DIRECTOR: DR. ANDREA L. RICH Mgmt For For
1G. ELECTION OF DIRECTOR: DEAN A. SCARBOROUGH Mgmt For For
1H. ELECTION OF DIRECTOR: CHRISTOPHER A. Mgmt For For
SINCLAIR
1I. ELECTION OF DIRECTOR: BRYAN G. STOCKTON Mgmt For For
1J. ELECTION OF DIRECTOR: DIRK VAN DE PUT Mgmt For For
1K. ELECTION OF DIRECTOR: KATHY WHITE LOYD Mgmt For For
2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION, AS DESCRIBED IN THE
MATTEL, INC. PROXY STATEMENT.
3. RATIFICATION OF THE SELECTION OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS MATTEL,
INC.'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
4. STOCKHOLDER PROPOSAL REGARDING AN Shr For Against
INDEPENDENT CHAIRMAN OF THE BOARD.
--------------------------------------------------------------------------------------------------------------------------
MCDONALD'S CORPORATION Agenda Number: 933781999
--------------------------------------------------------------------------------------------------------------------------
Security: 580135101
Meeting Type: Annual
Meeting Date: 23-May-2013
Ticker: MCD
ISIN: US5801351017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: WALTER E. MASSEY Mgmt For For
1B. ELECTION OF DIRECTOR: JOHN W. ROGERS, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: ROGER W. STONE Mgmt For For
1D. ELECTION OF DIRECTOR: MILES D. WHITE Mgmt For For
2. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
3. ADVISORY VOTE TO APPROVE THE APPOINTMENT OF Mgmt For For
ERNST & YOUNG LLP AS INDEPENDENT AUDITOR
FOR 2013.
4. ADVISORY VOTE ON A SHAREHOLDER PROPOSAL Shr Against For
REQUESTING AN ANNUAL REPORT ON EXECUTIVE
COMPENSATION, IF PRESENTED.
5. ADVISORY VOTE ON A SHAREHOLDER PROPOSAL Shr Against For
REQUESTING AN EXECUTIVE STOCK RETENTION
POLICY, IF PRESENTED.
6. ADVISORY VOTE ON A SHAREHOLDER PROPOSAL Shr Against For
REQUESTING A HUMAN RIGHTS REPORT, IF
PRESENTED.
7. ADVISORY VOTE ON A SHAREHOLDER PROPOSAL Shr Against For
REQUESTING A NUTRITION REPORT, IF
PRESENTED.
--------------------------------------------------------------------------------------------------------------------------
MERCK & CO., INC. Agenda Number: 933782319
--------------------------------------------------------------------------------------------------------------------------
Security: 58933Y105
Meeting Type: Annual
Meeting Date: 28-May-2013
Ticker: MRK
ISIN: US58933Y1055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: LESLIE A. BRUN Mgmt For For
1B. ELECTION OF DIRECTOR: THOMAS R. CECH Mgmt For For
1C. ELECTION OF DIRECTOR: KENNETH C. FRAZIER Mgmt For For
1D. ELECTION OF DIRECTOR: THOMAS H. GLOCER Mgmt For For
1E. ELECTION OF DIRECTOR: WILLIAM B. HARRISON Mgmt For For
JR.
1F. ELECTION OF DIRECTOR: C. ROBERT KIDDER Mgmt For For
1G. ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS Mgmt For For
1H. ELECTION OF DIRECTOR: CARLOS E. REPRESAS Mgmt For For
1I. ELECTION OF DIRECTOR: PATRICIA F. RUSSO Mgmt For For
1J. ELECTION OF DIRECTOR: CRAIG B. THOMPSON Mgmt For For
1K. ELECTION OF DIRECTOR: WENDELL P. WEEKS Mgmt For For
1L. ELECTION OF DIRECTOR: PETER C. WENDELL Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF THE Mgmt For For
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2013.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. SHAREHOLDER PROPOSAL CONCERNING Shr For Against
SHAREHOLDERS' RIGHT TO ACT BY WRITTEN
CONSENT.
5. SHAREHOLDER PROPOSAL CONCERNING SPECIAL Shr Against For
SHAREOWNER MEETINGS.
6. SHAREHOLDER PROPOSAL CONCERNING A REPORT ON Shr Against For
CHARITABLE AND POLITICAL CONTRIBUTIONS.
7. SHAREHOLDER PROPOSAL CONCERNING A REPORT ON Shr Against For
LOBBYING ACTIVITIES.
--------------------------------------------------------------------------------------------------------------------------
MICROSOFT CORPORATION Agenda Number: 933691784
--------------------------------------------------------------------------------------------------------------------------
Security: 594918104
Meeting Type: Annual
Meeting Date: 28-Nov-2012
Ticker: MSFT
ISIN: US5949181045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. ELECTION OF DIRECTOR: STEVEN A. BALLMER Mgmt For For
2. ELECTION OF DIRECTOR: DINA DUBLON Mgmt For For
3. ELECTION OF DIRECTOR: WILLIAM H. GATES III Mgmt For For
4. ELECTION OF DIRECTOR: MARIA M. KLAWE Mgmt For For
5. ELECTION OF DIRECTOR: STEPHEN J. LUCZO Mgmt For For
6. ELECTION OF DIRECTOR: DAVID F. MARQUARDT Mgmt For For
7. ELECTION OF DIRECTOR: CHARLES H. NOSKI Mgmt For For
8. ELECTION OF DIRECTOR: HELMUT PANKE Mgmt For For
9. ELECTION OF DIRECTOR: JOHN W. THOMPSON Mgmt For For
10. ADVISORY VOTE ON NAMED EXECUTIVE OFFICER Mgmt For For
COMPENSATION (THE BOARD RECOMMENDS A VOTE
FOR THIS PROPOSAL)
11. APPROVAL OF EMPLOYEE STOCK PURCHASE PLAN Mgmt For For
(THE BOARD RECOMMENDS A VOTE FOR THIS
PROPOSAL)
12. RATIFICATION OF DELOITTE & TOUCHE LLP AS Mgmt For For
OUR INDEPENDENT AUDITOR FOR FISCAL YEAR
2013 (THE BOARD RECOMMENDS A VOTE FOR THIS
PROPOSAL)
13. SHAREHOLDER PROPOSAL - ADOPT CUMULATIVE Shr Against For
VOTING (THE BOARD RECOMMENDS A VOTE AGAINST
THIS PROPOSAL)
--------------------------------------------------------------------------------------------------------------------------
NORFOLK SOUTHERN CORPORATION Agenda Number: 933758851
--------------------------------------------------------------------------------------------------------------------------
Security: 655844108
Meeting Type: Annual
Meeting Date: 09-May-2013
Ticker: NSC
ISIN: US6558441084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: THOMAS D. BELL, JR Mgmt For For
1B. ELECTION OF DIRECTOR: ERSKINE B. BOWLES Mgmt For For
1C. ELECTION OF DIRECTOR: ROBERT A. BRADWAY Mgmt For For
1D. ELECTION OF DIRECTOR: WESLEY G. BUSH Mgmt For For
1E. ELECTION OF DIRECTOR: DANIEL A. CARP Mgmt For For
1F. ELECTION OF DIRECTOR: KAREN N. HORN Mgmt Against Against
1G. ELECTION OF DIRECTOR: BURTON M. JOYCE Mgmt For For
1H. ELECTION OF DIRECTOR: STEVEN F. LEER Mgmt For For
1I. ELECTION OF DIRECTOR: MICHAEL D. LOCKHART Mgmt For For
1J. ELECTION OF DIRECTOR: CHARLES W. MOORMAN Mgmt For For
1K. ELECTION OF DIRECTOR: MARTIN H. NESBITT Mgmt For For
1L. ELECTION OF DIRECTOR: JOHN R. THOMPSON Mgmt For For
2. THE RATIFICATION OF THE APPOINTMENT OF KPMG Mgmt For For
LLP, INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
3. APPROVAL OF EXECUTIVE COMPENSATION AS Mgmt For For
DISCLOSED IN THE PROXY STATEMENT FOR THE
2013 ANNUAL MEETING OF STOCKHOLDERS.
4. APPROVAL OF AN AMENDMENT TO THE NORFOLK Mgmt For For
SOUTHERN BYLAWS GIVING STOCKHOLDERS THE
RIGHT TO CALL A SPECIAL MEETING.
--------------------------------------------------------------------------------------------------------------------------
NORTHROP GRUMMAN CORPORATION Agenda Number: 933768802
--------------------------------------------------------------------------------------------------------------------------
Security: 666807102
Meeting Type: Annual
Meeting Date: 15-May-2013
Ticker: NOC
ISIN: US6668071029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: WESLEY G. BUSH Mgmt For For
1B. ELECTION OF DIRECTOR: VICTOR H. FAZIO Mgmt For For
1C. ELECTION OF DIRECTOR: DONALD E. FELSINGER Mgmt For For
1D. ELECTION OF DIRECTOR: STEPHEN E. FRANK Mgmt Against Against
1E. ELECTION OF DIRECTOR: BRUCE S. GORDON Mgmt For For
1F. ELECTION OF DIRECTOR: MADELEINE A. KLEINER Mgmt For For
1G. ELECTION OF DIRECTOR: KARL J. KRAPEK Mgmt For For
1H. ELECTION OF DIRECTOR: RICHARD B. MYERS Mgmt For For
1I. ELECTION OF DIRECTOR: AULANA L. PETERS Mgmt Against Against
1J. ELECTION OF DIRECTOR: GARY ROUGHEAD Mgmt For For
1K. ELECTION OF DIRECTOR: THOMAS M. SCHOEWE Mgmt For For
1L. ELECTION OF DIRECTOR: KEVIN W. SHARER Mgmt For For
2. PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, Mgmt For For
THE COMPENSATION OF NAMED EXECUTIVE
OFFICERS.
3. PROPOSAL TO RATIFY THE APPOINTMENT OF Mgmt For For
DELOITTE & TOUCHE LLP AS THE COMPANY'S
INDEPENDENT AUDITOR FOR FISCAL YEAR ENDING
DECEMBER 31, 2013.
4. SHAREHOLDER PROPOSAL REGARDING ADDITIONAL Shr Against For
DISCLOSURE OF LOBBYING ACTIVITIES.
5. SHAREHOLDER PROPOSAL REGARDING INDEPENDENT Shr For Against
BOARD CHAIRMAN.
