UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811- 10123
The North Country Funds
(Exact name of registrant as specified in charter)
450 Wireless Boulevard, Hauppauge, New York 11788
(Address of principal executive offices) (Zip code)
Emile R. Molineaux, General Counsel
Gemini Fund Services, LLC
450 Wireless Boulevard
Hauppauge, New York 11788
________________________________________________________________________
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 470-2600
Date of fiscal year end: November 30
Date of reporting period: July 1, 2009 - June 30, 2010
ITEM 1. PROXY VOTING RECORD: (see Exhibits)
Appended hereto as Exhibit A and Exhibit B is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2010 with respect to which the Registrant was entitled to vote:
(a) The name of the issuer of the portfolio security;
(b) The exchange ticker symbol of the portfolio security;
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d) The shareholder meeting date;
(e) A brief identification of the matter voted on;
(f) Whether the matter was proposed by the issuer or by a security holder;
(g) Whether the Registrant cast its vote on the matter;
(h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i) Whether the Registrant cast its vote for or against management.
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) THE NORTH COUNTRY FUNDS
By (Signature and Title) /s/ Andrew Rogers
Andrew Rogers, President
Date August 9, 2010
Registrant: The North Country Funds - Equity Growth Fund Item 1-A | ||||||||||||
Investment Company Act file number: 811-10123 | ||||||||||||
Reporting Period: July 1, 2009 through June 30, 2010 | ||||||||||||
Accenture plc | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
05-Aug-09 Ireland | G1150 | G111 | Special | 19-Jun-09 | 30,000 | 30,000 | 30,000 | 0 | ||||
Ticker: N/A | ||||||||||||
CUSIP: G1151C101 | ISIN: IE00B4BNMY34 | SEDOL: B412KX5 | Proxy Level: N/A | Meeting ID: 524616 | ||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
Accenture Ltd Class A Common Shareholder Class Meeting | Mgmt | No | None | None | None | None | ||||||
Proposals | ||||||||||||
1 | Approve Reincorporation from Bermuda to Ireland through | Mgmt | Yes | For | For | For | For | |||||
Scheme of Arrangement | ||||||||||||
2 | Adjourn Meeting | Mgmt | Yes | For | For | For | For | |||||
Accenture Ltd Class X Common Shareholder Class Meeting | Mgmt | No | None | None | None | None | ||||||
Proposals | ||||||||||||
1 | Approve Reincorporation from Bermuda to Ireland through | Mgmt | Yes | For | For | For | For | |||||
Scheme of Arrangement | ||||||||||||
2 | Adjourn Meeting | Mgmt | Yes | For | For | For | For | |||||
Accenture Ltd Special General Meeting Proposals | Mgmt | No | None | None | None | None | ||||||
1 | Approve the Creation of Distributable Reserves for Accenture plc Mgmt | Yes | For | For | For | For | ||||||
2 | Adjourn Meeting | Mgmt | Yes | For | For | For | For | |||||
H. J. Heinz Co. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
12-Aug-09 USA | 423074509 | Annual | 04-Jun-09 | 61,000 | 61,000 | 61,000 | 0 | |||||
Ticker: HNZ | ||||||||||||
CUSIP: 423074103 | ISIN: US4230741039 | SEDOL: 2419240 | Proxy Level: 4 | Meeting ID: 525628 | ||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1 | Elect Director W.R. Johnson | Mgmt | Yes | For | For | For | For | |||||
2 | Elect Director C.E. Bunch | Mgmt | Yes | For | For | For | For | |||||
3 | Elect Director L.S. Coleman, Jr. | Mgmt | Yes | For | For | For | For | |||||
4 | Elect Director J.G. Drosdick | Mgmt | Yes | For | For | For | For | |||||
5 | Elect Director E.E. Holiday | Mgmt | Yes | For | For | For | For | |||||
6 | Elect Director C. Kendle | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
7 | Elect Director D.R. O Hare | Mgmt | Yes | For | For | For | For | |||
8 | Elect Director N. Peltz | Mgmt | Yes | For | For | For | For | |||
9 | Elect Director D.H. Reilley | Mgmt | Yes | For | For | For | For | |||
10 | Elect Director L.C. Swann | Mgmt | Yes | For | For | For | For | |||
11 | Elect Director T.J. Usher | Mgmt | Yes | For | For | For | For | |||
12 | Elect Director M.F. Weinstein | Mgmt | Yes | For | For | For | For | |||
13 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
14 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | |||
Medtronic, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
27-Aug-09 USA | 585055106 | Annual | 29-Jun-09 | 28,000 | 28,000 | 28,000 | 0 | |||
Ticker: MDT | ||||||||||
CUSIP: 585055106 | ISIN: US5850551061 SEDOL: 2575465 | Proxy Level: 3 | Meeting ID: 527246 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1.1 | Elect Director Richard H. Anderson | Mgmt | Yes | For | For | For | For | |||
1.2 | Elect Director Victor J. Dzau | Mgmt | Yes | For | For | For | For | |||
1.3 | Elect Director William A. Hawkins | Mgmt | Yes | For | For | For | For | |||
1.4 | Elect Director S. Ann Jackson | Mgmt | Yes | For | For | For | For | |||
1.5 | Elect Director Denise M. O'Leary | Mgmt | Yes | For | For | For | For | |||
1.6 | Elect Director Robert C. Pozen | Mgmt | Yes | For | For | For | For | |||
1.7 | Elect Director Jean-pierre Rosso | Mgmt | Yes | For | For | For | For | |||
1.8 | Elect Director Jack W. Schuler | Mgmt | Yes | For | For | For | For | |||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
3 | Amend Qualified Employee Stock Purchase Plan | Mgmt | Yes | For | For | For | For | |||
4 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | |||
General Mills, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
21-Sep-09 USA | 370334104 | Annual | 23-Jul-09 | 26,300 | 26,300 | 26,300 | 0 | |||
Ticker: GIS | ||||||||||
CUSIP: 370334104 | ISIN: US3703341046 SEDOL: 2367026 | Proxy Level: 3 | Meeting ID: 529710 |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Bradbury H. Anderson | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director R. Kerry Clark | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Paul Danos | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director William T. Esrey | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Raymond V. Gilmartin | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Judith Richards Hope | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Heidi G. Miller | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Hilda Ochoa-Brillembourg | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Steve Odland | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Kendall J. Powell | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director Lois E. Quam | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director Michael D. Rose | Mgmt | Yes | For | For | For | For | ||||
13 | Elect Director Robert L. Ryan | Mgmt | Yes | For | For | For | For | ||||
14 | Elect Director Dorothy A. Terrell | Mgmt | Yes | For | For | For | For | ||||
15 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
16 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
17 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | ||||
Nike, Inc. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
21-Sep-09 USA | 654106103 | Annual | 24-Jul-09 | 23,600 | 23,600 | 23,600 | 0 | ||||
Ticker: NKE | |||||||||||
CUSIP: 654106103 | ISIN: US6541061031 | SEDOL: 2640147 Proxy Level: 3 | Meeting ID: 528568 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Jill K. Conway | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Alan B. Graf, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director John C. Lechleiter | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
2 | Amend Qualified Employee Stock Purchase Plan | Mgmt | Yes | For | For | For | For | |||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
Oracle Corp. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
07-Oct-09 USA | 68389X105 | Annual | 10-Aug-09 | 100,000 | 100,000 | 100,000 | 0 | |||
Ticker: ORCL | ||||||||||
CUSIP: 68389X105 | ISIN: US68389X1054 SEDOL: 2661568 | Proxy Level: 3 | Meeting ID: 531656 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1.1 | Elect Director Jeffrey S. Berg | Mgmt | Yes | For | Withhold | Withhold | Withhold | |||
1.2 | Elect Director H. Raymond Bingham | Mgmt | Yes | For | For | For | For | |||
1.3 | Elect Director Michael J. Boskin | Mgmt | Yes | For | For | For | For | |||
1.4 | Elect Director Safra A. Catz | Mgmt | Yes | For | For | For | For | |||
1.5 | Elect Director Bruce R. Chizen | Mgmt | Yes | For | For | For | For | |||
1.6 | Elect Director George H. Conrades | Mgmt | Yes | For | For | For | For | |||
1.7 | Elect Director Lawrence J. Ellison | Mgmt | Yes | For | For | For | For | |||
1.8 | Elect Director Hector Garcia-Molina | Mgmt | Yes | For | Withhold | Withhold | Withhold | |||
1.9 | Elect Director Jeffrey O. Henley | Mgmt | Yes | For | For | For | For | |||
1.10 | Elect Director Donald L. Lucas | Mgmt | Yes | For | For | For | For | |||
1.11 | Elect Director Charles E. Phillips, Jr. | Mgmt | Yes | For | For | For | For | |||
1.12 | Elect Director Naomi O. Seligman | Mgmt | Yes | For | Withhold | Withhold | Withhold | |||
2 | Approve Executive Incentive Bonus Plan | Mgmt | Yes | For | For | For | For | |||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
4 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
5 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | ||||
6 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | ||||
The Procter & Gamble | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Company | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
13-Oct-09 USA | 742718109 | Annual | 14-Aug-09 | 20,000 | 20,000 | 20,000 | 0 | ||||
Ticker: PG | |||||||||||
CUSIP: 742718109 | ISIN: US7427181091 SEDOL: 2704407 Proxy Level: 3 | Meeting ID: 531953 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Kenneth I. Chenault | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Scott D. Cook | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Rajat K. Gupta | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director A.G. Lafley | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Charles R. Lee | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Lynn M. Martin | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Robert A. McDonald | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director W. James McNerney, Jr. | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Johnathan A. Rodgers | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Ralph Snyderman | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director Mary Agnes Wilderotter | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director Patricia A. Woertz | Mgmt | Yes | For | For | For | For | ||||
13 | Elect Director Ernesto Zedillo | Mgmt | Yes | For | For | For | For | ||||
14 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
15 | Amend Code of Regulations | Mgmt | Yes | For | For | For | For | ||||
16 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
17 | Provide for Cumulative Voting | SH | Yes | Against | For | For | For | |||
18 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | |||
Parker-Hannifin Corporation Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
28-Oct-09 USA | 701094104 | Annual | 31-Aug-09 | 25,000 | 25,000 | 25,000 | 0 | |||
Ticker: PH | ||||||||||
CUSIP: 701094104 | ISIN: US7010941042 SEDOL: 2671501 Proxy Level: 3 | Meeting ID: 536503 | ||||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1.1 | Elect Director William E. Kassling | Mgmt | Yes | For | For | For | For | |||
1.2 | Elect Director Robert J. Kohlhepp | Mgmt | Yes | For | For | For | For | |||
1.3 | Elect Director Giulio Mazzalupi | Mgmt | Yes | For | For | For | For | |||
1.4 | Elect Director Klaus-Peter Muller | Mgmt | Yes | For | For | For | For | |||
1.5 | Elect Director Joseph M. Scaminace | Mgmt | Yes | For | For | For | For | |||
1.6 | Elect Director Wolfgang R. Schmitt | Mgmt | Yes | For | For | For | For | |||
1.7 | Elect Director Markos I. Tambakeras | Mgmt | Yes | For | For | For | For | |||
1.8 | Elect Director James L. Wainscott | Mgmt | Yes | For | For | For | For | |||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
3 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
4 | Require Independent Board Chairman | SH | Yes | Against | Against | Against | Against | ||||
Noble Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
29-Oct-09 Switzerland | H5833 | N103 | Special | 04-Sep-09 | 48,000 | 48,000 | 48,000 | ||||
Ticker: N/A | |||||||||||
CUSIP: H5833N103 | ISIN: CH0033347318 SEDOL: B3K8ZK9 | Proxy Level: N/A | Meeting ID: 535215 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
This is a duplicate meeting for ballots received via the | Mgmt | No | None | None | None | None | |||||
Broadridge North American Ballot distribution system. | |||||||||||
1.1 | Director Gordon T. Hall | Mgmt | Yes | For | For | For | For | ||||
1.2 | Director Jon A. Marshall | Mgmt | Yes | For | For | For | For | ||||
2 | Approval Of The Amendment And Restatement Of The Noble | Mgmt | Yes | For | Against | Against | Against | ||||
Corporation 1991 Stock Option And Restricted Stock Plan | |||||||||||
effective As Of October 29, 2009 | |||||||||||
Cisco Systems, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
12-Nov-09 USA | 17275 | R102 | Annual | 14-Sep-09 | 86,000 | 86,000 | 86,000 | ||||
Ticker: CSCO | |||||||||||
CUSIP: 17275R102 | ISIN: US17275R1023 SEDOL: 2198163 | Proxy Level: 3 | Meeting ID: 535870 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1 | Elect Director Carol A. Bartz | Mgmt | Yes | For | For | For | For |
2 | Elect Director M. Michele Burns | Mgmt | Yes | For | For | For | For |
3 | Elect Director Michael D. Capellas | Mgmt | Yes | For | For | For | For |
4 | Elect Director Larry R. Carter | Mgmt | Yes | For | For | For | For |
5 | Elect Director John T. Chambers | Mgmt | Yes | For | For | For | For |
6 | Elect Director Brian L. Halla | Mgmt | Yes | For | For | For | For |
7 | Elect Director John L. Hennessy | Mgmt | Yes | For | For | For | For |
8 | Elect Director Richard M. Kovacevich | Mgmt | Yes | For | For | For | For |
9 | Elect Director Roderick C. McGeary | Mgmt | Yes | For | For | For | For |
10 | Elect Director Michael K. Powell | Mgmt | Yes | For | For | For | For |
11 | Elect Director Arun Sarin | Mgmt | Yes | For | For | For | For |
12 | Elect Director Steven M. West | Mgmt | Yes | For | For | For | For |
13 | Elect Director Jerry Yang | Mgmt | Yes | For | For | For | For |
14 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For |
15 | Amend Qualified Employee Stock Purchase Plan | Mgmt | Yes | For | For | For | For |
16 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
17 | Amend Bylaws to Establish a Board Committee on Human Rights | SH | Yes | Against | Against | Against | Against |
18 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For |
19 | Report on Internet Fragmentation | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Microsoft Corporation | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
19-Nov-09 USA | 594918104 | Annual | 04-Sep-09 | 86,000 | 86,000 | 86,000 | 0 | ||||
Ticker: MSFT | |||||||||||
CUSIP: 594918104 | ISIN: US5949181045 SEDOL: 2588173 Proxy Level: 3 | Meeting ID: 537045 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director William H. Gates, III | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Steven A. Ballmer | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Dina Dublon | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Raymond V. Gilmartin | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Reed Hastings | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Maria Klawe | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director David F. Marquardt | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Charles H. Noski | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Helmut Panke | Mgmt | Yes | For | For | For | For | ||||
10 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
11 | Permit Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | ||||
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | ||||
13 | Adopt Principles for Health Care Reform | SH | Yes | Against | Against | Against | Against |
* Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions.
