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: 07/01/2013 - 06/30/2014
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%
RiverNorth
--------------------------------------------------------------------------------------------------------------------------
DWS HIGH INCOME OPPORTUNITIES FUND, INC Agenda Number: 933859994
--------------------------------------------------------------------------------------------------------------------------
Security: 23339M204
Meeting Type: Annual
Meeting Date: 04-Sep-2013
Ticker: DHG
ISIN: US23339M2044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HENRY P. BECTON, JR. Mgmt Split 95% For 5% Withheld Split
PAUL K. FREEMAN Mgmt Split 95% For 5% Withheld Split
WILLIAM MCCLAYTON Mgmt Split 95% For 5% Withheld Split
JEAN GLEASON STROMBERG Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 933925200
--------------------------------------------------------------------------------------------------------------------------
Security: 003009107
Meeting Type: Annual
Meeting Date: 27-Mar-2014
Ticker: FAX
ISIN: US0030091070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
P. GERALD MALONE Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN FUNDS Agenda Number: 933925248
--------------------------------------------------------------------------------------------------------------------------
Security: 00301T102
Meeting Type: Annual
Meeting Date: 27-Mar-2014
Ticker: ETF
ISIN: US00301T1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARTIN M. TORINO Mgmt Split 46% For 54% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN GLOBAL INCOME FUND, INC. Agenda Number: 933925224
--------------------------------------------------------------------------------------------------------------------------
Security: 003013109
Meeting Type: Annual
Meeting Date: 27-Mar-2014
Ticker: FCO
ISIN: US0030131090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
P. GERALD MALONE Mgmt Split 97% For 3% Withheld Split
JOHN T. SHEEHY Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ACCENTURE PLC Agenda Number: 933911592
--------------------------------------------------------------------------------------------------------------------------
Security: G1151C101
Meeting Type: Annual
Meeting Date: 30-Jan-2014
Ticker: ACN
ISIN: IE00B4BNMY34
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO ACCEPT, IN A NON-BINDING VOTE, THE Mgmt For For
COMPANY'S IRISH FINANCIAL STATEMENTS FOR
THE TWELVE-MONTH PERIOD ENDED AUGUST 31,
2013, AS PRESENTED.
2A. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
JAIME ARDILA
2B. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
CHARLES H. GIANCARLO
2C. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
WILLIAM L. KIMSEY
2D. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
BLYTHE J. MCGARVIE
2E. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
MARK MOODY-STUART
2F. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
PIERRE NANTERME
2G. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt For For
GILLES C. PELISSON
2H. RE-APPOINTMENT OF THE BOARD OF DIRECTOR: Mgmt Against Against
WULF VON SCHIMMELMANN
3. TO RATIFY, IN A NON-BINDING VOTE, THE Mgmt For For
APPOINTMENT OF KPMG AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF
ACCENTURE PLC FOR A TERM EXPIRING AT OUR
ANNUAL GENERAL MEETING OF SHAREHOLDERS IN
2015 AND TO AUTHORIZE, IN A BINDING VOTE,
THE BOARD, ACTING THROUGH THE AUDIT
COMMITTEE, TO DETERMINE KPMG'S
REMUNERATION.
4. TO APPROVE, IN A NON-BINDING VOTE, THE Mgmt For For
COMPENSATION OF OUR NAMED EXECUTIVE
OFFICERS.
5. TO GRANT THE BOARD THE AUTHORITY TO ISSUE Mgmt For For
SHARES UNDER IRISH LAW.
6. TO GRANT THE BOARD THE AUTHORITY TO OPT-OUT Mgmt For For
OF STATUTORY PRE-EMPTION RIGHTS UNDER IRISH
LAW.
7. TO APPROVE A CAPITAL REDUCTION AND CREATION Mgmt For For
OF DISTRIBUTABLE RESERVES UNDER IRISH LAW.
8. TO AUTHORIZE HOLDING THE 2015 ANNUAL Mgmt For For
GENERAL MEETING OF SHAREHOLDERS OF
ACCENTURE PLC AT A LOCATION OUTSIDE OF
IRELAND AS REQUIRED UNDER IRISH LAW.
9. TO AUTHORIZE ACCENTURE TO MAKE OPEN-MARKET Mgmt For For
PURCHASES OF ACCENTURE PLC CLASS A ORDINARY
SHARES UNDER IRISH LAW.
10. TO DETERMINE THE PRICE RANGE AT WHICH Mgmt For For
ACCENTURE PLC CAN RE-ISSUE SHARES THAT IT
ACQUIRES AS TREASURY STOCK UNDER IRISH LAW.
--------------------------------------------------------------------------------------------------------------------------
ADAMS EXPRESS COMPANY Agenda Number: 933925957
--------------------------------------------------------------------------------------------------------------------------
Security: 006212104
Meeting Type: Annual
Meeting Date: 10-Apr-2014
Ticker: ADX
ISIN: US0062121043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ENRIQUE R. ARZAC Mgmt Split 80% For 17% Withheld Split
PHYLLIS O. BONANNO Mgmt Split 80% For 17% Withheld Split
KENNETH J. DALE Mgmt Split 88% For 9% Withheld Split
FREDERIC A. ESCHERICH Mgmt Split 88% For 9% Withheld Split
ROGER W. GALE Mgmt Split 81% For 16% Withheld Split
KATHLEEN T. MCGAHRAN Mgmt Split 81% For 17% Withheld Split
CRAIG R. SMITH Mgmt Split 81% For 16% Withheld Split
MARK E. STOECKLE Mgmt Split 81% For 16% Withheld Split
2. THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Mgmt Split 96% For 1% Against 1% AbstainSplit
AS INDEPENDENT PUBLIC AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
ADVENT CLAYMORE Agenda Number: 933879364
--------------------------------------------------------------------------------------------------------------------------
Security: 00764C109
Meeting Type: Annual
Meeting Date: 16-Oct-2013
Ticker: AVK
ISIN: US00764C1099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: MR. GERALD L. Mgmt Split 95% For 2% Against 3% AbstainSplit
SEIZERT
1B. ELECTION OF CLASS I TRUSTEE: MR. DEREK Mgmt Split 95% For 2% Against 3% AbstainSplit
MEDINA
1C. ELECTION OF CLASS I TRUSTEE: MR. RANDALL C. Mgmt Split 95% For 2% Against 3% AbstainSplit
BARNES
--------------------------------------------------------------------------------------------------------------------------
ADVENT/CLAYMORE ENHANCED FUND Agenda Number: 933879376
--------------------------------------------------------------------------------------------------------------------------
Security: 00765E104
Meeting Type: Annual
Meeting Date: 16-Oct-2013
Ticker: LCM
ISIN: US00765E1047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS III TRUSTEE: MR. GERALD Mgmt Split 94% For 2% Against 4% AbstainSplit
L. SEIZERT
1B. ELECTION OF CLASS III TRUSTEE: MR. DEREK Mgmt Split 94% For 3% Against 3% AbstainSplit
MEDINA
1C. ELECTION OF CLASS III TRUSTEE: MR. RANDALL Mgmt Split 94% For 3% Against 3% AbstainSplit
C. BARNES
--------------------------------------------------------------------------------------------------------------------------
AFFILIATED MANAGERS GROUP, INC. Agenda Number: 934005477
--------------------------------------------------------------------------------------------------------------------------
Security: 008252108
Meeting Type: Annual
Meeting Date: 16-Jun-2014
Ticker: AMG
ISIN: US0082521081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: SAMUEL T. BYRNE Mgmt Split 99% For 1% Against Split
1B. ELECTION OF DIRECTOR: DWIGHT D. CHURCHILL Mgmt Split 99% For 1% Against Split
1C. ELECTION OF DIRECTOR: NIALL FERGUSON Mgmt For For
1D. ELECTION OF DIRECTOR: SEAN M. HEALEY Mgmt Split 98% For 2% Against Split
1E. ELECTION OF DIRECTOR: HAROLD J. MEYERMAN Mgmt Split 98% For 2% Against Split
1F. ELECTION OF DIRECTOR: WILLIAM J. NUTT Mgmt Split 99% For 1% Against Split
1G. ELECTION OF DIRECTOR: TRACY P. PALANDJIAN Mgmt Split 99% For 1% Against Split
1H. ELECTION OF DIRECTOR: RITA M. RODRIGUEZ Mgmt Split 98% For 2% Against Split
1I. ELECTION OF DIRECTOR: PATRICK T. RYAN Mgmt Split 99% For 1% Against Split
1J. ELECTION OF DIRECTOR: JIDE J. ZEITLIN Mgmt Split 99% For 1% Against Split
2. TO APPROVE, BY A NON-BINDING ADVISORY VOTE, Mgmt Split 87% For 12% Against 1% AbstainSplit
THE COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
3. 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.
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI Agenda Number: 933839346
--------------------------------------------------------------------------------------------------------------------------
Security: 018829101
Meeting Type: Annual
Meeting Date: 17-Jul-2013
Ticker: NIE
ISIN: US0188291019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) DIRECTOR
DEBORAH A. DECOTIS* Mgmt Split 90% For 10% Withheld Split
BRADFORD K. GALLAGHER* Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI Agenda Number: 933905955
--------------------------------------------------------------------------------------------------------------------------
Security: 018829101
Meeting Type: Special
Meeting Date: 14-Jan-2014
Ticker: NIE
ISIN: US0188291019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) TO APPROVE THE AGREEMENT AND PLAN OF Mgmt Split 90% For 3% Against 2% AbstainSplit
REORGANIZATION BETWEEN ALLIANZGI GLOBAL
EQUITY & CONVERTIBLE INCOME FUND AND THE
FUND, INCLUDING THE ISSUANCE BY THE FUND OF
ADDITIONAL COMMON SHARES OF BENEFICIAL
INTEREST IN CONNECTION THEREWITH.
--------------------------------------------------------------------------------------------------------------------------
ALPINE GLOBAL PREMIER PPTYS FD Agenda Number: 933969341
--------------------------------------------------------------------------------------------------------------------------
Security: 021060207
Meeting Type: Annual
Meeting Date: 28-May-2014
Ticker: AOD
ISIN: US0210602076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ELEANOR T.M. HOAGLAND Mgmt Split 96% For 4% Withheld Split
JEFFREY E. WACKSMAN Mgmt Split 96% For 4% Withheld Split
2. TO TRANSACT SUCH OTHER BUSINESS AS MAY Mgmt Split 60% For 38% Against 2% AbstainSplit
PROPERLY COME BEFORE THE MEETING OR ANY
ADJOURNMENTS THEREOF.
--------------------------------------------------------------------------------------------------------------------------
AMAZON.COM, INC. Agenda Number: 933970510
--------------------------------------------------------------------------------------------------------------------------
Security: 023135106
Meeting Type: Annual
Meeting Date: 21-May-2014
Ticker: AMZN
ISIN: US0231351067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JEFFREY P. BEZOS Mgmt For For
1B. ELECTION OF DIRECTOR: TOM A. ALBERG Mgmt For For
1C. ELECTION OF DIRECTOR: JOHN SEELY BROWN Mgmt For For
1D. ELECTION OF DIRECTOR: WILLIAM B. GORDON Mgmt For For
1E. ELECTION OF DIRECTOR: JAMIE S. GORELICK Mgmt For For
1F. ELECTION OF DIRECTOR: ALAIN MONIE Mgmt For For
1G. ELECTION OF DIRECTOR: JONATHAN J. Mgmt For For
RUBINSTEIN
1H. ELECTION OF DIRECTOR: THOMAS O. RYDER Mgmt For For
1I. ELECTION OF DIRECTOR: PATRICIA Q. Mgmt For For
STONESIFER
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. SHAREHOLDER PROPOSAL REGARDING A REPORT Shr Against For
CONCERNING CORPORATE POLITICAL
CONTRIBUTIONS
--------------------------------------------------------------------------------------------------------------------------
ANNALY CAPITAL MANAGEMENT, INC. Agenda Number: 933971310
--------------------------------------------------------------------------------------------------------------------------
Security: 035710409
Meeting Type: Annual
Meeting Date: 22-May-2014
Ticker: NLY
ISIN: US0357104092
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JONATHAN D. GREEN Mgmt For For
1B. ELECTION OF DIRECTOR: JOHN H. SCHAEFER Mgmt For For
1C. ELECTION OF DIRECTOR: FRANCINE J. BOVICH Mgmt For For
2. THE PROPOSAL TO APPROVE A NON-BINDING Mgmt For For
ADVISORY RESOLUTION ON EXECUTIVE
COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE COMPANY FOR THE
2014 FISCAL YEAR.
--------------------------------------------------------------------------------------------------------------------------
APOLLO SENIOR FLOATING RATE, INC Agenda Number: 933964024
--------------------------------------------------------------------------------------------------------------------------
Security: 037636107
Meeting Type: Annual
Meeting Date: 13-May-2014
Ticker: AFT
ISIN: US0376361079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT L. BORDEN Mgmt Split 97% For 3% Withheld Split
CARL J. RICKERTSEN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
APOLLO SENIOR FLOATING RATE, INC. Agenda Number: 933964024
--------------------------------------------------------------------------------------------------------------------------
Security: 037638103
Meeting Type: Annual
Meeting Date: 13-May-2014
Ticker: AIF
ISIN: US0376381036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT L. BORDEN Mgmt Split 99% For 1% Withheld Split
CARL J. RICKERTSEN Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
APPLE INC. Agenda Number: 933915564
--------------------------------------------------------------------------------------------------------------------------
Security: 037833100
Meeting Type: Annual
Meeting Date: 28-Feb-2014
Ticker: AAPL
ISIN: US0378331005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM CAMPBELL Mgmt Split 21% For Split
TIMOTHY COOK Mgmt Split 21% For Split
MILLARD DREXLER Mgmt Split 21% For Split
AL GORE Mgmt Split 21% For Split
ROBERT IGER Mgmt Split 21% For Split
ANDREA JUNG Mgmt Split 21% For Split
ARTHUR LEVINSON Mgmt Split 21% For Split
RONALD SUGAR Mgmt Split 21% For Split
2. THE AMENDMENT OF THE COMPANY'S RESTATED Mgmt Split 21% For Split
ARTICLES OF INCORPORATION (THE "ARTICLES")
TO FACILITATE THE IMPLEMENTATION OF
MAJORITY VOTING FOR THE ELECTION OF
DIRECTORS IN AN UNCONTESTED ELECTION BY
ELIMINATING ARTICLE VII, WHICH RELATES TO
THE TERM OF DIRECTORS AND THE TRANSITION
FROM A CLASSIFIED BOARD OF DIRECTORS TO A
DECLASSIFIED STRUCTURE
3. THE AMENDMENT OF THE ARTICLES TO ELIMINATE Mgmt Split 21% For Split
THE "BLANK CHECK" AUTHORITY OF THE BOARD TO
ISSUE PREFERRED STOCK
4. THE AMENDMENT OF THE ARTICLES TO ESTABLISH Mgmt Split 21% For Split
A PAR VALUE FOR THE COMPANY'S COMMON STOCK
OF $0.00001 PER SHARE
5. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt Split 21% For Split
YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014
6. A NON-BINDING ADVISORY RESOLUTION TO Mgmt Split 21% For Split
APPROVE EXECUTIVE COMPENSATION
7. THE APPROVAL OF THE APPLE INC. 2014 Mgmt Split 21% For Split
EMPLOYEE STOCK PLAN
8. A SHAREHOLDER PROPOSAL BY JOHN HARRINGTON Shr Split 21% Against Split
AND NORTHSTAR ASSET MANAGEMENT INC.
ENTITLED "BOARD COMMITTEE ON HUMAN RIGHTS"
TO AMEND THE COMPANY'S BYLAWS
9. A SHAREHOLDER PROPOSAL BY THE NATIONAL Shr Split 21% Against Split
CENTER FOR PUBLIC POLICY RESEARCH OF A
NON-BINDING ADVISORY RESOLUTION ENTITLED
"REPORT ON COMPANY MEMBERSHIP AND
INVOLVEMENT WITH CERTAIN TRADE ASSOCIATIONS
AND BUSINESS ORGANIZATIONS"
10. A SHAREHOLDER PROPOSAL BY CARL ICAHN OF A Shr Split 21% Abstain Split
NON-BINDING ADVISORY RESOLUTION THAT THE
COMPANY COMMIT TO COMPLETING NOT LESS THAN
$50 BILLION OF SHARE REPURCHASES DURING ITS
2014 FISCAL YEAR (AND INCREASE THE
AUTHORIZATION UNDER ITS CAPITAL RETURN
PROGRAM ACCORDINGLY)
11. A SHAREHOLDER PROPOSAL BY JAMES MCRITCHIE Shr Split 21% Against Split
OF A NON-BINDING ADVISORY RESOLUTION
ENTITLED "PROXY ACCESS FOR SHAREHOLDERS"
--------------------------------------------------------------------------------------------------------------------------
ARCH COAL, INC. Agenda Number: 933936544
--------------------------------------------------------------------------------------------------------------------------
Security: 039380100
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: ACI
ISIN: US0393801008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN W. EAVES Mgmt No vote
DOUGLAS H. HUNT Mgmt No vote
J. THOMAS JONES Mgmt No vote
GEORGE C. MORRIS III Mgmt No vote
PAUL A. LANG Mgmt No vote
2. ADVISORY APPROVAL OF THE COMPANY'S NAMED Mgmt No vote
EXECUTIVE OFFICER COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt No vote
YOUNG, LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2014.
4. STOCKHOLDER PROPOSAL: MAJORITY VOTE FOR Shr No vote
DIRECTORS.
5. STOCKHOLDER PROPOSAL: REPORT ON Shr No vote
ENVIRONMENTAL MATTERS.
--------------------------------------------------------------------------------------------------------------------------
AUTOMATIC DATA PROCESSING, INC. Agenda Number: 933881080
--------------------------------------------------------------------------------------------------------------------------
Security: 053015103
Meeting Type: Annual
Meeting Date: 12-Nov-2013
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
GREGORY L. SUMME Mgmt For For
2. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
3. APPOINTMENT OF DELOITTE & TOUCHE LLP. Mgmt For For
4. RE-APPROVAL OF PERFORMANCE-BASED PROVISIONS Mgmt For For
OF THE AUTOMATIC DATA PROCESSING, INC. 2008
OMNIBUS AWARD PLAN.