--------------------------------------------------------------------------------------------------------------------------
NOVARTIS AG Agenda Number: 933730081
--------------------------------------------------------------------------------------------------------------------------
Security: 66987V109
Meeting Type: Annual
Meeting Date: 22-Feb-2013
Ticker: NVS
ISIN: US66987V1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 APPROVAL OF THE ANNUAL REPORT, THE Mgmt For For
FINANCIAL STATEMENTS AND THE CONSOLIDATED
FINANCIAL STATEMENTS FOR THE BUSINESS YEAR
2012
2 DISCHARGE FROM LIABILITY OF THE MEMBERS OF Mgmt For For
THE BOARD OF DIRECTORS AND THE EXECUTIVE
COMMITTEE
3 APPROPRIATION OF AVAILABLE EARNINGS OF Mgmt For For
NOVARTIS AG AND DECLARATION OF DIVIDEND
4 CONSULTATIVE VOTE ON THE COMPENSATION Mgmt For For
SYSTEM
5.1 ELECTION OF VERENA A. BRINER, M.D., FOR A Mgmt For For
THREE-YEAR TERM
5.2 ELECTION OF JOERG REINHARDT, PH.D., FOR A Mgmt For For
TERM OF OFFICE BEGINNING ON AUGUST 1, 2013
AND ENDING ON THE DAY OF AGM IN 2016
5.3 ELECTION OF CHARLES L. SAWYERS, M.D., FOR A Mgmt For For
THREE-YEAR TERM
5.4 ELECTION OF WILLIAM T. WINTERS FOR A Mgmt For For
THREE-YEAR TERM
6 APPOINTMENT OF THE AUDITOR Mgmt For For
7 ADDITIONAL AND/OR COUNTER-PROPOSALS Mgmt Abstain Against
PRESENTED AT THE MEETING
--------------------------------------------------------------------------------------------------------------------------
NTT DOCOMO, INC. Agenda Number: 933837722
--------------------------------------------------------------------------------------------------------------------------
Security: 62942M201
Meeting Type: Annual
Meeting Date: 18-Jun-2013
Ticker: DCM
ISIN: US62942M2017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROPRIATION OF RETAINED EARNINGS Mgmt For
2. PARTIAL AMENDMENT OF ARTICLES OF Mgmt For
INCORPORATION
3.1 ELECTION OF DIRECTOR: KIYOSHI TOKUHIRO Mgmt Against
3.2 ELECTION OF DIRECTOR: TERUYASU MURAKAMI Mgmt Against
3.3 ELECTION OF DIRECTOR: TAKASHI NAKAMURA Mgmt Against
4.1 ELECTION OF AUDIT & SUPERVISORY BOARD Mgmt For
MEMBER: KENJI OTA
4.2 ELECTION OF AUDIT & SUPERVISORY BOARD Mgmt Against
MEMBER: NAOTO SHIOTSUKA
--------------------------------------------------------------------------------------------------------------------------
OCCIDENTAL PETROLEUM CORPORATION Agenda Number: 933771063
--------------------------------------------------------------------------------------------------------------------------
Security: 674599105
Meeting Type: Annual
Meeting Date: 03-May-2013
Ticker: OXY
ISIN: US6745991058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: SPENCER ABRAHAM Mgmt For For
1B. ELECTION OF DIRECTOR: HOWARD I. ATKINS Mgmt For For
1C. ELECTION OF DIRECTOR: STEPHEN I. CHAZEN Mgmt For For
1D. ELECTION OF DIRECTOR: EDWARD P. DJEREJIAN Mgmt For For
1E. ELECTION OF DIRECTOR: JOHN E. FEICK Mgmt For For
1F. ELECTION OF DIRECTOR: MARGARET M. FORAN Mgmt For For
1G. ELECTION OF DIRECTOR: CARLOS M. GUTIERREZ Mgmt For For
1H. ELECTION OF DIRECTOR: RAY R. IRANI Mgmt For For
1I. ELECTION OF DIRECTOR: AVEDICK B. POLADIAN Mgmt For For
1J. ELECTION OF DIRECTOR: AZIZ D. SYRIANI Mgmt For For
2. ADVISORY VOTE APPROVING EXECUTIVE Mgmt Against Against
COMPENSATION
3. RATIFICATION OF SELECTION OF KPMG LLP AS Mgmt For For
INDEPENDENT AUDITORS
4. STOCKHOLDER RIGHT TO ACT BY WRITTEN CONSENT Shr For Against
--------------------------------------------------------------------------------------------------------------------------
OMNICOM GROUP INC. Agenda Number: 933785531
--------------------------------------------------------------------------------------------------------------------------
Security: 681919106
Meeting Type: Annual
Meeting Date: 21-May-2013
Ticker: OMC
ISIN: US6819191064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JOHN D. WREN Mgmt For For
1B. ELECTION OF DIRECTOR: BRUCE CRAWFORD Mgmt For For
1C. ELECTION OF DIRECTOR: ALAN R. BATKIN Mgmt For For
1D. ELECTION OF DIRECTOR: MARY C. CHOKSI Mgmt For For
1E. ELECTION OF DIRECTOR: ROBERT CHARLES CLARK Mgmt For For
1F. ELECTION OF DIRECTOR: LEONARD S. COLEMAN, Mgmt For For
JR.
1G. ELECTION OF DIRECTOR: ERROL M. COOK Mgmt For For
1H. ELECTION OF DIRECTOR: SUSAN S. DENISON Mgmt For For
1I. ELECTION OF DIRECTOR: MICHAEL A. HENNING Mgmt For For
1J. ELECTION OF DIRECTOR: JOHN R. MURPHY Mgmt For For
1K. ELECTION OF DIRECTOR: JOHN R. PURCELL Mgmt For For
1L. ELECTION OF DIRECTOR: LINDA JOHNSON RICE Mgmt For For
1M. ELECTION OF DIRECTOR: GARY L. ROUBOS Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF KPMG LLP Mgmt For For
AS OUR INDEPENDENT AUDITORS FOR THE 2013
FISCAL YEAR.
3. COMPANY PROPOSAL TO APPROVE THE OMNICOM Mgmt For For
GROUP INC. 2013 INCENTIVE AWARD PLAN.
4. ADVISORY VOTE ON THE COMPANY'S EXECUTIVE Mgmt For For
COMPENSATION.
5. SHAREHOLDER PROPOSAL REGARDING ANNUAL Shr Against For
DISCLOSURE OF EEO-1 DATA.
6. SHAREHOLDER PROPOSAL REGARDING STOCK Shr Against For
RETENTION.
--------------------------------------------------------------------------------------------------------------------------
PEARSON PLC Agenda Number: 933767141
--------------------------------------------------------------------------------------------------------------------------
Security: 705015105
Meeting Type: Annual
Meeting Date: 26-Apr-2013
Ticker: PSO
ISIN: US7050151056
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 RECEIPT OF FINANCIAL STATEMENTS Mgmt For For
2 FINAL DIVIDEND Mgmt For For
3 RE-ELECTION OF DAVID ARCULUS Mgmt For For
4 RE-ELECTION OF VIVIENNE COX Mgmt For For
5 RE-ELECTION OF WILL ETHRIDGE Mgmt For For
6 RE-ELECTION OF ROBIN FREESTONE Mgmt For For
7 RE-ELECTION OF SUSAN FUHRMAN Mgmt For For
8 RE-ELECTION OF KEN HYDON Mgmt For For
9 RE-ELECTION OF JOSH LEWIS Mgmt For For
10 RE-ELECTION OF JOHN MAKINSON Mgmt For For
11 RE-ELECTION OF GLEN MORENO Mgmt For For
12 REAPPOINTMENT OF JOHN FALLON Mgmt For For
13 APPROVAL OF REPORT ON DIRECTORS' Mgmt For For
REMUNERATION
14 REAPPOINTMENT OF AUDITORS Mgmt For For
15 REMUNERATION OF AUDITORS Mgmt For For
16 ALLOTMENT OF SHARES Mgmt For For
17 WAIVER OF PRE-EMPTION RIGHTS Mgmt For For
18 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
19 NOTICE OF MEETINGS Mgmt Against Against
--------------------------------------------------------------------------------------------------------------------------
PEPSICO, INC. Agenda Number: 933748521
--------------------------------------------------------------------------------------------------------------------------
Security: 713448108
Meeting Type: Annual
Meeting Date: 01-May-2013
Ticker: PEP
ISIN: US7134481081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: S.L. BROWN Mgmt For For
1B. ELECTION OF DIRECTOR: G.W. BUCKLEY Mgmt For For
1C. ELECTION OF DIRECTOR: I.M. COOK Mgmt For For
1D. ELECTION OF DIRECTOR: D. DUBLON Mgmt For For
1E. ELECTION OF DIRECTOR: V.J. DZAU Mgmt For For
1F. ELECTION OF DIRECTOR: R.L. HUNT Mgmt For For
1G. ELECTION OF DIRECTOR: A. IBARGUEN Mgmt For For
1H. ELECTION OF DIRECTOR: I.K. NOOYI Mgmt For For
1I. ELECTION OF DIRECTOR: S.P. ROCKEFELLER Mgmt For For
1J. ELECTION OF DIRECTOR: J.J. SCHIRO Mgmt For For
1K. ELECTION OF DIRECTOR: L.G. TROTTER Mgmt For For
1L. ELECTION OF DIRECTOR: D. VASELLA Mgmt For For
1M. ELECTION OF DIRECTOR: A. WEISSER Mgmt For For
2. RATIFY THE APPOINTMENT OF KPMG LLP AS OUR Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
FOR FISCAL YEAR 2013.
3. ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
PFIZER INC. Agenda Number: 933743090
--------------------------------------------------------------------------------------------------------------------------
Security: 717081103
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: PFE
ISIN: US7170811035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: DENNIS A. AUSIELLO Mgmt For For
1B ELECTION OF DIRECTOR: M. ANTHONY BURNS Mgmt For For
1C ELECTION OF DIRECTOR: W. DON CORNWELL Mgmt For For
1D ELECTION OF DIRECTOR: FRANCES D. FERGUSSON Mgmt For For
1E ELECTION OF DIRECTOR: WILLIAM H. GRAY, III Mgmt For For
1F ELECTION OF DIRECTOR: HELEN H. HOBBS Mgmt For For
1G ELECTION OF DIRECTOR: CONSTANCE J. HORNER Mgmt For For
1H ELECTION OF DIRECTOR: JAMES M. KILTS Mgmt For For
1I ELECTION OF DIRECTOR: GEORGE A. LORCH Mgmt For For
1J ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON Mgmt For For
1K ELECTION OF DIRECTOR: IAN C. READ Mgmt For For
1L ELECTION OF DIRECTOR: STEPHEN W. SANGER Mgmt For For
1M ELECTION OF DIRECTOR: MARC TESSIER-LAVIGNE Mgmt For For
2 RATIFY THE SELECTION OF KPMG LLP AS Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2013
3 ADVISORY APPROVAL OF EXECUTIVE COMPENSATION Mgmt For For
4 SHAREHOLDER PROPOSAL REGARDING EXECUTIVE Shr Against For
EQUITY RETENTION
5 SHAREHOLDER PROPOSAL REGARDING ACTION BY Shr For Against
WRITTEN CONSENT
--------------------------------------------------------------------------------------------------------------------------
PHILIP MORRIS INTERNATIONAL INC. Agenda Number: 933754182
--------------------------------------------------------------------------------------------------------------------------
Security: 718172109
Meeting Type: Annual
Meeting Date: 08-May-2013
Ticker: PM
ISIN: US7181721090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: HAROLD BROWN Mgmt For For
1B. ELECTION OF DIRECTOR: MATHIS CABIALLAVETTA Mgmt For For
1C. ELECTION OF DIRECTOR: ANDRE CALANTZOPOULOS Mgmt For For
1D. ELECTION OF DIRECTOR: LOUIS C. CAMILLERI Mgmt For For
1E. ELECTION OF DIRECTOR: J. DUDLEY FISHBURN Mgmt For For
1F. ELECTION OF DIRECTOR: JENNIFER LI Mgmt For For
1G. ELECTION OF DIRECTOR: GRAHAM MACKAY Mgmt For For
1H. ELECTION OF DIRECTOR: SERGIO MARCHIONNE Mgmt For For
1I. ELECTION OF DIRECTOR: KALPANA MORPARIA Mgmt For For
1J. ELECTION OF DIRECTOR: LUCIO A. NOTO Mgmt For For
1K. ELECTION OF DIRECTOR: ROBERT B. POLET Mgmt For For
1L. ELECTION OF DIRECTOR: CARLOS SLIM HELU Mgmt For For
1M. ELECTION OF DIRECTOR: STEPHEN M. WOLF Mgmt For For
2. RATIFICATION OF THE SELECTION OF Mgmt For For
INDEPENDENT AUDITORS
3. ADVISORY RESOLUTION APPROVING EXECUTIVE Mgmt For For
COMPENSATION
--------------------------------------------------------------------------------------------------------------------------
PHILLIPS 66 Agenda Number: 933753560
--------------------------------------------------------------------------------------------------------------------------
Security: 718546104
Meeting Type: Annual
Meeting Date: 08-May-2013
Ticker: PSX
ISIN: US7185461040
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: GREG C. GARLAND Mgmt For For
1B. ELECTION OF DIRECTOR: JOHN E. LOWE Mgmt For For
2. PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST Mgmt Against Against
& YOUNG LLP AS INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR PHILLIPS 66 FOR
2013.
3. PROPOSAL TO APPROVE ADOPTION OF THE 2013 Mgmt For For
OMNIBUS STOCK AND PERFORMANCE INCENTIVE
PLAN OF PHILLIPS 66.
4. SAY ON PAY - AN ADVISORY VOTE ON THE Mgmt Against Against
APPROVAL OF EXECUTIVE COMPENSATION.
5. SAY WHEN ON PAY - AN ADVISORY VOTE ON THE Mgmt 1 Year For
FREQUENCY OF STOCKHOLDER VOTES ON EXECUTIVE
COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
PPG INDUSTRIES, INC. Agenda Number: 933737643
--------------------------------------------------------------------------------------------------------------------------
Security: 693506107
Meeting Type: Annual
Meeting Date: 18-Apr-2013
Ticker: PPG
ISIN: US6935061076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
JAMES G. BERGES Mgmt For For
JOHN V. FARACI Mgmt For For
VICTORIA F. HAYNES Mgmt For For
MARTIN H. RICHENHAGEN Mgmt For For
2 PROPOSAL TO APPROVE THE COMPENSATION OF THE Mgmt For For
COMPANY'S NAMED EXECUTIVE OFFICERS.
3 PROPOSAL TO APPROVE AN AMENDMENT TO THE Mgmt For For
COMPANY'S ARTICLES OF INCORPORATION TO
PROVIDE FOR THE ANNUAL ELECTION OF
DIRECTORS.
4 PROPOSAL TO RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2013.
5 SHAREHOLDER PROPOSAL TO ADOPT A SIMPLE Shr For Against
MAJORITY VOTE.
--------------------------------------------------------------------------------------------------------------------------
PUBLIC SERVICE ENTERPRISE GROUP INC. Agenda Number: 933740195
--------------------------------------------------------------------------------------------------------------------------
Security: 744573106
Meeting Type: Annual
Meeting Date: 16-Apr-2013
Ticker: PEG
ISIN: US7445731067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: ALBERT R. GAMPER, JR. Mgmt For For
1B. ELECTION OF DIRECTOR: WILLIAM V. HICKEY Mgmt For For
1C. ELECTION OF DIRECTOR: RALPH IZZO Mgmt For For
1D. ELECTION OF DIRECTOR: SHIRLEY ANN JACKSON Mgmt For For
1E. ELECTION OF DIRECTOR: DAVID LILLEY Mgmt For For
1F. ELECTION OF DIRECTOR: THOMAS A. RENYI Mgmt For For
1G. ELECTION OF DIRECTOR: HAK CHEOL SHIN Mgmt For For
1H. ELECTION OF DIRECTOR: RICHARD J. SWIFT Mgmt For For
1I. ELECTION OF DIRECTOR: SUSAN TOMASKY Mgmt For For
1J. ELECTION OF DIRECTOR: ALFRED W. ZOLLAR Mgmt For For
2. ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE Mgmt For For
COMPENSATION.
3. APPROVAL OF AMENDMENT AND RESTATEMENT OF Mgmt For For
2004 LONG-TERM INCENTIVE PLAN.
4. APPROVAL OF AMENDMENT AND RESTATEMENT OF Mgmt For For
EMPLOYEE STOCK PURCHASE PLAN.
5. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE LLP AS INDEPENDENT AUDITOR FOR THE
YEAR 2013.
6. STOCKHOLDER PROPOSAL ON SIMPLE MAJORITY Shr For Against
VOTE REQUIREMENT.
--------------------------------------------------------------------------------------------------------------------------
RAYTHEON COMPANY Agenda Number: 933806967
--------------------------------------------------------------------------------------------------------------------------
Security: 755111507
Meeting Type: Annual
Meeting Date: 30-May-2013
Ticker: RTN
ISIN: US7551115071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JAMES E. CARTWRIGHT Mgmt For For
1B. ELECTION OF DIRECTOR: VERNON E. CLARK Mgmt For For
1C. ELECTION OF DIRECTOR: STEPHEN J. HADLEY Mgmt For For
1D. ELECTION OF DIRECTOR: MICHAEL C. RUETTGERS Mgmt For For
1E. ELECTION OF DIRECTOR: RONALD L. SKATES Mgmt For For
1F. ELECTION OF DIRECTOR: WILLIAM R. SPIVEY Mgmt For For
1G. ELECTION OF DIRECTOR: LINDA G. STUNTZ Mgmt For For
1H. ELECTION OF DIRECTOR: WILLIAM H. SWANSON Mgmt For For
2. ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt For For
3. RATIFICATION OF INDEPENDENT AUDITORS Mgmt For For
4. SHAREHOLDER PROPOSAL REGARDING POLITICAL Shr Against For
EXPENDITURES
5. SHAREHOLDER PROPOSAL REGARDING ACTION BY Shr For Against
WRITTEN CONSENT
6. SHAREHOLDER PROPOSAL REGARDING SUPPLEMENTAL Shr Against For
EXECUTIVE RETIREMENT PLANS
7. SHAREHOLDER PROPOSAL REGARDING ACCELERATED Shr For Against
VESTING OF EQUITY AWARDS UPON A CHANGE IN
CONTROL
--------------------------------------------------------------------------------------------------------------------------
ROYAL DUTCH SHELL PLC Agenda Number: 933802476
--------------------------------------------------------------------------------------------------------------------------
Security: 780259206
Meeting Type: Annual
Meeting Date: 21-May-2013
Ticker: RDSA
ISIN: US7802592060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 ADOPTION OF ANNUAL REPORT & ACCOUNTS Mgmt For For
2 APPROVAL OF REMUNERATION REPORT Mgmt For For
3 RE-APPOINTMENT OF JOSEF ACKERMANN AS A Mgmt Against Against
DIRECTOR OF THE COMPANY
4 RE-APPOINTMENT OF GUY ELLIOTT AS A DIRECTOR Mgmt For For
OF THE COMPANY
5 RE-APPOINTMENT OF SIMON HENRY AS A DIRECTOR Mgmt For For
OF THE COMPANY
6 RE-APPOINTMENT OF CHARLES O. HOLLIDAY AS A Mgmt For For
DIRECTOR OF THE COMPANY
7 RE-APPOINTMENT OF GERARD KLEISTERLEE AS A Mgmt For For
DIRECTOR OF THE COMPANY
8 RE-APPOINTMENT OF JORMA OLLILA AS A Mgmt For For
DIRECTOR OF THE COMPANY
9 RE-APPOINTMENT OF SIR NIGEL SHEINWALD AS A Mgmt For For
DIRECTOR OF THE COMPANY
10 RE-APPOINTMENT OF LINDA G. STUNTZ AS A Mgmt For For
DIRECTOR OF THE COMPANY
11 RE-APPOINTMENT OF PETER VOSER AS A DIRECTOR Mgmt For For
OF THE COMPANY
12 RE-APPOINTMENT OF HANS WIJERS AS A DIRECTOR Mgmt For For
OF THE COMPANY
13 RE-APPOINTMENT OF GERRIT ZALM AS A DIRECTOR Mgmt For For
OF THE COMPANY
14 RE-APPOINTMENT OF AUDITORS Mgmt For For
15 REMUNERATION OF AUDITORS Mgmt For For
16 AUTHORITY TO ALLOT SHARES Mgmt For For
17 DISAPPLICATION OF PRE-EMPTION RIGHTS Mgmt For For
18 AUTHORITY TO PURCHASE OWN SHARES Mgmt For For
19 AUTHORITY FOR CERTAIN DONATIONS AND Mgmt For For
EXPENDITURE
--------------------------------------------------------------------------------------------------------------------------
