UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number: 811-22747
ALPS SERIES TRUST
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
JoEllen L. Legg, Esq., Secretary
ALPS Series Trust
1290 Broadway, Suite 1100
Denver, CO 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: September 30
Date of reporting period: July 1, 2013 - June 30, 2014
Item 1 – Proxy Voting Record.
Cupps All Cap Growth Fund
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
GKE Asian Opportunities Fund
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
Insignia Macro Fund
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
-2-
Cognios Market Neutral Large Cap Fund
Investment Company Report
BMC SOFTWARE, INC.
| ||||||||
Security | 055921100 | Meeting Type | Special | |||||
Ticker Symbol | BMC | Meeting Date | 24-Jul-2013 | |||||
ISIN | US0559211000 | Agenda | 933853497 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1 | PROPOSAL TO CONSIDER AND VOTE ON A PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER (AS IT MAY BE AMENDED FROM TIME TO TIME, THE “MERGER AGREEMENT”), DATED AS OF MAY 6, 2013, BY AND AMONG BOXER PARENT COMPANY INC., BOXER MERGER SUB INC. AND BMC SOFTWARE, INC. | Management | For | For | ||||||||
2 | PROPOSAL TO APPROVE, ON AN ADVISORY (NON-BINDING) BASIS, SPECIFIED COMPENSATION THAT MAY BECOME PAYABLE TO THE NAMED EXECUTIVE OFFICERS OF BMC SOFTWARE, INC. IN CONNECTION WITH THE MERGER. | Management | For | For | ||||||||
3 | PROPOSAL TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE PROPOSAL TO ADOPT THE MERGER AGREEMENT. | Management | For | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,515 | 0 | 28-Jun-2013 | 28-Jun-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,503 | 0 | 28-Jun-2013 | 28-Jun-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 781 | 0 | 28-Jun-2013 | 28-Jun-2013 |
CA, INC.
| ||||||||
Security | 12673P105 | Meeting Type | Annual | |||||
Ticker Symbol | CA | Meeting Date | 31-Jul-2013 | |||||
ISIN | US12673P1057 | Agenda | 933849880 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: JENS ALDER | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RAYMOND J. BROMARK | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: GARY J. FERNANDES | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MICHAEL P. GREGOIRE | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: ROHIT KAPOOR | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: KAY KOPLOVITZ | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: CHRISTOPHER B. LOFGREN | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: RICHARD SULPIZIO | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: LAURA S. UNGER | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: ARTHUR F. WEINBACH | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: RENATO (RON) ZAMBONINI | Management | For | For | ||||||||
2. | TO RATIFY APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDING MARCH 31, 2014. | Management | For | For | ||||||||
3. | TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
4. | TO RATIFY THE STOCKHOLDER PROTECTION RIGHTS AGREEMENT. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 12,461 | 0 | 22-Jun-2013 | 22-Jun-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 7,466 | 0 | 22-Jun-2013 | 22-Jun-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,294 | 0 | 22-Jun-2013 | 22-Jun-2013 |
DELL INC.
| ||||||||
Security | 24702R101 | Meeting Type | Annual | |||||
Ticker Symbol | DELL | Meeting Date | 17-Oct-2013 | |||||
ISIN | US24702R1014 | Agenda | 933881004 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A | ELECTION OF DIRECTOR: DONALD J. CARTY | Management | For | For | ||||||||
1B | ELECTION OF DIRECTOR: JANET F. CLARK | Management | For | For | ||||||||
1C | ELECTION OF DIRECTOR: LAURA CONIGLIARO | Management | For | For | ||||||||
1D | ELECTION OF DIRECTOR: MICHAEL S. DELL | Management | For | For | ||||||||
1E | ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN | Management | For | For | ||||||||
1F | ELECTION OF DIRECTOR: GERARD J. KLEISTERLEE | Management | For | For | ||||||||
1G | ELECTION OF DIRECTOR: KLAUS S. LUFT | Management | For | For | ||||||||
1H | ELECTION OF DIRECTOR: ALEX J. MANDL | Management | For | For | ||||||||
1I | ELECTION OF DIRECTOR: SHANTANU NARAYEN | Management | For | For | ||||||||
1J | ELECTION OF DIRECTOR: H. ROSS PEROT, JR. | Management | For | For | ||||||||
2 | RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS LLP AS DELL INC.‘S INDEPENDENT AUDITOR FOR FISCAL 2014 | Management | For | For | ||||||||
3 | APPROVAL, ON AN ADVISORY BASIS, OF DELL INC.‘S COMPENSATION OF ITS NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT | Management | For | For | ||||||||