--------------------------------------------------------------------------------------------------------------------------
AVENUE INCOME CREDIT STRATEGIES FUND Agenda Number: 933981222
--------------------------------------------------------------------------------------------------------------------------
Security: 05358E106
Meeting Type: Annual
Meeting Date: 15-May-2014
Ticker: ACP
ISIN: US05358E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOEL TOMAS CITRON Mgmt Split 98% For 2% Withheld Split
RANDOLPH TAKIAN Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BABSON CAPITAL Agenda Number: 933879566
--------------------------------------------------------------------------------------------------------------------------
Security: 05617T100
Meeting Type: Annual
Meeting Date: 25-Oct-2013
Ticker: BGH
ISIN: US05617T1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS M. FINKE* Mgmt Split 97% For 3% Withheld Split
BERNARD A. HARRIS, JR.* Mgmt Split 96% For 4% Withheld Split
THOMAS W. BUNN# Mgmt Split 96% For 4% Withheld Split
2. IN THEIR DISCRETION, THE PROXY OR PROXIES Mgmt Split 72% For 25% Against 3% AbstainSplit
ARE AUTHORIZED TO VOTE UPON SUCH OTHER
BUSINESS OR MATTERS AS MAY PROPERLY COME
BEFORE THE ANNUAL MEETING OR ANY
ADJOURNMENT OR ADJOURNMENTS THEREOF.
--------------------------------------------------------------------------------------------------------------------------
BECTON, DICKINSON AND COMPANY Agenda Number: 933909434
--------------------------------------------------------------------------------------------------------------------------
Security: 075887109
Meeting Type: Annual
Meeting Date: 28-Jan-2014
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: GARY A. MECKLENBURG Mgmt For For
1J. ELECTION OF DIRECTOR: JAMES F. ORR Mgmt For For
1K. ELECTION OF DIRECTOR: WILLARD J. OVERLOCK, Mgmt For For
JR.
1L. ELECTION OF DIRECTOR: REBECCA W. RIMEL Mgmt For For
1M. ELECTION OF DIRECTOR: BERTRAM L. SCOTT Mgmt For For
1N. 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. APPROVAL OF MATERIAL TERMS OF PERFORMANCE Mgmt For For
GOALS UNDER BD'S 2004 EMPLOYEE AND DIRECTOR
EQUITY-BASED COMPENSATION PLAN.
5. APPROVAL OF MATERIAL TERMS OF PERFORMANCE Mgmt For For
GOALS UNDER BD'S PERFORMANCE INCENTIVE
PLAN.
6. SHAREHOLDER PROPOSAL REGARDING INDEPENDENT Shr For Against
BOARD CHAIR.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK Agenda Number: 933848597
--------------------------------------------------------------------------------------------------------------------------
Security: 09248X100
Meeting Type: Annual
Meeting Date: 30-Jul-2013
Ticker: BBN
ISIN: US09248X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN 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
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 933878994
--------------------------------------------------------------------------------------------------------------------------
Security: 09255R103
Meeting Type: Special
Meeting Date: 25-Oct-2013
Ticker: DSU
ISIN: US09255R1032
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2.A THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 90% For 8% Against 2% AbstainSplit
ASKED TO APPROVE THE AGREEMENT AND PLAN OF
REORGANIZATION BETWEEN BLACKROCK SENIOR
HIGH INCOME FUND, INC. AND THE FUND, AND AN
AMENDMENT TO THE FUND'S ARTICLES OF
INCORPORATION TO INCREASE ITS SHARE CAPITAL
BY 200,000,000 SHARES AND THE ISSUANCE OF
ADDITIONAL SHARES OF COMMON STOCK OF THE
FUND, EACH IN CONNECTION THEREWITH.
2.B THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 89% For 8% Against 3% AbstainSplit
ASKED TO APPROVE THE AGREEMENT AND PLAN OF
REORGANIZATION BETWEEN BLACKROCK STRATEGIC
BOND TRUST AND THE FUND, AND AN AMENDMENT
TO THE FUND'S ARTICLES OF INCORPORATION TO
INCREASE ITS SHARE CAPITAL BY 200,000,000
SHARES AND THE ISSUANCE OF ADDITIONAL
SHARES OF COMMON STOCK OF THE FUND, EACH IN
CONNECTION THEREWITH.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK ENHANCED DIVID ACHIEVERS TR Agenda Number: 933848597
--------------------------------------------------------------------------------------------------------------------------
Security: 09251A104
Meeting Type: Annual
Meeting Date: 30-Jul-2013
Ticker: BDJ
ISIN: US09251A1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. CAVANAGH Mgmt Split 97% For 3% Withheld Split
KATHLEEN F. FELDSTEIN 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
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR Agenda Number: 933848597
--------------------------------------------------------------------------------------------------------------------------
Security: 092501105
Meeting Type: Annual
Meeting Date: 30-Jul-2013
Ticker: BOE
ISIN: US0925011050
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. CAVANAGH Mgmt Split 95% For 5% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 94% For 6% Withheld Split
HENRY GABBAY Mgmt Split 95% For 5% Withheld Split
JERROLD B. HARRIS Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK HIGH YIELD TRUST Agenda Number: 933873312
--------------------------------------------------------------------------------------------------------------------------
Security: 09248N102
Meeting Type: Special
Meeting Date: 11-Oct-2013
Ticker: BHY
ISIN: US09248N1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. THE SHAREHOLDERS OF THE FUND ARE BEING Mgmt Split 91% For 7% Against 2% Abstain*
ASKED TO APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION BETWEEN THE FUND AND
BLACKROCK CORPORATE HIGH YIELD FUND VI,
INC. AND THE TERMINATION OF THE FUND'S
REGISTRATION UNDER THE INVESTMENT COMPANY
ACT OF 1940.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK INCOME OPPORTUNITY TRUST Agenda Number: 933848597
--------------------------------------------------------------------------------------------------------------------------
Security: 092475102
Meeting Type: Annual
Meeting Date: 30-Jul-2013
Ticker: BNA
ISIN: US0924751029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN 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
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK INTL GROWTH & INCOME Agenda Number: 933848597
--------------------------------------------------------------------------------------------------------------------------
Security: 092524107
Meeting Type: Annual
Meeting Date: 30-Jul-2013
Ticker: BGY
ISIN: US0925241079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. CAVANAGH Mgmt Split 92% For 8% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 91% For 9% Withheld Split
HENRY GABBAY Mgmt Split 92% For 8% Withheld Split
JERROLD B. HARRIS Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 933848597
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Annual
Meeting Date: 30-Jul-2013
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 97% For 3% Withheld Split
HENRY GABBAY Mgmt Split 98% For 2% Withheld Split
JERROLD B. HARRIS Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK SR HIGH INCOME FD INC Agenda Number: 933878970
--------------------------------------------------------------------------------------------------------------------------
Security: 09255T109
Meeting Type: Special
Meeting Date: 25-Oct-2013
Ticker: ARK
ISIN: US09255T1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.A THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 90% For 7% Against 3% AbstainSplit
ASKED TO APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION BETWEEN THE FUND AND
BLACKROCK DEBT STRATEGIES FUND, INC. AND
THE TERMINATION OF THE FUND'S REGISTRATION
UNDER THE INVESTMENT COMPANY ACT OF 1940.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK STRATEGIC BOND TRUST Agenda Number: 933878982
--------------------------------------------------------------------------------------------------------------------------
Security: 09249G106
Meeting Type: Special
Meeting Date: 25-Oct-2013
Ticker: BHD
ISIN: US09249G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.B THE SHAREHOLDERS OF THE FUND ARE BEING Mgmt Split 91% For 6% Against 3% AbstainSplit
ASKED TO APPROVE AN AGREEMENT AND PLAN OF
REORGANIZATION BETWEEN THE FUND AND
BLACKROCK DEBT STRATEGIES FUND, INC. AND
THE TERMINATION OF THE FUND'S REGISTRATION
UNDER THE INVESTMENT COMPANY ACT OF 1940.
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 933933980
--------------------------------------------------------------------------------------------------------------------------
Security: 09257D102
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: BGX
ISIN: US09257D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
EDWARD H. D'ALELIO Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 933934007
--------------------------------------------------------------------------------------------------------------------------
Security: 09257R101
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: BGB
ISIN: US09257R1014
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. DIRECTOR
EDWARD H. D'ALELIO Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CALAMOS GLOBAL DYNAMIC INCOME Agenda Number: 934032602
--------------------------------------------------------------------------------------------------------------------------
Security: 12811L107
Meeting Type: Annual
Meeting Date: 25-Jun-2014
Ticker: CHW
ISIN: US12811L1070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN P. CALAMOS, SR. Mgmt Split 97% For 3% Withheld Split
WILLIAM R. RYBAK Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CANON INC. Agenda Number: 933926606
--------------------------------------------------------------------------------------------------------------------------
Security: 138006309
Meeting Type: Annual
Meeting Date: 28-Mar-2014
Ticker: CAJ
ISIN: US1380063099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIVIDEND FROM SURPLUS Mgmt For For
2 PARTIAL AMENDMENT TO THE ARTICLES OF Mgmt For For
INCORPORATION
3 DIRECTOR
FUJIO MITARAI Mgmt Withheld Against
TOSHIZO TANAKA Mgmt For For
TOSHIAKI IKOMA Mgmt For For
YOROKU ADACHI Mgmt For For
YASUO MITSUHASHI Mgmt For For
SHIGEYUKI MATSUMOTO Mgmt For For
TOSHIO HOMMA Mgmt For For
HIDEKI OZAWA Mgmt For For
MASAYA MAEDA Mgmt For For
YASUHIRO TANI Mgmt For For
KENICHI NAGASAWA Mgmt For For
NAOJI OTSUKA Mgmt For For
MASANORI YAMADA Mgmt For For
AITAKE WAKIYA Mgmt For For
KAZUTO ONO Mgmt For For
AKIYOSHI KIMURA Mgmt For For
EIJI OSANAI Mgmt For For
KUNITARO SAIDA Mgmt For For
HARUHIKO KATO Mgmt For For
4.1 ELECTION OF AUDIT & SUPERVISORY BOARD Mgmt For For
MEMBER: MAKOTO ARAKI
4.2 ELECTION OF AUDIT & SUPERVISORY BOARD Mgmt For For
MEMBER: OSAMI YOSHIDA
4.3 ELECTION OF AUDIT & SUPERVISORY BOARD Mgmt For For
MEMBER: KUNIYOSHI KITAMURA
5 GRANT OF BONUS TO DIRECTORS Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
CARDINAL HEALTH, INC. Agenda Number: 933879782
--------------------------------------------------------------------------------------------------------------------------
Security: 14149Y108
Meeting Type: Annual
Meeting Date: 06-Nov-2013
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: PATRICIA A. HEMINGWAY Mgmt For For
HALL
1I. ELECTION OF DIRECTOR: CLAYTON M. JONES Mgmt For For
1J. ELECTION OF DIRECTOR: GREGORY B. KENNY Mgmt For For
1K. ELECTION OF DIRECTOR: DAVID P. KING Mgmt For For
1L. ELECTION OF DIRECTOR: RICHARD C. NOTEBAERT Mgmt For For
2. PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST Mgmt For For
& YOUNG LLP AS OUR INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING JUNE 30, 2014.
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 For Against
PRESENTED, REGARDING POLITICAL
CONTRIBUTIONS AND EXPENDITURES.
--------------------------------------------------------------------------------------------------------------------------
CENTRAL SECURITIES CORPORATION Agenda Number: 933923004
--------------------------------------------------------------------------------------------------------------------------
Security: 155123102
Meeting Type: Annual
Meeting Date: 19-Mar-2014
Ticker: CET
ISIN: US1551231020
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
L. PRICE BLACKFORD Mgmt Split 82% For Split
SIMMS C. BROWNING Mgmt Split 81% For 1% Withheld Split
DONALD G. CALDER Mgmt Split 81% For 1% Withheld Split
DAVID C. COLANDER Mgmt Split 82% For Split
JAY R. INGLIS Mgmt Split 81% For 2% Withheld Split
WILMOT H. KIDD Mgmt Split 81% For 1% Withheld Split
C. CARTER WALKER, JR. Mgmt Split 81% For 1% Withheld Split
2. APPROVAL OF KPMG LLP AS INDEPENDENT Mgmt Split 82% For Split
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.
--------------------------------------------------------------------------------------------------------------------------
CENTURYLINK, INC. Agenda Number: 933986068
--------------------------------------------------------------------------------------------------------------------------
Security: 156700106
Meeting Type: Annual
Meeting Date: 28-May-2014
Ticker: CTL
ISIN: US1567001060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
VIRGINIA BOULET Mgmt For For
PETER C. BROWN Mgmt For For
RICHARD A. GEPHARDT Mgmt For For
W. BRUCE HANKS Mgmt For For
GREGORY J. MCCRAY 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
MICHAEL J. ROBERTS 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 2014.
3. RATIFY A PROXY ACCESS BYLAW AMENDMENT. Mgmt For For
4. ADVISORY VOTE REGARDING OUR EXECUTIVE Mgmt For For
COMPENSATION.
5. SHAREHOLDER PROPOSAL REGARDING EQUITY Shr Against For
RETENTION.
--------------------------------------------------------------------------------------------------------------------------
CISCO SYSTEMS, INC. Agenda Number: 933882157
--------------------------------------------------------------------------------------------------------------------------
Security: 17275R102
Meeting Type: Annual
Meeting Date: 19-Nov-2013
Ticker: CSCO
ISIN: US17275R1023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: CAROL A. BARTZ Mgmt Split 63% For Split
1B. ELECTION OF DIRECTOR: MARC BENIOFF Mgmt Split 63% For Split
1C. ELECTION OF DIRECTOR: GREGORY Q. BROWN Mgmt Split 63% For Split
1D. ELECTION OF DIRECTOR: M. MICHELE BURNS Mgmt Split 63% For Split
1E. ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS Mgmt Split 63% For Split
1F. ELECTION OF DIRECTOR: JOHN T. CHAMBERS Mgmt Split 63% For Split
1G. ELECTION OF DIRECTOR: BRIAN L. HALLA Mgmt Split 63% For Split
1H. ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY Mgmt Split 63% Against Split
1I. ELECTION OF DIRECTOR: DR. KRISTINA M. Mgmt Split 63% For Split
JOHNSON
1J. ELECTION OF DIRECTOR: RODERICK C. MCGEARY Mgmt Split 63% For Split
1K. ELECTION OF DIRECTOR: ARUN SARIN Mgmt Split 63% For Split
1L. ELECTION OF DIRECTOR: STEVEN M. WEST Mgmt Split 63% For Split
2. APPROVAL OF AMENDMENT AND RESTATEMENT OF Mgmt Split 63% For Split
THE 2005 STOCK INCENTIVE PLAN.
3. APPROVAL, ON AN ADVISORY BASIS, OF Mgmt Split 63% For Split
EXECUTIVE COMPENSATION.
4. RATIFICATION OF PRICEWATERHOUSECOOPERS LLP Mgmt Split 63% For Split
AS CISCO'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL 2014.
5. APPROVAL TO HAVE CISCO HOLD A COMPETITION Shr Split 63% Against Split
FOR GIVING PUBLIC ADVICE ON THE VOTING
ITEMS IN THE PROXY FILING FOR CISCO'S 2014
ANNUAL SHAREOWNERS MEETING.