SANOFI Agenda Number: 933783753
--------------------------------------------------------------------------------------------------------------------------
Security: 80105N105
Meeting Type: Annual
Meeting Date: 03-May-2013
Ticker: SNY
ISIN: US80105N1054
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
O1 APPROVAL OF THE INDIVIDUAL COMPANY Mgmt For For
FINANCIAL STATEMENTS FOR THE YEAR ENDED
DECEMBER 31, 2012
O2 APPROVAL OF THE CONSOLIDATED FINANCIAL Mgmt For For
STATEMENTS FOR THE YEAR ENDED DECEMBER 31,
2012
O3 APPROPRIATION OF PROFITS, DECLARATION OF Mgmt For For
DIVIDEND
O4 APPOINTMENT OF A DIRECTOR (FABIENNE Mgmt For For
LECORVAISIER)
O5 AUTHORIZATION TO THE BOARD OF DIRECTORS TO Mgmt For For
CARRY OUT TRANSACTIONS IN SHARES ISSUED BY
THE COMPANY
E6 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE THE ISSUANCE, WITH
PREEMPTIVE RIGHTS MAINTAINED, OF SHARES
AND/OR SECURITIES GIVING ACCESS TO THE
COMPANY'S CAPITAL AND/OR SECURITIES GIVING
ENTITLEMENT TO THE ALLOTMENT OF DEBT
INSTRUMENTS
E7 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE THE ISSUANCE, WITH
PREEMPTIVE RIGHT BEING CANCELLED, OF SHARES
AND/OR SECURITIES GIVING ACCESS TO THE
COMPANY'S CAPITAL AND/OR SECURITIES GIVING
ENTITLEMENT TO THE ALLOTMENT OF DEBT
INSTRUMENTS BY PUBLIC OFFERING
E8 POSSIBILITY OF ISSUING, WITHOUT PREEMPTIVE Mgmt For For
RIGHT, SHARES OR SECURITIES GIVING ACCESS
TO THE COMPANY'S CAPITAL AS CONSIDERATION
FOR ASSETS TRANSFERRED TO THE COMPANY AS A
CAPITAL CONTRIBUTION IN KIND IN THE FORM OF
SHARES OR SECURITIES GIVING ACCESS TO THE
CAPITAL OF ANOTHER COMPANY
E9 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO INCREASE THE NUMBER OF SHARES
TO BE ISSUED IN THE EVENT OF A CAPITAL
INCREASE WITH OR WITHOUT PREEMPTIVE RIGHTS
E10 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE TO CARRY OUT INCREASES
IN THE SHARE CAPITAL BY INCORPORATION OF
SHARE PREMIUM, RESERVES, PROFITS OR OTHER
ITEMS
E11 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO DECIDE THE ISSUANCE OF SHARES
OR SECURITIES GIVING ACCESS TO THE
COMPANY'S CAPITAL RESERVED FOR MEMBERS OF
SAVINGS PLANS, WITH WAIVER OF PREEMPTIVE
RIGHT IN THEIR FAVOR
E12 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO ALLOT, WITHOUT PREEMPTIVE
RIGHT, EXISTING OR NEW RESTRICTED SHARES IN
FULL OR PARTIAL SUBSTITUTION FOR THE
DISCOUNT TO A CAPITAL INCREASE RESERVED FOR
SALARIED EMPLOYEES
E13 DELEGATION TO THE BOARD OF DIRECTORS OF Mgmt For For
AUTHORITY TO GRANT, WITHOUT PREEMPTIVE
RIGHT, OPTIONS TO SUBSCRIBE FOR OR PURCHASE
SHARES
E14 AUTHORIZATION TO THE BOARD OF DIRECTORS TO Mgmt For For
REDUCE THE SHARE CAPITAL BY CANCELLATION OF
TREASURY SHARES
E15 POWERS FOR FORMALITIES Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
SASOL LIMITED Agenda Number: 933707640
--------------------------------------------------------------------------------------------------------------------------
Security: 803866300
Meeting Type: Annual
Meeting Date: 30-Nov-2012
Ticker: SSL
ISIN: US8038663006
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(D) AND 75(E) OF THE COMPANY'S
EXISTING MEMORANDUM OF INCORPORATION: C
BEGGS
1B. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(D) AND 75(E) OF THE COMPANY'S
EXISTING MEMORANDUM OF INCORPORATION: DE
CONSTABLE
1C. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(D) AND 75(E) OF THE COMPANY'S
EXISTING MEMORANDUM OF INCORPORATION: HG
DIJKGRAAF
1D. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(D) AND 75(E) OF THE COMPANY'S
EXISTING MEMORANDUM OF INCORPORATION: MSV
GANTSHO
1E. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(D) AND 75(E) OF THE COMPANY'S
EXISTING MEMORANDUM OF INCORPORATION: IN
MKHIZE
2. TO ELECT JE SCHREMPP, WHO RETIRED IN TERMS Mgmt For
OF ARTICLE 75(I) AND WAS THEREAFTER
RE-APPOINTED BY THE BOARD AS A DIRECTOR IN
TERMS OF ARTICLE 75(H) OF THE COMPANY'S
EXISTING MEMORANDUM OF INCORPORATION.
3A. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(H) OF THE COMPANY'S EXISTING
MEMORANDUM OF INCORPORATION: ZM MKHIZE
3B. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(H) OF THE COMPANY'S EXISTING
MEMORANDUM OF INCORPORATION: PJ ROBERTSON
3C. ELECTION OF DIRECTOR, RETIRING IN TERMS OF Mgmt For
ARTICLE 75(H) OF THE COMPANY'S EXISTING
MEMORANDUM OF INCORPORATION: S WESTWELL
4. TO RE-APPOINT THE AUDITORS, KPMG INC., TO Mgmt For
ACT AS THE AUDITORS OF THE COMPANY UNTIL
THE NEXT ANNUAL GENERAL MEETING.
5A. ELECTION OF MEMBERS OF THE AUDIT COMMITTEE: Mgmt For
C BEGGS
5B. ELECTION OF MEMBERS OF THE AUDIT COMMITTEE: Mgmt For
HG DIJKGRAAF
5C. ELECTION OF MEMBERS OF THE AUDIT COMMITTEE: Mgmt For
MSV GANTSHO
5D. ELECTION OF MEMBERS OF THE AUDIT COMMITTEE: Mgmt Against
MJN NJEKE
5E. ELECTION OF MEMBERS OF THE AUDIT COMMITTEE: Mgmt For
S WESTWELL
6. ADVISORY ENDORSEMENT - TO ENDORSE, ON A Mgmt For
NON-BINDING ADVISORY BASIS, THE COMPANY'S
REMUNERATION POLICY (EXCLUDING THE
REMUNERATION OF THE NON-EXECUTIVE DIRECTORS
FOR THEIR SERVICES AS DIRECTORS AND MEMBERS
OF BOARD COMMITTEES AND THE AUDIT
COMMITTEE) AND ITS IMPLEMENTATION.
S1. TO APPROVE THE REMUNERATION PAYABLE TO Mgmt For
NON-EXECUTIVE DIRECTORS OF THE COMPANY FOR
THEIR SERVICES AS DIRECTORS FOR THE PERIOD
1 JULY 2012 UNTIL THIS RESOLUTION IS
REPLACED.
S2. AUTHORISE THE BOARD TO GRANT AUTHORITY TO Mgmt For
COMPANY TO PROVIDE: FINANCIAL ASSISTANCE AS
CONTEMPLATED IN SECTION 44 OF THE ACT; AND
DIRECT OR INDIRECT FINANCIAL ASSISTANCE AS
CONTEMPLATED IN SECTION 45 OF ACT TO ITS
RELATED AND INTER-RELATED COMPANIES AND/OR
CORPORATIONS, AND/OR TO MEMBERS OF SUCH
RELATED OR INTER-RELATED COMPANIES AND/OR
CORPORATIONS AND/OR TO DIRECTORS OR
PRESCRIBED OFFICERS OR OF A RELATED OR
INTER-RELATED COMPANY AND/OR TO PERSONS
RELATED TO SUCH COMPANIES, CORPORATIONS,
MEMBERS, DIRECTORS AND/OR PRESCRIBED
OFFICERS.
S3. TO APPROVE THE ADOPTION OF A NEW MEMORANDUM Mgmt For
OF INCORPORATION FOR THE COMPANY.
S4. TO AUTHORISE THE BOARD TO APPROVE THE Mgmt For
GENERAL REPURCHASE BY THE COMPANY OR
PURCHASE BY ANY OF ITS SUBSIDIARIES, OF ANY
OF THE COMPANY'S ORDINARY SHARES AND/OR
SASOL BEE ORDINARY SHARES.
S5. TO AUTHORISE THE BOARD TO APPROVE THE Mgmt For
PURCHASE BY THE COMPANY (AS PART OF A
GENERAL REPURCHASE IN ACCORDANCE WITH
SPECIAL RESOLUTION NUMBER 4), OF ITS ISSUED
SHARES FROM A DIRECTOR AND/OR A PRESCRIBED
OFFICER OF THE COMPANY, AND/OR PERSONS
RELATED TO A DIRECTOR OR PRESCRIBED OFFICER
OF THE COMPANY.
--------------------------------------------------------------------------------------------------------------------------
SIEMENS AG Agenda Number: 933723074
--------------------------------------------------------------------------------------------------------------------------
Security: 826197501
Meeting Type: Annual
Meeting Date: 23-Jan-2013
Ticker: SI
ISIN: US8261975010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. APPROPRIATION OF NET INCOME Mgmt For For
3. RATIFICATION OF THE ACTS OF THE MANAGING Mgmt For For
BOARD
4. RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD
5. APPOINTMENT OF INDEPENDENT AUDITORS Mgmt For For
6A. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt Against Against
BOARD: JOSEF ACKERMAN
6B. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: GERD VON BRANDENSTEIN
6C. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt Against Against
BOARD: GERHARD CROMME
6D. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: MICHAEL DIEKMAN
6E. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: HANS MICHAEL GAUL
6F. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: PETER GRUSS
6G. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: NICOLA LEIBINGER-KAMMULLER
6H. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: GERARD MESTRALLET
6I. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: GULER SABANCI
6J. ELECTION OF MEMBER TO THE SUPERVISORY Mgmt For For
BOARD: WERNER WENNING
7. APPROVAL OF A SETTLEMENT AGREEMENT WITH A Mgmt For For
FORMER MEMBER OF THE MANAGING BOARD
8. APPROVAL OF THE SPIN-OFF AND ACQUISITION Mgmt For For
AGREEMENT BETWEEN SIEMENS AG AND OSRAM
LICHT AG
CMA COUNTERMOTION A Mgmt Against Against
--------------------------------------------------------------------------------------------------------------------------
SOUTHERN COPPER CORPORATION Agenda Number: 933768763
--------------------------------------------------------------------------------------------------------------------------
Security: 84265V105
Meeting Type: Annual
Meeting Date: 25-Apr-2013
Ticker: SCCO
ISIN: US84265V1052
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
G. LARREA MOTA-VELASCO Mgmt For For
OSCAR GONZALEZ ROCHA Mgmt Withheld Against
EMILIO CARRILLO GAMBOA Mgmt For For
ALFREDO CASAR PEREZ Mgmt For For
LUIS CASTELAZO MORALES Mgmt For For
E.C. SANCHEZ MEJORADA Mgmt For For
X.G. DE QUEVEDO TOPETE Mgmt Withheld Against
D. MUNIZ QUINTANILLA Mgmt For For
L.M. PALOMINO BONILLA Mgmt For For
G.P. CIFUENTES Mgmt Withheld Against
JUAN REBOLLEDO GOUT Mgmt For For
CARLOS RUIZ SACRISTAN Mgmt For For
2. RATIFY THE AUDIT COMMITTEE'S SELECTION OF Mgmt For For
GALAZ, YAMAZAKI, RUIZ URQUIZA, S.C., MEMBER
FIRM OF DELOITTE TOUCHE TOHMATSU LIMITED,
AS INDEPENDENT ACCOUNTANTS FOR 2013.