Page 9 of 59
14 | Report on Charitable Contributions | SH | Yes | Against | Against | Against | Against | ||||
Costco Wholesale | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Corporation | Date | ID | Type | Date | Voted | Instructed | Available | Loan | |||
28-Jan-10 USA | 22160 | K105 | Annual | 23-Nov-09 | 18,000 | 18,000 | 18,000 | ||||
Ticker: COST | |||||||||||
CUSIP: 22160K105 | ISIN: US22160K1051 SEDOL: 2701271 | Proxy Level: 3 | Meeting ID: 547375 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director B.S. Carson, Sr., M.D. | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director William H. Gates | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Hamilton E. James | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Jill S. Ruckelshaus | Mgmt | Yes | For | For | For | For | ||||
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
Emerson Electric Co. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan | ||||
02-Feb-10 USA | 291011104 | Annual | 24-Nov-09 | 27,500 | 27,500 | 27,500 | |||||
Ticker: EMR | |||||||||||
CUSIP: 291011104 | ISIN: US2910111044 SEDOL: 2313405 | Proxy Level: 3 | Meeting ID: 547041 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director C. A. H. Boersig | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director C. Fernandez G. | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director W. J. Galvin | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director R. L. Stephenson | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director V. R. Loucks, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director R. L. Ridgway | Mgmt | Yes | For | For | For | For | ||||
2 | Amend Executive Incentive Bonus Plan | Mgmt | Yes | For | For | For | For | ||||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
Accenture plc | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan | ||||
04-Feb-10 Ireland | G1151 | C101 | Annual | 14-Dec-09 | 30,000 | 30,000 | 30,000 | ||||
Ticker: N/A | |||||||||||
CUSIP: G1151C101 | ISIN: IE00B4BNMY34 SEDOL: B412KX5 | Proxy Level: N/A | Meeting ID: 547982 |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Reelect William L. Kimsey as a Director | Mgmt | Yes | For | For | For | For | |||||
1.2 | Reelect Robert I. Lipp as a Director | Mgmt | Yes | For | For | For | For | |||||
1.3 | Reelect Wulf von Schimmelmann as a Director | Mgmt | Yes | For | For | For | For | |||||
2 | Approve KPMG as Auditors and Authorize Board to Fix Their | Mgmt | Yes | For | For | For | For | |||||
Remuneration | ||||||||||||
3 | Approve 2010 Share Incentive Plan | Mgmt | Yes | For | Against | Against | Against | |||||
4 | Approve 2010 Employee Share Purchase Plan | Mgmt | Yes | For | For | For | For | |||||
5 | Change Location of Annual Meeting | Mgmt | Yes | For | For | For | For | |||||
6 | Authorize Open-Market Purchases of Class A Ordinary Shares | Mgmt | Yes | For | For | For | For | |||||
7 | Authorize Board to Determine Price Range for the Issuance of | Mgmt | Yes | For | For | For | For | |||||
Acquired Treasury Stock | ||||||||||||
Rockwell Collins, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
09-Feb-10 USA | 774341101 | Annual | 11-Dec-09 | 17,000 | 17,000 | 17,000 | 0 | |||||
Ticker: COL | ||||||||||||
CUSIP: 774341101 | ISIN: US7743411016 SEDOL: 2767228 Proxy Level: 3 | Meeting ID: 547938 | ||||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director Donald R. Beall | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Mark Donegan | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Andrew J. Policano | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | |||||
Burlington Northern Santa | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Fe Corp. | Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
11-Feb-10 USA | 12189 | T104 | Special | 18-Dec-09 | 12,000 | 12,000 | 12,000 | 0 | ||||
Ticker: BNI | ||||||||||||
CUSIP: 12189T104 | ISIN: US12189T1043 SEDOL: 2154927 Proxy Level: 5 | Meeting ID: 548475 | ||||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1 | Approve Merger Agreement | Mgmt | Yes | For | For | For | For | ||||
2 | Adjourn Meeting | Mgmt | Yes | For | For | For | For | ||||
Bank of America Corp. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
23-Feb-10 USA | 060505104 | Special | 07-Jan-10 | 99,000 | 99,000 | 99,000 | 0 | ||||
Ticker: BAC | |||||||||||
CUSIP: 060505104 | ISIN: US0605051046 SEDOL: 2295677 | Proxy Level: 2 | Meeting ID: 550628 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Increase Authorized Common Stock | Mgmt | Yes | For | For | For | For | ||||
2 | Adjourn Meeting | Mgmt | Yes | For | For | For | For | ||||
Apple Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
25-Feb-10 USA | 037833100 | Annual | 28-Dec-09 | 14,000 | 14,000 | 14,000 | 0 | ||||
Ticker: AAPL | |||||||||||
CUSIP: 037833100 | ISIN: US0378331005 SEDOL: 2046251 | Proxy Level: 3 | Meeting ID: 549366 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director William V. Campbell | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Millard S. Drexler | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Albert A. Gore, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Steven P. Jobs | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Andrea Jung | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Arthur D. Levinson | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director Jerome B. York | Mgmt | Yes | For | For | For | For | ||||
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
3 | Amend Non-Employee Director Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
4 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | ||||
5 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
6 | Prepare Sustainability Report | SH | Yes | Against | Against | Against | Against | ||||
7 | Establish Other Board Committee | SH | Yes | Against | Against | Against | Against | ||||
QUALCOMM Incorporated | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
02-Mar-10 USA | 747525103 | Annual | 04-Jan-10 | 24,000 | 24,000 | 24,000 | 0 | ||||
Ticker: QCOM | |||||||||||
CUSIP: 747525103 | ISIN: US7475251036 SEDOL: 2714923 Proxy Level: 3 | Meeting ID: 549938 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Barbara T. Alexander | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.2 | Elect Director Stephen M. Bennett | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Donald G. Cruickshank | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director Raymond V. Dittamore | Mgmt | Yes | For | For | For | For | |||||
1.5 | Elect Director Thomas W. Horton | Mgmt | Yes | For | For | For | For | |||||
1.6 | Elect Director Irwin Mark Jacobs | Mgmt | Yes | For | For | For | For | |||||
1.7 | Elect Director Paul E. Jacobs | Mgmt | Yes | For | For | For | For | |||||
1.8 | Elect Director Robert E. Kahn | Mgmt | Yes | For | For | For | For | |||||
1.9 | Elect Director Sherry Lansing | Mgmt | Yes | For | For | For | For | |||||
1.10 | Elect Director Duane A. Nelles | Mgmt | Yes | For | For | For | For | |||||
1.11 | Elect Director Brent Scowcroft | Mgmt | Yes | For | For | For | For | |||||
1.12 | Elect Director Marc I. Stern | Mgmt | Yes | For | For | For | For | |||||
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | |||||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
The Walt Disney Company | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares Shares on | |||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||||
10-Mar-10 USA | 254687106 | Annual | 11-Jan-10 | 35,000 | 35,000 | 35,000 | 0 | |||||
Ticker: DIS | ||||||||||||
CUSIP: 254687106 | ISIN: US2546871060 | SEDOL: 2270726 | Proxy Level: 3 | Meeting ID: 551191 | ||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1 | Elect Director Susan E. Arnold | Mgmt | Yes | For | For | For | For | |||||
2 | Elect Director John E. Bryson | Mgmt | Yes | For | For | For | For | |||||
3 | Elect Director John S. Chen | Mgmt | Yes | For | For | For | For | |||||
4 | Elect Director Judith L. Estrin | Mgmt | Yes | For | For | For | For | |||||
5 | Elect Director Robert A. Iger | Mgmt | Yes | For | For | For | For | |||||
6 | Elect Director Steven P. Jobs | Mgmt | Yes | For | For | For | For | |||||
7 | Elect Director Fred H. Langhammer | Mgmt | Yes | For | For | For | For | |||||
8 | Elect Director Aylwin B. Lewis | Mgmt | Yes | For | For | For | For | |||||
9 | Elect Director Monica C. Lozano | Mgmt | Yes | For | For | For | For | |||||
10 | Elect Director Robert W. Matschullat | Mgmt | Yes | For | For | For | For | |||||
11 | Elect Director John E. Pepper, Jr. | Mgmt | Yes | For | For | For | For | |||||
12 | Elect Director Sheryl Sandberg | Mgmt | Yes | For | For | For | For | |||||
13 | Elect Director Orin C. Smith | Mgmt | Yes | For | For | For | For | |||||
14 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
15 | Amend Omnibus Stock Plan | Mgmt | Yes | For | Against | Against | Against | ||||
16 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | ||||
17 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | ||||
18 | Amend Articles of Incorporation to Delete Certain Tracking Stock | Mgmt | Yes | For | For | For | For | ||||
Provisions | |||||||||||
19 | Amend Articles of Incorporation to Delete Classified Board | Mgmt | Yes | For | For | For | For | ||||
Transition Provisions | |||||||||||
20 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | ||||
21 | Amend EEO Policy to Prohibit Discrimination Based on Ex-Gay | SH | Yes | Against | Against | Against | Against | ||||
Status | |||||||||||
Delaware Funds | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
16-Mar-10 USA | Special | 18-Sep-09 | 617 | 617 | 617 | 0 | |||||
Ticker: N/A | |||||||||||
CUSIP: N/A | ISIN: N/A | SEDOL: N/A | Proxy Level: 2 | Meeting ID: 538045 | |||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Trustee Thomas L. Bennett | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Trustee Patrick P. Coyne | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Trustee John A. Fry | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Trustee Anthony D. Knerr | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Trustee Lucinda S. Landreth | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Trustee Ann R. Leven | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Trustee Thomas F. Madison | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.8 | Elect Trustee Janet L. Yeomans | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Trustee J. Richard Zecher | Mgmt | Yes | For | For | For | For | ||||
2 | Approve Investment Advisory Agreement | Mgmt | Yes | For | For | For | For | ||||
Franklin Resources, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
16-Mar-10 USA | 354613101 | Annual | 19-Jan-10 | 13,000 | 13,000 | 13,000 | 0 | ||||
Ticker: BEN | |||||||||||
CUSIP: 354613101 | ISIN: US3546131018 SEDOL: 2350684 | Proxy Level: 3 | Meeting ID: 551676 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Samuel H. Armacost | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Charles Crocker | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Joseph R. Hardiman | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Robert D. Joffe | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Charles B. Johnson | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Gregory E. Johnson | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director Rupert H. Johnson, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director Thomas H. Kean | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director Chutta Ratnathicam | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director Peter M. Sacerdote | Mgmt | Yes | For | For | For | For | ||||
1.11 | Elect Director Laura Stein | Mgmt | Yes | For | For | For | For | ||||
1.12 | Elect Director Anne M. Tatlock | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
Hewlett-Packard Company | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
17-Mar-10 USA | 428236103 | Annual | 19-Jan-10 | 50,000 | 50,000 | 50,000 | 0 | ||||
Ticker: HPQ | |||||||||||
CUSIP: 428236103 | ISIN: US4282361033 SEDOL: 2424006 | Proxy Level: 3 | Meeting ID: 552069 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Marc L. Andreessen | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Lawrence T. Babbio, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Sari M. Baldauf | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Rajiv L. Gupta | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.5 | Elect Director John H. Hammergren | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Mark V. Hurd | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director Joel Z. Hyatt | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director John R. Joyce | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director Robert L. Ryan | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director Lucille S. Salhany | Mgmt | Yes | For | For | For | For | ||||
1.11 | Elect Director G. Kennedy Thompson | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
4 | Company Request on Advisory Vote on Executive Compensation | Mgmt | Yes | For | For | For | For | ||||
Carnival Corp. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
13-Apr-10 Panama | 143658300 | Annual | 12-Feb-10 | 9,000 | 9,000 | 9,000 | 0 | ||||
Ticker: CCL | |||||||||||
CUSIP: 143658300 | ISIN: PA1436583006 | SEDOL: 2523044 Proxy Level: N/A | Meeting ID: 557539 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Reelect Micky Arison As A Director Of Carnival Corporation And | Mgmt | Yes | For | For | For | For | ||||
As A Director Of Carnival Plc. | |||||||||||
2 | Elect Sir Jonathon Band As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For | ||||
And As A Director Of Carnival Plc. | |||||||||||
3 | Reelect Robert H. Dickinson As A Director Of Carnival | Mgmt | Yes | For | For | For | For | ||||
Corporation And As A Director Of Carnival Plc. | |||||||||||
4 | Reelect Arnold W. Donald As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For | ||||
And As A Director Of Carnival Plc. | |||||||||||
5 | Reelect Pier Luigi Foschi As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For | ||||
And As A Director Of Carnival Plc. | |||||||||||
6 | Reelect Howard S. Frank As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For | ||||
And As A Director Of Carnival Plc. | |||||||||||