--------------------------------------------------------------------------------------------------------------------------
CLAYMORE FUNDS Agenda Number: 933879364
--------------------------------------------------------------------------------------------------------------------------
Security: 007639107
Meeting Type: Annual
Meeting Date: 16-Oct-2013
Ticker: AGC
ISIN: US0076391079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: MR. GERALD L. Mgmt Split 96% For 2% Against 2% AbstainSplit
SEIZERT
1B. ELECTION OF CLASS I TRUSTEE: MR. DEREK Mgmt Split 96% For 2% Against 2% AbstainSplit
MEDINA
1C. ELECTION OF CLASS I TRUSTEE: MR. RANDALL C. Mgmt Split 96% For 2% Against 2% AbstainSplit
BARNES
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL ALLOCATION FUND Agenda Number: 933838229
--------------------------------------------------------------------------------------------------------------------------
Security: 18913Y103
Meeting Type: Annual
Meeting Date: 15-Jul-2013
Ticker: GLV
ISIN: US18913Y1038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EDMUND J. BURKE Mgmt Split 89% For 11% Withheld Split
JOHN F. MEE Mgmt Split 89% For 11% Withheld Split
VINCENT W. VERSACI Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL EQUITY FUND Agenda Number: 933838231
--------------------------------------------------------------------------------------------------------------------------
Security: 18914C100
Meeting Type: Annual
Meeting Date: 15-Jul-2013
Ticker: GLQ
ISIN: US18914C1009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
ROBERT L. BUTLER Mgmt Split 85% For 15% Withheld Split
JAMES E. CANTY Mgmt Split 85% For 15% Withheld Split
RICHARD C. RANTZOW Mgmt Split 85% For 15% Withheld Split
VINCENT W. VERSACI Mgmt Split 85% For 15% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 933838243
--------------------------------------------------------------------------------------------------------------------------
Security: 18914E106
Meeting Type: Annual
Meeting Date: 15-Jul-2013
Ticker: GLO
ISIN: US18914E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. DIRECTOR
ADAM D. CRESCENZI Mgmt Split 94% For 6% Withheld Split
JERRY G. RUTLEDGE Mgmt Split 94% For 6% Withheld Split
VINCENT W. VERSACI Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS CLOSED-END OPPORTUNITY Agenda Number: 933932724
--------------------------------------------------------------------------------------------------------------------------
Security: 19248P106
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: FOF
ISIN: US19248P1066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BONNIE COHEN Mgmt Split 63% For 2% Withheld Split
MICHAEL CLARK Mgmt Split 63% For 2% Withheld Split
RICHARD E. KROON Mgmt Split 63% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS LIMITED Agenda Number: 933932724
--------------------------------------------------------------------------------------------------------------------------
Security: 19248C105
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: LDP
ISIN: US19248C1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BONNIE COHEN Mgmt Split 98% For 2% Withheld Split
MICHAEL CLARK Mgmt Split 98% For 2% Withheld Split
RICHARD E. KROON Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS QUALITY INC RLTY, FD INC. Agenda Number: 933932724
--------------------------------------------------------------------------------------------------------------------------
Security: 19247L106
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: RQI
ISIN: US19247L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BONNIE COHEN Mgmt Split 95% For 5% Withheld Split
MICHAEL CLARK Mgmt Split 96% For 4% Withheld Split
RICHARD E. KROON Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS REIT & PFD INCOME FUND Agenda Number: 933932724
--------------------------------------------------------------------------------------------------------------------------
Security: 19247X100
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: RNP
ISIN: US19247X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BONNIE COHEN Mgmt Split 96% For 4% Withheld Split
MICHAEL CLARK Mgmt Split 97% For 3% Withheld Split
RICHARD E. KROON Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CONAGRA FOODS, INC. Agenda Number: 933864832
--------------------------------------------------------------------------------------------------------------------------
Security: 205887102
Meeting Type: Annual
Meeting Date: 27-Sep-2013
Ticker: CAG
ISIN: US2058871029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MOGENS C. BAY Mgmt For For
STEPHEN G. BUTLER Mgmt For For
STEVEN F. GOLDSTONE Mgmt For For
JOIE A. GREGOR Mgmt For For
RAJIVE JOHRI Mgmt For For
W.G. JURGENSEN Mgmt For For
RICHARD H. LENNY Mgmt For For
RUTH ANN MARSHALL Mgmt For For
GARY M. RODKIN Mgmt For For
ANDREW J. SCHINDLER Mgmt For For
KENNETH E. STINSON Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
INDEPENDENT AUDITOR
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
4. STOCKHOLDER PROPOSAL REGARDING BYLAW CHANGE Shr Against For
IN REGARD TO VOTE-COUNTING
--------------------------------------------------------------------------------------------------------------------------
CORNERSTONE TOTAL RETURN FUND, INC. Agenda Number: 933929501
--------------------------------------------------------------------------------------------------------------------------
Security: 21924U201
Meeting Type: Annual
Meeting Date: 15-Apr-2014
Ticker: CRF
ISIN: US21924U2015
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RALPH W. BRADSHAW Mgmt No vote
EDWIN MEESE III Mgmt No vote
SCOTT B. ROGERS Mgmt No vote
ANDREW A. STRAUSS Mgmt No vote
GLENN W. WILCOX, SR. Mgmt No vote
2. IN THEIR DISCRETION, THE PROXIES ARE Mgmt No vote
AUTHORIZED TO CONSIDER AND VOTE UPON SUCH
OTHER MATTERS AS MAY PROPERLY COME BEFORE
THE SAID MEETING OR ANY ADJOURNMENT
THEREOF.
--------------------------------------------------------------------------------------------------------------------------
DEERE & COMPANY Agenda Number: 933914586
--------------------------------------------------------------------------------------------------------------------------
Security: 244199105
Meeting Type: Annual
Meeting Date: 26-Feb-2014
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: GREGORY R. PAGE Mgmt For For
1J. ELECTION OF DIRECTOR: THOMAS H. PATRICK Mgmt For For
1K. ELECTION OF DIRECTOR: SHERRY M. SMITH Mgmt For For
2. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt For For
3. RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt For For
& TOUCHE LLP AS DEERE'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR
FISCAL 2014.
--------------------------------------------------------------------------------------------------------------------------
DIAGEO PLC Agenda Number: 933869084
--------------------------------------------------------------------------------------------------------------------------
Security: 25243Q205
Meeting Type: Annual
Meeting Date: 19-Sep-2013
Ticker: DEO
ISIN: US25243Q2057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. REPORT AND ACCOUNTS 2013. Mgmt For
2. DIRECTORS' REMUNERATION REPORT 2013. Mgmt Against
3. DECLARATION OF FINAL DIVIDEND. Mgmt For
4. RE-ELECTION OF PB BRUZELIUS AS A DIRECTOR. Mgmt For
(AUDIT, NOMINATION & REMUNERATION
COMMITTEE)
5. RE-ELECTION OF LM DANON AS A DIRECTOR. Mgmt For
(AUDIT, NOMINATION & REMUNERATION
COMMITTEE)
6. RE-ELECTION OF LORD DAVIES AS A DIRECTOR. Mgmt For
(AUDIT, NOMINATION, REMUNERATION(CHAIRMAN
OF THE COMMITTEE))
7. RE-ELECTION OF HO KWONPING AS A DIRECTOR. Mgmt For
(AUDIT, NOMINATION & REMUNERATION
COMMITTEE)
8. RE-ELECTION OF BD HOLDEN AS A DIRECTOR. Mgmt For
(AUDIT, NOMINATION & REMUNERATION
COMMITTEE)
9. RE-ELECTION OF DR FB HUMER AS A DIRECTOR. Mgmt For
(NOMINATION COMMITTEE(CHAIRMAN OF THE
COMMITTEE))
10. RE-ELECTION OF D MAHLAN AS A DIRECTOR. Mgmt For
(EXECUTIVE COMMITTEE)
11. RE-ELECTION OF IM MENEZES AS A DIRECTOR. Mgmt For
(EXECUTIVE COMMITTEE(CHAIRMAN OF THE
COMMITTEE))
12. RE-ELECTION OF PG SCOTT AS A DIRECTOR. Mgmt For
(AUDIT(CHAIRMAN OF THE COMMITTEE),
NOMINATION, REMUNERATION COMMITTEE)
13. APPOINTMENT OF AUDITOR. Mgmt For
14. REMUNERATION OF AUDITOR. Mgmt For
15. AUTHORITY TO ALLOT SHARES. Mgmt For
16. DISAPPLICATION OF PRE-EMPTION RIGHTS. Mgmt For
17. AUTHORITY TO PURCHASE OWN ORDINARY SHARES. Mgmt For
18. AUTHORITY TO MAKE POLITICAL DONATIONS Mgmt For
AND/OR TO INCUR POLITICAL EXPENDITURE IN
THE EU.
19. REDUCED NOTICE OF A GENERAL MEETING OTHER Mgmt Against
THAN AN ANNUAL GENERAL MEETING.
--------------------------------------------------------------------------------------------------------------------------
DWS GLOBAL HIGH INCOME FUND, INC. Agenda Number: 933859982
--------------------------------------------------------------------------------------------------------------------------
Security: 23338W104
Meeting Type: Annual
Meeting Date: 04-Sep-2013
Ticker: LBF
ISIN: US23338W1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KEITH R. FOX Mgmt Split 94% For 6% Withheld Split
KENNETH C. FROEWISS Mgmt Split 95% For 5% Withheld Split
RICHARD J. HERRING Mgmt Split 95% For 5% Withheld Split
JEAN GLEASON STROMBERG Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE ENHANCED EQUITY INCOME FUND Agenda Number: 933834980
--------------------------------------------------------------------------------------------------------------------------
Security: 278274105
Meeting Type: Annual
Meeting Date: 19-Jul-2013
Ticker: EOI
ISIN: US2782741050
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HELEN FRAME PETERS Mgmt Split 83% For 17% Withheld Split
LYNN A. STOUT Mgmt Split 82% For 18% Withheld Split
RALPH F. VERNI Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE FLOATING RATE Agenda Number: 933918205
--------------------------------------------------------------------------------------------------------------------------
Security: 278284104
Meeting Type: Annual
Meeting Date: 03-Apr-2014
Ticker: EFF
ISIN: US2782841041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS E. FAUST JR.* Mgmt Split 88% For 12% Withheld Split
ALLEN R. FREEDMAN* Mgmt Split 88% For 12% Withheld Split
VALERIE A. MOSLEY# Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE FLOATING-RATE INCOME TRUST Agenda Number: 933918180
--------------------------------------------------------------------------------------------------------------------------
Security: 278279104
Meeting Type: Annual
Meeting Date: 03-Apr-2014
Ticker: EFT
ISIN: US2782791048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS E. FAUST JR.* Mgmt Split 97% For 3% Withheld Split
ALLEN R. FREEDMAN* Mgmt Split 97% For 3% Withheld Split
VALERIE A. MOSLEY# Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE RISK-MGD DIV EQTY INCM FD Agenda Number: 933927139
--------------------------------------------------------------------------------------------------------------------------
Security: 27829G106
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: ETJ
ISIN: US27829G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON* Mgmt Split 99% For 1% Withheld Split
THOMAS E. FAUST JR.* Mgmt Split 99% For 1% Withheld Split
ALLEN R. FREEDMAN* Mgmt Split 99% For 1% Withheld Split
VALERIE A. MOSLEY# Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SHORT DURATION DIV INCOME FD Agenda Number: 933912467
--------------------------------------------------------------------------------------------------------------------------
Security: 27828V104
Meeting Type: Annual
Meeting Date: 20-Feb-2014
Ticker: EVG
ISIN: US27828V1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
VALERIE A. MOSLEY Mgmt Split 93% For 7% Withheld Split
HELEN FRAME PETERS Mgmt Split 93% For 7% Withheld Split
RALPH F. VERNI Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE TAX-MANGD GLB DIV EQ INC FD Agenda Number: 933854348
--------------------------------------------------------------------------------------------------------------------------
Security: 27829F108
Meeting Type: Annual
Meeting Date: 23-Aug-2013
Ticker: EXG
ISIN: US27829F1084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON Mgmt Split 97% For 3% Withheld Split
BENJAMIN C. ESTY Mgmt Split 96% For 4% Withheld Split
THOMAS E. FAUST JR. Mgmt Split 96% For 4% Withheld Split
ALLEN R. FREEDMAN Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ELI LILLY AND COMPANY Agenda Number: 933931227
--------------------------------------------------------------------------------------------------------------------------
Security: 532457108
Meeting Type: Annual
Meeting Date: 05-May-2014
Ticker: LLY
ISIN: US5324571083
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: M. L. ESKEW Mgmt No vote
1B. ELECTION OF DIRECTOR: K. N. HORN Mgmt No vote
1C. ELECTION OF DIRECTOR: W. G. KAELIN Mgmt No vote
1D. ELECTION OF DIRECTOR: J. C. LECHLEITER Mgmt No vote
1E. ELECTION OF DIRECTOR: M. S. RUNGE Mgmt No vote
2. RATIFICATION OF THE APPOINTMENT BY THE Mgmt No vote
AUDIT COMMITTEE OF THE BOARD OF DIRECTORS
OF ERNST & YOUNG LLP AS PRINCIPAL
INDEPENDENT AUDITOR FOR 2014.
3. APPROVE, BY NON-BINDING VOTE, COMPENSATION Mgmt No vote
PAID TO THE COMPANY'S NAMED EXECUTIVE
OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
EMC CORPORATION Agenda Number: 933944159
--------------------------------------------------------------------------------------------------------------------------
Security: 268648102
Meeting Type: Annual
Meeting Date: 30-Apr-2014
Ticker: EMC
ISIN: US2686481027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: MICHAEL W. BROWN Mgmt For For
1B. ELECTION OF DIRECTOR: RANDOLPH L. COWEN Mgmt For For
1C. ELECTION OF DIRECTOR: GAIL DEEGAN Mgmt For For
1D. ELECTION OF DIRECTOR: JAMES S. DISTASIO Mgmt For For
1E. ELECTION OF DIRECTOR: JOHN R. EGAN Mgmt For For
1F. ELECTION OF DIRECTOR: WILLIAM D. GREEN Mgmt For For
1G. ELECTION OF DIRECTOR: EDMUND F. KELLY Mgmt For For
1H. ELECTION OF DIRECTOR: JAMI MISCIK Mgmt For For
1I. ELECTION OF DIRECTOR: PAUL SAGAN Mgmt For For
1J. ELECTION OF DIRECTOR: DAVID N. STROHM Mgmt For For
1K. ELECTION OF DIRECTOR: JOSEPH M. TUCCI Mgmt For For
2. RATIFICATION OF THE SELECTION BY THE AUDIT Mgmt For For
COMMITTEE OF PRICEWATERHOUSECOOPERS LLP AS
EMC'S INDEPENDENT AUDITORS.
3. ADVISORY APPROVAL OF OUR EXECUTIVE Mgmt For For
COMPENSATION, AS DESCRIBED IN EMC'S PROXY
STATEMENT.
4. TO ACT UPON A SHAREHOLDER PROPOSAL RELATING Shr Against For
TO AN INDEPENDENT BOARD CHAIRMAN, AS
DESCRIBED IN EMC'S PROXY STATEMENT.
5. TO ACT UPON A SHAREHOLDER PROPOSAL RELATING Shr Against For
TO POLITICAL CONTRIBUTIONS, AS DESCRIBED IN
EMC'S PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
EMERSON ELECTRIC CO. Agenda Number: 933908292
--------------------------------------------------------------------------------------------------------------------------
Security: 291011104
Meeting Type: Annual
Meeting Date: 04-Feb-2014
Ticker: EMR
ISIN: US2910111044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
D.N. FARR* Mgmt For For
H. GREEN* Mgmt For For
C.A. PETERS* Mgmt For For
J.W. PRUEHER* Mgmt For For
A.A. BUSCH III# Mgmt For For
J.S. TURLEY# 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 THE STOCKHOLDER PROPOSAL Shr Against For
REQUESTING ISSUANCE OF A SUSTAINABILITY
REPORT AS DESCRIBED IN THE PROXY STATEMENT.
5. APPROVAL OF THE STOCKHOLDER PROPOSAL Shr For Against
REQUESTING ISSUANCE OF A POLITICAL
CONTRIBUTIONS REPORT AS DESCRIBED IN THE
PROXY STATEMENT.
6. APPROVAL OF THE STOCKHOLDER PROPOSAL Shr For Against
REQUESTING ISSUANCE OF A LOBBYING REPORT AS
DESCRIBED IN THE PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
EV TAX-MANAGED DIVERSIFIED EQUITY INCOME Agenda Number: 933853803
--------------------------------------------------------------------------------------------------------------------------
Security: 27828N102
Meeting Type: Annual
Meeting Date: 23-Aug-2013
Ticker: ETY
ISIN: US27828N1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON Mgmt Split 95% For 5% Withheld Split
BENJAMIN C. ESTY Mgmt Split 95% For 5% Withheld Split
THOMAS E. FAUST JR. Mgmt Split 95% For 5% Withheld Split
ALLEN R. FREEDMAN Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EXELON CORPORATION Agenda Number: 933956344
--------------------------------------------------------------------------------------------------------------------------
Security: 30161N101
Meeting Type: Annual
Meeting Date: 06-May-2014
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: JOHN W. ROGERS, JR. Mgmt For For
1N. ELECTION OF DIRECTOR: MAYO A. SHATTUCK III Mgmt For For
1O. ELECTION OF DIRECTOR: STEPHEN D. STEINOUR Mgmt For For
2. THE RATIFICATION OF PRICEWATERHOUSECOOPERS Mgmt For For
LLP AS EXELON'S INDEPENDENT ACCOUNTANT FOR
2014.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. RENEW THE SENIOR EXECUTIVE ANNUAL INCENTIVE Mgmt For For
PLAN.
5. A SHAREHOLDER PROPOSAL TO LIMIT INDIVIDUAL Shr Against For
TOTAL COMPENSATION FOR EACH OF THE NAMED
EXECUTIVE OFFICERS TO 100 TIMES THE ANNUAL
MEDIAN COMPENSATION PAID TO ALL EMPLOYEES.
--------------------------------------------------------------------------------------------------------------------------
FACEBOOK INC. Agenda Number: 933958324
--------------------------------------------------------------------------------------------------------------------------
Security: 30303M102
Meeting Type: Annual
Meeting Date: 22-May-2014
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 RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For
LLP AS FACEBOOK, INC.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2014.
3. A STOCKHOLDER PROPOSAL REGARDING CHANGE IN Shr Against For
STOCKHOLDER VOTING.
4. A STOCKHOLDER PROPOSAL REGARDING LOBBYING Shr Against For
EXPENDITURES.
5. A STOCKHOLDER PROPOSAL REGARDING POLITICAL Shr Against For
CONTRIBUTIONS.
6. A STOCKHOLDER PROPOSAL REGARDING CHILDHOOD Shr Against For
OBESITY AND FOOD MARKETING TO YOUTH.
7. A STOCKHOLDER PROPOSAL REGARDING AN ANNUAL Shr Against For
SUSTAINABILITY REPORT.
--------------------------------------------------------------------------------------------------------------------------
FEDERATED FUNDS Agenda Number: 933862496
--------------------------------------------------------------------------------------------------------------------------
Security: 314162108
Meeting Type: Annual
Meeting Date: 13-Sep-2013
Ticker: FTT
ISIN: US3141621082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS M. O'NEILL Mgmt Split 71% For 29% Withheld Split
JOHN S. WALSH Mgmt Split 71% For 29% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST ADVISORS Agenda Number: 933936289
--------------------------------------------------------------------------------------------------------------------------
Security: 33738E109
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: FSD
ISIN: US33738E1091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
ROBERT F. KEITH (CL I) Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST FUNDS Agenda Number: 933936289
--------------------------------------------------------------------------------------------------------------------------
Security: 337353304
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: FHY
ISIN: US3373533047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
ROBERT F. KEITH (CL I) Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST INTERMEDIATE Agenda Number: 933936289
--------------------------------------------------------------------------------------------------------------------------
Security: 33718W103
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: FPF
ISIN: US33718W1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
ROBERT F. KEITH (CL I) Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
FRANKLIN TEMPLETON LTD DURATION INC TR Agenda Number: 933868070
--------------------------------------------------------------------------------------------------------------------------
Security: 35472T101
Meeting Type: Annual
Meeting Date: 19-Sep-2013
Ticker: FTF
ISIN: US35472T1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HARRIS J. ASHTON Mgmt Split 97% For 3% Withheld Split
EDITH E. HOLIDAY Mgmt Split 95% For 5% Withheld Split
JOHN B. WILSON Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GABELLI DIVIDEND & INCOME TRUST Agenda Number: 933932091
--------------------------------------------------------------------------------------------------------------------------
Security: 36242H104
Meeting Type: Special
Meeting Date: 15-Apr-2014
Ticker: GDV
ISIN: US36242H1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 APPROVE CONTRIBUTION OF A PORTION OF Mgmt Split 88% For 7% Against 1% AbstainSplit
GABELLI DIVIDEND TRUST'S ASSETS TO GABELLI
GLOBAL TRUST, AND DISTRIBUTION OF GABELLI
GLOBAL TRUST COMMON SHARES AS A DIVIDEND TO
COMMON SHAREHOLDERS OF GABELLI DIVIDEND
TRUST.