3. APPROVE, BY NON-BINDING VOTE, EXECUTIVE Mgmt For For
COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
STANLEY BLACK & DECKER, INC Agenda Number: 933750920
--------------------------------------------------------------------------------------------------------------------------
Security: 854502101
Meeting Type: Annual
Meeting Date: 16-Apr-2013
Ticker: SWK
ISIN: US8545021011
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE W. BUCKLEY Mgmt For For
PATRICK D. CAMPBELL Mgmt For For
CARLOS M. CARDOSO Mgmt For For
ROBERT B. COUTTS Mgmt For For
B.H. GRISWOLD, IV Mgmt For For
JOHN F. LUNDGREN Mgmt For For
ANTHONY LUISO Mgmt For For
MARIANNE M. PARRS Mgmt For For
ROBERT L. RYAN Mgmt For For
2. APPROVE THE STANLEY BLACK & DECKER 2013 Mgmt For For
LONG-TERM INCENTIVE PLAN.
3. APPROVE THE SELECTION OF ERNST & YOUNG LLP Mgmt For For
AS THE COMPANY'S INDEPENDENT AUDITORS FOR
THE COMPANY'S 2013 FISCAL YEAR.
4. APPROVE, ON AN ADVISORY BASIS, THE Mgmt For For
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
STAPLES, INC. Agenda Number: 933797207
--------------------------------------------------------------------------------------------------------------------------
Security: 855030102
Meeting Type: Annual
Meeting Date: 03-Jun-2013
Ticker: SPLS
ISIN: US8550301027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: BASIL L. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: ARTHUR M. BLANK Mgmt For For
1C. ELECTION OF DIRECTOR: DREW G. FAUST Mgmt For For
1D. ELECTION OF DIRECTOR: JUSTIN KING Mgmt For For
1E. ELECTION OF DIRECTOR: CAROL MEYROWITZ Mgmt For For
1F. ELECTION OF DIRECTOR: ROWLAND T. MORIARTY Mgmt For For
1G. ELECTION OF DIRECTOR: ROBERT C. NAKASONE Mgmt For For
1H. ELECTION OF DIRECTOR: RONALD L. SARGENT Mgmt For For
1I. ELECTION OF DIRECTOR: ELIZABETH A. SMITH Mgmt For For
1J. ELECTION OF DIRECTOR: ROBERT E. SULENTIC Mgmt For For
1K. ELECTION OF DIRECTOR: RAUL VAZQUEZ Mgmt For For
1L. ELECTION OF DIRECTOR: VIJAY VISHWANATH Mgmt For For
1M. ELECTION OF DIRECTOR: PAUL F. WALSH Mgmt For For
2. APPROVAL, ON AN ADVISORY BASIS, OF NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
3. RATIFICATION OF THE SELECTION BY THE AUDIT Mgmt For For
COMMITTEE OF ERNST & YOUNG LLP AS STAPLES'
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE CURRENT FISCAL YEAR.
4. NON-BINDING STOCKHOLDER PROPOSAL TO PROVIDE Shr For Against
PROXY ACCESS FOR STOCKHOLDERS HOLDING 1% OF
THE COMPANY'S COMMON STOCK FOR ONE YEAR.
5. NON-BINDING STOCKHOLDER PROPOSAL REQUIRING Shr For Against
COMPANY TO HAVE AN INDEPENDENT BOARD
CHAIRMAN.
--------------------------------------------------------------------------------------------------------------------------
STATOIL ASA Agenda Number: 933810803
--------------------------------------------------------------------------------------------------------------------------
Security: 85771P102
Meeting Type: Special
Meeting Date: 14-May-2013
Ticker: STO
ISIN: US85771P1021
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. ELECTION OF CHAIR FOR THE MEETING Mgmt For
4. APPROVAL OF THE NOTICE AND THE AGENDA Mgmt For
5. ELECTION OF TWO PERSONS TO CO-SIGN THE Mgmt For
MINUTES TOGETHER WITH THE CHAIR OF THE
MEETING
6. APPROVAL OF THE ANNUAL REPORT AND ACCOUNTS Mgmt For
FOR STATOIL ASA AND THE STATOIL GROUP FOR
2012 INCLUDING THE BOARD OF DIRECTORS'
PROPOSAL FOR DISTRIBUTION OF DIVIDEND
7. PROPOSAL SUBMITTED BY A SHAREHOLDER Shr Against
REGARDING STATOIL'S ACTIVITIES IN CANADA
8. PROPOSAL SUBMITTED BY A SHAREHOLDER Shr Against
REGARDING STATOIL'S ACTIVITIES IN THE
ARCTIC
9. REPORT ON CORPORATE GOVERNANCE Mgmt For
10. DECLARATION ON STIPULATION OF SALARY AND Mgmt For
OTHER REMUNERATION FOR EXECUTIVE MANAGEMENT
11. DETERMINATION OF REMUNERATION FOR THE Mgmt For
COMPANY'S EXTERNAL AUDITOR FOR 2012
12. AMENDMENT OF ARTICLES OF ASSOCIATION Mgmt For
13. DETERMINATION OF REMUNERATION FOR THE Mgmt For
CORPORATE ASSEMBLY
14. ELECTION OF MEMBER TO THE NOMINATION Mgmt For
COMMITTEE
15. DETERMINATION OF REMUNERATION FOR THE Mgmt For
NOMINATION COMMITTEE
16. AUTHORISATION TO ACQUIRE STATOIL ASA SHARES Mgmt For
IN THE MARKET IN ORDER TO CONTINUE
OPERATION OF THE SHARE SAVING PLAN FOR
EMPLOYEES
17. AUTHORISATION TO ACQUIRE STATOIL ASA SHARES Mgmt For
IN THE MARKET FOR SUBSEQUENT ANNULMENT
--------------------------------------------------------------------------------------------------------------------------
SYSCO CORPORATION Agenda Number: 933692786
--------------------------------------------------------------------------------------------------------------------------
Security: 871829107
Meeting Type: Annual
Meeting Date: 14-Nov-2012
Ticker: SYY
ISIN: US8718291078
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JONATHAN GOLDEN Mgmt Against Against
1B. ELECTION OF DIRECTOR: JOSEPH A. HAFNER, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: NANCY S. NEWCOMB Mgmt For For
2. TO APPROVE, BY ADVISORY VOTE, THE Mgmt For For
COMPENSATION PAID TO SYSCO'S NAMED
EXECUTIVE OFFICERS, AS DISCLOSED IN SYSCO'S
2012 PROXY STATEMENT.
3. TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For
LLP AS SYSCO'S INDEPENDENT ACCOUNTANTS FOR
FISCAL 2013.
--------------------------------------------------------------------------------------------------------------------------
TARGET CORPORATION Agenda Number: 933808163
--------------------------------------------------------------------------------------------------------------------------
Security: 87612E106
Meeting Type: Annual
Meeting Date: 12-Jun-2013
Ticker: TGT
ISIN: US87612E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: ROXANNE S. AUSTIN Mgmt For For
1B. ELECTION OF DIRECTOR: DOUGLAS M. BAKER, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: HENRIQUE DE CASTRO Mgmt For For
1D. ELECTION OF DIRECTOR: CALVIN DARDEN Mgmt For For
1E. ELECTION OF DIRECTOR: MARY N. DILLON Mgmt For For
1F. ELECTION OF DIRECTOR: JAMES A. JOHNSON Mgmt Against Against
1G. ELECTION OF DIRECTOR: MARY E. MINNICK Mgmt For For
1H. ELECTION OF DIRECTOR: ANNE M. MULCAHY Mgmt Against Against
1I. ELECTION OF DIRECTOR: DERICA W. RICE Mgmt For For
1J. ELECTION OF DIRECTOR: GREGG W. STEINHAFEL Mgmt For For
1K. ELECTION OF DIRECTOR: JOHN G. STUMPF Mgmt For For
1L. ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO Mgmt For For
2. COMPANY PROPOSAL TO RATIFY THE APPOINTMENT Mgmt For For
OF ERNST & YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
3. COMPANY PROPOSAL TO APPROVE, ON AN ADVISORY Mgmt Against Against
BASIS, OUR EXECUTIVE COMPENSATION
("SAY-ON-PAY").
4. SHAREHOLDER PROPOSAL TO ADOPT A POLICY FOR Shr For Against
AN INDEPENDENT CHAIRMAN.
5. SHAREHOLDER PROPOSAL ON ELECTRONICS Shr Against For
RECYCLING.