7 | Reelect Richard J. Glasier As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For | ||||
And As A Director Of Carnival Plc. | |||||||||||
8 | Reelect Modesto A. Maidique As A Director Of Carnival | Mgmt | Yes | For | For | For | For | ||||
Corporation And As A Director Of Carnival Plc. |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
9 | Reelect Sir John Parker As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For |
And As A Director Of Carnival Plc. | |||||||
10 | Reelect Peter G. Ratcliffe As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For |
And As A Director Of Carnival Plc. | |||||||
11 | Reelect Stuart Subotnick As A Director Of Carnival Corporation | Mgmt | Yes | For | For | For | For |
And As A Director Of Carnival Plc. | |||||||
12 | Reelect Laura Weil As A Director Of Carnival Corporation And As | Mgmt | Yes | For | For | For | For |
A Director Of Carnival Plc. | |||||||
13 | Reelect Randall J. Weisenburger As A Director Of Carnival | Mgmt | Yes | For | For | For | For |
Corporation And As A Director Of Carnival Plc. | |||||||
14 | Reelect Uzi Zucker As A Director Of Carnival Corporation And As | Mgmt | Yes | For | For | For | For |
A Director Of Carnival Plc. | |||||||
15 | Reappoint The UK Firm Of PricewaterhouseCoopers LLP As | Mgmt | Yes | For | For | For | For |
Independent Auditors For Carnival Plc And Ratify The U.S. Firm | |||||||
Of PricewaterhouseCoopers LLP As The Independent Auditor For | |||||||
Carnival Corporation. | |||||||
16 | Authorize The Audit Committee Of Carnival Plc To Fix | Mgmt | Yes | For | For | For | For |
Remuneration Of The Independent Auditors Of Carnival Plc. | |||||||
17 | Receive The UK Accounts And Reports Of The Directors And | Mgmt | Yes | For | For | For | For |
Auditors Of Carnival Plc For The Year Ended November 30, 2009 | |||||||
18 | Approve The Directors Remuneration Report Of Carnival Plc For | Mgmt | Yes | For | For | For | For |
The Year Ended November 30, 2009 | |||||||
19 | Authorize Issue of Equity with Pre-emptive Rights | Mgmt | Yes | For | For | For | For |
20 | Authorize Issue of Equity without Pre-emptive Rights | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
21 | Authorise Shares for Market Purchase | Mgmt | Yes | For | For | For | For | ||||
22 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | ||||
23 | Transact Other Business (Non-Voting) | Mgmt | No | ||||||||
The Bank of New York | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares Shares on | ||||
Mellon Corporation | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
13-Apr-10 USA | 064058100 | Annual | 12-Feb-10 | 52,830 | 52,830 | 52,830 | 0 | ||||
Ticker: BK | |||||||||||
CUSIP: 064058100 | ISIN: US0640581007 SEDOL: B1Z77F6 Proxy Level: 3 | Meeting ID: 562351 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Ruth E. Bruch | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Nicholas M. Donofrio | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Gerald L. Hassell | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Edmund F. Kelly | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Robert P. Kelly | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Richard J. Kogan | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director Michael J. Kowalski | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director John A. Luke, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director Robert Mehrabian | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director Mark A. Nordenberg | Mgmt | Yes | For | For | For | For | ||||
1.11 | Elect Director Catherine A. Rein | Mgmt | Yes | For | For | For | For | ||||
1.12 | Elect Director William C. Richardson | Mgmt | Yes | For | For | For | For | ||||
1.13 | Elect Director Samuel C. Scott III | Mgmt | Yes | For | For | For | For | ||||
1.14 | Elect Director John P. Surma | Mgmt | Yes | For | For | For | For | ||||
1.15 | Elect Director Wesley W. von Schack | Mgmt | Yes | For | For | For | For | ||||
2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | ||||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
4 | Provide for Cumulative Voting | SH | Yes | Against | For | For | For | |||||
5 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | |||||
6 | Submit Severance Agreement (Change-in-Control) to | SH | Yes | Against | For | For | For | |||||
Shareholder Vote | ||||||||||||
T. Rowe Price Group, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
14-Apr-10 USA | 74144 | T108 | Annual | 12-Feb-10 | 50,000 | 50,000 | 50,000 | 0 | ||||
Ticker: TROW | ||||||||||||
CUSIP: 74144T108 | ISIN: US74144T1088 SEDOL: 2702337 | Proxy Level: 1 | Meeting ID: 558723 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1 | Elect Director Edward C. Bernard | Mgmt | Yes | For | For | For | For | |||||
2 | Elect Director James T. Brady | Mgmt | Yes | For | For | For | For | |||||
3 | Elect Director J. Alfred Broaddus, Jr. | Mgmt | Yes | For | For | For | For | |||||
4 | Elect Director Donald B. Hebb, Jr. | Mgmt | Yes | For | For | For | For | |||||
5 | Elect Director James A.C. Kennedy | Mgmt | Yes | For | For | For | For | |||||
6 | Elect Director Brian C. Rogers | Mgmt | Yes | For | For | For | For | |||||
7 | Elect Director Alfred Sommer, PHD | Mgmt | Yes | For | For | For | For | |||||
8 | Elect Director Dwight S. Taylor | Mgmt | Yes | For | For | For | For | |||||
9 | Elect Director Anne Marie Whittemore | Mgmt | Yes | For | For | For | For | |||||
10 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
United Technologies | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Corporation | Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
14-Apr-10 USA | 913017109 | Annual | 16-Feb-10 | 21,000 | 21,000 | 21,000 | 0 | |||||
Ticker: UTX | ||||||||||||
CUSIP: 913017109 | ISIN: US9130171096 SEDOL: 2915500 | Proxy Level: 3 | Meeting ID: 557661 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director Louis R. Chenevert | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director John V. Faraci | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Jean-Pierre Garnier, Ph.D. | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.4 | Elect Director Jamie S. Gorelick | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Carlos M. Gutierrez | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Edward A. Kangas | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director Charles R. Lee | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director Richard D. McCormick | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director Harold McGraw, III | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director Richard B. Myers | Mgmt | Yes | For | For | For | For | ||||
1.11 | Elect Director H. Patrick Swygert | Mgmt | Yes | For | For | For | For | ||||
1.12 | Elect Director Andre Villeneuve | Mgmt | Yes | For | For | For | For | ||||
1.13 | Elect Director Christine Todd Whitman | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | ||||
BP plc | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
15-Apr-10 United Kingdom | G12793108 | Annual | 19-Feb-10 | 50,000 | 50,000 | 50,000 | 0 | ||||
Ticker: N/A | |||||||||||
CUSIP: G12793108 | ISIN: GB0007980591 | SEDOL: 0798059 Proxy Level: N/A | Meeting ID: 561735 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
Meeting for ADR Holders | Mgmt | No | |||||||||
1 | To Receive The Directors Annual Report And Accounts | Mgmt | Yes | For | For | For | For | ||||
2 | To Approve The Directors Remuneration Report | Mgmt | Yes | For | For | For | For | ||||
3 | To Elect P Anderson As A Director | Mgmt | Yes | For | For | For | For | ||||
4 | To Re-elect A Burgmans As A Director | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
5 | To Re-elect C B Carroll As A Director | Mgmt | Yes | For | For | For | For |
6 | To Re-elect William Castell As A Director | Mgmt | Yes | For | For | For | For |
7 | To Re-elect I C Conn As A Director | Mgmt | Yes | For | For | For | For |
8 | To Re-elect G David As A Director | Mgmt | Yes | For | For | For | For |
9 | To Elect I E L Davis As A Director | Mgmt | Yes | For | For | For | For |
10 | To Re-elect R Dudley As A Director | Mgmt | Yes | For | For | For | For |
11 | To Re-elect D J Flint As A Director | Mgmt | Yes | For | For | For | For |
12 | To Re-elect B E Grote As A Director | Mgmt | Yes | For | For | For | For |
13 | To Re-elect A B Hayward As A Director | Mgmt | Yes | For | For | For | For |
14 | To Re-elect A G Inglis As A Director | Mgmt | Yes | For | For | For | For |
15 | To Re-elect D S Julius As A Director | Mgmt | Yes | For | For | For | For |
16 | To Elect C-H Svanberg As A Director | Mgmt | Yes | For | For | For | For |
17 | To Reappoint Ernst & Young Llp As Auditors And Authorize The | Mgmt | Yes | For | For | For | For |
board To Fix Their Remuneration | |||||||
18 | To Adopt New Articles Of Association | Mgmt | Yes | For | For | For | For |
19 | To Give Limited Authority For The Purchaseof Its Own Shares By | Mgmt | Yes | For | For | For | For |
The Company | |||||||
20 | To Give Limited Authority To Allot Shares Up To A Specified | Mgmt | Yes | For | For | For | For |
amount | |||||||
21 | To Give Authority To Allot A Limited Number of Shares For Cash | Mgmt | Yes | For | For | For | For |
Free Of Pre-emption Rights | |||||||
22 | To Authorize The Calling Of General Meetings(excluding Annual | Mgmt | Yes | For | For | For | For |
General Meetings) By Notice Of At Least 14 clear Days | |||||||
23 | To Approve The Renewal Of The Executive Directors Incentive | Mgmt | Yes | For | For | For | For |
Plan | |||||||
24 | To Approve The Scrip Dividend Programme | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Shareholder Proposal | Mgmt | No | |||||||||
25 | Special Resolution: To Instruct A Committee Of The Board To | SH | Yes | Against | Against | Against | Against | ||||
Review The Assumptions Behind The Sunrise Project | |||||||||||
Adobe Systems | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Incorporated | Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
16-Apr-10 USA | 00724 | F101 | Annual | 22-Feb-10 | 38,000 | 38,000 | 38,000 | 0 | |||
Ticker: ADBE | |||||||||||
CUSIP: 00724F101 | ISIN: US00724F1012 SEDOL: 2008154 | Proxy Level: 3 | Meeting ID: 558459 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Edward W. Barnholt | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Michael R. Cannon | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director James E. Daley | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Charles M. Geschke | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Shantanu Narayen | Mgmt | Yes | For | For | For | For | ||||
6 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
7 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
Johnson & Johnson | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
22-Apr-10 USA | 478160104 | Annual | 23-Feb-10 | 25,000 | 25,000 | 25,000 | 0 | ||||
Ticker: JNJ | |||||||||||
CUSIP: 478160104 | ISIN: US4781601046 SEDOL: 2475833 | Proxy Level: 3 | Meeting ID: 562814 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Mary Sue Coleman | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director James G. Culien | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Michael M. E. Johns | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Susan L. Lindquist | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Anne M. Mulcahy | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Lea F. Mullin | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director William D. Perez | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
8 | Elect Director Charles Prince | Mgmt | Yes | For | For | For | For | |||
9 | Elect Director David Satcher | Mgmt | Yes | For | For | For | For | |||
10 | Elect Director William C. Welcon | Mgmt | Yes | For | For | For | For | |||
11 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
12 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | ||||
13 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | |||
Lockheed Martin | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Corporation | Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||
22-Apr-10 USA | 539830109 | Annual | 01-Mar-10 | 19,200 | 19,200 | 19,200 | 0 | |||
Ticker: LMT | ||||||||||
CUSIP: 539830109 | ISIN: US5398301094 SEDOL: 2522096 | Proxy Level: 2 | Meeting ID: 559444 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director E. C. "Pete" Aldrige, Jr. | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director Nolan D. Archibald | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director David B. Burritt | Mgmt | Yes | For | For | For | For | |||
4 | Elect Director James O. Ellis, Jr. | Mgmt | Yes | For | For | For | For | |||
5 | Elect Director Gwendolyn S. King | Mgmt | Yes | For | For | For | For | |||
6 | Elect Director James M. Loy | Mgmt | Yes | For | For | For | For | |||
7 | Elect Director Douglas H. McCorkindale | Mgmt | Yes | For | For | For | For | |||
8 | Elect Director Joseph W. Ralston | Mgmt | Yes | For | For | For | For | |||
9 | Elect Director James Schneider | Mgmt | Yes | For | For | For | For | |||
10 | Elect Director Anne Stevens | Mgmt | Yes | For | For | For | For | |||
11 | Elect Director Robert J. Stevens | Mgmt | Yes | For | For | For | For | |||
12 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
13 | Report on Space-based Weapons Program | SH | Yes | Against | Against | Against | Against | |||
Abbott Laboratories | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
23-Apr-10 USA | 002824100 | Annual | 24-Feb-10 | 35,000 | 35,000 | 35,000 | 0 | |||
Ticker: ABT |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
CUSIP: 002824100 | ISIN: US0028241000 | SEDOL: 2002305 | Proxy Level: 3 | Meeting ID: 562331 | |||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director R.J. Alpern | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director R.S. Austin | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director W.M. Daley | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
1.4 | Elect Director W.J. Farrell | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
1.5 | Elect Director H.L. Fuller | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
1.6 | Elect Director W.A. Osborn | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