--------------------------------------------------------------------------------------------------------------------------
GABELLI DIVIDEND & INCOME TRUST Agenda Number: 933959085
--------------------------------------------------------------------------------------------------------------------------
Security: 36242H104
Meeting Type: Annual
Meeting Date: 12-May-2014
Ticker: GDV
ISIN: US36242H1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK J. FAHRENKOPF, JR Mgmt Split 98% For 2% Withheld Split
ANTHONIE C. VAN EKRIS Mgmt Split 98% For 2% Withheld Split
SALVATORE J. ZIZZA Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GABELLI GLOBAL UTILITY INCOME TRUST Agenda Number: 933959124
--------------------------------------------------------------------------------------------------------------------------
Security: 36242L204
Meeting Type: Annual
Meeting Date: 12-May-2014
Ticker: GLUPRA
ISIN: US36242L2043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SALVATORE J. ZIZZA Mgmt Split 84% For 16% Withheld Split
ANTHONY J. COLAVITA Mgmt Split 84% For 16% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 933959201
--------------------------------------------------------------------------------------------------------------------------
Security: 361570104
Meeting Type: Annual
Meeting Date: 12-May-2014
Ticker: GDL
ISIN: US3615701048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CLARENCE A. DAVIS Mgmt Split 97% For 3% Withheld Split
ARTHUR V. FERRARA Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 933959213
--------------------------------------------------------------------------------------------------------------------------
Security: 361570302
Meeting Type: Annual
Meeting Date: 12-May-2014
Ticker: GDLPRB
ISIN: US3615703028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CLARENCE A. DAVIS Mgmt Split 99% For 1% Withheld Split
ARTHUR V. FERRARA Mgmt Split 99% For 1% Withheld Split
JAMES P. CONN Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 933927064
--------------------------------------------------------------------------------------------------------------------------
Security: 368802104
Meeting Type: Annual
Meeting Date: 16-Apr-2014
Ticker: GAM
ISIN: US3688021043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MR. BERENS Mgmt Split 70% For 26% Withheld Split
MR. CULLMAN Mgmt Split 81% For 15% Withheld Split
MR. DAVIDSON Mgmt Split 81% For 15% Withheld Split
DR. EDELMAN Mgmt Split 81% For 15% Withheld Split
MR. GORDAN Mgmt Split 82% For 15% Withheld Split
MS. GOTBAUM Mgmt Split 90% For 6% Withheld Split
MR. KNAFEL Mgmt Split 82% For 15% Withheld Split
MR. NEIDICH Mgmt Split 70% For 26% Withheld Split
MR. PRIEST Mgmt Split 82% For 15% Withheld Split
2. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 91% For 5% Against Split
YOUNG LLP AS AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 933927076
--------------------------------------------------------------------------------------------------------------------------
Security: 368802401
Meeting Type: Annual
Meeting Date: 16-Apr-2014
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 76% For 24% Withheld Split
MR. CULLMAN Mgmt Split 98% For 2% Withheld Split
MR. DAVIDSON Mgmt Split 98% For 2% Withheld Split
DR. EDELMAN Mgmt Split 98% For 2% Withheld Split
MR. GORDAN Mgmt Split 98% For 2% Withheld Split
MS. GOTBAUM Mgmt Split 98% For 2% Withheld Split
MR. KNAFEL Mgmt Split 98% For 2% Withheld Split
MR. NEIDICH Mgmt Split 76% For 24% 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 99% For 1% Abstain Split
YOUNG LLP AS AUDITORS.
--------------------------------------------------------------------------------------------------------------------------
GENERAL ELECTRIC COMPANY Agenda Number: 933932534
--------------------------------------------------------------------------------------------------------------------------
Security: 369604103
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: GE
ISIN: US3696041033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A1 ELECTION OF DIRECTOR: W. GEOFFREY BEATTIE Mgmt For For
A2 ELECTION OF DIRECTOR: JOHN J. BRENNAN Mgmt For For
A3 ELECTION OF DIRECTOR: JAMES I. CASH, JR. Mgmt For For
A4 ELECTION OF DIRECTOR: FRANCISCO D'SOUZA Mgmt For For
A5 ELECTION OF DIRECTOR: MARIJN E. DEKKERS Mgmt For For
A6 ELECTION OF DIRECTOR: ANN M. FUDGE Mgmt For For
A7 ELECTION OF DIRECTOR: SUSAN J. HOCKFIELD Mgmt For For
A8 ELECTION OF DIRECTOR: JEFFREY R. IMMELT Mgmt For For
A9 ELECTION OF DIRECTOR: ANDREA JUNG Mgmt For For
A10 ELECTION OF DIRECTOR: ROBERT W. LANE Mgmt For For
A11 ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS Mgmt For For
A12 ELECTION OF DIRECTOR: JAMES J. MULVA Mgmt For For
A13 ELECTION OF DIRECTOR: JAMES E. ROHR Mgmt For For
A14 ELECTION OF DIRECTOR: MARY L. SCHAPIRO Mgmt For For
A15 ELECTION OF DIRECTOR: ROBERT J. SWIERINGA Mgmt For For
A16 ELECTION OF DIRECTOR: JAMES S. TISCH Mgmt For For
A17 ELECTION OF DIRECTOR: DOUGLAS A. WARNER III Mgmt For For
B1 ADVISORY APPROVAL OF OUR NAMED EXECUTIVES' Mgmt For For
COMPENSATION
B2 RATIFICATION OF SELECTION OF INDEPENDENT Mgmt For For
AUDITOR FOR 2014
C1 CUMULATIVE VOTING Shr Against For
C2 SENIOR EXECUTIVES HOLD OPTION SHARES FOR Shr Against For
LIFE
C3 MULTIPLE CANDIDATE ELECTIONS Shr Against For
C4 RIGHT TO ACT BY WRITTEN CONSENT Shr Against For
C5 CESSATION OF ALL STOCK OPTIONS AND BONUSES Shr Against For
C6 SELL THE COMPANY Shr Against For
--------------------------------------------------------------------------------------------------------------------------
GENERAL MILLS, INC. Agenda Number: 933866103
--------------------------------------------------------------------------------------------------------------------------
Security: 370334104
Meeting Type: Annual
Meeting Date: 24-Sep-2013
Ticker: GIS
ISIN: US3703341046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A) ELECTION OF DIRECTOR: BRADBURY H. ANDERSON Mgmt Split 31% For Split
1B) ELECTION OF DIRECTOR: R. KERRY CLARK Mgmt Split 31% For Split
1C) ELECTION OF DIRECTOR: PAUL DANOS Mgmt Split 31% For Split
1D) ELECTION OF DIRECTOR: WILLIAM T. ESREY Mgmt Split 31% For Split
1E) ELECTION OF DIRECTOR: RAYMOND V. GILMARTIN Mgmt Split 31% For Split
1F) ELECTION OF DIRECTOR: JUDITH RICHARDS HOPE Mgmt Split 31% For Split
1G) ELECTION OF DIRECTOR: HEIDI G. MILLER Mgmt Split 31% For Split
1H) ELECTION OF DIRECTOR: HILDA Mgmt Split 31% For Split
OCHOA-BRILLEMBOURG
1I) ELECTION OF DIRECTOR: STEVE ODLAND Mgmt Split 31% For Split
1J) ELECTION OF DIRECTOR: KENDALL J. POWELL Mgmt Split 31% For Split
1K) ELECTION OF DIRECTOR: MICHAEL D. ROSE Mgmt Split 31% For Split
1L) ELECTION OF DIRECTOR: ROBERT L. RYAN Mgmt Split 31% For Split
1M) ELECTION OF DIRECTOR: DOROTHY A. TERRELL Mgmt Split 31% For Split
2) CAST AN ADVISORY VOTE ON EXECUTIVE Mgmt Split 31% For Split
COMPENSATION.
3) RATIFY THE APPOINTMENT OF KPMG LLP AS Mgmt Split 31% For Split
GENERAL MILLS' INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM.
4) STOCKHOLDER PROPOSAL FOR REPORT ON Shr Split 31% Against Split
RESPONSIBILITY FOR POST-CONSUMER PACKAGING.
--------------------------------------------------------------------------------------------------------------------------
GLOBAL HIGH INCOME DOLLAR FUND INC. Agenda Number: 933914081
--------------------------------------------------------------------------------------------------------------------------
Security: 37933G108
Meeting Type: Annual
Meeting Date: 20-Feb-2014
Ticker: GHI
ISIN: US37933G1085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BERNARD H. GARIL Mgmt Split 95% For 5% Withheld Split
HEATHER R. HIGGINS Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933863107
--------------------------------------------------------------------------------------------------------------------------
Security: 42327W206
Meeting Type: Annual
Meeting Date: 22-Aug-2013
Ticker: HAV
ISIN: US42327W2061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RODMAN L. DRAKE* Mgmt Split 96% For 4% Withheld Split
HEATHER GOLDMAN* Mgmt Split 93% For 7% Withheld Split
EDWARD A. KUCZMARSKI# Mgmt Split 95% For 5% Withheld Split
KIM G. REDDING$ Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933863107
--------------------------------------------------------------------------------------------------------------------------
Security: 42327Y202
Meeting Type: Annual
Meeting Date: 22-Aug-2013
Ticker: HMH
ISIN: US42327Y2028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RODMAN L. DRAKE* Mgmt Split 96% For 4% Withheld Split
HEATHER GOLDMAN* Mgmt Split 92% For 8% Withheld Split
EDWARD A. KUCZMARSKI# Mgmt Split 95% For 5% Withheld Split
KIM G. REDDING$ Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933863107
--------------------------------------------------------------------------------------------------------------------------
Security: 42328A203
Meeting Type: Annual
Meeting Date: 22-Aug-2013
Ticker: HSA
ISIN: US42328A2033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RODMAN L. DRAKE* Mgmt Split 98% For 2% Withheld Split
HEATHER GOLDMAN* Mgmt Split 98% For 2% Withheld Split
EDWARD A. KUCZMARSKI# Mgmt Split 98% For 2% Withheld Split
KIM G. REDDING$ Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 933927797
--------------------------------------------------------------------------------------------------------------------------
Security: 11283U108
Meeting Type: Annual
Meeting Date: 14-Mar-2014
Ticker: HTR
ISIN: US11283U1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LOUIS P. SALVATORE# Mgmt Split 98% For 2% Withheld Split
KIM G. REDDING# Mgmt Split 98% For 2% Withheld Split
EDWARD A KUCZMARSKI* Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 934001900
--------------------------------------------------------------------------------------------------------------------------
Security: 11283U108
Meeting Type: Annual
Meeting Date: 20-May-2014
Ticker: HTR
ISIN: US11283U1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LOUIS P. SALVATORE* Mgmt Split 98% For 2% Withheld Split
JONATHAN C. TYRAS# Mgmt Split 97% For 3% Withheld Split
EDWARD A. KUCZMARSKI& Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HEWLETT-PACKARD COMPANY Agenda Number: 933921098
--------------------------------------------------------------------------------------------------------------------------
Security: 428236103
Meeting Type: Annual
Meeting Date: 19-Mar-2014
Ticker: HPQ
ISIN: US4282361033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: M.L. ANDREESSEN Mgmt No vote
1B. ELECTION OF DIRECTOR: S. BANERJI Mgmt No vote
1C. ELECTION OF DIRECTOR: R.R. BENNETT Mgmt No vote
1D. ELECTION OF DIRECTOR: R.L. GUPTA Mgmt No vote
1E. ELECTION OF DIRECTOR: R.J. LANE Mgmt No vote
1F. ELECTION OF DIRECTOR: A.M. LIVERMORE Mgmt No vote
1G. ELECTION OF DIRECTOR: R.E. OZZIE Mgmt No vote
1H. ELECTION OF DIRECTOR: G.M. REINER Mgmt No vote
1I. ELECTION OF DIRECTOR: P.F. RUSSO Mgmt No vote
1J. ELECTION OF DIRECTOR: J.A. SKINNER Mgmt No vote
1K. ELECTION OF DIRECTOR: M.C. WHITMAN Mgmt No vote
1L. ELECTION OF DIRECTOR: R.V. WHITWORTH Mgmt No vote
2. RATIFICATION OF THE APPOINTMENT OF THE Mgmt No vote
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31,
2014.
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt No vote
COMPENSATION.
4. STOCKHOLDER PROPOSAL RELATED TO THE Shr No vote
FORMATION OF A HUMAN RIGHTS COMMITTEE.
--------------------------------------------------------------------------------------------------------------------------
ING RISK MANAGED NATURAL RESOURCES FUND Agenda Number: 933766985
--------------------------------------------------------------------------------------------------------------------------
Security: 449810100
Meeting Type: Annual
Meeting Date: 03-Sep-2013
Ticker: IRR
ISIN: US4498101009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT ADVISORY Mgmt Split 91% For 5% Against 4% AbstainSplit
AGREEMENT FOR THE FUND WITH ING INVESTMENTS
PROMPTED BY THE IPO, AND TO APPROVE, UNDER
CERTAIN CIRCUMSTANCES, ANY FUTURE ADVISORY
AGREEMENTS PROMPTED BY CHANGE OF CONTROL
EVENTS THAT OCCUR AS PART OF THE SEPARATION
PLAN.
2. TO APPROVE A NEW INVESTMENT SUB-ADVISORY Mgmt Split 91% For 5% Against 4% AbstainSplit
AGREEMENT BETWEEN ING INVESTMENTS AND ING
IM WITH RESPECT TO THE FUND PROMPTED BY THE
IPO, AND TO APPROVE, UNDER CERTAIN
CIRCUMSTANCES, ANY FUTURE SUB-ADVISORY
AGREEMENTS PROMPTED BY CHANGE OF CONTROL
EVENTS THAT OCCUR AS PART OF THE SEPARATION
PLAN.
5. DIRECTOR
JOHN V. BOYER Mgmt Split 95% For 5% Withheld Split
PATRICIA W. CHADWICK Mgmt Split 95% For 5% Withheld Split
ALBERT E. DEPRINCE, JR. Mgmt Split 95% For 5% Withheld Split
MARTIN J. GAVIN Mgmt Split 95% For 5% Withheld Split
SHERYL K. PRESSLER Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INTEL CORPORATION Agenda Number: 933962854
--------------------------------------------------------------------------------------------------------------------------
Security: 458140100
Meeting Type: Annual
Meeting Date: 22-May-2014
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: BRIAN M. KRZANICH Mgmt For For
1G. ELECTION OF DIRECTOR: JAMES D. PLUMMER Mgmt For For
1H. ELECTION OF DIRECTOR: DAVID S. POTTRUCK Mgmt For For
1I. ELECTION OF DIRECTOR: FRANK D. YEARY Mgmt For For
1J. 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
--------------------------------------------------------------------------------------------------------------------------
INTERNATIONAL GAME TECHNOLOGY Agenda Number: 933917669
--------------------------------------------------------------------------------------------------------------------------
Security: 459902102
Meeting Type: Annual
Meeting Date: 10-Mar-2014
Ticker: IGT
ISIN: US4599021023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: PAGET L. ALVES Mgmt No vote
1B. ELECTION OF DIRECTOR: ERIC F. BROWN Mgmt No vote
1C. ELECTION OF DIRECTOR: JANICE D. CHAFFIN Mgmt No vote
1D. ELECTION OF DIRECTOR: GREG CREED Mgmt No vote
1E. ELECTION OF DIRECTOR: PATTI S. HART Mgmt No vote
1F. ELECTION OF DIRECTOR: ROBERT J. MILLER Mgmt No vote
1G. ELECTION OF DIRECTOR: VINCENT L. SADUSKY Mgmt No vote
1H. ELECTION OF DIRECTOR: PHILIP G. SATRE Mgmt No vote
1I. ELECTION OF DIRECTOR: TRACEY D. WEBER Mgmt No vote
2. AN ADVISORY VOTE TO APPROVE INTERNATIONAL Mgmt No vote
GAME TECHNOLOGY'S EXECUTIVE COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF Mgmt No vote
PRICEWATERHOUSECOOPERS LLP AS INTERNATIONAL
GAME TECHNOLOGY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2014.
4. STOCKHOLDER PROPOSAL REGARDING PROXY Shr No vote
ACCESS.
--------------------------------------------------------------------------------------------------------------------------
IRON MOUNTAIN INCORPORATED Agenda Number: 933975534
--------------------------------------------------------------------------------------------------------------------------
Security: 462846106
Meeting Type: Annual
Meeting Date: 29-May-2014
Ticker: IRM
ISIN: US4628461067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: TED R. ANTENUCCI Mgmt For For
1B. ELECTION OF DIRECTOR: PAMELA M. ARWAY Mgmt For For
1C. ELECTION OF DIRECTOR: CLARKE H. BAILEY Mgmt For For
1D. ELECTION OF DIRECTOR: KENT P. DAUTEN Mgmt For For
1E. ELECTION OF DIRECTOR: PAUL F. DENINGER Mgmt For For
1F. ELECTION OF DIRECTOR: PER-KRISTIAN Mgmt For For
HALVORSEN
1G. ELECTION OF DIRECTOR: MICHAEL W. LAMACH Mgmt For For
1H. ELECTION OF DIRECTOR: WILLIAM L. MEANEY Mgmt For For
1I. ELECTION OF DIRECTOR: WALTER C. RAKOWICH Mgmt For For
1J. ELECTION OF DIRECTOR: VINCENT J. RYAN Mgmt For For
1K. ELECTION OF DIRECTOR: ALFRED J. VERRECCHIA Mgmt For For
2. THE APPROVAL OF A NON-BINDING, ADVISORY Mgmt For For
RESOLUTION APPROVING THE COMPENSATION OF
OUR NAMED EXECUTIVE OFFICERS.