--------------------------------------------------------------------------------------------------------------------------
TE CONNECTIVITY LTD Agenda Number: 933735738
--------------------------------------------------------------------------------------------------------------------------
Security: H84989104
Meeting Type: Annual
Meeting Date: 06-Mar-2013
Ticker: TEL
ISIN: CH0102993182
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: PIERRE R. BRONDEAU Mgmt For For
1B. ELECTION OF DIRECTOR: JUERGEN W. GROMER Mgmt For For
1C. ELECTION OF DIRECTOR: WILLIAM A. JEFFREY Mgmt For For
1D. ELECTION OF DIRECTOR: THOMAS J. LYNCH Mgmt For For
1E. ELECTION OF DIRECTOR: YONG NAM Mgmt For For
1F. ELECTION OF DIRECTOR: DANIEL J. PHELAN Mgmt For For
1G. ELECTION OF DIRECTOR: FREDERIC M. POSES Mgmt For For
1H. ELECTION OF DIRECTOR: LAWRENCE S. SMITH Mgmt For For
1I. ELECTION OF DIRECTOR: PAULA A. SNEED Mgmt For For
1J. ELECTION OF DIRECTOR: DAVID P. STEINER Mgmt For For
1K. ELECTION OF DIRECTOR: JOHN C. VAN SCOTER Mgmt For For
2.1 TO APPROVE THE 2012 ANNUAL REPORT OF TE Mgmt For For
CONNECTIVITY LTD. (EXCLUDING THE STATUTORY
FINANCIAL STATEMENTS FOR THE FISCAL YEAR
ENDED SEPTEMBER 28, 2012 AND THE
CONSOLIDATED FINANCIAL STATEMENTS FOR THE
FISCAL YEAR ENDED SEPTEMBER 28, 2012)
2.2 TO APPROVE THE STATUTORY FINANCIAL Mgmt For For
STATEMENTS OF TE CONNECTIVITY LTD. FOR THE
FISCAL YEAR ENDED SEPTEMBER 28, 2012
2.3 TO APPROVE THE CONSOLIDATED FINANCIAL Mgmt For For
STATEMENTS OF TE CONNECTIVITY LTD. FOR THE
FISCAL YEAR ENDED SEPTEMBER 28, 2012
3. TO RELEASE THE MEMBERS OF THE BOARD OF Mgmt For For
DIRECTORS AND EXECUTIVE OFFICERS OF TE
CONNECTIVITY FOR ACTIVITIES DURING THE
FISCAL YEAR ENDED SEPTEMBER 28, 2012
4.1 TO ELECT DELOITTE & TOUCHE LLP AS TE Mgmt For For
CONNECTIVITY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013
4.2 TO ELECT DELOITTE AG, ZURICH, SWITZERLAND, Mgmt For For
AS TE CONNECTIVITY'S SWISS REGISTERED
AUDITOR UNTIL THE NEXT ANNUAL GENERAL
MEETING OF TE CONNECTIVITY
4.3 TO ELECT PRICEWATERHOUSECOOPERS, AG, Mgmt For For
ZURICH, SWITZERLAND, AS TE CONNECTIVITY'S
SPECIAL AUDITOR UNTIL THE NEXT ANNUAL
GENERAL MEETING OF TE CONNECTIVITY
5. AN ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
6. TO APPROVE A DIVIDEND PAYMENT TO Mgmt For For
SHAREHOLDERS IN A SWISS FRANC AMOUNT EQUAL
TO US$1.00 PER ISSUED SHARE TO BE PAID IN
FOUR EQUAL QUARTERLY INSTALLMENTS OF
US$0.25 STARTING WITH THE THIRD FISCAL
QUARTER OF 2013 AND ENDING IN THE SECOND
FISCAL QUARTER OF 2014 PURSUANT TO THE
TERMS OF THE DIVIDEND RESOLUTION
7. TO APPROVE THE RENEWAL OF AUTHORIZED Mgmt For For
CAPITAL AND RELATED AMENDMENT TO THE
ARTICLES OF ASSOCIATION
8. TO APPROVE A REDUCTION OF SHARE CAPITAL FOR Mgmt For For
SHARES ACQUIRED UNDER TE CONNECTIVITY'S
SHARE REPURCHASE PROGRAM AND RELATED
AMENDMENTS TO THE ARTICLES OF ASSOCIATION
9. TO APPROVE ANY ADJOURNMENTS OR Mgmt For For
POSTPONEMENTS OF THE ANNUAL GENERAL MEETING
--------------------------------------------------------------------------------------------------------------------------
TECK RESOURCES LIMITED Agenda Number: 933753938
--------------------------------------------------------------------------------------------------------------------------
Security: 878742204
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: TCK
ISIN: CA8787422044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
M.M. ASHAR Mgmt For For
J.H. BENNETT Mgmt For For
H.J. BOLTON Mgmt For For
F.P. CHEE Mgmt For For
J.L. COCKWELL Mgmt For For
E.C. DOWLING Mgmt For For
N.B. KEEVIL Mgmt For For
N.B. KEEVIL III Mgmt For For
T. KUBOTA Mgmt For For
T. KURIYAMA Mgmt For For
D.R. LINDSAY Mgmt For For
J.G. RENNIE Mgmt Withheld Against
W.S.R. SEYFFERT Mgmt For For
C.M. THOMPSON Mgmt For For
02 TO APPOINT PRICEWATERHOUSECOOPERS LLP AS Mgmt For For
AUDITORS AND TO AUTHORIZE THE DIRECTORS TO
FIX THE AUDITORS' REMUNERATION.
03 TO APPROVE THE ADVISORY RESOLUTION ON THE Mgmt For For
CORPORATION'S APPROACH TO EXECUTIVE
COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
TEXAS INSTRUMENTS INCORPORATED Agenda Number: 933737693
--------------------------------------------------------------------------------------------------------------------------
Security: 882508104
Meeting Type: Annual
Meeting Date: 18-Apr-2013
Ticker: TXN
ISIN: US8825081040
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: R.W. BABB, JR. Mgmt For For
1B. ELECTION OF DIRECTOR: M.A. BLINN Mgmt For For
1C. ELECTION OF DIRECTOR: D.A. CARP Mgmt For For
1D. ELECTION OF DIRECTOR: C.S. COX Mgmt For For
1E. ELECTION OF DIRECTOR: P.H. PATSLEY Mgmt For For
1F. ELECTION OF DIRECTOR: R.E. SANCHEZ Mgmt For For
1G. ELECTION OF DIRECTOR: W.R. SANDERS Mgmt For For
1H. ELECTION OF DIRECTOR: R.J. SIMMONS Mgmt For For
1I. ELECTION OF DIRECTOR: R.K. TEMPLETON Mgmt For For
1J. ELECTION OF DIRECTOR: C.T. WHITMAN Mgmt For For
2. BOARD PROPOSAL REGARDING ADVISORY APPROVAL Mgmt For For
OF THE COMPANY'S EXECUTIVE COMPENSATION.
3. BOARD PROPOSAL TO RATIFY THE APPOINTMENT OF Mgmt For For
ERNST & YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2013.
--------------------------------------------------------------------------------------------------------------------------
THE BOEING COMPANY Agenda Number: 933747315
--------------------------------------------------------------------------------------------------------------------------
Security: 097023105
Meeting Type: Annual
Meeting Date: 29-Apr-2013
Ticker: BA
ISIN: US0970231058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DAVID L. CALHOUN Mgmt For For
1B. ELECTION OF DIRECTOR: ARTHUR D. COLLINS, Mgmt For For
JR.
1C. ELECTION OF DIRECTOR: LINDA Z. COOK Mgmt For For
1D. ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN Mgmt For For
1E. ELECTION OF DIRECTOR: EDMUND P. Mgmt For For
GIAMBASTIANI, JR.
1F. ELECTION OF DIRECTOR: LAWRENCE W. KELLNER Mgmt For For
1G. ELECTION OF DIRECTOR: EDWARD M. LIDDY Mgmt For For
1H. ELECTION OF DIRECTOR: W. JAMES MCNERNEY, Mgmt For For
JR.
1I. ELECTION OF DIRECTOR: SUSAN C. SCHWAB Mgmt For For
1J. ELECTION OF DIRECTOR: RONALD A. WILLIAMS Mgmt For For
1K. ELECTION OF DIRECTOR: MIKE S. ZAFIROVSKI Mgmt For For
2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE LLP AS INDEPENDENT AUDITOR FOR
2013.
4. FUTURE EXTRAORDINARY RETIREMENT BENEFITS. Shr Against For
5. ACTION BY WRITTEN CONSENT. Shr For Against
6. EXECUTIVES TO RETAIN SIGNIFICANT STOCK. Shr Against For
7. INDEPENDENT BOARD CHAIRMAN. Shr For Against
--------------------------------------------------------------------------------------------------------------------------
THE COCA-COLA COMPANY Agenda Number: 933739596
--------------------------------------------------------------------------------------------------------------------------
Security: 191216100
Meeting Type: Annual
Meeting Date: 24-Apr-2013
Ticker: KO
ISIN: US1912161007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: HERBERT A. ALLEN Mgmt For For
1B. ELECTION OF DIRECTOR: RONALD W. ALLEN Mgmt Against Against
1C. ELECTION OF DIRECTOR: HOWARD G. BUFFETT Mgmt For For
1D. ELECTION OF DIRECTOR: RICHARD M. DALEY Mgmt For For
1E. ELECTION OF DIRECTOR: BARRY DILLER Mgmt For For
1F. ELECTION OF DIRECTOR: HELENE D. GAYLE Mgmt For For
1G. ELECTION OF DIRECTOR: EVAN G. GREENBERG Mgmt For For
1H. ELECTION OF DIRECTOR: ALEXIS M. HERMAN Mgmt For For
1I. ELECTION OF DIRECTOR: MUHTAR KENT Mgmt For For
1J. ELECTION OF DIRECTOR: ROBERT A. KOTICK Mgmt For For
1K. ELECTION OF DIRECTOR: MARIA ELENA Mgmt For For
LAGOMASINO
1L. ELECTION OF DIRECTOR: DONALD F. MCHENRY Mgmt For For
1M. ELECTION OF DIRECTOR: SAM NUNN Mgmt For For
1N. ELECTION OF DIRECTOR: JAMES D. ROBINSON III Mgmt For For
1O. ELECTION OF DIRECTOR: PETER V. UEBERROTH Mgmt For For
1P. ELECTION OF DIRECTOR: JACOB WALLENBERG Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS INDEPENDENT AUDITORS.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. APPROVE AN AMENDMENT TO THE COMPANY'S Mgmt For For
BY-LAWS TO PERMIT SHAREOWNERS TO CALL
SPECIAL MEETINGS.
5. SHAREOWNER PROPOSAL REGARDING A BOARD Shr Against For
COMMITTEE ON HUMAN RIGHTS.
--------------------------------------------------------------------------------------------------------------------------
THE DOW CHEMICAL COMPANY Agenda Number: 933758609
--------------------------------------------------------------------------------------------------------------------------
Security: 260543103
Meeting Type: Annual
Meeting Date: 09-May-2013
Ticker: DOW
ISIN: US2605431038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: ARNOLD A. ALLEMANG Mgmt For For
1B. ELECTION OF DIRECTOR: AJAY BANGA Mgmt For For
1C. ELECTION OF DIRECTOR: JACQUELINE K. BARTON Mgmt For For
1D. ELECTION OF DIRECTOR: JAMES A. BELL Mgmt For For
1E. ELECTION OF DIRECTOR: JEFF M. FETTIG Mgmt For For
1F. ELECTION OF DIRECTOR: ANDREW N. LIVERIS Mgmt For For
1G. ELECTION OF DIRECTOR: PAUL POLMAN Mgmt For For
1H. ELECTION OF DIRECTOR: DENNIS H. REILLEY Mgmt For For
1I. ELECTION OF DIRECTOR: JAMES M. RINGLER Mgmt For For
1J. ELECTION OF DIRECTOR: RUTH G. SHAW Mgmt Against Against
2. RATIFICATION OF THE APPOINTMENT OF THE Mgmt For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3. ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. STOCKHOLDER PROPOSAL ON EXECUTIVE STOCK Shr Against For
RETENTION.
--------------------------------------------------------------------------------------------------------------------------
THE HERSHEY COMPANY Agenda Number: 933746236
--------------------------------------------------------------------------------------------------------------------------
Security: 427866108
Meeting Type: Annual
Meeting Date: 30-Apr-2013
Ticker: HSY
ISIN: US4278661081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
P.M. ARWAY Mgmt For For
J.P. BILBREY Mgmt For For
R.F. CAVANAUGH Mgmt For For
C.A. DAVIS Mgmt For For
R.M. MALCOLM Mgmt For For
J.M. MEAD Mgmt Withheld Against
J.E. NEVELS Mgmt Withheld Against
A.J. PALMER Mgmt For For
T.J. RIDGE Mgmt For For
D.L. SHEDLARZ Mgmt For For
2. RATIFY THE APPOINTMENT OF KPMG LLP AS Mgmt For For
INDEPENDENT AUDITORS FOR 2013.