4 | REQUESTING THAT THE BOARD OF DIRECTORS UNDERTAKE SUCH STEPS AS MAY BE NECESSARY TO PERMIT DELL INC.‘S STOCKHOLDERS TO ACT BY WRITTEN CONSENT INSTEAD OF AT A MEETING OF STOCKHOLDERS | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 5,984 | 0 | 26-Sep-2013 | 26-Sep-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,971 | 0 | 26-Sep-2013 | 26-Sep-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 562 | 0 | 26-Sep-2013 | 26-Sep-2013 |
HARRIS CORPORATION
| ||||||||
Security | 413875105 | Meeting Type | Annual | |||||
Ticker Symbol | HRS | Meeting Date | 25-Oct-2013 | |||||
ISIN | US4138751056 | Agenda | 933877005 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: WILLIAM M. BROWN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: PETER W. CHIARELLI | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: THOMAS A. DATTILO | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: TERRY D. GROWCOCK | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: LEWIS HAY III | Management | For | For |
1F. | ELECTION OF DIRECTOR: VYOMESH I. JOSHI | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: KAREN KATEN | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: STEPHEN P. KAUFMAN | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: LESLIE F. KENNE | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: DAVID B. RICKARD | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: DR. JAMES C. STOFFEL | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: GREGORY T. SWIENTON | Management | For | For | ||||||||
1M. | ELECTION OF DIRECTOR: HANSEL E. TOOKES II | Management | For | For | ||||||||
2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS AS DISCLOSED IN PROXY STATEMENT | Management | For | For | ||||||||
3. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014 | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 5,402 | 0 | 13-Sep-2013 | 13-Sep-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,922 | 0 | 13-Sep-2013 | 13-Sep-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 508 | 0 | 13-Sep-2013 | 13-Sep-2013 |
SEAGATE TECHNOLOGY PLC
| ||||||||
Security | G7945M107 | Meeting Type | Annual | |||||
Ticker Symbol | STX | Meeting Date | 30-Oct-2013 | |||||
ISIN | IE00B58JVZ52 | Agenda | 933877803 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: STEPHEN J. LUCZO | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: FRANK J. BIONDI, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: MICHAEL R. CANNON | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MEI-WEI CHENG | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: WILLIAM T. COLEMAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: JAY L. GELDMACHER | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: DR. SEH-WOONG JEONG | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: LYDIA M. MARSHALL | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: KRISTEN M. ONKEN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: DR. CHONG SUP PARK | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: GREGORIO REYES | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: EDWARD J. ZANDER | Management | For | For | ||||||||
2. | TO APPROVE THE SEAGATE TECHNOLOGY PLC AMENDED AND RESTATED EXECUTIVE OFFICER PERFORMANCE BONUS PLAN. | Management | For | For | ||||||||
3. | TO DETERMINE THE PRICE RANGE AT WHICH THE COMPANY CAN RE-ISSUE TREASURY SHARES OFF-MARKET. | Management | For | For | ||||||||
4. | TO AUTHORIZE HOLDING THE 2014 ANNUAL GENERAL MEETING OF SHAREHOLDERS OF THE COMPANY AT A LOCATION OUTSIDE OF IRELAND. | Management | For | For | ||||||||
5. | TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPANY’S NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
6A. | TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: REMOVE RESTRICTIONS ON HOLDING GENERAL MEETINGS OUTSIDE OF THE U.S. | Management | For | For |
6B. | TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: CLARIFY THE RIGHT OF MEMBERS TO APPOINT ONE OR MORE PROXIES. | Management | For | For | ||||||||
6C. | TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: PROVIDE FOR ESCHEATMENT IN ACCORDANCE WITH U.S. LAW. | Management | For | For | ||||||||
6D. | TO APPROVE THE AMENDMENTS TO THE COMPANY’S ARTICLES OF ASSOCIATION: CLARIFY THE MECHANISM USED BY THE COMPANY TO EFFECT SHARE REPURCHASES. | Management | For | For | ||||||||