3. THE RATIFICATION OF THE SELECTION BY THE Mgmt For For
AUDIT COMMITTEE OF DELOITTE & TOUCHE LLP AS
IRON MOUNTAIN INCORPORATED'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
YEAR ENDING DECEMBER 31, 2014.
--------------------------------------------------------------------------------------------------------------------------
J.C. PENNEY COMPANY, INC. Agenda Number: 933954162
--------------------------------------------------------------------------------------------------------------------------
Security: 708160106
Meeting Type: Annual
Meeting Date: 16-May-2014
Ticker: JCP
ISIN: US7081601061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: COLLEEN C. BARRETT Mgmt No vote
1B. ELECTION OF DIRECTOR: THOMAS J. ENGIBOUS Mgmt No vote
1C. ELECTION OF DIRECTOR: KENT B. FOSTER Mgmt No vote
1D. ELECTION OF DIRECTOR: LEONARD H. ROBERTS Mgmt No vote
1E. ELECTION OF DIRECTOR: STEPHEN I. SADOVE Mgmt No vote
1F. ELECTION OF DIRECTOR: JAVIER G. TERUEL Mgmt No vote
1G. ELECTION OF DIRECTOR: R. GERALD TURNER Mgmt No vote
1H. ELECTION OF DIRECTOR: RONALD W. TYSOE Mgmt No vote
1I. ELECTION OF DIRECTOR: MYRON E. ULLMAN, III Mgmt No vote
1J. ELECTION OF DIRECTOR: MARY BETH WEST Mgmt No vote
2. TO RATIFY THE APPOINTMENT OF KPMG LLP AS Mgmt No vote
INDEPENDENT AUDITOR FOR THE FISCAL YEAR
ENDING JANUARY 31, 2015.
3. TO APPROVE THE 2014 LONG-TERM INCENTIVE Mgmt No vote
PLAN.
4. TO APPROVE AMENDMENTS TO THE COMPANY'S Mgmt No vote
RESTATED CERTIFICATE OF INCORPORATION, AS
AMENDED.
5. TO APPROVE THE AMENDED RIGHTS AGREEMENT IN Mgmt No vote
ORDER TO PROTECT THE TAX BENEFITS OF THE
COMPANY'S NET OPERATING LOSS CARRY
FORWARDS.
6. ADVISORY VOTE ON EXECUTIVE COMPENSATION. Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
JDS UNIPHASE CORPORATION Agenda Number: 933882993
--------------------------------------------------------------------------------------------------------------------------
Security: 46612J507
Meeting Type: Annual
Meeting Date: 13-Nov-2013
Ticker: JDSU
ISIN: US46612J5074
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 ELECTION OF DIRECTOR: KEITH BARNES Mgmt No vote
1.2 ELECTION OF DIRECTOR: MARTIN A. KAPLAN Mgmt No vote
2 TO RATIFY THE APPOINTMENT OF Mgmt No vote
PRICEWATERHOUSECOOPERS LLP AS THE
INDEPENDENT PUBLIC ACCOUNTING FIRM FOR JDS
UNIPHASE CORPORATION FOR THE FISCAL YEAR
ENDING JUNE 28, 2014.
3 TO APPROVE, BY NON-BINDING ADVISORY VOTE, Mgmt No vote
THE COMPENSATION OF OUR NAMED EXECUTIVE
OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934018195
--------------------------------------------------------------------------------------------------------------------------
Security: 486606502
Meeting Type: Annual
Meeting Date: 18-Jun-2014
Ticker: KYNPRE
ISIN: US4866065026
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. THE ELECTION OF ONE CLASS I DIRECTOR FOR A Mgmt Split 57% For 42% Against 1% AbstainSplit
TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR
IS ELECTED AND QUALIFIED: GERALD I.
ISENBERG
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 58% For 41% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2014.
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934018195
--------------------------------------------------------------------------------------------------------------------------
Security: 486606601
Meeting Type: Annual
Meeting Date: 18-Jun-2014
Ticker: KYNPRF
ISIN: US4866066016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. THE ELECTION OF ONE CLASS I DIRECTOR FOR A Mgmt Split 68% For 31% Against 1% AbstainSplit
TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR
IS ELECTED AND QUALIFIED: GERALD I.
ISENBERG
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 68% For 32% Against Split
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2014.
--------------------------------------------------------------------------------------------------------------------------
KRAFT FOODS GROUP, INC. Agenda Number: 933938170
--------------------------------------------------------------------------------------------------------------------------
Security: 50076Q106
Meeting Type: Annual
Meeting Date: 06-May-2014
Ticker: KRFT
ISIN: US50076Q1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: L. KEVIN COX Mgmt For For
1B. ELECTION OF DIRECTOR: MYRA M. HART Mgmt For For
1C. ELECTION OF DIRECTOR: PETER B. HENRY Mgmt For For
1D. ELECTION OF DIRECTOR: TERRY J. LUNDGREN Mgmt For For
2. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
3. RATIFICATION OF THE SELECTION OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT AUDITORS FOR 2014.
4. SHAREHOLDER PROPOSAL: CESSATION OF USE OF Shr Against For
CORPORATE FUNDS FOR POLITICAL PURPOSES.
5. SHAREHOLDER PROPOSAL: APPLICATION OF Shr Against For
CORPORATE VALUES IN POLITICAL
CONTRIBUTIONS.
6. SHAREHOLDER PROPOSAL: NON-RECYCLABLE BRAND Shr Against For
PACKAGING REPORT.
7. SHAREHOLDER PROPOSAL: SUSTAINABLE FORESTRY Shr Against For
REPORT.
8. SHAREHOLDER PROPOSAL: PROPOSAL REGARDING Shr Against For
CATTLE DEHORNING.
9. SHAREHOLDER PROPOSAL: LAUDATORY RESOLUTION Mgmt For For
SUPPORTING KRAFT'S ANIMAL WELFARE ACTIONS.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 933872170
--------------------------------------------------------------------------------------------------------------------------
Security: 95766B109
Meeting Type: Annual
Meeting Date: 27-Sep-2013
Ticker: EHI
ISIN: US95766B1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EILEEN A. KAMERICK* Mgmt Split 97% For 3% Withheld Split
RIORDAN ROETT* Mgmt Split 97% For 3% Withheld Split
JESWALD W. SALACUSE* Mgmt Split 96% For 4% Withheld Split
KENNETH D. FULLER# Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 933920337
--------------------------------------------------------------------------------------------------------------------------
Security: 95790C107
Meeting Type: Annual
Meeting Date: 28-Feb-2014
Ticker: GDO
ISIN: US95790C1071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN* Mgmt Split 98% For 2% Withheld Split
DANIEL P. CRONIN* Mgmt Split 98% For 2% Withheld Split
PAOLO M. CUCCHI* Mgmt Split 98% For 2% Withheld Split
KENNETH D. FULLER# Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 933920351
--------------------------------------------------------------------------------------------------------------------------
Security: 52469B100
Meeting Type: Annual
Meeting Date: 28-Feb-2014
Ticker: BWG
ISIN: US52469B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LESLIE H. GELB Mgmt Split 94% For 6% Withheld Split
KENNETH D. FULLER Mgmt Split 94% For 6% Withheld Split
WILLIAM R. HUTCHINSON Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 933854463
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Annual
Meeting Date: 29-Aug-2013
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD W. LOWRY Mgmt Split 89% For 11% Withheld Split
JOHN J. NEUHAUSER Mgmt Split 89% For 11% Withheld Split
RICHARD C. RANTZOW Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MACQUARIE GLOBAL INFRASTRUCTURE TOTAL RT Agenda Number: 934017232
--------------------------------------------------------------------------------------------------------------------------
Security: 55608D101
Meeting Type: Annual
Meeting Date: 18-Jun-2014
Ticker: MGU
ISIN: US55608D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BRAD FRISHBERG Mgmt Split 97% For 3% Withheld Split
CHRIS LAVICTOIRE MAHAI Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MANAGED HIGH YIELD PLUS FUND INC. Agenda Number: 933864591
--------------------------------------------------------------------------------------------------------------------------
Security: 561911108
Meeting Type: Annual
Meeting Date: 20-Sep-2013
Ticker: HYF
ISIN: US5619111082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD Q. ARMSTRONG Mgmt Split 94% For 6% Withheld Split
ALAN S. BERNIKOW Mgmt Split 94% For 6% Withheld Split
BARRY M. MANDINACH Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MEDTRONIC, INC. Agenda Number: 933856291
--------------------------------------------------------------------------------------------------------------------------
Security: 585055106
Meeting Type: Annual
Meeting Date: 22-Aug-2013
Ticker: MDT
ISIN: US5850551061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD H. ANDERSON Mgmt For For
SCOTT C. DONNELLY Mgmt For For
VICTOR J. DZAU, M.D. Mgmt Withheld Against
OMAR ISHRAK Mgmt For For
SHIRLEY ANN JACKSON PHD Mgmt For For
MICHAEL O. LEAVITT Mgmt For For
JAMES T. LENEHAN Mgmt For For
DENISE M. O'LEARY Mgmt For For
KENDALL J. POWELL Mgmt For For
ROBERT C. POZEN Mgmt For For
PREETHA REDDY Mgmt For For
2. TO RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS MEDTRONIC'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
3. TO APPROVE, IN A NON-BINDING ADVISORY VOTE, Mgmt For For
NAMED EXECUTIVE COMPENSATION (A
"SAY-ON-PAY" VOTE).
4. TO APPROVE THE MEDTRONIC, INC. 2013 STOCK Mgmt For For
AWARD AND INCENTIVE PLAN.
5. TO AMEND AND RESTATE THE COMPANY'S ARTICLES Mgmt For For
OF INCORPORATION TO PROVIDE THAT DIRECTORS
WILL BE ELECTED BY A MAJORITY VOTE IN
UNCONTESTED ELECTIONS.
6. TO AMEND AND RESTATE THE COMPANY'S ARTICLES Mgmt For For
OF INCORPORATION TO ALLOW CHANGES TO THE
SIZE OF THE BOARD OF DIRECTORS UPON THE
AFFIRMATIVE VOTE OF A SIMPLE MAJORITY OF
SHARES.
7. TO AMEND AND RESTATE THE COMPANY'S ARTICLES Mgmt For For
OF INCORPORATION TO ALLOW REMOVAL OF A
DIRECTOR UPON THE AFFIRMATIVE VOTE OF A
SIMPLE MAJORITY OF SHARES.
8. TO AMEND AND RESTATE THE COMPANY'S ARTICLES Mgmt For For
OF INCORPORATION TO ALLOW AMENDMENTS TO
SECTION 5.3 OF ARTICLE 5 UPON THE
AFFIRMATIVE VOTE OF A SIMPLE MAJORITY OF
SHARES.
9. TO AMEND AND RESTATE THE COMPANY'S ARTICLES Mgmt For For
OF INCORPORATION TO ELIMINATE THE "FAIR
PRICE PROVISION.
--------------------------------------------------------------------------------------------------------------------------
MERCK & CO., INC. Agenda Number: 933975180
--------------------------------------------------------------------------------------------------------------------------
Security: 58933Y105
Meeting Type: Annual
Meeting Date: 27-May-2014
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. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF THE Mgmt For For
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014.
4. SHAREHOLDER PROPOSAL CONCERNING Shr Against For
SHAREHOLDERS' RIGHT TO ACT BY WRITTEN
CONSENT.
5. SHAREHOLDER PROPOSAL CONCERNING SPECIAL Shr Against For
SHAREOWNER MEETINGS.
--------------------------------------------------------------------------------------------------------------------------
MFS CHARTER INCOME TRUST Agenda Number: 933870304
--------------------------------------------------------------------------------------------------------------------------
Security: 552727109
Meeting Type: Annual
Meeting Date: 03-Oct-2013
Ticker: MCR
ISIN: US5527271093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A1 DIRECTOR
MAUREEN R. GOLDFARB Mgmt Split 98% For 2% Withheld Split
ROBERT J. MANNING Mgmt Split 98% For 2% Withheld Split
LAURIE J. THOMSEN Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MFS MULTIMARKET INCOME TRUST Agenda Number: 933870304
--------------------------------------------------------------------------------------------------------------------------
Security: 552737108
Meeting Type: Annual
Meeting Date: 03-Oct-2013
Ticker: MMT
ISIN: US5527371083
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A1 DIRECTOR
MAUREEN R. GOLDFARB Mgmt Split 96% For 4% Withheld Split
ROBERT J. MANNING Mgmt Split 96% For 4% Withheld Split
LAURIE J. THOMSEN Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MICROSOFT CORPORATION Agenda Number: 933883185
--------------------------------------------------------------------------------------------------------------------------
Security: 594918104
Meeting Type: Annual
Meeting Date: 19-Nov-2013
Ticker: MSFT
ISIN: US5949181045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. ELECTION OF DIRECTOR: STEVEN A. BALLMER Mgmt Split 81% For Split
2. ELECTION OF DIRECTOR: DINA DUBLON Mgmt Split 81% For Split
3. ELECTION OF DIRECTOR: WILLIAM H. GATES III Mgmt Split 81% For Split
4. ELECTION OF DIRECTOR: MARIA M. KLAWE Mgmt Split 81% For Split
5. ELECTION OF DIRECTOR: STEPHEN J. LUCZO Mgmt Split 81% For Split
6. ELECTION OF DIRECTOR: DAVID F. MARQUARDT Mgmt Split 81% For Split
7. ELECTION OF DIRECTOR: CHARLES H. NOSKI Mgmt Split 81% For Split
8. ELECTION OF DIRECTOR: HELMUT PANKE Mgmt Split 81% For Split
9. ELECTION OF DIRECTOR: JOHN W. THOMPSON Mgmt Split 81% Against Split
10. APPROVE MATERIAL TERMS OF THE PERFORMANCE Mgmt Split 81% For Split
CRITERIA UNDER THE EXECUTIVE OFFICER
INCENTIVE PLAN
11. ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt Split 81% For Split
12. RATIFICATION OF DELOITTE & TOUCHE LLP AS Mgmt Split 81% For Split
OUR INDEPENDENT AUDITOR FOR FISCAL YEAR
2014
--------------------------------------------------------------------------------------------------------------------------
MOBILE TELESYSTEMS OJSC Agenda Number: 933875366
--------------------------------------------------------------------------------------------------------------------------
Security: 607409109
Meeting Type: Special
Meeting Date: 30-Sep-2013
Ticker: MBT
ISIN: US6074091090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO INSTRUCT MR. RON SOMMER, THE CHAIRMAN OF Mgmt For
MTS OJSC BOARD OF DIRECTORS, TO SIGN THE
MINUTES OF THE EXTRAORDINARY GENERAL
MEETING OF MTS OJSC SHAREHOLDERS.
2. TO APPROVE ON MTS OJSC DISTRIBUTION OF Mgmt For
PROFIT (INCLUDING PAYMENT OF DIVIDENDS)
UPON THE 1ST HALF YEAR 2013 RESULTS IN THE
AMOUNT OF RUB 5.22 PER ONE MTS OJSC COMMON
REGISTERED SHARE WITH A PAR VALUE OF RUB
0.1 EACH. THE TOTAL AMOUNT OF MTS OJSC
DIVIDENDS SHALL BE RUR 10,786,204,394.82.
THE DIVIDENDS SHALL BE PAID IN CASH WITHIN
THE TIME NOT EXCEEDING SIXTY (60) DAYS FROM
THE DAY OF THE RESOLUTION ON PAYMENT OF
DIVIDENDS.
--------------------------------------------------------------------------------------------------------------------------
MONTGOMERY STREET INCOME SECURITIES, INC Agenda Number: 933824345
--------------------------------------------------------------------------------------------------------------------------
Security: 614115103
Meeting Type: Annual
Meeting Date: 23-Jul-2013
Ticker: MTS
ISIN: US6141151034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD J. BRADSHAW Mgmt Split 95% For 5% Withheld Split
VICTOR L. HYMES Mgmt Split 99% For 1% Withheld Split
WENDELL G. VAN AUKEN Mgmt Split 95% For 5% Withheld Split
NANCY E. WALLACE Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 933863296
--------------------------------------------------------------------------------------------------------------------------
Security: 64128C106
Meeting Type: Annual
Meeting Date: 22-Aug-2013
Ticker: NHS
ISIN: US64128C1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JACK L. RIVKIN Mgmt Split 93% For 7% Withheld Split
TOM D. SEIP Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEUBERGER BERMAN REAL ESTATE SEC INC FD Agenda Number: 933863296
--------------------------------------------------------------------------------------------------------------------------
Security: 64190A103
Meeting Type: Annual
Meeting Date: 22-Aug-2013
Ticker: NRO
ISIN: US64190A1034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JACK L. RIVKIN Mgmt Split 95% For 5% Withheld Split
TOM D. SEIP Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEWMONT MINING CORPORATION Agenda Number: 933935225
--------------------------------------------------------------------------------------------------------------------------
Security: 651639106
Meeting Type: Annual
Meeting Date: 23-Apr-2014
Ticker: NEM
ISIN: US6516391066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: B.R. BROOK Mgmt No vote
1B. ELECTION OF DIRECTOR: J.K. BUCKNOR Mgmt No vote
1C. ELECTION OF DIRECTOR: V.A. CALARCO Mgmt No vote
1D. ELECTION OF DIRECTOR: J.A. CARRABBA Mgmt No vote
1E. ELECTION OF DIRECTOR: N. DOYLE Mgmt No vote
1F. ELECTION OF DIRECTOR: G.J. GOLDBERG Mgmt No vote
1G. ELECTION OF DIRECTOR: V.M. HAGEN Mgmt No vote
1H. ELECTION OF DIRECTOR: J. NELSON Mgmt No vote
1I. ELECTION OF DIRECTOR: D.C. ROTH Mgmt No vote
2. RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Mgmt No vote
FOR 2014.
3. APPROVE, ON AN ADVISORY BASIS, NAMED Mgmt No vote
EXECUTIVE OFFICER COMPENSATION.
4. STOCKHOLDER PROPOSAL REGARDING POLITICAL Shr No vote
SPENDING DISCLOSURE.