1.7 | Elect Director D.A.L. Owen | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director R.S. Roberts | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director S.C. Scott, III | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director W.D. Smithburg | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
1.11 | Elect Director G.F. Tilton | Mgmt | Yes | For | For | For | For | ||||
1.12 | Elect Director M.D. White | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | |||||
4 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | ||||
Kellogg Company | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
23-Apr-10 USA | 487836108 | Annual | 02-Mar-10 | 29,000 | 29,000 | 29,000 | 0 | ||||
Ticker: K | |||||||||||
CUSIP: 487836108 | ISIN: US4878361082 | SEDOL: 2486813 | Proxy Level: 2 | Meeting ID: 559765 | |||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Benjamin Carson | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Gordon Gund | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Dorothy Johnson | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.4 | Elect Director Ann McLaughlin Korologos | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Reduce Supermajority Vote Requirement | SH | Yes | Against | For | For | For | ||||
American Express Company Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | ||||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
26-Apr-10 USA | 025816109 | Annual | 26-Feb-10 | 40,000 | 40,000 | 40,000 | 0 | ||||
Ticker: AXP | |||||||||||
CUSIP: 025816109 | ISIN: US0258161092 | SEDOL: 2026082 Proxy Level: 3 | Meeting ID: 561598 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Daniel F. Akerson | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Charlene Barshefsky | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Ursula M. Burns | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Kenneth I. Chenault | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Peter Chernin | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Jan Leschly | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director Richard C. Levin | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director Richard A. McGinn | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director Edward .D. Miller | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director Steven S. Reinemund | Mgmt | Yes | For | For | For | For | ||||
1.11 | Elect Director Robert D. Walter | Mgmt | Yes | For | For | For | For | ||||
1.12 | Elect Director Ronald A. Williams | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | Against | Against | Against | ||||
4 | Provide for Cumulative Voting | SH | Yes | Against | For | For | For | ||||
5 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
6 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | |||||
Exelon Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan | |||||
27-Apr-10 USA | 30161 | N101 | Annual | 01-Mar-10 | 12,000 | 12,000 | 12,000 | |||||
Ticker: EXC | ||||||||||||
CUSIP: 30161N101 | ISIN: US30161N1019 SEDOL: 2670519 | Proxy Level: 3 | Meeting ID: 561304 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1 | Elect Director John A. Canning, Jr. | Mgmt | Yes | For | For | For | For | |||||
2 | Elect Director M. Walter D'Alessio | Mgmt | Yes | For | For | For | For | |||||
3 | Elect Director Nicholas DeBenedictis | Mgmt | Yes | For | For | For | For | |||||
4 | Elect Director Bruce DeMars | Mgmt | Yes | For | For | For | For | |||||
5 | Elect Director Nelson A. Diaz | Mgmt | Yes | For | For | For | For | |||||
6 | Elect Director Sue L. Gin | Mgmt | Yes | For | For | For | For | |||||
7 | Elect Director Rosemarie B. Greco | Mgmt | Yes | For | For | For | For | |||||
8 | Elect Director Paul L. Joskow | Mgmt | Yes | For | For | For | For | |||||
9 | Elect Director Richard W. Mies | Mgmt | Yes | For | For | For | For | |||||
10 | Elect Director John M. Palms | Mgmt | Yes | For | For | For | For | |||||
11 | Elect Director William C. Richardson | Mgmt | Yes | For | For | For | For | |||||
12 | Elect Director Thomas J. Ridge | Mgmt | Yes | For | For | For | For | |||||
13 | Elect Director John W. Rogers, Jr. | Mgmt | Yes | For | For | For | For | |||||
14 | Elect Director John W. Rowe | Mgmt | Yes | For | For | For | For | |||||
15 | Elect Director Stephen D. Steinour | Mgmt | Yes | For | For | For | For | |||||
16 | Elect Director Don Thompson | Mgmt | Yes | For | For | For | For | |||||
17 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | |||||
18 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
International Business | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares | ||||
Machines Corporation | Date | ID | Type | Date | Voted | Instructed | Available | Loan | ||||
27-Apr-10 USA | 459200101 | Annual | 26-Feb-10 | 25,000 | 25,000 | 25,000 | ||||||
Ticker: IBM | ||||||||||||
CUSIP: 459200101 | ISIN: US4592001014 SEDOL: 2005973 | Proxy Level: 3 | Meeting ID: 559916 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1 | Elect Director A. J. P. Belda | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director C. Black | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director W. R. Brody | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director K. I. Chenault | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director M. L. Eskew | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director S. A. Jackson | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director A. N. Liveris | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director W. J. McNerney, Jr. | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director T. Nishimuro | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director J. W. Owens | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director S. J. Palmisano | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director J. E. Spero | Mgmt | Yes | For | For | For | For | ||||
13 | Elect Director S. Taurel | Mgmt | Yes | For | For | For | For | ||||
14 | Elect Director L. H. Zambrano | Mgmt | Yes | For | For | For | For | ||||
15 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
16 | Adopt Policy on Bonus Banking | SH | Yes | Against | For | For | For | ||||
17 | Provide for Cumulative Voting | SH | Yes | Against | For | For | For | ||||
18 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | ||||
19 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | ||||
L-3 Communications | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Holdings, Inc. | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
27-Apr-10 USA | 502424104 | Annual | 01-Mar-10 | 20,000 | 20,000 | 20,000 | 0 | ||||
Ticker: LLL | |||||||||||
CUSIP: 502424104 | ISIN: US5024241045 | SEDOL: 2247366 Proxy Level: 3 | Meeting ID: 561932 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Claude R. Canizares | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Thomas A. Corcoran | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.3 | Elect Director Lewis Kramer | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Alan H. Washkowitz | Mgmt | Yes | For | For | For | For | ||||
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
LAZARD LTD | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
27-Apr-10 Bermuda | G54050102 | Annual | 05-Mar-10 | 36,000 | 36,000 | 36,000 | 0 | ||||
Ticker: LAZ | |||||||||||
CUSIP: G54050102 | ISIN: BMG540501027 SEDOL: B081VQ7 Proxy Level: N/A | Meeting ID: 564625 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Laurent Mignon as Director | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
1.2 | Elect Gary W. Parr as Director | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Hal S. Scott as Director | Mgmt | Yes | For | Withhold | Withhold | Withhold | ||||
2 | Amend Bye-laws Re: Removal Procedure for Chairman and CEO | Mgmt | Yes | For | For | For | For | ||||
3 | Approve Deloitte & Touche LLP as Auditors and Authorize Board | Mgmt | Yes | For | For | For | For | ||||
to Fix Their Remuneration Auditors | |||||||||||
Praxair, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
27-Apr-10 USA | 74005 | P104 | Annual | 01-Mar-10 | 13,000 | 13,000 | 13,000 | 0 | |||
Ticker: PX | |||||||||||
CUSIP: 74005P104 | ISIN: US74005P1049 SEDOL: 2699291 Proxy Level: 1 | Meeting ID: 561294 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
Elect Director Stephen F. Angel | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Nance K. Dicciani | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Edward G. Galante | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Claire W. Gargalli | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Ira D. Hall | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director Raymond W. LeBoeuf | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.7 | Elect Director Larry D. Mcvay | Mgmt | Yes | For | For | For | For | |||
1.8 | Elect Director Wayne T. Smith | Mgmt | Yes | For | For | For | For | |||
1.9 | Elect Director Robert L. Wood | Mgmt | Yes | For | For | For | For | |||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
Stryker Corporation | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
27-Apr-10 USA | 863667101 | Annual | 01-Mar-10 | 21,300 | 21,300 | 21,300 | 0 | |||
Ticker: SYK | ||||||||||
CUSIP: 863667101 | ISIN: US8636671013 SEDOL: 2853688 | Proxy Level: 1 | Meeting ID: 562911 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1.1 | Elect Director Howard E. Cox, Jr. | Mgmt | Yes | For | For | For | For | |||
1.2 | Elect Director Srikant M. Datar, Ph.D. | Mgmt | Yes | For | For | For | For | |||
1.3 | Elect Director Donald M. Engelman, Ph.D. | Mgmt | Yes | For | For | For | For | |||
1.4 | Elect Director Louise L. Francesconi | Mgmt | Yes | For | For | For | For | |||
1.5 | Elect Director Howard L. Lance | Mgmt | Yes | For | For | For | For | |||
1.6 | Elect Director Stephen P. MacMillan | Mgmt | Yes | For | For | For | For | |||
1.7 | Elect Director William U. Parfet | Mgmt | Yes | For | For | For | For | |||
1.8 | Elect Director Ronda E. Stryker | Mgmt | Yes | For | For | For | For | |||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
Bank of America Corporation Date Meeting Country | ID Primary Security | Type Meeting | Date Record | Shares Voted | Instructed Shares | Available Shares | Shares Loan on * | |||
28-Apr-10 USA | 060505104 | Annual | 03-Mar-10 | 99,000 | 99,000 | 99,000 | 0 | |||
Ticker: BAC | ||||||||||
CUSIP: 060505104 | ISIN: US0605051046 SEDOL: 2295677 | Proxy Level: 3 | Meeting ID: 562186 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director Susan S. Bies | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director William P. Boardman | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director Frank P. Bramble, Sr. | Mgmt | Yes | For | For | For | For | |||
4 | Elect Director Virgis W. Colbert | Mgmt | Yes | For | For | For | For | |||
5 | Elect Director Charles K. Gifford | Mgmt | Yes | For | For | For | For | |||
6 | Elect Director Charles O. Holliday, Jr. | Mgmt | Yes | For | For | For | For | |||
7 | Elect Director D. Paul Jones, Jr. | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
8 | Elect Director Monica C. Lozano | Mgmt | Yes | For | For | For | For |
9 | Elect Director Thomas J. May | Mgmt | Yes | For | For | For | For |
10 | Elect Director Brian T. Moynihan | Mgmt | Yes | For | For | For | For |
11 | Elect Director Donald E. Powell | Mgmt | Yes | For | For | For | For |
12 | Elect Director Charles O. Rossotti | Mgmt | Yes | For | For | For | For |
13 | Elect Director Robert W. Scully | Mgmt | Yes | For | For | For | For |
14 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
15 | Increase Authorized Common Stock | Mgmt | Yes | For | For | For | For |
16 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For |
17 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For |
18 | Report on Government Service of Employees | SH | Yes | Against | Against | Against | Against |
19 | TARP Related Compensation | SH | Yes | Against | For | For | For |
20 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For |
21 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For |
22 | Adopt Policy on Succession Planning | SH | Yes | Against | For | For | For |
23 | Report on Collateral in Derivatives Trading | SH | Yes | Against | For | For | For |
24 | Claw-back of Payments under Restatements | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
AT&T Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
30-Apr-10 USA | 00206 | R102 | Annual | 02-Mar-10 | 55,000 | 55,000 | 55,000 | 0 | |||
Ticker: T | |||||||||||
CUSIP: 00206R102 | ISIN: US00206R1023 SEDOL: 2831811 Proxy Level: 3 | Meeting ID: 560875 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Randall L. Stephenson | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Gilbert F. Amelio | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Reuben V. Anderson | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director James H. Blanchard | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Jaime Chico Pardo | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director James P. Kelly | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Jon C. Madonna | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Lynn M. Martin | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director John B. McCoy | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Joyce M. Roche | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director Laura D Andrea Tyson | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director Patricia P. Upton | Mgmt | Yes | For | For | For | For | ||||
13 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
14 | Provide for Cumulative Voting | SH | Yes | Against | For | For | For | ||||
15 | Exclude Pension Credits from Calculations of Performance-Based | SH | Yes | Against | For | For | For | ||||
Pay | |||||||||||
16 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | |||||
17 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | ||||
Noble Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
30-Apr-10 Switzerland | H5833 | N103 | Annual | 23-Apr-10 | 27,000 | 27,000 | 27,000 | 0 | |||
Ticker: N/A | |||||||||||
CUSIP: H5833N103 | ISIN: CH0033347318 SEDOL: B3K8ZK9 Proxy Level: N/A | Meeting ID: 555022 |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Votable | Vote | ||||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||||