3. APPROVE, ON A NON-BINDING ADVISORY BASIS, A Mgmt For For
RESOLUTION APPROVING EXECUTIVE
COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------
THE HOME DEPOT, INC. Agenda Number: 933779259
--------------------------------------------------------------------------------------------------------------------------
Security: 437076102
Meeting Type: Annual
Meeting Date: 23-May-2013
Ticker: HD
ISIN: US4370761029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: F. DUANE ACKERMAN Mgmt For For
1B. ELECTION OF DIRECTOR: FRANCIS S. BLAKE Mgmt For For
1C. ELECTION OF DIRECTOR: ARI BOUSBIB Mgmt For For
1D. ELECTION OF DIRECTOR: GREGORY D. BRENNEMAN Mgmt For For
1E. ELECTION OF DIRECTOR: J. FRANK BROWN Mgmt For For
1F. ELECTION OF DIRECTOR: ALBERT P. CAREY Mgmt For For
1G. ELECTION OF DIRECTOR: ARMANDO CODINA Mgmt Against Against
1H. ELECTION OF DIRECTOR: BONNIE G. HILL Mgmt For For
1I. ELECTION OF DIRECTOR: KAREN L. KATEN Mgmt For For
1J. ELECTION OF DIRECTOR: MARK VADON Mgmt For For
2. PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG Mgmt For For
LLP
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
4. APPROVAL OF THE MATERIAL TERMS OF OFFICER Mgmt For For
PERFORMANCE GOALS UNDER THE MANAGEMENT
INCENTIVE PLAN
5. APPROVAL OF THE AMENDED AND RESTATED 2005 Mgmt For For
OMNIBUS STOCK INCENTIVE PLAN
6. SHAREHOLDER PROPOSAL REGARDING EMPLOYMENT Shr Against For
DIVERSITY REPORT
7. SHAREHOLDER PROPOSAL REGARDING STORMWATER Shr Against For
MANAGEMENT POLICY
--------------------------------------------------------------------------------------------------------------------------
THE MCGRAW-HILL COMPANIES, INC. Agenda Number: 933766959
--------------------------------------------------------------------------------------------------------------------------
Security: 580645109
Meeting Type: Annual
Meeting Date: 01-May-2013
Ticker: MHP
ISIN: US5806451093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: PEDRO ASPE Mgmt For For
1B. ELECTION OF DIRECTOR: SIR WINFRIED BISCHOFF Mgmt For For
1C. ELECTION OF DIRECTOR: WILLIAM D. GREEN Mgmt For For
1D. ELECTION OF DIRECTOR: CHARLES E. HALDEMAN, Mgmt For For
JR.
1E. ELECTION OF DIRECTOR: LINDA KOCH LORIMER Mgmt For For
1F. ELECTION OF DIRECTOR: HAROLD MCGRAW III Mgmt For For
1G. ELECTION OF DIRECTOR: ROBERT P. MCGRAW Mgmt For For
1H. ELECTION OF DIRECTOR: HILDA Mgmt For For
OCHOA-BRILLEMBOURG
1I. ELECTION OF DIRECTOR: SIR MICHAEL RAKE Mgmt For For
1J. ELECTION OF DIRECTOR: EDWARD B. RUST, JR. Mgmt Against Against
1K. ELECTION OF DIRECTOR: KURT L. SCHMOKE Mgmt For For
1L. ELECTION OF DIRECTOR: SIDNEY TAUREL Mgmt For For
1M. ELECTION OF DIRECTOR: RICHARD E. THORNBURGH Mgmt For For
2. VOTE TO AMEND THE COMPANY'S RESTATED Mgmt For For
CERTIFICATE OF INCORPORATION TO CHANGE THE
NAME OF THE COMPANY TO "MCGRAW HILL
FINANCIAL, INC." FROM "THE MCGRAW-HILL
COMPANIES, INC."
3. VOTE TO APPROVE, ON AN ADVISORY BASIS, THE Mgmt For For
EXECUTIVE COMPENSATION PROGRAM FOR THE
COMPANY'S NAMED EXECUTIVE OFFICERS
4. VOTE TO RATIFY THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS OUR INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2013
5. SHAREHOLDER PROPOSAL REQUESTING SHAREHOLDER Shr For Against
ACTION BY WRITTEN CONSENT
--------------------------------------------------------------------------------------------------------------------------
THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 933787028
--------------------------------------------------------------------------------------------------------------------------
Security: 989837208
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: ZTR
ISIN: US9898372084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE R. AYLWARD Mgmt Split 83% For 17% Withheld Split
WILLIAM H. WRIGHT II Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
THOMSON REUTERS CORPORATION Agenda Number: 933772104
--------------------------------------------------------------------------------------------------------------------------
Security: 884903105
Meeting Type: Annual and Special
Meeting Date: 08-May-2013
Ticker: TRI
ISIN: CA8849031056
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
DAVID THOMSON Mgmt For For
JAMES C. SMITH Mgmt For For
MANVINDER S. BANGA Mgmt For For
DAVID W. BINET Mgmt For For
MARY CIRILLO Mgmt For For
STEVEN A. DENNING Mgmt For For
LAWTON W. FITT Mgmt For For
SIR DERYCK MAUGHAN Mgmt For For
KEN OLISA, OBE Mgmt For For
VANCE K. OPPERMAN Mgmt For For
JOHN M. THOMPSON Mgmt For For
PETER J. THOMSON Mgmt For For
WULF VON SCHIMMELMANN Mgmt For For
02 TO APPOINT PRICEWATERHOUSECOOPERS LLP AS Mgmt For For
AUDITOR AND TO AUTHORIZE THE DIRECTORS TO
FIX THE AUDITOR'S REMUNERATION.
03 TO APPROVE AN AMENDMENT TO THE THOMSON Mgmt For For
REUTERS U.S. EMPLOYEE STOCK PURCHASE PLAN
TO INCREASE THE MAXIMUM NUMBER OF COMMON
SHARES AUTHORIZED FOR ISSUANCE UNDER THE
PLAN BY SEVEN MILLION COMMON SHARES.
04 TO ACCEPT, ON AN ADVISORY BASIS, THE Mgmt For For
APPROACH TO EXECUTIVE COMPENSATION
DESCRIBED IN THE MANAGEMENT PROXY CIRCULAR.
--------------------------------------------------------------------------------------------------------------------------
TRI-CONTINENTAL CORPORATION Agenda Number: 933739673
--------------------------------------------------------------------------------------------------------------------------
Security: 895436103
Meeting Type: Annual
Meeting Date: 17-Apr-2013
Ticker: TY
ISIN: US8954361031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LEROY C. RICHIE Mgmt Split 66% For 34% Withheld Split
WILLIAM F. TRUSCOTT Mgmt Split 66% For 34% Withheld Split
2. TO RATIFY THE SELECTION OF Mgmt Split 80% For 10% Against 10% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE
CORPORATION'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
--------------------------------------------------------------------------------------------------------------------------
UNION PACIFIC CORPORATION Agenda Number: 933779398
--------------------------------------------------------------------------------------------------------------------------
Security: 907818108
Meeting Type: Annual
Meeting Date: 16-May-2013
Ticker: UNP
ISIN: US9078181081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: A.H. CARD, JR. Mgmt For For
1B. ELECTION OF DIRECTOR: E.B. DAVIS, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: T.J. DONOHUE Mgmt For For
1D. ELECTION OF DIRECTOR: A.W. DUNHAM Mgmt For For
1E. ELECTION OF DIRECTOR: J.R. HOPE Mgmt For For
1F. ELECTION OF DIRECTOR: J.J. KORALESKI Mgmt For For
1G. ELECTION OF DIRECTOR: C.C. KRULAK Mgmt For For
1H. ELECTION OF DIRECTOR: M.R. MCCARTHY Mgmt For For
1I. ELECTION OF DIRECTOR: M.W. MCCONNELL Mgmt For For
1J. ELECTION OF DIRECTOR: T.F. MCLARTY III Mgmt For For
1K. ELECTION OF DIRECTOR: S.R. ROGEL Mgmt For For
1L. ELECTION OF DIRECTOR: J.H. VILLARREAL Mgmt For For
1M. ELECTION OF DIRECTOR: J.R. YOUNG Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE AS THE INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM.
3. AN ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt For For
("SAY ON PAY").
4. ADOPT THE UNION PACIFIC CORPORATION 2013 Mgmt For For
STOCK INCENTIVE PLAN.
5. SHAREHOLDER PROPOSAL REGARDING LOBBYING Shr Against For
ACTIVITIES IF PROPERLY PRESENTED AT THE
ANNUAL MEETING.
--------------------------------------------------------------------------------------------------------------------------
UNITED PARCEL SERVICE, INC. Agenda Number: 933754548
--------------------------------------------------------------------------------------------------------------------------
Security: 911312106
Meeting Type: Annual
Meeting Date: 02-May-2013
Ticker: UPS
ISIN: US9113121068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: F. DUANE ACKERMAN Mgmt Against Against
1B. ELECTION OF DIRECTOR: MICHAEL J. BURNS Mgmt For For
1C. ELECTION OF DIRECTOR: D. SCOTT DAVIS Mgmt For For
1D. ELECTION OF DIRECTOR: STUART E. EIZENSTAT Mgmt For For
1E. ELECTION OF DIRECTOR: MICHAEL L. ESKEW Mgmt For For
1F. ELECTION OF DIRECTOR: WILLIAM R. JOHNSON Mgmt For For
1G. ELECTION OF DIRECTOR: CANDACE KENDLE Mgmt For For
1H. ELECTION OF DIRECTOR: ANN M. LIVERMORE Mgmt For For
1I. ELECTION OF DIRECTOR: RUDY H.P. MARKHAM Mgmt For For
1J. ELECTION OF DIRECTOR: CLARK T. RANDT, JR. Mgmt For For
1K. ELECTION OF DIRECTOR: CAROL B. TOME Mgmt For For
1L. ELECTION OF DIRECTOR: KEVIN M. WARSH Mgmt For For
2. TO RATIFY THE APPOINTMENT OF DELOITTE & Mgmt For For
TOUCHE LLP AS UPS'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTANTS FOR THE YEAR ENDING
DECEMBER 31, 2013.
3. SHAREOWNER PROPOSAL ON LOBBYING DISCLOSURE. Shr Against For
4. SHAREOWNER PROPOSAL TO REDUCE THE VOTING Shr For Against
POWER OF CLASS A STOCK FROM 10 VOTES PER
SHARE TO ONE VOTE PER SHARE.