7. | TO RATIFY, IN A NON-BINDING VOTE, THE APPOINTMENT OF ERNST & YOUNG AS THE INDEPENDENT AUDITORS OF THE COMPANY FOR THE 2014 FISCAL YEAR AND TO AUTHORIZE, IN A BINDING VOTE, THE AUDIT COMMITTEE OF THE BOARD TO SET THE AUDITORS’ REMUNERATION. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 9,420 | 0 | 19-Sep-2013 | 19-Sep-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,096 | 0 | 19-Sep-2013 | 19-Sep-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 885 | 0 | 19-Sep-2013 | 19-Sep-2013 |
WESTERN DIGITAL CORPORATION
| ||||||||
Security | 958102105 | Meeting Type | Annual | |||||
Ticker Symbol | WDC | Meeting Date | 14-Nov-2013 | |||||
ISIN | US9581021055 | Agenda | 933881117 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: KATHLEEN A. COTE | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: HENRY T. DENERO | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: WILLIAM L. KIMSEY | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MICHAEL D. LAMBERT | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: LEN J. LAUER | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: MATTHEW E. MASSENGILL | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: STEPHEN D. MILLIGAN | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ROGER H. MOORE | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: THOMAS E. PARDUN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: ARIF SHAKEEL | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: AKIO YAMAMOTO | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: MASAHIRO YAMAMURA | Management | For | For | ||||||||
2. | TO APPROVE ON AN ADVISORY BASIS THE NAMED EXECUTIVE OFFICER COMPENSATION IN THIS PROXY STATEMENT. | Management | For | For | ||||||||
3. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 4,711 | 0 | 28-Sep-2013 | 28-Sep-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,528 | 0 | 28-Sep-2013 | 28-Sep-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 625 | 0 | 28-Sep-2013 | 28-Sep-2013 |
MICROSOFT CORPORATION
| ||||||||
Security | 594918104 | Meeting Type | Annual | |||||
Ticker Symbol | MSFT | Meeting Date | 19-Nov-2013 | |||||
ISIN | US5949181045 | Agenda | 933883185 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | ELECTION OF DIRECTOR: STEVEN A. BALLMER | Management | For | For | ||||||||
2. | ELECTION OF DIRECTOR: DINA DUBLON | Management | For | For | ||||||||
3. | ELECTION OF DIRECTOR: WILLIAM H. GATES III | Management | For | For | ||||||||
4. | ELECTION OF DIRECTOR: MARIA M. KLAWE | Management | For | For | ||||||||
5. | ELECTION OF DIRECTOR: STEPHEN J. LUCZO | Management | For | For | ||||||||
6. | ELECTION OF DIRECTOR: DAVID F. MARQUARDT | Management | For | For | ||||||||
7. | ELECTION OF DIRECTOR: CHARLES H. NOSKI | Management | For | For | ||||||||
8. | ELECTION OF DIRECTOR: HELMUT PANKE | Management | For | For | ||||||||
9. | ELECTION OF DIRECTOR: JOHN W. THOMPSON | Management | For | For | ||||||||
10. | APPROVE MATERIAL TERMS OF THE PERFORMANCE CRITERIA UNDER THE EXECUTIVE OFFICER INCENTIVE PLAN | Management | For | For | ||||||||
11. | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | For | For | ||||||||
12. | RATIFICATION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT AUDITOR FOR FISCAL YEAR 2014 | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 6,997 | 0 | 09-Oct-2013 | 09-Oct-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,209 | 0 | 09-Oct-2013 | 09-Oct-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 910 | 0 | 09-Oct-2013 | 09-Oct-2013 |
JABIL CIRCUIT, INC.
| ||||||||
Security | 466313103 | Meeting Type | Annual | |||||
Ticker Symbol | JBL | Meeting Date | 23-Jan-2014 | |||||
ISIN | US4663131039 | Agenda | 933909826 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | DIRECTOR | Management | ||||||||||
1 MARTHA F. BROOKS | For | For | ||||||||||
2 MEL S. LAVITT | For | For | ||||||||||
3 TIMOTHY L. MAIN | For | For | ||||||||||
4 MARK T. MONDELLO | For | For | ||||||||||
5 LAWRENCE J. MURPHY | For | For | ||||||||||
6 FRANK A. NEWMAN | For | For | ||||||||||
7 STEVEN A. RAYMUND | For | For | ||||||||||
8 THOMAS A. SANSONE | For | For | ||||||||||
9 DAVID M. STOUT | For | For | ||||||||||
2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS JABIL’S INDEPENDENT REGISTERED CERTIFIED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING AUGUST 31, 2014. | Management | For | For | ||||||||
3. | TO APPROVE (ON AN ADVISORY BASIS) JABIL’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING, INCLUDING ANY ADJOURNMENT THEREOF. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 5,028 | 0 | 19-Dec-2013 | 19-Dec-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,874 | 0 | 19-Dec-2013 | 19-Dec-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 619 | 0 | 19-Dec-2013 | 19-Dec-2013 |
VERIZON COMMUNICATIONS INC.