1 | a | Reelect Michael Cawley as Director | Mgmt | Yes | For | For | For | For | |||||
1 | b | Reelect Gordon Hall as Director | Mgmt | Yes | For | For | For | For | |||||
1 | c | Reelect Jack Little as Director | Mgmt | Yes | For | For | For | For | |||||
2 | Approve Creation of CHF 663.0 Million Pool of Capital without | Mgmt | Yes | For | Against | Against | Against | ||||||
Preemptive Rights | |||||||||||||
3 | Approve CHF 143.7 Million Reduction in Share Capital and | Mgmt | Yes | For | For | For | For | ||||||
Capital Repayment of CHF 0.52 per Share | |||||||||||||
4 | Approve CHF 154.7 Million Reduction in Share Capital and | Mgmt | Yes | For | For | For | For | ||||||
Capital Repayment of CHF 0.56 per Share | |||||||||||||
5 | Ratify PricewaterhouseCoopers LLP as Independent Registered | Mgmt | Yes | For | For | For | For | ||||||
Public Accounting Firm and PricewaterhouseCoopers AG as | |||||||||||||
Statutory Auditor | |||||||||||||
6 | Accept Financial Statements and Statutory Reports | Mgmt | Yes | For | For | For | For | ||||||
7 | Approve Discharge of Board and Senior Management | Mgmt | Yes | For | For | For | For | ||||||
Baxter International Inc. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | ||||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||||
04-May-10 USA | 071813109 | Annual | 08-Mar-10 | 34,000 | 34,000 | 34,000 | 0 | ||||||
Ticker: BAX | |||||||||||||
CUSIP: 071813109 | ISIN: US0718131099 | SEDOL: 2085102 Proxy Level: 2 | Meeting ID: 563738 | ||||||||||
Votable | Vote | ||||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||||
1 | Elect Director Blake E. Devitt | Mgmt | Yes | For | For | For | For | ||||||
2 | Elect Director John D. Forsyth | Mgmt | Yes | For | For | For | For | ||||||
3 | Elect Director Gail D. Fosler | Mgmt | Yes | For | For | For | For | ||||||
4 | Elect Director Carole J. Shapazian | Mgmt | Yes | For | For | For | For | ||||||
5 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||||
6 | Reduce Supermajority Vote Requirement | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Bristol-Myers Squibb | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Company | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
04-May-10 USA | 110122108 | Annual | 11-Mar-10 | 46,000 | 46,000 | 46,000 | |||||
Ticker: BMY | |||||||||||
CUSIP: 110122108 | ISIN: US1101221083 | SEDOL: 2126335 Proxy Level: 4 | Meeting ID: 564126 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Lamberto Andreotti | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Lewis B. Campbell | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director James M. Cornelius | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Louis J. Freeh | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Laurie H. Glimcher, M.D | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Michael Grobstein | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Leif Johansson | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Alan J. Lacy | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Vicki L. Sato, Ph.D. | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Togo D. West, Jr. | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director R. Sanders Williams, M.D. | Mgmt | Yes | For | For | For | For | ||||
12 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
13 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | ||||
14 | Reduce Supermajority Vote Requirements Applicable to Common | Mgmt | Yes | For | For | For | For | ||||
Stock | |||||||||||
15 | Reduce Supermajority Vote Requirement Applicable to Preferred | Mgmt | Yes | For | For | For | For | ||||
Stock | |||||||||||
16 | Increase Disclosure of Executive Compensation | SH | Yes | Against | Against | Against | Against | ||||
17 | Provide Right to Act by Written Consent | SH | Yes | Against | For | For | For | ||||
18 | Report and Set Goals Related to Animal Use and Testing | SH | Yes | Against | Against | Against | Against |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
General Dynamics | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Corporation | Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||
05-May-10 USA | 369550108 | Annual | 08-Mar-10 | 14,000 | 14,000 | 14,000 | 0 | |||
Ticker: GD | ||||||||||
CUSIP: 369550108 | ISIN: US3695501086 SEDOL: 2365161 | Proxy Level: 2 | Meeting ID: 563387 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director Nicholas D. Chabraja | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director James S. Crown | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director William P. Fricks | Mgmt | Yes | For | For | For | For | |||
4 | Elect Director Jay L. Johnson | Mgmt | Yes | For | For | For | For | |||
5 | Elect Director George A. Joulwan | Mgmt | Yes | For | For | For | For | |||
6 | Elect Director Paul G. Kaminski | Mgmt | Yes | For | For | For | For | |||
7 | Elect Director John M. Keane | Mgmt | Yes | For | For | For | For | |||
8 | Elect Director Lester L. Lyles | Mgmt | Yes | For | For | For | For | |||
9 | Elect Director William A. Osborn | Mgmt | Yes | For | For | For | For | |||
10 | Elect Director Robert Walmsley | Mgmt | Yes | For | For | For | For | |||
11 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
12 | Report on Space-based Weapons Program | SH | Yes | Against | Against | Against | Against | |||
PepsiCo, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
05-May-10 USA | 713448108 | Annual | 05-Mar-10 | 17,800 | 17,800 | 17,800 | 0 | |||
Ticker: PEP | ||||||||||
CUSIP: 713448108 | ISIN: US7134481081 SEDOL: 2681511 | Proxy Level: 3 | Meeting ID: 564652 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director Shona L. Brown | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director Ian M. Cook | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director Dina Dublon | Mgmt | Yes | For | For | For | For | |||
4 | Elect Director Victor J. Dzau | Mgmt | Yes | For | For | For | For | |||
5 | Elect Director Ray L. Hunt | Mgmt | Yes | For | For | For | For | |||
6 | Elect Director Alberto Ibarguen | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
7 | Elect Director Arthur C. Martinez | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Indra K. Nooyi | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Sharon P. Rockefeller | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director James J. Schiro | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director Lloyd G. Trotter | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director Daniel Vasella | Mgmt | Yes | For | Against | Against | Against | ||||
13 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
14 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
15 | Report on Charitable Contributions | SH | Yes | Against | Against | Against | Against | ||||
16 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | ||||
17 | Report on Public Policy Advocacy Process | SH | Yes | Against | Against | Against | Against | ||||
Ecolab Inc. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
06-May-10 USA | 278865100 | Annual | 09-Mar-10 | 15,500 | 15,500 | 15,500 | 0 | ||||
Ticker: ECL | |||||||||||
CUSIP: 278865100 | ISIN: US2788651006 | SEDOL: 2304227 Proxy Level: 3 | Meeting ID: 563766 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Arthur J. Higgins | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Joel W. Johnson | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director C. Scott O'Hara | Mgmt | Yes | For | For | For | For | ||||
4 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
5 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
6 | Declassify the Board of Directors | Mgmt | Yes | For | For | For | For | ||||
7 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | ||||
8 | Adopt Policy on Human Right to Water | SH | Yes | Against | Against | Against | Against | ||||
9 | Amend Bylaws-- Call Special Meetings | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Verizon Communications | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | ||||||
Inc. | Date | ID | Type | Date | Voted | Instructed Available | Loan | |||||
06-May-10 USA | 92343V104 | Annual | 08-Mar-10 | 49,000 | 49,000 | 49,000 | ||||||
Ticker: VZ | ||||||||||||
CUSIP: 92343V104 | ISIN: US92343V1044 | SEDOL: 2090571 Proxy Level: 4 | Meeting ID: 563889 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1 | Elect Director Richard L. Carrion | Mgmt | Yes | For | For | For | For | |||||
2 | Elect Director M. Frances Keeth | Mgmt | Yes | For | For | For | For | |||||
3 | Elect Director Robert W. Lane | Mgmt | Yes | For | For | For | For | |||||
4 | Elect Director Sandra O. Moose | Mgmt | Yes | For | For | For | For | |||||
5 | Elect Director Joseph Neubauer | Mgmt | Yes | For | For | For | For | |||||
6 | Elect Director Donald T. Nicolaisen | Mgmt | Yes | For | For | For | For | |||||
7 | Elect Director Thomas H. O'Brien | Mgmt | Yes | For | For | For | For | |||||
8 | Elect Director Clarence Otis, Jr. | Mgmt | Yes | For | For | For | For | |||||
9 | Elect Director Hugh B. Price | Mgmt | Yes | For | For | For | For | |||||
10 | Elect Director Ivan G. Seidenberg | Mgmt | Yes | For | For | For | For | |||||
11 | Elect Director Rodney E. Slater | Mgmt | Yes | For | For | For | For | |||||
12 | Elect Director John W. Snow | Mgmt | Yes | For | For | For | For | |||||
13 | Elect Director John R. Stafford | Mgmt | Yes | For | For | For | For | |||||
14 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
15 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | |||||
16 | Prohibit Executive Stock-Based Awards | SH | Yes | Against | Against | Against | Against | |||||
17 | Amend EEO Policy to Prohibit Discrimination Based on Sexual | SH | Yes | Against | For | For | For | |||||
Orientation and Gender Identity | ||||||||||||
18 | Performance-Based Equity Awards | SH | Yes | Against | For | For | For | |||||
19 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | |||||
20 | Adopt Policy on Succession Planning | SH | Yes | Against | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
21 | Adopt a Policy in which the Company will not Make or Promise to | SH | Yes | Against | For | For | For | ||||
Make Any Death Benefit Payments to Senior Executives | |||||||||||
22 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | ||||
Colgate-Palmolive Company Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
07-May-10 USA | 194162103 | Annual | 08-Mar-10 | 21,000 | 21,000 | 21,000 | 0 | ||||
Ticker: CL | |||||||||||
CUSIP: 194162103 | ISIN: US1941621039 SEDOL: 2209106 Proxy Level: 3 | Meeting ID: 563478 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director John T. Cahill | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Ian Cook | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Helene D. Gayle | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Ellen M. Hancock | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Joseph Jimenez | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director David W. Johnson | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Richard J. Kogan | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Delano E. Lewis | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director J. Pedro Reinhard | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Stephen I. Sadove | Mgmt | Yes | For | For | For | For | ||||
11 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
12 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | ||||
13 | Report on Charitable Contributions | SH | Yes | Against | Against | Against | Against | ||||
14 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | ||||
Illinois Tool Works Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
07-May-10 USA | 452308109 | Annual | 09-Mar-10 | 28,000 | 28,000 | 28,000 | 0 | ||||
Ticker: ITW | |||||||||||
CUSIP: 452308109 | ISIN: US4523081093 SEDOL: 2457552 Proxy Level: 2 | Meeting ID: 563177 | |||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Marvin D. Brailsford | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
2 | Elect Director Susan Crown | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Don H. Davis, Jr. | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Robert C. McCormack | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Robert S. Morrison | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director James A. Skinner | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director David B. Smith, Jr. | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director David B. Speer | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Pamela B. Strobel | Mgmt | Yes | For | For | For | For | ||||
10 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
11 | Report on Political Contributions | SH | Yes | Against | For | For | For | ||||
Occidental Petroleum | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Corporation | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
07-May-10 USA | 674599105 | Annual | 15-Mar-10 | 37,000 | 37,000 | 37,000 | 0 | ||||
Ticker: OXY | |||||||||||
CUSIP: 674599105 | ISIN: US6745991058 SEDOL: 2655408 | Proxy Level: 3 | Meeting ID: 564666 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Spencer Abraham | Mgmt | Yes | For | Against | Against | Against | ||||
2 | Elect Director John S. Chalsty | Mgmt | Yes | For | Against | Against | Against | ||||
3 | Elect Director Stephen I. Chazen | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Edward P. Djerejian | Mgmt | Yes | For | Against | Against | Against | ||||
5 | Elect Director John E. Feick | Mgmt | Yes | For | Against | Against | Against | ||||
6 | Elect Director Carlos M. Gutierrez | Mgmt | Yes | For | Against | Against | Against | ||||
7 | Elect Director Ray R. Irani | Mgmt | Yes | For | Against | Against | Against | ||||
8 | Elect Director Irvin W. Maloney | Mgmt | Yes | For | Against | Against | Against | ||||
9 | Elect Director Avedick B. Poladian | Mgmt | Yes | For | Against | Against | Against | ||||
10 | Elect Director Rodolfo Segovia | Mgmt | Yes | For | Against | Against | Against | ||||
11 | Elect Director Aziz D. Syriani | Mgmt | Yes | For | Against | Against | Against | ||||
12 | Elect Director Rosemary Tomich | Mgmt | Yes | For | Against | Against | Against | ||||
13 | Elect Director Walter L. Weisman | Mgmt | Yes | For | Against | Against | Against | ||||
14 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions.