--------------------------------------------------------------------------------------------------------------------------
UNITED TECHNOLOGIES CORPORATION Agenda Number: 933743684
--------------------------------------------------------------------------------------------------------------------------
Security: 913017109
Meeting Type: Annual
Meeting Date: 29-Apr-2013
Ticker: UTX
ISIN: US9130171096
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: LOUIS R. CHENEVERT Mgmt For For
1B. ELECTION OF DIRECTOR: JOHN V. FARACI Mgmt For For
1C. ELECTION OF DIRECTOR: JEAN-PIERRE GARNIER Mgmt For For
1D. ELECTION OF DIRECTOR: JAMIE S. GORELICK Mgmt For For
1E. ELECTION OF DIRECTOR: EDWARD A. KANGAS Mgmt For For
1F. ELECTION OF DIRECTOR: ELLEN J. KULLMAN Mgmt For For
1G. ELECTION OF DIRECTOR: MARSHALL O. LARSEN Mgmt For For
1H. ELECTION OF DIRECTOR: HAROLD MCGRAW III Mgmt For For
1I. ELECTION OF DIRECTOR: RICHARD B. MYERS Mgmt For For
1J. ELECTION OF DIRECTOR: H. PATRICK SWYGERT Mgmt For For
1K. ELECTION OF DIRECTOR: ANDRE VILLENEUVE Mgmt For For
1L. ELECTION OF DIRECTOR: CHRISTINE TODD Mgmt For For
WHITMAN
2. APPOINTMENT OF THE FIRM OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
AUDITOR FOR 2013.
3. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt For For
OF OUR NAMED EXECUTIVE OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
WAL-MART STORES, INC. Agenda Number: 933799364
--------------------------------------------------------------------------------------------------------------------------
Security: 931142103
Meeting Type: Annual
Meeting Date: 07-Jun-2013
Ticker: WMT
ISIN: US9311421039
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: AIDA M. ALVAREZ Mgmt Against Against
1B. ELECTION OF DIRECTOR: JAMES I. CASH, JR. Mgmt Against Against
1C. ELECTION OF DIRECTOR: ROGER C. CORBETT Mgmt For For
1D. ELECTION OF DIRECTOR: DOUGLAS N. DAFT Mgmt For For
1E. ELECTION OF DIRECTOR: MICHAEL T. DUKE Mgmt Against Against
1F. ELECTION OF DIRECTOR: TIMOTHY P. FLYNN Mgmt For For
1G. ELECTION OF DIRECTOR: MARISSA A. MAYER Mgmt For For
1H. ELECTION OF DIRECTOR: GREGORY B. PENNER Mgmt For For
1I. ELECTION OF DIRECTOR: STEVEN S REINEMUND Mgmt For For
1J. ELECTION OF DIRECTOR: H. LEE SCOTT, JR. Mgmt Against Against
1K. ELECTION OF DIRECTOR: JIM C. WALTON Mgmt For For
1L. ELECTION OF DIRECTOR: S. ROBSON WALTON Mgmt For For
1M. ELECTION OF DIRECTOR: CHRISTOPHER J. Mgmt Against Against
WILLIAMS
1N. ELECTION OF DIRECTOR: LINDA S. WOLF Mgmt For For
2. RATIFICATION OF ERNST & YOUNG LLP AS Mgmt For For
INDEPENDENT ACCOUNTANTS
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
4. APPROVAL OF THE WAL-MART STORES, INC. Mgmt For For
MANAGEMENT INCENTIVE PLAN, AS AMENDED
5. SPECIAL SHAREOWNER MEETING RIGHT Shr For Against
6. EQUITY RETENTION REQUIREMENT Shr Against For
7. INDEPENDENT CHAIRMAN Shr For Against
8. REQUEST FOR ANNUAL REPORT ON RECOUPMENT OF Shr For Against
EXECUTIVE PAY
--------------------------------------------------------------------------------------------------------------------------
WALGREEN CO. Agenda Number: 933713465
--------------------------------------------------------------------------------------------------------------------------
Security: 931422109
Meeting Type: Annual
Meeting Date: 09-Jan-2013
Ticker: WAG
ISIN: US9314221097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JANICE M. BABIAK Mgmt For For
1B. ELECTION OF DIRECTOR: DAVID J. BRAILER Mgmt For For
1C. ELECTION OF DIRECTOR: STEVEN A. DAVIS Mgmt For For
1D. ELECTION OF DIRECTOR: WILLIAM C. FOOTE Mgmt For For
1E. ELECTION OF DIRECTOR: MARK P. FRISSORA Mgmt For For
1F. ELECTION OF DIRECTOR: GINGER L. GRAHAM Mgmt For For
1G. ELECTION OF DIRECTOR: ALAN G. MCNALLY Mgmt For For
1H. ELECTION OF DIRECTOR: DOMINIC P. MURPHY Mgmt For For
1I. ELECTION OF DIRECTOR: STEFANO PESSINA Mgmt For For
1J. ELECTION OF DIRECTOR: NANCY M. SCHLICHTING Mgmt For For
1K. ELECTION OF DIRECTOR: ALEJANDRO SILVA Mgmt For For
1L. ELECTION OF DIRECTOR: JAMES A. SKINNER Mgmt For For
1M. ELECTION OF DIRECTOR: GREGORY D. WASSON Mgmt For For
2. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION.
3. APPROVAL OF THE WALGREEN CO. 2013 OMNIBUS Mgmt For For
INCENTIVE PLAN.
4. RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Mgmt For For
LLP AS WALGREEN CO.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
5. SHAREHOLDER PROPOSAL ON A POLICY REGARDING Shr For Against
ACCELERATED VESTING OF EQUITY AWARDS OF
SENIOR EXECUTIVES UPON A CHANGE IN CONTROL.
--------------------------------------------------------------------------------------------------------------------------
WASTE MANAGEMENT, INC. Agenda Number: 933750209
--------------------------------------------------------------------------------------------------------------------------
Security: 94106L109
Meeting Type: Annual
Meeting Date: 10-May-2013
Ticker: WM
ISIN: US94106L1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: BRADBURY H. ANDERSON Mgmt For For
1B. ELECTION OF DIRECTOR: FRANK M. CLARK, JR. Mgmt For For
1C. ELECTION OF DIRECTOR: PATRICK W. GROSS Mgmt Against Against
1D. ELECTION OF DIRECTOR: VICTORIA M. HOLT Mgmt For For
1E. ELECTION OF DIRECTOR: JOHN C. POPE Mgmt For For
1F. ELECTION OF DIRECTOR: W. ROBERT REUM Mgmt For For
1G. ELECTION OF DIRECTOR: DAVID P. STEINER Mgmt For For
1H. ELECTION OF DIRECTOR: THOMAS H. WEIDEMEYER Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG, LLP AS THE INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2013.
3. APPROVAL OF OUR EXECUTIVE COMPENSATION. Mgmt For For
4. STOCKHOLDER PROPOSAL REGARDING A Shr Against For
REQUIREMENT FOR SENIOR EXECUTIVES TO HOLD A
SIGNIFICANT PERCENTAGE OF EQUITY AWARDS
UNTIL RETIREMENT, IF PROPERLY PRESENTED AT
THE MEETING.
5. STOCKHOLDER PROPOSAL REGARDING DISCLOSURE Shr For Against
OF POLITICAL CONTRIBUTIONS, IF PROPERLY
PRESENTED AT THE MEETING.
6. STOCKHOLDER PROPOSAL REGARDING COMPENSATION Shr Against For
BENCHMARKING CAP, IF PROPERLY PRESENTED AT
THE MEETING.
RiverNorth/Oaktree High Income Fund
All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a
proposal to equal more than 1%.
--------------------------------------------------------------------------------------------------------------------------
NUVEEN DIVERSIFIED DIVIDEND & INCOME FD Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 6706EP105
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JDD
ISIN: US6706EP1058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 96% For 4% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN GLOBAL GOVERNMENT ENHANCED INCOME Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67073C104
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JGG
ISIN: US67073C1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 98% For 2% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 98% For 2% Withheld Split
CAROLE E. STONE Mgmt Split 98% For 2% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MULTI-CURR. SHORT-TERM GOVT INC Agenda Number: 933740323
--------------------------------------------------------------------------------------------------------------------------
Security: 67090N109
Meeting Type: Annual
Meeting Date: 03-Apr-2013
Ticker: JGT
ISIN: US67090N1090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 98% For 2% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 98% For 2% Withheld Split
CAROLE E. STONE Mgmt Split 98% For 2% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
POWERHARES GLOBAL EXCHANGE Agenda Number: 933829991
--------------------------------------------------------------------------------------------------------------------------
Security: 73936Q769
Meeting Type: Special
Meeting Date: 20-Jun-2013
Ticker: BKLN
ISIN: US73936Q7694
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RONN R. BAGGE Mgmt Split 99% For 1% Withheld Split
TODD J. BARRE Mgmt Split 99% For 1% Withheld Split
KEVIN M. CAROME Mgmt Split 99% For 1% Withheld Split
MARC M. KOLE Mgmt Split 99% For 1% Withheld Split
YUNG BONG LIM Mgmt Split 99% For 1% Withheld Split
PHILIP M. NUSSBAUM Mgmt Split 99% For 1% Withheld Split
GARY R. WICKER Mgmt Split 99% For 1% Withheld Split
DONALD H. WILSON Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
POWERSHARES GLOBAL EXCHANGE Agenda Number: 933829991
--------------------------------------------------------------------------------------------------------------------------
Security: 73936T557
Meeting Type: Special
Meeting Date: 20-Jun-2013
Ticker: PHB
ISIN: US73936T5570
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RONN R. BAGGE Mgmt For For
TODD J. BARRE Mgmt For For
KEVIN M. CAROME Mgmt For For
MARC M. KOLE Mgmt For For
YUNG BONG LIM Mgmt For For
PHILIP M. NUSSBAUM Mgmt For For
GARY R. WICKER Mgmt For For
DONALD H. WILSON Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 933787028
--------------------------------------------------------------------------------------------------------------------------
Security: 989837208
Meeting Type: Annual
Meeting Date: 14-May-2013
Ticker: ZTR
ISIN: US9898372084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE R. AYLWARD Mgmt Split 83% For 17% Withheld Split
WILLIAM H. WRIGHT II Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
VIRTUS INVESTMENT PARTNERS Agenda Number: 933787585
--------------------------------------------------------------------------------------------------------------------------
Security: 92829B101
Meeting Type: Annual
Meeting Date: 13-May-2013
Ticker: VGI
ISIN: US92829B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS F. MANN Mgmt Split 98% For 2% Withheld Split
* Management position unknown
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) RiverNorth Funds
By (Signature) /s/ Patrick W. Galley
Name Patrick W. Galley
Title President
Date 08/30/2013