| ||||||||
Security | 92343V104 | Meeting Type | Special | |||||
Ticker Symbol | VZ | Meeting Date | 28-Jan-2014 | |||||
ISIN | US92343V1044 | Agenda | 933908735 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | APPROVE THE ISSUANCE OF UP TO APPROXIMATELY 1.28 BILLION SHARES OF VERIZON COMMON STOCK TO VODAFONE ORDINARY SHAREHOLDERS IN CONNECTION WITH VERIZON’S ACQUISITION OF VODAFONE’S INDIRECT 45% INTEREST IN VERIZON WIRELESS | Management | For | For | ||||||||
2. | APPROVE AN AMENDMENT TO ARTICLE 4(A) OF VERIZON’S RESTATED CERTIFICATE OF INCORPORATION TO INCREASE VERIZON’S AUTHORIZED SHARES OF COMMON STOCK BY 2 BILLION SHARES TO AN AGGREGATE OF 6.25 BILLION AUTHORIZED SHARES OF COMMON STOCK | Management | For | For | ||||||||
3. | APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING TO SOLICIT ADDITIONAL VOTES AND PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE ABOVE PROPOSALS | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,275 | 0 | 13-Dec-2013 | 13-Dec-2013 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,500 | 0 | 13-Dec-2013 | 13-Dec-2013 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 288 | 0 | 13-Dec-2013 | 13-Dec-2013 |
APPLE INC.
| ||||||||
Security | 037833100 | Meeting Type | Annual | |||||
Ticker Symbol | AAPL | Meeting Date | 28-Feb-2014 | |||||
ISIN | US0378331005 | Agenda | 933915564 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | DIRECTOR | Management | ||||||||||
1 WILLIAM CAMPBELL | For | For | ||||||||||
2 TIMOTHY COOK | For | For | ||||||||||
3 MILLARD DREXLER | For | For | ||||||||||
4 AL GORE | For | For | ||||||||||
5 ROBERT IGER | For | For | ||||||||||
6 ANDREA JUNG | For | For | ||||||||||
7 ARTHUR LEVINSON | For | For | ||||||||||
8 RONALD SUGAR | For | For | ||||||||||
2. | THE AMENDMENT OF THE COMPANY’S RESTATED ARTICLES OF INCORPORATION (THE “ARTICLES”) TO FACILITATE THE IMPLEMENTATION OF MAJORITY VOTING FOR THE ELECTION OF DIRECTORS IN AN UNCONTESTED ELECTION BY ELIMINATING ARTICLE VII, WHICH RELATES TO THE TERM OF DIRECTORS AND THE TRANSITION FROM A CLASSIFIED BOARD OF DIRECTORS TO A DECLASSIFIED STRUCTURE | Management | For | For | ||||||||
3. | THE AMENDMENT OF THE ARTICLES TO ELIMINATE THE “BLANK CHECK” AUTHORITY OF THE BOARD TO ISSUE PREFERRED STOCK | Management | For | For | ||||||||
4. | THE AMENDMENT OF THE ARTICLES TO ESTABLISH A PAR VALUE FOR THE COMPANY’S COMMON STOCK OF $0.00001 PER SHARE | Management | For | For |
5. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014 | Management | For | For | ||||||||
6. | A NON-BINDING ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
7. | THE APPROVAL OF THE APPLE INC. 2014 EMPLOYEE STOCK PLAN | Management | For | For | ||||||||
8. | A SHAREHOLDER PROPOSAL BY JOHN HARRINGTON AND NORTHSTAR ASSET MANAGEMENT INC. ENTITLED “BOARD COMMITTEE ON HUMAN RIGHTS” TO AMEND THE COMPANY’S BYLAWS | Shareholder | Against | For | ||||||||
9. | A SHAREHOLDER PROPOSAL BY THE NATIONAL CENTER FOR PUBLIC POLICY RESEARCH OF A NON-BINDING ADVISORY RESOLUTION ENTITLED “REPORT ON COMPANY MEMBERSHIP AND INVOLVEMENT WITH CERTAIN TRADE ASSOCIATIONS AND BUSINESS ORGANIZATIONS” | Shareholder | Against | For | ||||||||
10. | A SHAREHOLDER PROPOSAL BY CARL ICAHN OF A NON-BINDING ADVISORY RESOLUTION THAT THE COMPANY COMMIT TO COMPLETING NOT LESS THAN $50 BILLION OF SHARE REPURCHASES DURING ITS 2014 FISCAL YEAR (AND INCREASE THE AUTHORIZATION UNDER ITS CAPITAL RETURN PROGRAM ACCORDINGLY) | Shareholder | Against | For | ||||||||
11. | A SHAREHOLDER PROPOSAL BY JAMES MCRITCHIE OF A NON-BINDING ADVISORY RESOLUTION ENTITLED “PROXY ACCESS FOR SHAREHOLDERS” | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 377 | 0 | 11-Jan-2014 | 11-Jan-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 414 | 0 | 11-Jan-2014 | 11-Jan-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 47 | 0 | 11-Jan-2014 | 11-Jan-2014 |
THE ADT CORPORATION
| ||||||||
Security | 00101J106 | Meeting Type | Annual | |||||
Ticker Symbol | ADT | Meeting Date | 13-Mar-2014 | |||||