Page 39 of 59
15 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
16 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | Against | Against | Against | ||||
17 | Limit Executive Compensation | SH | Yes | Against | Against | Against | Against | ||||
18 | Require Independent Board Chairman | SH | Yes | Against | For | For | For | ||||
19 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | ||||
20 | Report on Host Country Social and Environmental Laws | SH | Yes | Against | Against | Against | Against | ||||
21 | Require a Majority Vote for the Election of Directors | SH | Yes | Against | For | For | For | ||||
22 | Report on Policy for Increasing Safety by Reducing Hazardous | SH | Yes | Against | Against | Against | Against | ||||
Substance Usage and Re-locating Facilities | |||||||||||
23 | Double Trigger on Equity Plans | SH | Yes | Against | For | For | For | ||||
St. Jude Medical, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
07-May-10 USA | 790849103 | Annual | 10-Mar-10 | 54,000 | 54,000 | 54,000 | 0 | ||||
Ticker: STJ | |||||||||||
CUSIP: 790849103 | ISIN: US7908491035 | SEDOL: 2767381 Proxy Level: 1 | Meeting ID: 563479 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Stuart M. Essig | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Barbara B. Hill | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Michael A. Rocca | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Prepare Sustainability Report | SH | Yes | Against | For | For | For | ||||
The Goldman Sachs Group, Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares Shares on | |||||
Inc. | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
07-May-10 USA | 38141G104 | Annual | 08-Mar-10 | 9,000 | 9,000 | 9,000 | 0 | ||||
Ticker: GS | |||||||||||
CUSIP: 38141G104 | ISIN: US38141G1040 | SEDOL: 2407966 Proxy Level: 3 | Meeting ID: 569895 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Lloyd C. Blankfein | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director John H. Bryan | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Gary D. Cohn | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Claes Dahlbäck | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director Stephen Friedman | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director William W. George | Mgmt | Yes | For | For | For | For | ||||
1.7 | Elect Director James A. Johnson | Mgmt | Yes | For | For | For | For | ||||
1.8 | Elect Director Lois D. Juliber | Mgmt | Yes | For | For | For | For | ||||
1.9 | Elect Director Lakshmi N. Mittal | Mgmt | Yes | For | For | For | For | ||||
1.10 | Elect Director James J. Schiro | Mgmt | Yes | For | For | For | For | ||||
1.11 | Elect Director H. Lee Scott, Jr. | Mgmt | Yes | For | For | For | For | ||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | ||||
4 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | ||||
5 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | ||||
6 | Provide for Cumulative Voting | SH | Yes | Against | For | For | For | ||||
7 | Report on Collateral in Derivatives Trading | SH | Yes | Against | For | For | For | ||||
8 | Require Independent Board Chairman | SH | Yes | Against | Against | Against | Against |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
9 | Report on Political Contributions | SH | Yes | Against | For | For | For | |||
10 | Report on Global Warming Science | SH | Yes | Against | Against | Against | Against | |||
11 | Report on Pay Disparity | SH | Yes | Against | Against | Against | Against | |||
12 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | |||
Danaher Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
11-May-10 USA | 235851102 | Annual | 12-Mar-10 | 23,500 | 23,500 | 23,500 | 0 | |||
Ticker: DHR | ||||||||||
CUSIP: 235851102 | ISIN: US2358511028 SEDOL: 2250870 | Proxy Level: 2 | Meeting ID: 568989 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director Steven M. Rales | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director John T. Schwieters | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director Alan G. Spoon | Mgmt | Yes | For | For | For | For | |||
4 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
5 | Declassify the Board of Directors | SH | Yes | Against | For | For | For | |||
ITT Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
11-May-10 USA | 450911102 | Annual | 17-Mar-10 | 22,500 | 22,500 | 22,500 | 0 | |||
Ticker: ITT | ||||||||||
CUSIP: 450911102 | ISIN: US4509111021 SEDOL: 2465760 | Proxy Level: 2 | Meeting ID: 565492 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1.1 | Elect Director Steven R. Loranger | Mgmt | Yes | For | For | For | For | |||
1.2 | Elect Director Curtis J. Crawford | Mgmt | Yes | For | For | For | For | |||
1.3 | Elect Director Christina A. Gold | Mgmt | Yes | For | For | For | For | |||
1.4 | Elect Director Ralph F. Hake | Mgmt | Yes | For | For | For | For | |||
1.5 | Elect Director John J. Hamre | Mgmt | Yes | For | For | For | For | |||
1.6 | Elect Director Paul J. Kern | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.7 | Elect Director Frank T. MacInnis | Mgmt | Yes | For | For | For | For | |||||
1.8 | Elect Director Surya N. Mohapatra | Mgmt | Yes | For | For | For | For | |||||
1.9 | Elect Director Linda S. Sanford | Mgmt | Yes | For | For | For | For | |||||
1.10 | Elect Director Markos I. Tambakeras | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Report on Foreign Military Sales | SH | Yes | Against | Against | Against | Against | |||||
4 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | |||||
Packaging Corporation of | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares | Shares on | |||||
America | Date | ID | Type | Date | Voted | Instructed | Available | Loan | ||||
11-May-10 USA | 695156109 | Annual | 15-Mar-10 | 43,000 | 43,000 | 43,000 | ||||||
Ticker: PKG | ||||||||||||
CUSIP: 695156109 | ISIN: US6951561090 SEDOL: 2504566 | Proxy Level: 3 | Meeting ID: 566909 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director Cheryl K. Beebe | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Henry F. Frigon | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Hasan Jameel | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director Samuel M. Mencoff | Mgmt | Yes | For | For | For | For | |||||
1.5 | Elect Director Roger B. Porter | Mgmt | Yes | For | For | For | For | |||||
1.6 | Elect Director Paul T. Stecko | Mgmt | Yes | For | For | For | For | |||||
1.7 | Elect Director James D. Woodrum | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Approve Executive Incentive Bonus Plan | Mgmt | Yes | For | For | For | For | |||||
Medco Health Solutions, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan | |||||
12-May-10 USA | 58405 | U102 | Annual | 15-Mar-10 | 31,000 | 31,000 | 31,000 | |||||
Ticker: MHS | ||||||||||||
CUSIP: 58405U102 | ISIN: US58405U1025 SEDOL: 2954019 | Proxy Level: 2 | Meeting ID: 564116 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1 | Elect Director Howard W. Barker, Jr. | Mgmt | Yes | For | For | For | For | |||||
2 | Elect Director John L. Cassis | Mgmt | Yes | For | For | For | For | |||||
3 | Elect Director Michael Goldstein | Mgmt | Yes | For | For | For | For | |||||
4 | Elect Director Charles M. Lillis | Mgmt | Yes | For | For | For | For | |||||
5 | Elect Director Myrtle S. Potter | Mgmt | Yes | For | For | For | For | |||||
6 | Elect Director William L. Roper | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
7 | Elect Director David B. Snow, Jr. | Mgmt | Yes | For | For | For | For | |||
8 | Elect Director David D. Stevens | Mgmt | Yes | For | Against | Against | Against | |||
9 | Elect Director Blenda J. Wilson | Mgmt | Yes | For | For | For | For | |||
10 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
11 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | |||
Progress Energy, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
12-May-10 USA | 743263105 | Annual | 05-Mar-10 | 25,000 | 25,000 | 25,000 | 0 | |||
Ticker: PGN | ||||||||||
CUSIP: 743263105 | ISIN: US7432631056 SEDOL: 2604206 | Proxy Level: 2 | Meeting ID: 566792 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director John D. Baker, II | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director James E. Bostic, Jr. | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director Harris E. DeLoach, Jr. | Mgmt | Yes | For | For | For | For | |||
4 | Elect Director James B. Hyler, Jr. | Mgmt | Yes | For | For | For | For | |||
5 | Elect Director William D. Johnson | Mgmt | Yes | For | For | For | For | |||
6 | Elect Director Robert W. Jones | Mgmt | Yes | For | For | For | For | |||
7 | Elect Director W. Steven Jones | Mgmt | Yes | For | For | For | For | |||
8 | Elect Director Melquiades R. Martinez | Mgmt | Yes | For | For | For | For | |||
9 | Elect Director E. Marie McKee | Mgmt | Yes | For | For | For | For | |||
10 | Elect Director John H. Mullin, III | Mgmt | Yes | For | For | For | For | |||
11 | Elect Director Charles W. Pryor, Jr. | Mgmt | Yes | For | For | For | For | |||
12 | Elect Director Carlos A. Saladrigas | Mgmt | Yes | For | For | For | For | |||
13 | Elect Director Theresa M. Stone | Mgmt | Yes | For | For | For | For | |||
14 | Elect Director Alfred C. Tollison, Jr. | Mgmt | Yes | For | For | For | For | |||
15 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
16 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | |||
Kohl's Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||
13-May-10 USA | 500255104 | Annual | 10-Mar-10 | 12,000 | 12,000 | 12,000 | 0 | |||
Ticker: KSS | ||||||||||
CUSIP: 500255104 | ISIN: US5002551043 SEDOL: 2496113 | Proxy Level: 3 | Meeting ID: 564107 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1 | Elect Director Peter Boneparth | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Steven A. Burd | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director John F. Herma | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Dale E. Jones | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director William S. Kellogg | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Kevin Mansell | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Frank V. Sica | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Peter M. Sommerhauser | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Stephanie A. Streeter | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Nina G. Vaca | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director Stephen E. Watson | Mgmt | Yes | For | For | For | For | ||||
12 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
13 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
14 | Reduce Supermajority Vote Requirement | SH | Yes | Against | For | For | For | ||||
15 | Require Independent Board Chairman | SH | Yes | Against | Against | Against | Against | ||||
Norfolk Southern | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Corporation | Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||
13-May-10 USA | 655844108 | Annual | 05-Mar-10 | 23,000 | 23,000 | 23,000 | 0 | ||||
Ticker: NSC | |||||||||||
CUSIP: 655844108 | ISIN: US6558441084 | SEDOL: 2641894 | Proxy Level: 3 | Meeting ID: 563918 | |||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Thomas D. Bell, Jr. | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Alston D. Correll | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Landon Hilliard | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Burton M. Joyce | Mgmt | Yes | For | For | For | For | ||||
5 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
6 | Declassify the Board of Directors | Mgmt | Yes | For | For | For | For | ||||
7 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
8 | Amend Executive Incentive Bonus Plan | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
9 | Report on Political Contributions | SH | Yes | Against | For | For | For | ||||||||
Transocean Ltd. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||||||
14-May-10 Switzerland | H8817 | H100 | Annual | 26-Apr-10 | 12,719 | 12,719 | 12,719 | 0 | |||||||
Ticker: RIG | |||||||||||||||
CUSIP: H8817H100 | ISIN: CH0048265513 | SEDOL: B3KFWW1 | Proxy Level: N/A | Meeting ID: 566780 | |||||||||||
Votable | Vote | ||||||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | Yes | For | For | For | For | ||||||||
2 | Approve Discharge of Board and Senior Management | Mgmt | Yes | For | For | For | For | ||||||||
3 | Approve Allocation of Income and Omission of Dividends | Mgmt | Yes | For | For | For | For | ||||||||
4 | Change Location of Registered Office to Steinhausen, | Mgmt | Yes | For | For | For | For | ||||||||
Switzerland | |||||||||||||||
5 | Approve Creation of CHF 2.5 Billion Pool of Capital without | Mgmt | Yes | For | Against | Against | Against | ||||||||
Preemptive Rights | |||||||||||||||
6 | Approve Reduction in Share Capita and Repayment of $3.11 per | Mgmt | Yes | For | For | For | For | ||||||||
Sharel | |||||||||||||||
7 | Amend Articles Re: Share Certificates due to New Swiss Federal | Mgmt | Yes | For | For | For | For | ||||||||
Act on Intermediated Securities | |||||||||||||||
8 | a | Elect Steven Newman as Director | Mgmt | Yes | For | For | For | For | |||||||
8 | b | Reelect Thomas Carson as Director | Mgmt | Yes | For | For | For | For | |||||||
8 | c | Reelect Robert Sprague as Director | Mgmt | Yes | For | For | For | For | |||||||
8 | d | Reelect J. Michael Talbert as Director | Mgmt | Yes | For | For | For | For | |||||||
8 | e | Reelect John Whitmire as Director | Mgmt | Yes | For | For | For | For | |||||||
9 | Appointment Of Ernst & Young LLP as Independent Registered | Mgmt | Yes | For | For | For | For | ||||||||
Public Accounting Firm for Fiscal Year 2010 | |||||||||||||||
10 | Transact Other Business (Voting) | Mgmt | Yes | For | Against | Against | Against | ||||||||
Vulcan Materials Company | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||||||
14-May-10 USA | 929160109 | Annual | 17-Mar-10 | 11,000 | 11,000 | 11,000 | 0 | ||||||||
Ticker: VMC | |||||||||||||||
CUSIP: 929160109 | ISIN: US9291601097 | SEDOL: 2931205 | Proxy Level: 2 | Meeting ID: 565003 | |||||||||||
Votable | Vote | ||||||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
1.1 | Elect Director Douglas J. McGregor | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Vincent J. Trosino | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Philip J. Carroll, Jr. | Mgmt | Yes | For | Withhold | Withhold | Withhold | |||||
1.4 | Elect Director James V. Napier | Mgmt | Yes | For | Withhold | Withhold | Withhold | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Require a Majority Vote for the Election of Directors | SH | Yes | Against | For | For | For | |||||