--------------------------------------------------------------------------------------------------------------------------
NEXPOINT FUNDS Agenda Number: 933897932
--------------------------------------------------------------------------------------------------------------------------
Security: 65340G106
Meeting Type: Special
Meeting Date: 06-Dec-2013
Ticker: NHF
ISIN: US65340G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
TERRENCE O. JONES* Mgmt Split 98% For 2% Withheld Split
JOHN HONIS* Mgmt Split 98% For 2% Withheld Split
ETHAN POWELL# Mgmt Split 98% For 2% Withheld Split
DR. BOB FROEHLICH** Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEXPOINT FUNDS Agenda Number: 934012369
--------------------------------------------------------------------------------------------------------------------------
Security: 65340G106
Meeting Type: Annual
Meeting Date: 06-Jun-2014
Ticker: NHF
ISIN: US65340G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 TO ELECT DR. BOB FROEHLICH AS A CLASS II Mgmt Split 92% For 7% Against 1% AbstainSplit
TRUSTEE OF THE FUND, TO SERVE FOR A
THREE-YEAR TERM EXPIRING AT THE 2017 ANNUAL
MEETING OR UNTIL HIS SUCCESSOR IS DULY
ELECTED AND QUALIFIED.
1.2 TO ELECT TIMOTHY K. HUI AS A CLASS II Mgmt Split 92% For 7% Against 1% AbstainSplit
TRUSTEE OF THE FUND, TO SERVE FOR A
THREE-YEAR TERM EXPIRING AT THE 2017 ANNUAL
MEETING OR UNTIL HIS SUCCESSOR IS DULY
ELECTED AND QUALIFIED.
--------------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. Agenda Number: 933950241
--------------------------------------------------------------------------------------------------------------------------
Security: 629377508
Meeting Type: Annual
Meeting Date: 08-May-2014
Ticker: NRG
ISIN: US6293775085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 ELECTION OF DIRECTOR: KIRBYJON H. CALDWELL Mgmt For For
1.2 ELECTION OF DIRECTOR: LAWRENCE S. COBEN Mgmt For For
1.3 ELECTION OF DIRECTOR: DAVID CRANE Mgmt For For
1.4 ELECTION OF DIRECTOR: TERRY G. DALLAS Mgmt For For
1.5 ELECTION OF DIRECTOR: PAUL W. HOBBY Mgmt For For
1.6 ELECTION OF DIRECTOR: EDWARD R. MULLER Mgmt For For
1.7 ELECTION OF DIRECTOR: EVAN J. SILVERSTEIN Mgmt For For
1.8 ELECTION OF DIRECTOR: THOMAS H. WEIDEMEYER Mgmt For For
1.9 ELECTION OF DIRECTOR: WALTER R. YOUNG Mgmt For For
2. TO APPROVE NRG'S EXECUTIVE COMPENSATION Mgmt For For
(SAY ON PAY PROPOSAL).
3. TO ADOPT THE NRG ENERGY, INC. AMENDED & Mgmt For For
RESTATED EMPLOYEE STOCK PURCHASE PLAN.
4. TO RATIFY THE APPOINTMENT OF KPMG LLP AS Mgmt For For
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2014.
--------------------------------------------------------------------------------------------------------------------------
NUVEEN DIVIDEND ADVANTAGE MUNI FD Agenda Number: 933854704
--------------------------------------------------------------------------------------------------------------------------
Security: 67066V101
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NAD
ISIN: US67066V1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1D. DIRECTOR
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
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INS CA TAX-FREE ADV MUNI FUND Agenda Number: 933922189
--------------------------------------------------------------------------------------------------------------------------
Security: 670651108
Meeting Type: Annual
Meeting Date: 02-May-2014
Ticker: NKX
ISIN: US6706511085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JUDITH M. STOCKDALE Mgmt Split 95% For 5% Withheld Split
CAROLE E. STONE Mgmt Split 95% For 5% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INSURED MUNICIPAL OPPORTUNITY FD Agenda Number: 933854665
--------------------------------------------------------------------------------------------------------------------------
Security: 670984103
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NIO
ISIN: US6709841034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JOHN P. AMBOIAN Mgmt Split 95% For 5% Withheld Split
ROBERT P. BREMNER Mgmt Split 95% For 5% Withheld Split
JACK B. EVANS Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 95% For 5% Withheld Split
CAROLE E. STONE Mgmt Split 95% For 5% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 933854728
--------------------------------------------------------------------------------------------------------------------------
Security: 67074C103
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NBB
ISIN: US67074C1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1E. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 98% For 2% Withheld *
JUDITH M. STOCKDALE Mgmt Split 98% For 2% Withheld *
CAROLE E. STONE Mgmt Split 98% For 2% Withheld *
VIRGINIA L. STRINGER Mgmt Split 98% For 2% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 933854728
--------------------------------------------------------------------------------------------------------------------------
Security: 67074Q102
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NBD
ISIN: US67074Q1022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1E. DIRECTOR
WILLIAM C. HUNTER Mgmt Split 98% For 2% Withheld *
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld *
CAROLE E. STONE Mgmt Split 97% For 3% Withheld *
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 933938461
--------------------------------------------------------------------------------------------------------------------------
Security: 670671106
Meeting Type: Annual
Meeting Date: 11-Apr-2014
Ticker: NID
ISIN: US6706711065
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PERFORMANCE PLUS MUNI FD INC Agenda Number: 933854665
--------------------------------------------------------------------------------------------------------------------------
Security: 67062P108
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NPP
ISIN: US67062P1084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JOHN P. AMBOIAN Mgmt Split 98% For 2% Withheld Split
ROBERT P. BREMNER Mgmt Split 98% For 2% Withheld Split
JACK B. EVANS Mgmt Split 98% For 2% Withheld Split
DAVID J. KUNDERT 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
TERENCE J. TOTH Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 933938459
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Annual
Meeting Date: 11-Apr-2014
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERRED AND CONVERTIBLE INCOME Agenda Number: 933938459
--------------------------------------------------------------------------------------------------------------------------
Security: 67073B106
Meeting Type: Annual
Meeting Date: 11-Apr-2014
Ticker: JPC
ISIN: US67073B1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREMIUM INCOME MUNI FD 2 INC Agenda Number: 933854665
--------------------------------------------------------------------------------------------------------------------------
Security: 67063W102
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NPM
ISIN: US67063W1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JOHN P. AMBOIAN Mgmt Split 95% For 5% Withheld Split
ROBERT P. BREMNER Mgmt Split 95% For 5% Withheld Split
JACK B. EVANS Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 95% For 5% Withheld Split
CAROLE E. STONE Mgmt Split 95% For 5% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREMIUM INCOME MUNI FD INC Agenda Number: 933854665
--------------------------------------------------------------------------------------------------------------------------
Security: 67062T100
Meeting Type: Annual
Meeting Date: 07-Aug-2013
Ticker: NPI
ISIN: US67062T1007
--------------------------------------------------------------------------------------------------------------------------
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 QUALITY PREFERRED INCOME FUND 2 Agenda Number: 933938459
--------------------------------------------------------------------------------------------------------------------------
Security: 67072C105
Meeting Type: Annual
Meeting Date: 11-Apr-2014
Ticker: JPS
ISIN: US67072C1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN QUALITY PREFERRED INCOME FUND 3 Agenda Number: 933938459
--------------------------------------------------------------------------------------------------------------------------
Security: 67072W101
Meeting Type: Annual
Meeting Date: 11-Apr-2014
Ticker: JHP
ISIN: US67072W1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
OBRASCON HUARTE LAIN SA, MADRID Agenda Number: 705393899
--------------------------------------------------------------------------------------------------------------------------
Security: E7795CDK5
Meeting Type: OGM
Meeting Date: 23-Jun-2014
Ticker:
ISIN: XS1043961439
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO Non-Voting
MEETING ID 344878 DUE TO CHANGE IN THE
VOTING STATUS OF MEETING FROM VOTABLE
MEETING TO INFORMATIONAL MEETING. ALL VOTES
RECEIVED ON THE PREVIOUS MEETING WILL BE
DISREGARDED. THANK YOU.
CMMT 12 JUN 2014: PLEASE NOTE THAT SUBS ARE NOT Non-Voting
OFFERING PROXY SERVICES FOR THIS MEETING.
NOTE THAT IN ACCORDANCE WITH THE TERMS AND
CONDITIONS, THE BONDHOLDERS, BY VIRTUE OF
THE SUBSCRIPTION OF THE BONDS, GRANTED A
POWER OF ATTORNEY TO THE FISCAL AGENT OF
THE ISSUE (THE BANK OF NEW YORK MELLON,
LONDON BRANCH) TO ENABLE THE AGENT TO
ATTEND THE GENERAL ASSEMBLY ON THEIR BEHALF
AND VOTE IN FAVOUR OF THE PROPOSALS
INCLUDED ON THE AGENDA. IN THE EVENT THAT
ANY OF THE BONDHOLDERS MAY INTEND TO REVOKE
SUCH POWER OF ATTORNEY IN ORDER TO BE ABLE
TO ATTEND THE GENERAL ASSEMBLY IN PERSON
AND VOTE ON THE ITEMS INCLUDED ON THE
AGENDA, THEY HAVE TO CONTACT THE AGENT
DIRECTLY: JAIME JOS AZCONA SAN JULIN TEL.
+34 91.510.08.80 E-MAIL: JAIME.AZCONA
(AT)SFMEUROPE.COM
1 EXAMINATION AND APPROVAL, IF APPROPRIATE, Non-Voting
OF THE MANAGEMENT BY THE PROVISIONAL
COMMISSIONER OF THE BONDHOLDERS' SYNDICATE
2 RATIFICATION OF THE APPOINTMENT OF THE Non-Voting
PROVISIONAL COMMISSIONER OF THE
BONDHOLDERS' SYNDICATE AS THE COMMISSIONER
OF THE BONDHOLDERS' SYNDICATE OR THE
APPOINTMENT OF A SUBSTITUTE COMMISSIONER
3 EXAMINATION AND APPROVAL, IF APPROPRIATE, Non-Voting
OF THE FINAL VERSION OF THE SYNDICATE
REGULATIONS
4 DELEGATION OF POWERS FOR THE FORMALISATION, Non-Voting
REGISTRATION AND IMPLEMENTATION OF THE
RESOLUTIONS APPROVED BY THE GENERAL
ASSEMBLY
5 QUESTIONS AND ANSWERS Non-Voting
6 DRAFTING AND APPROVAL OF THE MINUTES OF THE Non-Voting
GENERAL ASSEMBLY
CMMT 11 JUN 2014: PLEASE NOTE THAT THIS IS AN Non-Voting
INFORMATIONAL MEETING, AS THERE ARE NO
PROPOSALS TO BE VOTED ON. SHOULD YOU WISH
TO ATTEND THE MEETING PERSONALLY, YOU MAY
REQUEST AN ENTRANCE CARD. THANK YOU.
CMMT 12 JUN 2014: PLEASE NOTE THAT THIS IS A Non-Voting
REVISION DUE TO MODIFICATION TO TEXT OF
COMMENT AND ADDITION OF COMMENT
--------------------------------------------------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP. Agenda Number: 933986599
--------------------------------------------------------------------------------------------------------------------------
Security: 697900108
Meeting Type: Annual and Special
Meeting Date: 08-May-2014
Ticker: PAAS
ISIN: CA6979001089
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
ROSS J. BEATY Mgmt For For
GEOFFREY A. BURNS Mgmt For For
MICHAEL L. CARROLL Mgmt For For
CHRISTOPHER NOEL DUNN Mgmt For For
NEIL DE GELDER Mgmt For For
ROBERT P. PIROOZ Mgmt For For
DAVID C. PRESS Mgmt For For
WALTER T. SEGSWORTH Mgmt For For
02 APPOINTMENT OF DELOITTE LLP AS AUDITORS OF Mgmt For For
THE CORPORATION FOR THE ENSUING YEAR AND
AUTHORIZING THE DIRECTORS TO FIX THEIR
REMUNERATION.
03 TO CONSIDER AND, IF THOUGHT APPROPRIATE, TO Mgmt For For
PASS AN ORDINARY RESOLUTION APPROVING THE
CORPORATION'S APPROACH TO EXECUTIVE
COMPENSATION, THE COMPLETE TEXT OF WHICH IS
SET OUT IN THE INFORMATION CIRCULAR FOR THE
MEETING.
--------------------------------------------------------------------------------------------------------------------------
PIMCO Agenda Number: 933934398
--------------------------------------------------------------------------------------------------------------------------
Security: 72202D106
Meeting Type: Annual
Meeting Date: 30-Apr-2014
Ticker: PCI
ISIN: US72202D1063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HANS W. KERTESS Mgmt Split 97% For 3% Withheld Split
WILLIAM B. OGDEN, IV Mgmt Split 97% For 3% Withheld Split
ALAN RAPPAPORT Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO CORPORATE OPPORTUNITY FUND Agenda Number: 933934336
--------------------------------------------------------------------------------------------------------------------------
Security: 72201B101
Meeting Type: Annual
Meeting Date: 30-Apr-2014
Ticker: PTY
ISIN: US72201B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BRADFORD K. GALLAGHER Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO DYNAMIC INCOME FUND Agenda Number: 933894087
--------------------------------------------------------------------------------------------------------------------------
Security: 72201Y101
Meeting Type: Annual
Meeting Date: 18-Dec-2013
Ticker: PDI
ISIN: US72201Y1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ALAN RAPPAPORT Mgmt Split 97% For 3% Withheld Split
HANS W. KERTESS Mgmt Split 97% For 3% Withheld Split
WILLIAM B. OGDEN, IV Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE INCOME FUND Agenda Number: 933853942
--------------------------------------------------------------------------------------------------------------------------
Security: 72201H108
Meeting Type: Annual
Meeting Date: 31-Jul-2013
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
JAMES A. JACOBSON* Mgmt Split 97% For 3% Withheld Split
JOHN C. MANEY# Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE STRATEGY FUND Agenda Number: 933853928
--------------------------------------------------------------------------------------------------------------------------
Security: 72201J104
Meeting Type: Annual
Meeting Date: 31-Jul-2013
Ticker: PFN
ISIN: US72201J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) DIRECTOR
BRADFORD K. GALLAGHER# Mgmt Split 96% For 4% Withheld Split
ALAN RAPPAPORT* Mgmt Split 96% For 4% Withheld Split
DEBORAH A. DECOTIS# Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO INCOME OPPORTUNITY FD Agenda Number: 933934350
--------------------------------------------------------------------------------------------------------------------------
Security: 72202B100
Meeting Type: Annual
Meeting Date: 30-Apr-2014
Ticker: PKO
ISIN: US72202B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BRADFORD K. GALLAGHER Mgmt Split 97% For 3% Withheld Split
ALAN RAPPAPORT Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO MUNICIPAL INCOME FUND II Agenda Number: 933904523
--------------------------------------------------------------------------------------------------------------------------
Security: 72200W106
Meeting Type: Annual
Meeting Date: 18-Dec-2013
Ticker: PML
ISIN: US72200W1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DEBORAH A. DECOTIS Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 933913837
--------------------------------------------------------------------------------------------------------------------------
Security: 74433A109
Meeting Type: Annual
Meeting Date: 13-Mar-2014
Ticker: GHY
ISIN: US74433A1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KEVIN J. BANNON Mgmt Split 97% For 3% Withheld Split
KEITH J. HARTSTEIN Mgmt Split 97% For 3% Withheld Split
ROBIN B. SMITH Mgmt Split 97% For 3% Withheld Split
STEPHEN G. STONEBURN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PUTNAM HIGH INCOME SECURITIES FUND Agenda Number: 933910425
--------------------------------------------------------------------------------------------------------------------------
Security: 746779107
Meeting Type: Special
Meeting Date: 27-Mar-2014
Ticker: PCF
ISIN: US7467791072
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVING A NEW MANAGEMENT CONTRACT FOR Mgmt Split 89% For 7% Against 4% AbstainSplit
YOUR FUND
--------------------------------------------------------------------------------------------------------------------------
PUTNAM HIGH INCOME SECURITIES FUND Agenda Number: 933957409
--------------------------------------------------------------------------------------------------------------------------
Security: 746779107
Meeting Type: Special
Meeting Date: 24-Jun-2014
Ticker: PCF
ISIN: US7467791072
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 89% For 7% Against 4% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 90% For 10% Withheld Split
RAVI AKHOURY Mgmt Split 90% For 10% Withheld Split
BARBARA M. BAUMANN Mgmt Split 90% For 10% Withheld Split
JAMESON A. BAXTER Mgmt Split 90% For 10% Withheld Split
CHARLES B. CURTIS Mgmt Split 91% For 9% Withheld Split
ROBERT J. DARRETTA Mgmt Split 91% For 9% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 90% For 10% Withheld Split
JOHN A. HILL Mgmt Split 90% For 10% Withheld Split
PAUL L. JOSKOW Mgmt Split 90% For 10% Withheld Split
KENNETH R. LEIBLER Mgmt Split 91% For 9% Withheld Split
ROBERT E. PATTERSON Mgmt Split 90% For 10% Withheld Split
GEORGE PUTNAM, III Mgmt Split 91% For 9% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 91% For 9% Withheld Split
W. THOMAS STEPHENS Mgmt Split 90% For 10% Withheld Split
2. APPROVING CONVERSION TO AN OPEN-END Mgmt Split 20% For 76% Against 4% AbstainSplit
INVESTMENT COMPANY.
3A. APPROVING AN AMENDED AND RESTATED Mgmt Split 76% For 19% Against 5% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: QUORUM
REQUIREMENT FOR SHAREHOLDER MEETINGS.
3B. APPROVING AN AMENDED AND RESTATED Mgmt Split 80% For 15% Against 5% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: OTHER
CHANGES.
4. APPROVING AN AMENDMENT TO YOUR FUND'S Mgmt Split 69% For 26% Against 5% AbstainSplit
DECLARATION OF TRUST - ELIMINATING
MANDATORY SHAREHOLDER VOTES FOR CONVERSION
TO AN OPEN-END INVESTMENT COMPANY.
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MANAGED MUNICIPAL INCOME TRUST Agenda Number: 933870277
--------------------------------------------------------------------------------------------------------------------------
Security: 746823103
Meeting Type: Annual
Meeting Date: 19-Sep-2013
Ticker: PMM
ISIN: US7468231037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 91% For 6% Against 3% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 93% For 7% Withheld Split
RAVI AKHOURY Mgmt Split 93% For 7% Withheld Split
BARBARA M. BAUMANN Mgmt Split 94% For 6% Withheld Split
JAMESON A. BAXTER Mgmt Split 93% For 7% Withheld Split
CHARLES B. CURTIS Mgmt Split 94% For 6% Withheld Split
ROBERT J. DARRETTA Mgmt Split 93% For 7% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 93% For 7% Withheld Split
PAUL L. JOSKOW Mgmt Split 94% For 6% Withheld Split
KENNETH R. LEIBLER Mgmt Split 94% For 6% Withheld Split
GEORGE PUTNAM, III Mgmt Split 93% For 7% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 93% For 7% Withheld Split
W. THOMAS STEPHENS Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MASTER INTERMEDIATE INCOME TRUST Agenda Number: 933910425
--------------------------------------------------------------------------------------------------------------------------
Security: 746909100
Meeting Type: Special
Meeting Date: 27-Mar-2014
Ticker: PIM
ISIN: US7469091000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVING A NEW MANAGEMENT CONTRACT FOR Mgmt Split 94% For 3% Against 3% AbstainSplit
YOUR FUND
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MASTER INTERMEDIATE INCOME TRUST Agenda Number: 933957409
--------------------------------------------------------------------------------------------------------------------------
Security: 746909100
Meeting Type: Special
Meeting Date: 24-Jun-2014
Ticker: PIM
ISIN: US7469091000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 95% For 3% Against 2% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 95% For 5% Withheld Split
RAVI AKHOURY Mgmt Split 95% For 5% Withheld Split
BARBARA M. BAUMANN Mgmt Split 96% For 4% Withheld Split
JAMESON A. BAXTER Mgmt Split 96% For 4% Withheld Split
CHARLES B. CURTIS Mgmt Split 96% For 4% Withheld Split
ROBERT J. DARRETTA Mgmt Split 96% For 4% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 96% For 4% Withheld Split
JOHN A. HILL Mgmt Split 96% For 4% Withheld Split
PAUL L. JOSKOW Mgmt Split 96% For 4% Withheld Split
KENNETH R. LEIBLER Mgmt Split 96% For 4% Withheld Split
ROBERT E. PATTERSON Mgmt Split 96% For 4% Withheld Split
GEORGE PUTNAM, III Mgmt Split 96% For 4% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 96% For 4% Withheld Split
W. THOMAS STEPHENS Mgmt Split 96% For 4% Withheld Split
2. APPROVING CONVERSION TO AN OPEN-END Mgmt Split 18% For 79% Against 3% AbstainSplit
INVESTMENT COMPANY.
3A. APPROVING AN AMENDED AND RESTATED Mgmt Split 65% For 32% Against 3% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: QUORUM
REQUIREMENT FOR SHAREHOLDER MEETINGS.
3B. APPROVING AN AMENDED AND RESTATED Mgmt Split 84% For 13% Against 3% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: OTHER
CHANGES.
4. APPROVING AN AMENDMENT TO YOUR FUND'S Mgmt Split 61% For 37% Against 2% AbstainSplit
DECLARATION OF TRUST - ELIMINATING
MANDATORY SHAREHOLDER VOTES FOR CONVERSION
TO AN OPEN-END INVESTMENT COMPANY.
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MUNICIPAL OPPORTUNITIES TRUST Agenda Number: 933957435
--------------------------------------------------------------------------------------------------------------------------
Security: 746922103
Meeting Type: Special
Meeting Date: 24-Jun-2014
Ticker: PMO
ISIN: US7469221037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 86% For 13% Against 1% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 87% For 13% Withheld Split
RAVI AKHOURY Mgmt Split 87% For 13% Withheld Split
BARBARA M. BAUMANN Mgmt Split 87% For 13% Withheld Split
JAMESON A. BAXTER Mgmt Split 87% For 13% Withheld Split
CHARLES B. CURTIS Mgmt Split 87% For 13% Withheld Split
ROBERT J. DARRETTA Mgmt Split 87% For 13% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 87% For 13% Withheld Split
PAUL L. JOSKOW Mgmt Split 87% For 13% Withheld Split
KENNETH R. LEIBLER Mgmt Split 87% For 13% Withheld Split
GEORGE PUTNAM, III Mgmt Split 87% For 13% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 87% For 13% Withheld Split
W. THOMAS STEPHENS Mgmt Split 87% For 13% Withheld Split
3A. APPROVING AN AMENDED AND RESTATED Mgmt Split 74% For 23% Against 3% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: QUORUM
REQUIREMENT FOR SHAREHOLDER MEETINGS.
3B. APPROVING AN AMENDED AND RESTATED Mgmt Split 82% For 15% Against 3% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: OTHER
CHANGES.
--------------------------------------------------------------------------------------------------------------------------
PUTNAM PREMIER INCOME TRUST Agenda Number: 933910425
--------------------------------------------------------------------------------------------------------------------------
Security: 746853100
Meeting Type: Special
Meeting Date: 27-Mar-2014
Ticker: PPT
ISIN: US7468531006
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVING A NEW MANAGEMENT CONTRACT FOR Mgmt Split 94% For 3% Against 3% AbstainSplit
YOUR FUND
--------------------------------------------------------------------------------------------------------------------------
PUTNAM PREMIER INCOME TRUST Agenda Number: 933957409
--------------------------------------------------------------------------------------------------------------------------
Security: 746853100
Meeting Type: Special
Meeting Date: 24-Jun-2014
Ticker: PPT
ISIN: US7468531006
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 95% For 2% Against 3% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 95% For 5% Withheld Split
RAVI AKHOURY Mgmt Split 95% For 5% Withheld Split
BARBARA M. BAUMANN Mgmt Split 95% For 5% Withheld Split
JAMESON A. BAXTER Mgmt Split 95% For 5% Withheld Split
CHARLES B. CURTIS Mgmt Split 95% For 5% Withheld Split
ROBERT J. DARRETTA Mgmt Split 95% For 5% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 95% For 5% Withheld Split
JOHN A. HILL Mgmt Split 95% For 5% Withheld Split
PAUL L. JOSKOW Mgmt Split 95% For 5% Withheld Split
KENNETH R. LEIBLER Mgmt Split 95% For 5% Withheld Split
ROBERT E. PATTERSON Mgmt Split 95% For 5% Withheld Split
GEORGE PUTNAM, III Mgmt Split 95% For 5% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 95% For 5% Withheld Split
W. THOMAS STEPHENS Mgmt Split 95% For 5% Withheld Split
2. APPROVING CONVERSION TO AN OPEN-END Mgmt Split 24% For 73% Against 3% AbstainSplit
INVESTMENT COMPANY.
3A. APPROVING AN AMENDED AND RESTATED Mgmt Split 63% For 33% Against 4% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: QUORUM
REQUIREMENT FOR SHAREHOLDER MEETINGS.
3B. APPROVING AN AMENDED AND RESTATED Mgmt Split 81% For 15% Against 4% AbstainSplit
DECLARATION OF TRUST FOR YOUR FUND: OTHER
CHANGES.
4. APPROVING AN AMENDMENT TO YOUR FUND'S Mgmt Split 60% For 38% Against 2% AbstainSplit
DECLARATION OF TRUST - ELIMINATING
MANDATORY SHAREHOLDER VOTES FOR CONVERSION
TO AN OPEN-END INVESTMENT COMPANY.
--------------------------------------------------------------------------------------------------------------------------
ROYCE FOCUS TRUST, INC. Agenda Number: 933866709
--------------------------------------------------------------------------------------------------------------------------
Security: 78080N108
Meeting Type: Annual
Meeting Date: 25-Sep-2013
Ticker: FUND
ISIN: US78080N1081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
W. WHITNEY GEORGE Mgmt Split 88% For 1% Withheld Split
ARTHUR S. MEHLMAN Mgmt Split 88% For 1% Withheld Split
STEPHEN L. ISAACS Mgmt Split 88% For 1% Withheld Split
DAVID L. MEISTER Mgmt Split 88% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE VALUE TRUST, INC. Agenda Number: 933857394
--------------------------------------------------------------------------------------------------------------------------
Security: 780910105
Meeting Type: Special
Meeting Date: 05-Sep-2013
Ticker: RVT
ISIN: US7809101055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO CONSIDER AND VOTE UPON A PROPOSAL TO Mgmt Split 85% For 13% Against 2% AbstainSplit
CONTRIBUTE APPROXIMATELY $100 MILLION OF
ROYCE VALUE TRUST, INC.'S ("VALUE TRUST")
ASSETS TO ROYCE GLOBAL VALUE TRUST, INC., A
NEWLY-ORGANIZED, DIVERSIFIED, CLOSED-END
MANAGEMENT INVESTMENT COMPANY, AND TO
DISTRIBUTE TO VALUE TRUST COMMON
STOCKHOLDERS SHARES OF COMMON STOCK OF
ROYCE GLOBAL VALUE TRUST, INC.
2. TO CONSIDER AND VOTE UPON A PROPOSAL TO Mgmt Split 85% For 13% Against 2% AbstainSplit
AMEND AN INVESTMENT RESTRICTION OF VALUE
TRUST, ALL AS MORE FULLY DESCRIBED IN THE
PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
ROYCE VALUE TRUST, INC. Agenda Number: 933866684
--------------------------------------------------------------------------------------------------------------------------
Security: 780910105
Meeting Type: Annual
Meeting Date: 25-Sep-2013
Ticker: RVT
ISIN: US7809101055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
W. WHITNEY GEORGE Mgmt Split 92% For 8% Withheld Split
ARTHUR S. MEHLMAN Mgmt Split 94% For 6% Withheld Split
PATRICIA W. CHADWICK Mgmt Split 92% For 8% Withheld Split
DAVID L. MEISTER Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
SEARS HOLDINGS CORPORATION Agenda Number: 933946432
--------------------------------------------------------------------------------------------------------------------------
Security: 812350106
Meeting Type: Annual
Meeting Date: 06-May-2014
Ticker: SHLD
ISIN: US8123501061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CESAR L. ALVAREZ Mgmt For For
PAUL G. DEPODESTA Mgmt For For
WILLIAM C. KUNKLER, III Mgmt For For
EDWARD S. LAMPERT Mgmt For For
STEVEN T. MNUCHIN Mgmt For For
ANN N. REESE Mgmt For For
THOMAS J. TISCH Mgmt For For
2. ADVISORY VOTE TO APPROVE THE COMPENSATION Mgmt For For
OF OUR NAMED EXECUTIVE OFFICERS.
3. RATIFY THE APPOINTMENT BY THE AUDIT Mgmt For For
COMMITTEE OF DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2014.
4. STOCKHOLDER PROPOSAL CONCERNING ANNUAL Shr Against For
REPORTING ON ENVIRONMENTAL GOALS AND
SUSTAINABILITY POLICY.
--------------------------------------------------------------------------------------------------------------------------
SIEMENS AG Agenda Number: 933913433
--------------------------------------------------------------------------------------------------------------------------
Security: 826197501
Meeting Type: Annual
Meeting Date: 28-Jan-2014
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. APPROVAL OF THE SYSTEM OF MANAGING BOARD Mgmt For For
COMPENSATION
6. APPOINTMENT OF INDEPENDENT AUDITORS Mgmt For For
7. BY-ELECTION TO THE SUPERVISORY BOARD Mgmt For For
8. CREATION OF AN AUTHORIZED CAPITAL 2014 Mgmt For For
9. ISSUE OF CONVERTIBLE BONDS AND/OR WARRANT Mgmt For For
BONDS AND CREATION OF A CONDITIONAL CAPITAL
2014
10. CANCELATION OF CONDITIONAL CAPITAL NO Mgmt For For
LONGER REQUIRED
11. ADJUSTMENT OF SUPERVISORY BOARD Mgmt For For
COMPENSATION
--------------------------------------------------------------------------------------------------------------------------
STRATEGIC GLOBAL INCOME FUND, INC. Agenda Number: 933921062
--------------------------------------------------------------------------------------------------------------------------
Security: 862719101
Meeting Type: Annual
Meeting Date: 13-Mar-2014
Ticker: SGL
ISIN: US8627191013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MEYER FELDBERG Mgmt Split 92% For 8% Withheld Split
RICHARD R. BURT Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
SYSCO CORPORATION Agenda Number: 933883046
--------------------------------------------------------------------------------------------------------------------------
Security: 871829107
Meeting Type: Annual
Meeting Date: 15-Nov-2013
Ticker: SYY
ISIN: US8718291078
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JOHN M. CASSADAY Mgmt For For
1B. ELECTION OF DIRECTOR: JONATHAN GOLDEN Mgmt Against Against
1C. ELECTION OF DIRECTOR: JOSEPH A. HAFNER, JR. Mgmt For For
1D. ELECTION OF DIRECTOR: HANS-JOACHIM KOERBER Mgmt For For
1E. ELECTION OF DIRECTOR: NANCY S. NEWCOMB Mgmt For For
1F. ELECTION OF DIRECTOR: JACKIE M. WARD Mgmt For For
2. TO APPROVE THE ADOPTION OF THE SYSCO Mgmt For For
CORPORATION 2013 LONG-TERM INCENTIVE PLAN
AS A SUCCESSOR TO SYSCO'S 2007 STOCK
INCENTIVE PLAN
3. TO APPROVE, BY ADVISORY VOTE, THE Mgmt For For
COMPENSATION PAID TO SYSCO'S NAMED
EXECUTIVE OFFICERS, AS DISCLOSED IN SYSCO'S
2013 PROXY STATEMENT
4. TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For
LLP AS SYSCO'S INDEPENDENT ACCOUNTANTS FOR
FISCAL 2014
--------------------------------------------------------------------------------------------------------------------------
TCW STRATEGIC INCOME FUND, INC. Agenda Number: 933867319
--------------------------------------------------------------------------------------------------------------------------
Security: 872340104
Meeting Type: Annual
Meeting Date: 17-Sep-2013
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 98% For 2% Withheld Split
DAVID S. DEVITO Mgmt Split 89% For 11% Withheld Split
JOHN A. GAVIN Mgmt Split 98% For 2% Withheld Split
PATRICK C. HADEN Mgmt Split 88% For 12% 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 98% For 2% Withheld Split
VICTORIA B. ROGERS Mgmt Split 98% For 2% Withheld Split
ANDREW TARICA Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TEVA PHARMACEUTICAL INDUSTRIES LIMITED Agenda Number: 933862725
--------------------------------------------------------------------------------------------------------------------------
Security: 881624209
Meeting Type: Annual
Meeting Date: 27-Aug-2013
Ticker: TEVA
ISIN: US8816242098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: PROF. MOSHE MANY Mgmt No vote
1B ELECTION OF DIRECTOR: DR. ARIE BELLDEGRUN Mgmt No vote
1C ELECTION OF DIRECTOR: MR. AMIR ELSTEIN Mgmt No vote
1D ELECTION OF DIRECTOR: PROF. YITZHAK Mgmt No vote
PETERBURG
2A TO APPROVE THE PAYMENT OF A CASH BONUS TO Mgmt No vote
THE COMPANY'S PRESIDENT AND CHIEF EXECUTIVE
OFFICER IN RESPECT OF 2012 IN AN AMOUNT OF
$1,203,125.
2A1 DO YOU HAVE A "PERSONAL INTEREST" IN Mgmt No vote
PROPOSAL 2A? SEE PAGES 1-2 OF THE PROXY
STATEMENT FOR MORE INFORMATION (MARK FOR =
"YES" OR AGAINST = "NO").
2B TO APPROVE BONUS OBJECTIVES AND PAYOUT Mgmt No vote
TERMS FOR THE YEAR 2013 FOR THE COMPANY'S
PRESIDENT AND CHIEF EXECUTIVE OFFICER.
2B1 DO YOU HAVE A "PERSONAL INTEREST" IN Mgmt No vote
PROPOSAL 2B? SEE PAGES 1-2 OF THE PROXY
STATEMENT FOR MORE INFORMATION (MARK FOR =
"YES" OR AGAINST = "NO").
3 TO APPROVE A COMPENSATION POLICY WITH Mgmt No vote
RESPECT TO THE TERMS OF OFFICE AND
EMPLOYMENT OF THE COMPANY'S "OFFICE
HOLDERS" (AS SUCH TERM IS DEFINED IN THE
ISRAELI COMPANIES LAW, 5759-1999, AS
AMENDED).
3A DO YOU HAVE A "PERSONAL INTEREST" IN Mgmt No vote
PROPOSAL 3? SEE PAGES 1-2 OF THE PROXY
STATEMENT FOR MORE INFORMATION (MARK FOR =
"YES" OR AGAINST = "NO").
4 TO APPROVE THE RESOLUTION OF THE BOARD OF Mgmt No vote
DIRECTORS TO DECLARE AND DISTRIBUTE THE
CASH DIVIDENDS FOR THE FIRST AND SECOND
QUARTERS OF THE YEAR ENDED DECEMBER 31,
2012, PAID IN TWO INSTALLMENTS IN AN
AGGREGATE AMOUNT OF NIS 2.00 (APPROXIMATELY
US$0.51, ACCORDING TO THE APPLICABLE
EXCHANGE RATES) PER ORDINARY SHARE (OR
ADS).
5 TO APPOINT KESSELMAN & KESSELMAN, A MEMBER Mgmt No vote
OF PRICEWATERHOUSECOOPERS INTERNATIONAL
LTD., AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM UNTIL THE
2014 ANNUAL MEETING OF SHAREHOLDERS.
--------------------------------------------------------------------------------------------------------------------------
THE ADT CORPORATION Agenda Number: 933918142
--------------------------------------------------------------------------------------------------------------------------
Security: 00101J106
Meeting Type: Annual
Meeting Date: 13-Mar-2014
Ticker: ADT
ISIN: US00101J1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: THOMAS COLLIGAN Mgmt No vote
1B. ELECTION OF DIRECTOR: RICHARD DALY Mgmt No vote
1C. ELECTION OF DIRECTOR: TIMOTHY DONAHUE Mgmt No vote
1D. ELECTION OF DIRECTOR: ROBERT DUTKOWSKY Mgmt No vote
1E. ELECTION OF DIRECTOR: BRUCE GORDON Mgmt No vote
1F. ELECTION OF DIRECTOR: NAREN GURSAHANEY Mgmt No vote
1G. ELECTION OF DIRECTOR: BRIDGETTE HELLER Mgmt No vote
1H. ELECTION OF DIRECTOR: KATHLEEN HYLE Mgmt No vote
2. TO RATIFY THE APPOINTMENT OF DELOITTE & Mgmt No vote
TOUCHE LLP AS ADT'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR
2014.