Dominion Resources, Inc. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | ||||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||||
18-May-10 USA | 25746U109 | Annual | 12-Mar-10 | 28,000 | 28,000 | 28,000 | 0 | |||||
Ticker: D | ||||||||||||
CUSIP: 25746U109 | ISIN: US25746U1097 | SEDOL: 2542049 | Proxy Level: 4 | Meeting ID: 568441 | ||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director William P. Barr | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Peter W. Brown | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director George A. Davidson, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director Thomas F. Farrell II | Mgmt | Yes | For | For | For | For | |||||
1.5 | Elect Director John W. Harris | Mgmt | Yes | For | For | For | For | |||||
1.6 | Elect Director Robert S. Jepson, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.7 | Elect Director Mark J. Kington | Mgmt | Yes | For | For | For | For | |||||
1.8 | Elect Director Margaret A. McKenna | Mgmt | Yes | For | For | For | For | |||||
1.9 | Elect Director Frank S. Royal | Mgmt | Yes | For | For | For | For | |||||
1.10 | Elect Director Robert H. Spilman, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.11 | Elect Director David A. Wollard | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | |||||
4 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | |||||
5 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | |||||
6 | Reduce Supermajority Vote Requirement | Mgmt | Yes | For | For | For | For | |||||
7 | Amend Quorum Requirements | Mgmt | Yes | For | For | For | For | |||||
8 | Adopt Renewable Energy Production Goal | SH | Yes | Against | Against | Against | Against | |||||
9 | Stop Construction of Nuclear Reactor at North Anna Facility | SH | Yes | Against | Against | Against | Against |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
10 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For | |||||
JPMorgan Chase & Co. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares Shares on | |||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||||
18-May-10 USA | 46625h100 | Annual | 19-Mar-10 | 45,000 | 45,000 | 45,000 | 0 | |||||
Ticker: JPM | ||||||||||||
CUSIP: 46625H100 | ISIN: US46625H1005 | SEDOL: 2190385 Proxy Level: 3 | Meeting ID: 568199 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director Crandall C. Bowles | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Stephen B. Burke | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director David M. Cote | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director James S. Crown | Mgmt | Yes | For | For | For | For | |||||
1.5 | Elect Director James Dimon | Mgmt | Yes | For | For | For | For | |||||
1.6 | Elect Director Ellen V. Futter | Mgmt | Yes | For | For | For | For | |||||
1.7 | Elect Director William H. Gray, III | Mgmt | Yes | For | For | For | For | |||||
1.8 | Elect Director Laban P. Jackson, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.9 | Elect Director David C. Novak | Mgmt | Yes | For | For | For | For | |||||
1.10 | Elect Director Lee R. Raymond | Mgmt | Yes | For | For | For | For | |||||
1.11 | Elect Director William C. Weldon | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | Yes | For | For | For | For | |||||
4 | Affirm Political Non-Partisanship | SH | Yes | Against | Against | Against | Against | |||||
5 | Amend Bylaws-- Call Special Meetings | SH | Yes | Against | For | For | For | |||||
6 | Report on Collateral in Derivatives Trading | SH | Yes | Against | For | For | For | |||||
7 | Provide Right to Act by Written Consent | SH | Yes | Against | For | For | For | |||||
8 | Require Independent Board Chairman | SH | Yes | Against | For | For | For | |||||
9 | Report on Pay Disparity | SH | Yes | Against | Against | Against | Against |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
10 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | |||
Intel Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan | |||
19-May-10 USA | 458140100 | Annual | 22-Mar-10 | 94,000 | 94,000 | 94,000 | ||||
Ticker: INTC | ||||||||||
CUSIP: 458140100 | ISIN: US4581401001 SEDOL: 2463247 | Proxy Level: 3 | Meeting ID: 568510 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1 | Elect Director Charlene Barshefsky | Mgmt | Yes | For | For | For | For | |||
2 | Elect Director Susan L. Decker | Mgmt | Yes | For | For | For | For | |||
3 | Elect Director John J. Donahoe | Mgmt | Yes | For | For | For | For | |||
4 | Elect Director Reed E. Hundt | Mgmt | Yes | For | For | For | For | |||
5 | Elect Director Paul S. Otellini | Mgmt | Yes | For | For | For | For | |||
6 | Elect Director James D. Plummer | Mgmt | Yes | For | For | For | For | |||
7 | Elect Director David S. Pottruck | Mgmt | Yes | For | For | For | For | |||
8 | Elect Director Jane E. Shaw | Mgmt | Yes | For | For | For | For | |||
9 | Elect Director Frank D. Yeary | Mgmt | Yes | For | For | For | For | |||
10 | Elect Director David B. Yoffie | Mgmt | Yes | For | For | For | For | |||
11 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||
12 | Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt | Yes | For | For | For | For | ||||
Alliant Energy Corp. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares | ||
Date | ID | Type | Date | Voted | Instructed | Available | Loan | |||
20-May-10 USA | 018802108 | Annual | 18-Mar-10 | 12,000 | 12,000 | 12,000 | ||||
Ticker: LNT | ||||||||||
CUSIP: 018802108 | ISIN: US0188021085 SEDOL: 2973821 | Proxy Level: 3 | Meeting ID: 568528 | |||||||
Votable | Vote | |||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||
1.1 | Elect Director Michael L. Bennett | Mgmt | Yes | For | For | For | For | |||
1.2 | Elect Director Darryl B. Hazel | Mgmt | Yes | For | For | For | For | |||
1.3 | Elect Director David A. Perdue | Mgmt | Yes | For | For | For | For | |||
1.4 | Elect Director Judith D. Pyle | Mgmt | Yes | For | For | For | For | |||
2 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | |||
3 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
McDonald's Corporation | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
20-May-10 USA | 580135101 | Annual | 23-Mar-10 | 22,000 | 22,000 | 22,000 | 0 | ||||
Ticker: MCD | |||||||||||
CUSIP: 580135101 | ISIN: US5801351017 SEDOL: 2550707 | Proxy Level: 2 | Meeting ID: 570179 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Walter E. Massey | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director John W. Rogers, Jr. | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Roger W. Stone | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Miles D. White | Mgmt | Yes | For | For | For | For | ||||
5 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
6 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | |||||
7 | Reduce Supermajority Vote Requirement | SH | Yes | Against | For | For | For | ||||
8 | Require Suppliers to Adopt CAK | SH | Yes | Against | Against | Against | Against | ||||
9 | Adopt Cage-Free Eggs Purchasing Policy | SH | Yes | Against | Against | Against | Against | ||||
Time Warner Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
21-May-10 USA | 887317303 | Annual | 26-Mar-10 | 28,000 | 28,000 | 28,000 | 0 | ||||
Ticker: TWX | |||||||||||
CUSIP: 887317303 | ISIN: US8873173038 SEDOL: B63QTN2 | Proxy Level: 3 | Meeting ID: 569400 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director James L. Barksdale | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director William P. Barr | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director Jeffrey L. Bewkes | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Stephen F. Bollenbach | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director Frank J. Caufield | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Robert C. Clark | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Mathias Dopfner | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Jessica P. Einhorn | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director Fred Hassan | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Michael A. Miles | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
11 | Elect Director Kenneth J. Novack | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director Deborah C. Wright | Mgmt | Yes | For | For | For | For | ||||
13 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
14 | Approve Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||
15 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | ||||
16 | Reduce Supermajority Vote Requirement | SH | Yes | Against | For | For | For | ||||
17 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | ||||
18 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | |||||
BlackRock, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
24-May-10 USA | 09247 | X101 | Annual | 22-Apr-10 | 8,900 | 8,900 | 8,900 | 0 | |||
Ticker: BLK | |||||||||||
CUSIP: 09247X101 | ISIN: US09247X1019 SEDOL: 2494504 | Proxy Level: 3 | Meeting ID: 576512 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1.1 | Elect Director Abdlatif Yousef Al-Hamad | Mgmt | Yes | For | For | For | For | ||||
1.2 | Elect Director Mathis Cabiallavetta | Mgmt | Yes | For | For | For | For | ||||
1.3 | Elect Director Dennis D. Dammerman | Mgmt | Yes | For | For | For | For | ||||
1.4 | Elect Director Robert E. Diamond, Jr. | Mgmt | Yes | For | For | For | For | ||||
1.5 | Elect Director David H. Komansky | Mgmt | Yes | For | For | For | For | ||||
1.6 | Elect Director James E. Rohr | Mgmt | Yes | For | For | For | For | ||||
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | Against | Against | Against | ||||
3 | Amend Executive Incentive Bonus Plan | Mgmt | Yes | For | For | For | For | ||||
4 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
Amazon.com, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
25-May-10 USA | 023135106 | Annual | 29-Mar-10 | 9,000 | 9,000 | 9,000 | 0 | ||||
Ticker: AMZN | |||||||||||
CUSIP: 023135106 | ISIN: US0231351067 SEDOL: 2000019 | Proxy Level: 2 | Meeting ID: 572463 |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Jeffrey P. Bezos | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Tom A. Alberg | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director John Seely Brown | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director William B. Gordon | Mgmt | Yes | For | Against | Against | Against | ||||
5 | Elect Director Alain Monie | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Thomas O. Ryder | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Patricia Q. Stonesifer | Mgmt | Yes | For | Against | Against | Against | ||||
8 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
9 | Report on Political Contributions | SH | Yes | Against | For | For | For | ||||
Chevron Corporation | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | |||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | |||||
26-May-10 USA | 166764100 | Annual | 01-Apr-10 | 36,000 | 36,000 | 36,000 | 0 | ||||
Ticker: CVX | |||||||||||
CUSIP: 166764100 | ISIN: US1667641005 | SEDOL: 2838555 | Proxy Level: 4 | Meeting ID: 572446 | |||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director S.H. Armacost | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director L.F. Deily | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director R.E. Denham | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director R.J. Eaton | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director C. Hagel | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director E. Hernandez | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director F.G. Jenifer | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director G.L. Kirkland | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director S. Nunn | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director D.B. Rice | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director K.W. Sharer | Mgmt | Yes | For | For | For | For | ||||
12 | Elect Director C.R. Shoemate | Mgmt | Yes | For | For | For | For | ||||
13 | Elect Director J.G. Stumpf | Mgmt | Yes | For | For | For | For | ||||
14 | Elect Director R.D. Sugar | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
15 | Elect Director C. Ware | Mgmt | Yes | For | For | For | For | |||||
16 | Elect Director J.S. Watson | Mgmt | Yes | For | For | For | For | |||||
17 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
18 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | |||||
19 | Request Director Nominee with Environmental Qualifications | SH | Yes | Against | For | For | For | |||||
20 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | |||||
21 | Disclose Payments To Host Governments | SH | Yes | Against | Against | Against | Against | |||||
22 | Adopt Guidelines for Country Selection | SH | Yes | Against | For | For | For | |||||
23 | Report on Financial Risks From Climate Change | SH | Yes | Against | Against | Against | Against | |||||
24 | Amend Bylaws to Establish a Board Committee on Human Rights | SH | Yes | Against | Against | Against | Against | |||||
Exxon Mobil Corporation | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | ||||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||||
26-May-10 USA | 30231G102 | Annual | 06-Apr-10 | 32,500 | 32,500 | 32,500 | 0 | |||||
Ticker: XOM | ||||||||||||
CUSIP: 30231G102 | ISIN: US30231G1022 | SEDOL: 2326618 Proxy Level: 4 | Meeting ID: 571886 | |||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director M.J. Boskin | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director P. Brabeck-Letmathe | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director L.R. Faulkner | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director J.S. Fishman | Mgmt | Yes | For | For | For | For | |||||
1.5 | Elect Director K.C. Frazier | Mgmt | Yes | For | For | For | For | |||||
1.6 | Elect Director W.W. George | Mgmt | Yes | For | For | For | For | |||||
1.7 | Elect Director M.C. Nelson | Mgmt | Yes | For | For | For | For | |||||
1.8 | Elect Director S.J. Palmisano | Mgmt | Yes | For | For | For | For | |||||
1.9 | Elect Director S.C. Reinemund | Mgmt | Yes | For | For | For | For | |||||
1.10 | Elect Director R.W. Tillerson | Mgmt | Yes | For | For | For | For | |||||
1.11 | Elect Director E.E. Whitacre, Jr. | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
3 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For | |||||
4 | Reincorporate in Another State [from New Jersey to North | SH | Yes | Against | Against | Against | Against | |||||