3. TO APPROVE, BY NON-BINDING VOTE, THE Mgmt No vote
COMPENSATION OF ADT'S NAMED EXECUTIVE
OFFICERS.
--------------------------------------------------------------------------------------------------------------------------
THE CENTRAL EUROPE AND RUSSIA FUND Agenda Number: 934031131
--------------------------------------------------------------------------------------------------------------------------
Security: 153436100
Meeting Type: Annual
Meeting Date: 19-Jun-2014
Ticker: CEE
ISIN: US1534361001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
AMBASSADOR R.R. BURT Mgmt Split 50% For 50% Withheld Split
DR. FRIEDBERT H. MALT Mgmt Split 92% For 8% Withheld Split
MR. ROBERT H. WADSWORTH Mgmt Split 52% For 48% 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, 2014.
--------------------------------------------------------------------------------------------------------------------------
THE J. M. SMUCKER COMPANY Agenda Number: 933854273
--------------------------------------------------------------------------------------------------------------------------
Security: 832696405
Meeting Type: Annual
Meeting Date: 14-Aug-2013
Ticker: SJM
ISIN: US8326964058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: KATHRYN W. DINDO Mgmt For For
1B. ELECTION OF DIRECTOR: ROBERT B. HEISLER, Mgmt For For
JR.
1C. ELECTION OF DIRECTOR: RICHARD K. SMUCKER Mgmt For For
1D. ELECTION OF DIRECTOR: PAUL SMUCKER WAGSTAFF Mgmt Against Against
2. RATIFICATION OF APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
2014 FISCAL YEAR.
3. ADVISORY APPROVAL OF THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
4. ADOPTION OF AN AMENDMENT TO THE COMPANY'S Mgmt For For
AMENDED ARTICLES OF INCORPORATION TO
INCREASE THE NUMBER OF COMMON SHARES
AUTHORIZED TO BE ISSUED.
5. ADOPTION OF AN AMENDMENT TO THE COMPANY'S Mgmt For For
AMENDED REGULATIONS TO REQUIRE ANNUAL
ELECTION OF ALL DIRECTORS.
--------------------------------------------------------------------------------------------------------------------------
THE NEW AMERICA HIGH INCOME FUND, INC. Agenda Number: 933926872
--------------------------------------------------------------------------------------------------------------------------
Security: 641876800
Meeting Type: Annual
Meeting Date: 24-Apr-2014
Ticker: HYB
ISIN: US6418768007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT F. BIRCH Mgmt Split 80% For 20% Withheld Split
JOSEPH L. BOWER Mgmt Split 96% For 4% Withheld Split
BERNARD J. KORMAN Mgmt Split 96% For 4% Withheld Split
STUART A. MCFARLAND Mgmt Split 97% For 3% Withheld Split
MARGUERITE PIRET Mgmt Split 97% For 3% Withheld Split
OLEG M. POHOTSKY Mgmt Split 97% For 3% Withheld Split
ELLEN E. TERRY Mgmt Split 81% For 19% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
THE PROCTER & GAMBLE COMPANY Agenda Number: 933868525
--------------------------------------------------------------------------------------------------------------------------
Security: 742718109
Meeting Type: Annual
Meeting Date: 08-Oct-2013
Ticker: PG
ISIN: US7427181091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: ANGELA F. BRALY Mgmt For For
1B. ELECTION OF DIRECTOR: KENNETH I. CHENAULT Mgmt For For
1C. ELECTION OF DIRECTOR: SCOTT D. COOK Mgmt For For
1D. ELECTION OF DIRECTOR: SUSAN Mgmt For For
DESMOND-HELLMANN
1E. ELECTION OF DIRECTOR: A.G. LAFLEY Mgmt For For
1F. ELECTION OF DIRECTOR: TERRY J. LUNDGREN Mgmt For For
1G. ELECTION OF DIRECTOR: W. JAMES MCNERNEY, Mgmt For For
JR.
1H. ELECTION OF DIRECTOR: MARGARET C. WHITMAN Mgmt For For
1I. ELECTION OF DIRECTOR: MARY AGNES Mgmt For For
WILDEROTTER
1J. ELECTION OF DIRECTOR: PATRICIA A. WOERTZ Mgmt For For
1K. ELECTION OF DIRECTOR: ERNESTO ZEDILLO Mgmt For For
2. RATIFY APPOINTMENT OF THE INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM
3. AMEND THE COMPANY'S CODE OF REGULATIONS TO Mgmt For For
REDUCE CERTAIN SUPERMAJORITY VOTING
REQUIREMENTS
4. APPROVE THE 2013 NON-EMPLOYEE DIRECTORS' Mgmt For For
STOCK PLAN
5. ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt For For
(THE SAY ON PAY VOTE)
--------------------------------------------------------------------------------------------------------------------------
THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 933976536
--------------------------------------------------------------------------------------------------------------------------
Security: 989837208
Meeting Type: Annual
Meeting Date: 13-May-2014
Ticker: ZTR
ISIN: US9898372084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
R. KEITH WALTON Mgmt Split 43% For 57% Withheld Split
BRIAN T. ZINO Mgmt Split 75% For 25% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TICC CAPITAL CORP Agenda Number: 933812972
--------------------------------------------------------------------------------------------------------------------------
Security: 87244T109
Meeting Type: Annual
Meeting Date: 23-Jul-2013
Ticker: TICC
ISIN: US87244T1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
TONIA L. PANKOPF Mgmt Split 93% For 7% Withheld Split
2. TO APPROVE A PROPOSAL TO AUTHORIZE TICC Mgmt Split 83% For 16% Against 1% AbstainSplit
CAPITAL CORP. TO SELL SHARES OF ITS COMMON
STOCK AT A PRICE OR PRICES BELOW TICC
CAPITAL CORP.'S THEN CURRENT NET ASSET
VALUE PER SHARE IN ONE OR MORE OFFERINGS,
IN EACH CASE SUBJECT TO THE APPROVAL OF ITS
BOARD OF DIRECTORS AND COMPLIANCE WITH THE
CONDITIONS SET FORTH IN THE PROXY STATEMENT
PERTAINING THERETO.
--------------------------------------------------------------------------------------------------------------------------
TORTOISE CAPITAL ADVISORS, L.L.C. Agenda Number: 933976877
--------------------------------------------------------------------------------------------------------------------------
Security: 89148J203
Meeting Type: Annual
Meeting Date: 28-May-2014
Ticker: TYYPRC
ISIN: US89148J2033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) TO APPROVE THE MERGER OF THE COMPANY WITH Mgmt Split 97% For 2% Against 1% AbstainSplit
AND INTO TORTOISE ENERGY INFRASTRUCTURE
CORPORATION.
2) DIRECTOR
CONRAD S. CICCOTELLO Mgmt Split 91% For 9% Withheld Split
TERRY C. MATLACK Mgmt Split 86% For 14% Withheld Split
3) APPROVAL FOR THE COMPANY, WITH THE APPROVAL Mgmt Split 90% For 8% Against 2% 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
2014 ANNUAL MEETING OF STOCKHOLDERS.
4) RATIFICATION OF ERNST & YOUNG LLP AS THE Mgmt Split 92% For 7% 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, 2014.
--------------------------------------------------------------------------------------------------------------------------
TRI-CONTINENTAL CORPORATION Agenda Number: 933937370
--------------------------------------------------------------------------------------------------------------------------
Security: 895436103
Meeting Type: Annual
Meeting Date: 11-Apr-2014
Ticker: TY
ISIN: US8954361031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM P. CARMICHAEL Mgmt Split 70% For 28% Withheld Split
PATRICIA M. FLYNN Mgmt Split 70% For 27% Withheld Split
STEPHEN R. LEWIS, JR. Mgmt Split 70% For 28% Withheld Split
CATHERINE JAMES PAGLIA Mgmt Split 70% For 27% Withheld Split
2. TO RATIFY THE SELECTION OF Mgmt Split 96% For 1% Against Split
PRICEWATERHOUSECOOPERS LLP AS THE
CORPORATION'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
--------------------------------------------------------------------------------------------------------------------------
UNITED STATES STEEL CORPORATION Agenda Number: 933930732
--------------------------------------------------------------------------------------------------------------------------
Security: 912909108
Meeting Type: Annual
Meeting Date: 29-Apr-2014
Ticker: X
ISIN: US9129091081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: RICHARD A. GEPHARDT Mgmt No vote
1B. ELECTION OF DIRECTOR: MURRY S. GERBER Mgmt No vote
1C. ELECTION OF DIRECTOR: GLENDA G. MCNEAL Mgmt No vote
1D. ELECTION OF DIRECTOR: PATRICIA A. TRACEY Mgmt No vote
2. RATIFICATION OF APPOINTMENT OF Mgmt No vote
PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
3. APPROVAL, IN A NON-BINDING ADVISORY VOTE, Mgmt No vote
OF THE COMPENSATION OF THE NAMED EXECUTIVE
OFFICERS
4. APPROVAL OF THE AMENDMENT AND RESTATEMENT Mgmt No vote
OF THE 2005 STOCK INCENTIVE PLAN
5. APPROVAL OF THE AMENDMENT TO THE RESTATED Mgmt No vote
CERTIFICATE OF INCORPORATION TO DECLASSIFY
THE BOARD OF DIRECTORS AND PROVIDE FOR
ANNUAL ELECTION OF DIRECTORS
--------------------------------------------------------------------------------------------------------------------------
VERIZON COMMUNICATIONS INC. Agenda Number: 933908735
--------------------------------------------------------------------------------------------------------------------------
Security: 92343V104
Meeting Type: Special
Meeting Date: 28-Jan-2014
Ticker: VZ
ISIN: US92343V1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVE THE ISSUANCE OF UP TO APPROXIMATELY Mgmt No vote
1.28 BILLION SHARES OF VERIZON COMMON STOCK
TO VODAFONE ORDINARY SHAREHOLDERS IN
CONNECTION WITH VERIZON'S ACQUISITION OF
VODAFONE'S INDIRECT 45% INTEREST IN VERIZON
WIRELESS
2. APPROVE AN AMENDMENT TO ARTICLE 4(A) OF Mgmt No vote
VERIZON'S RESTATED CERTIFICATE OF
INCORPORATION TO INCREASE VERIZON'S
AUTHORIZED SHARES OF COMMON STOCK BY 2
BILLION SHARES TO AN AGGREGATE OF 6.25
BILLION AUTHORIZED SHARES OF COMMON STOCK
3. APPROVE THE ADJOURNMENT OF THE SPECIAL Mgmt No vote
MEETING TO SOLICIT ADDITIONAL VOTES AND
PROXIES IF THERE ARE INSUFFICIENT VOTES AT
THE TIME OF THE SPECIAL MEETING TO APPROVE
THE ABOVE PROPOSALS
--------------------------------------------------------------------------------------------------------------------------
VERIZON COMMUNICATIONS INC. Agenda Number: 933936607
--------------------------------------------------------------------------------------------------------------------------
Security: 92343V104
Meeting Type: Annual
Meeting Date: 01-May-2014
Ticker: VZ
ISIN: US92343V1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: SHELLYE L. ARCHAMBEAU Mgmt For For
1B. ELECTION OF DIRECTOR: RICHARD L. CARRION Mgmt For For
1C. ELECTION OF DIRECTOR: MELANIE L. HEALEY Mgmt For For
1D. ELECTION OF DIRECTOR: M. FRANCES KEETH Mgmt For For
1E. ELECTION OF DIRECTOR: ROBERT W. LANE Mgmt For For
1F. ELECTION OF DIRECTOR: LOWELL C. MCADAM Mgmt For For
1G. ELECTION OF DIRECTOR: DONALD T. NICOLAISEN Mgmt For For
1H. ELECTION OF DIRECTOR: CLARENCE OTIS, JR. Mgmt For For
1I. ELECTION OF DIRECTOR: RODNEY E. SLATER Mgmt For For
1J. ELECTION OF DIRECTOR: KATHRYN A. TESIJA Mgmt For For
1K. ELECTION OF DIRECTOR: GREGORY D. WASSON Mgmt For For
2. RATIFICATION OF APPOINTMENT OF INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
4. PROPOSAL TO IMPLEMENT PROXY ACCESS Mgmt For For
5. NETWORK NEUTRALITY Shr Against For
6. LOBBYING ACTIVITIES Shr Against For
7. SEVERANCE APPROVAL POLICY Shr Against For
8. SHAREHOLDER RIGHT TO CALL A SPECIAL MEETING Shr Against For
9. SHAREHOLDER RIGHT TO ACT BY WRITTEN CONSENT Shr Against For
10. PROXY VOTING AUTHORITY Shr Against For
--------------------------------------------------------------------------------------------------------------------------
VIRTUS INVESTMENT PARTNERS Agenda Number: 933976512
--------------------------------------------------------------------------------------------------------------------------
Security: 92829B101
Meeting Type: Annual
Meeting Date: 20-May-2014
Ticker: VGI
ISIN: US92829B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM R. MOYER* Mgmt Split 98% For 2% Withheld Split
JAMES M. OATES* Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WALGREEN CO. Agenda Number: 933901894
--------------------------------------------------------------------------------------------------------------------------
Security: 931422109
Meeting Type: Annual
Meeting Date: 08-Jan-2014
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. RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Mgmt For For
LLP AS WALGREEN CO.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
4. SHAREHOLDER PROPOSAL REGARDING AN EXECUTIVE Shr Against For
EQUITY RETENTION POLICY.
5. SHAREHOLDER PROPOSAL REGARDING PROXY Shr For Against
ACCESS.
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO ADVANTAGE FUNDS Agenda Number: 933915247
--------------------------------------------------------------------------------------------------------------------------
Security: 94987D101
Meeting Type: Annual
Meeting Date: 10-Feb-2014
Ticker: ERC
ISIN: US94987D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ISAIAH HARRIS, JR. Mgmt Split 98% For 2% Withheld Split
DAVID F. LARCKER Mgmt Split 98% For 2% Withheld Split
OLIVIA S. MITCHELL Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET EMERGING MARKETS INCOME FD Agenda Number: 933872182
--------------------------------------------------------------------------------------------------------------------------
Security: 95766E103
Meeting Type: Annual
Meeting Date: 27-Sep-2013
Ticker: EMD
ISIN: US95766E1038
--------------------------------------------------------------------------------------------------------------------------
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 98% For 2% Withheld Split
WILLIAM R. HUTCHINSON* Mgmt Split 97% For 3% Withheld Split
EILEEN A. KAMERICK# Mgmt Split 97% For 3% Withheld Split
KENNETH D. FULLER# Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 933958689
--------------------------------------------------------------------------------------------------------------------------
Security: 95766A101
Meeting Type: Annual
Meeting Date: 25-Apr-2014
Ticker: ESD
ISIN: US95766A1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EILEEN A. KAMERICK* Mgmt Split 97% For 3% Withheld Split
RIORDAN ROETT* Mgmt Split 97% For 3% Withheld Split
JESWALD W. SALACUSE* Mgmt Split 97% For 3% Withheld Split
KENNETH D. FULLER# Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET HIGH INCOME FUND II INC Agenda Number: 933862509
--------------------------------------------------------------------------------------------------------------------------
Security: 95766J102
Meeting Type: Annual
Meeting Date: 26-Aug-2013
Ticker: HIX
ISIN: US95766J1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN* Mgmt Split 95% For 5% Withheld Split
WILLIAM R. HUTCHINSON* Mgmt Split 95% For 5% Withheld Split
KENNETH D. FULLER* Mgmt Split 95% For 5% Withheld Split
EILEEN A. KAMERICK# Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET INFLATION MANAGEMENT FUND Agenda Number: 933944678
--------------------------------------------------------------------------------------------------------------------------
Security: 95766U107
Meeting Type: Annual
Meeting Date: 25-Apr-2014
Ticker: IMF
ISIN: US95766U1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EILEEN A. KAMERICK* Mgmt Split 99% For 1% Withheld Split
DR. RIORDAN ROETT* Mgmt Split 99% For 1% Withheld Split
JESWALD W. SALACUSE* Mgmt Split 99% For 1% Withheld Split
KENNETH D. FULLER# Mgmt Split 99% For 1% Withheld Split
2. THE LIQUIDATION AND DISSOLUTION OF THE FUND Mgmt Split 98% For 1% Against 1% AbstainSplit
PURSUANT TO THE PLAN OF LIQUIDATION AND
DISSOLUTION ADOPTED BY THE BOARD OF
DIRECTORS OF THE FUND.
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET MANAGED HIGH FUND Agenda Number: 934035115
--------------------------------------------------------------------------------------------------------------------------
Security: 95766L107
Meeting Type: Annual
Meeting Date: 27-Jun-2014
Ticker: MHY
ISIN: US95766L1070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN Mgmt Split 98% For 2% Withheld Split
LESLIE H. GELB Mgmt Split 98% For 2% Withheld Split
RIORDAN ROETT Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET WORLDWIDE INCOME FUND INC. Agenda Number: 933958677
--------------------------------------------------------------------------------------------------------------------------
Security: 957668106
Meeting Type: Annual
Meeting Date: 25-Apr-2014
Ticker: SBW
ISIN: US9576681061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LESLIE H. GELB* Mgmt Split 83% For 2% Withheld Split
EILEEN A. KAMERICK* Mgmt Split 83% For 2% Withheld Split
JESWALD W. SALACUSE* Mgmt Split 83% For 2% Withheld Split
KENNETH D. FULLER# Mgmt Split 83% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 933977502
--------------------------------------------------------------------------------------------------------------------------
Security: 95766R104
Meeting Type: Annual
Meeting Date: 06-May-2014
Ticker: WIW
ISIN: US95766R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL LARSON Mgmt Split 93% For 7% 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 08/22/2014