Dakota] | ||||||||||||
5 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | ||||||
6 | Amend EEO Policy to Prohibit Discrimination based on Sexual | SH | Yes | Against | Against | Against | Against | |||||
Orientation and Gender Identity | ||||||||||||
7 | Adopt Policy on Human Right to Water | SH | Yes | Against | Against | Against | Against | |||||
8 | Adopt Policy to Address Coastal Louisiana Environmental | SH | Yes | Against | Against | Against | Against | |||||
Impacts | ||||||||||||
9 | Report on Environmental Impact of Oil Sands Operations in | SH | Yes | Against | For | For | For | |||||
Canada | ||||||||||||
10 | Report on Environmental Impacts of Natural Gas Fracturing | SH | Yes | Against | For | For | For | |||||
11 | Report on Energy Technologies Development | SH | Yes | Against | Against | Against | Against | |||||
12 | Adopt Quantitative GHG Goals from Products and Operations | SH | Yes | Against | For | For | For | |||||
13 | Report on Risks of Alternative Long-term Fossil Fuel Demand | SH | Yes | Against | Against | Against | Against | |||||
Estimates | ||||||||||||
Fiserv, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
26-May-10 USA | 337738108 | Annual | 26-Mar-10 | 25,000 | 25,000 | 25,000 | 0 | |||||
Ticker: FISV | ||||||||||||
CUSIP: 337738108 | ISIN: US3377381088 | SEDOL: 2342034 | Proxy Level: 1 | Meeting ID: 572812 | ||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director Kim M. Robak | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Doyle R. Simons | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Thomas C. Wertheimer | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
The Southern Company | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
26-May-10 USA | 842587107 | Annual | 30-Mar-10 | 12,000 | 12,000 | 12,000 | 0 | |||||
Ticker: SO | ||||||||||||
CUSIP: 842587107 | ISIN: US8425871071 | SEDOL: 2829601 | Proxy Level: 2 | Meeting ID: 572588 |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director J. P. Baranco | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director J. A. Boscia | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director H. A. Clark III | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director H. W. Habermeyer, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.5 | Elect Director V. M. Hagen | Mgmt | Yes | For | For | For | For | |||||
1.6 | Elect Director W. A. Hood, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.7 | Elect Director D. M. James | Mgmt | Yes | For | For | For | For | |||||
1.8 | Elect Director J. N. Purcell | Mgmt | Yes | For | For | For | For | |||||
1.9 | Elect Director D. M. Ratcliffe | Mgmt | Yes | For | For | For | For | |||||
1.10 | Elect Director W. G. Smith, Jr. | Mgmt | Yes | For | For | For | For | |||||
1.11 | Elect Director L. D. Thompson | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | |||||
3 | Adopt Majority Voting for Uncontested Election of Directors | Mgmt | Yes | For | For | For | For | |||||
4 | Eliminate Cumulative Voting | Mgmt | Yes | For | For | For | For | |||||
5 | Increase Authorized Common Stock | Mgmt | Yes | For | For | For | For | |||||
6 | Adopt Quantitative GHG Goals for Products and Operations | SH | Yes | Against | Against | Against | Against | |||||
7 | Report on Coal Combustion Waste Hazard and Risk Mitigation | SH | Yes | Against | For | For | For | |||||
Efforts | ||||||||||||
Lowe's Companies, Inc. | Meeting Country | Primary Security Meeting | Record | Shares | Shares | Shares Shares on | ||||||
Date | ID | Type | Date | Voted | Instructed Available | Loan * | ||||||
28-May-10 USA | 548661107 | Annual | 26-Mar-10 | 46,500 | 46,500 | 46,500 | 0 | |||||
Ticker: LOW | ||||||||||||
CUSIP: 548661107 | ISIN: US5486611073 | SEDOL: 2536763 | Proxy Level: 2 | Meeting ID: 571700 | ||||||||
Votable | Vote | |||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | |||||
1.1 | Elect Director David W. Bernauer | Mgmt | Yes | For | For | For | For | |||||
1.2 | Elect Director Leonard L. Berry | Mgmt | Yes | For | For | For | For | |||||
1.3 | Elect Director Dawn E. Hudson | Mgmt | Yes | For | For | For | For | |||||
1.4 | Elect Director Robert A. Niblock | Mgmt | Yes | For | For | For | For | |||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
3 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For | ||||
4 | Report on Political Contributions | SH | Yes | Against | For | For | For | ||||
5 | Require Independent Board Chairman | SH | Yes | Against | Against | Against | Against | ||||
The TJX Companies, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
02-Jun-10 USA | 872540109 | Annual | 12-Apr-10 | 27,000 | 27,000 | 27,000 | 0 | ||||
Ticker: TJX | |||||||||||
CUSIP: 872540109 | ISIN: US8725401090 SEDOL: 2989301 | Proxy Level: 2 | Meeting ID: 577615 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director José B. Alvarez | Mgmt | Yes | For | For | For | For | ||||
2 | Elect Director Alan M. Bennett | Mgmt | Yes | For | For | For | For | ||||
3 | Elect Director David A. Brandon | Mgmt | Yes | For | For | For | For | ||||
4 | Elect Director Bernard Cammarata | Mgmt | Yes | For | For | For | For | ||||
5 | Elect Director David T. Ching | Mgmt | Yes | For | For | For | For | ||||
6 | Elect Director Michael F. Hines | Mgmt | Yes | For | For | For | For | ||||
7 | Elect Director Amy B. Lane | Mgmt | Yes | For | For | For | For | ||||
8 | Elect Director Carol Meyrowitz | Mgmt | Yes | For | For | For | For | ||||
9 | Elect Director John F. O'Brien | Mgmt | Yes | For | For | For | For | ||||
10 | Elect Director Willow B. Shire | Mgmt | Yes | For | For | For | For | ||||
11 | Elect Director Fletcher H. Wiley | Mgmt | Yes | For | For | For | For | ||||
12 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||
13 | Advisory Vote to Ratify Named Executive Officers' Compensation SH | Yes | Against | For | For | For | |||||
Wal-Mart Stores, Inc. | Meeting Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | |||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||
04-Jun-10 USA | 931142103 | Annual | 08-Apr-10 | 34,700 | 34,700 | 34,700 | 0 | ||||
Ticker: WMT | |||||||||||
CUSIP: 931142103 | ISIN: US9311421039 SEDOL: 2936921 | Proxy Level: 4 | Meeting ID: 574373 | ||||||||
Votable | Vote | ||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||
1 | Elect Director Aida M. Alvarez | Mgmt | Yes | For | For | For | For |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
2 | Elect Director James W. Breyer | Mgmt | Yes | For | For | For | For |
3 | Elect Director M. Michele Burns | Mgmt | Yes | For | For | For | For |
4 | Elect Director James I. Cash, Jr. | Mgmt | Yes | For | For | For | For |
5 | Elect Director Roger C. Corbett | Mgmt | Yes | For | For | For | For |
6 | Elect Director Douglas N. Daft | Mgmt | Yes | For | Against | Against | Against |
7 | Elect Director Michael T. Duke | Mgmt | Yes | For | For | For | For |
8 | Elect Director Gregory B. Penner | Mgmt | Yes | For | For | For | For |
9 | Elect Director Steven S. Reinemund | Mgmt | Yes | For | For | For | For |
10 | Elect Director H. Lee Scott, Jr. | Mgmt | Yes | For | For | For | For |
11 | Elect Director Arne M. Sorenson | Mgmt | Yes | For | For | For | For |
12 | Elect Director Jim C. Walton | Mgmt | Yes | For | For | For | For |
13 | Elect Director S. Robson Walton | Mgmt | Yes | For | For | For | For |
14 | Elect Director Christopher J. Williams | Mgmt | Yes | For | For | For | For |
15 | Elect Director Linda S. Wolf | Mgmt | Yes | For | Against | Against | Against |
16 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
17 | Approve Omnibus Stock Plan | Mgmt | Yes | For | Against | Against | Against |
18 | Amend Sharesave Plan | Mgmt | Yes | For | For | For | For |
19 | Amend EEO Policy to Prohibit Discrimination based on Sexual | SH | Yes | Against | For | For | For |
Orientation and Gender Identity | |||||||
20 | Advisory Vote to Ratify Named Executive Officers' Compensation | SH | Yes | Against | For | For | For |
21 | Report on Political Contributions | SH | Yes | Against | For | For | For |
22 | Amend Articles/Bylaws/Charter -- Call Special Meetings | SH | Yes | Against | For | For | For |
23 | Require Suppliers to Adopt CAK | SH | Yes | Against | Against | Against | Against |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
24 | Report on Process for Identifying and Prioritizing Public Policy | SH | Yes | Against | Against | Against | Against | ||||||
Activities | |||||||||||||
Freeport-McMoRan Copper | Meeting | Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
& Gold Inc. | Date | ID | Type | Date | Voted | Instructed | Available | Loan * | |||||
09-Jun-10 | USA | 35671 | D857 | Annual | 13-Apr-10 | 12,500 | 12,500 | 12,500 | 0 | ||||
Ticker: FCX | |||||||||||||
CUSIP: 35671D857 | ISIN: US35671D8570 | SEDOL: 2352118 | Proxy Level: 4 | Meeting ID: 576569 | |||||||||
Votable | Vote | ||||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction | ||||||
1.1 | Elect Director Richard C. Adkerson | Mgmt | Yes | For | For | For | For | ||||||
1.2 | Elect Director Robert J. Allison, Jr. | Mgmt | Yes | For | For | For | For | ||||||
1.3 | Elect Director Robert A. Day | Mgmt | Yes | For | For | For | For | ||||||
1.4 | Elect Director Gerald J. Ford | Mgmt | Yes | For | For | For | For | ||||||
1.5 | Elect Director H. Devon Graham, Jr. | Mgmt | Yes | For | For | For | For | ||||||
1.6 | Elect Director Charles C. Krulak | Mgmt | Yes | For | For | For | For | ||||||
1.7 | Elect Director Bobby Lee Lackey | Mgmt | Yes | For | For | For | For | ||||||
1.8 | Elect Director Jon C. Madonna | Mgmt | Yes | For | For | For | For | ||||||
1.9 | Elect Director Dustan E. McCoy | Mgmt | Yes | For | For | For | For | ||||||
1.10 | Elect Director James R. Moffett | Mgmt | Yes | For | For | For | For | ||||||
1.11 | Elect Director B.M. Rankin, Jr. | Mgmt | Yes | For | For | For | For | ||||||
1.12 | Elect Director Stephen H. Siegele | Mgmt | Yes | For | For | For | For | ||||||
2 | Ratify Auditors | Mgmt | Yes | For | For | For | For | ||||||
3 | Amend Omnibus Stock Plan | Mgmt | Yes | For | For | For | For | ||||||
4 | Request Director Nominee with Environmental Qualifications | SH | Yes | Against | For | For | For | ||||||
5 | Stock Retention/Holding Period | SH | Yes | Against | For | For | For | ||||||
Genzyme Corporation | Meeting | Country | Primary Security | Meeting | Record | Shares | Shares | Shares | Shares on | ||||
Date | ID | Type | Date | Voted | Instructed | Available | Loan * | ||||||
16-Jun-10 | USA | 372917104 | Proxy Contest | 09-Apr-10 | 22,000 | 22,000 | 22,000 | 0 | |||||
Ticker: GENZ | |||||||||||||
CUSIP: 372917104 | ISIN: US3729171047 | SEDOL: 2367598 | Proxy Level: 6 | Meeting ID: 576901 | |||||||||
Votable | Vote | ||||||||||||
Voting Policy: ISS | Ballot Count: 1 | Proponent | Proposal | Mgmt Rec | ISS Rec | Policy Rec | Instruction |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Management Proxy (White Card) | Mgmt | No | |||||
1.1 | Elect Director Douglas A. Berthiaume | Mgmt | Yes | For | For | For | For |
1.2 | Elect Director Robert J. Bertolini | Mgmt | Yes | For | For | For | For |
1.3 | Elect Director Gail K. Boudreaux | Mgmt | Yes | For | For | For | For |
1.4 | Elect Director Robert J. Carpenter | Mgmt | Yes | For | For | For | For |
1.5 | Elect Director Charles L. Cooney | Mgmt | Yes | For | For | For | For |
1.6 | Elect Director Victor J. Dzau | Mgmt | Yes | For | For | For | For |
1.7 | Elect Director Connie Mack, III | Mgmt | Yes | For | For | For | For |
1.8 | Elect Director Richard F. Syron | Mgmt | Yes | For | For | For | For |
1.9 | Elect Director Henri A. Termeer | Mgmt | Yes | For | For | For | For |
1.10 | Elect Director Ralph V. Whitworth | Mgmt | Yes | For | For | For | For |
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | Against | Against | Against |
3 | Amend Qualified Employee Stock Purchase Plan | Mgmt | Yes | For | For | For | For |
4 | Amend Non-Employee Director Omnibus Stock Plan | Mgmt | Yes | For | For | For | For |
5 | Provide Right to Call Special Meeting | Mgmt | Yes | For | For | For | For |
6 | Ratify Auditors | Mgmt | Yes | For | For | For | For |
Dissident Proxy (Gold Card) | Mgmt | No | |||||
1.1 | Elect Director Steven Burakoff | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.2 | Elect Director Alexander J. Denner | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.3 | Elect Director Carl C. Icahn | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.4 | Elect Director Richard Mulligan | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.5 | Management Nominee - Douglas A. Berthiaume | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.6 | Management Nominee - Robert J. Bertolini | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.7 | Management Nominee - Gail K. Boudreaux | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.8 | Management Nominee - Robert J. Carpenter | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.9 | Management Nominee - Victor J. Dzau | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
1.10 | Management Nominee - Ralph V. Whitworth | SH | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
2 | Amend Omnibus Stock Plan | Mgmt | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
3 | Amend Qualified Employee Stock Purchase Plan | Mgmt | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
4 | Amend Non-Employee Director Omnibus Stock Plan | Mgmt | Yes | Against | Do Not Vote | Do Not Vote | Do Not Vote |
5 | Provide Right to Call Special Meeting | Mgmt | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
6 | Ratify Auditors | Mgmt | Yes | For | Do Not Vote | Do Not Vote | Do Not Vote |
* | Shares on loan data only provided for a select group of custodians. Ask your Account Manager if you have any questions. |
Registrant: The North Country Funds - Intermediate Bond Fund Exhibit 1-B | |||||||||
Investment Company Act file number: 811-10123 | |||||||||
Reporting Period: July 1, 2009 through June 30, 2010 | |||||||||
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ITEM 1- PROXY VOTING RECORD | |||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type (by issuer or shareholder) | (g) Voted | (h) How was vote cast (for or against proposal, or abstain; for or withhold regarding election of directors) | (i) Was Vote For or Against Management |
1 | N/A | NA | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| The North Country Intermediate Bond Fund did not hold any voting securities and accordingly did not vote any proxies during the reporting period. | ||||||||
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