ISIN | US00101J1060 | Agenda | 933918142 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: THOMAS COLLIGAN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RICHARD DALY | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: TIMOTHY DONAHUE | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: ROBERT DUTKOWSKY | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: BRUCE GORDON | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: NAREN GURSAHANEY | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: BRIDGETTE HELLER | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: KATHLEEN HYLE | Management | For | For | ||||||||
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS ADT’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014. | Management | For | For | ||||||||
3. | TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF ADT’S NAMED EXECUTIVE OFFICERS. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,295 | 0 | 28-Jan-2014 | 28-Jan-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 9,101 | 0 | 28-Jan-2014 | 28-Jan-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 994 | 0 | 28-Jan-2014 | 28-Jan-2014 |
HEWLETT-PACKARD COMPANY
| ||||||||
Security | 428236103 | Meeting Type | Annual | |||||
Ticker Symbol | HPQ | Meeting Date | 19-Mar-2014 | |||||
ISIN | US4282361033 | Agenda | 933921098 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: M.L. ANDREESSEN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: S. BANERJI | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: R.R. BENNETT | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: R.L. GUPTA | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: R.J. LANE | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: A.M. LIVERMORE | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: R.E. OZZIE | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: G.M. REINER | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: P.F. RUSSO | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: J.A. SKINNER | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: M.C. WHITMAN | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: R.V. WHITWORTH | Management | For | For | ||||||||
2. | RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING OCTOBER 31, 2014. | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | STOCKHOLDER PROPOSAL RELATED TO THE FORMATION OF A HUMAN RIGHTS COMMITTEE. | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 4,128 | 0 | 04-Feb-2014 | 04-Feb-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,536 | 0 | 04-Feb-2014 | 04-Feb-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 516 | 0 | 04-Feb-2014 | 04-Feb-2014 |
THE AES CORPORATION
| ||||||||
Security | 00130H105 | Meeting Type | Annual | |||||
Ticker Symbol | AES | Meeting Date | 17-Apr-2014 | |||||
ISIN | US00130H1059 | Agenda | 933928890 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: ANDRES GLUSKI | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: ZHANG GUO BAO | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: CHARLES L. HARRINGTON | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: KRISTINA M. JOHNSON | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: TARUN KHANNA | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: PHILIP LADER | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JAMES H. MILLER | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: SANDRA O. MOOSE | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: JOHN B. MORSE, JR. | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: MOISES NAIM | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: CHARLES O. ROSSOTTI | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: SVEN SANDSTROM | Management | For | For | ||||||||
2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR YEAR 2014. | Management | For | For | ||||||||
3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,010 | 0 | 08-Mar-2014 | 08-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,789 | 0 | 08-Mar-2014 | 08-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,010 | 0 | 08-Mar-2014 | 08-Mar-2014 |
EDISON INTERNATIONAL
| ||||||||
Security | 281020107 | Meeting Type | Annual | |||||
Ticker Symbol | EIX | Meeting Date | 24-Apr-2014 | |||||
ISIN | US2810201077 | Agenda | 933932370 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: JAGJEET S. BINDRA | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: VANESSA C.L. CHANG | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: FRANCE A. CORDOVA | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: THEODORE F. CRAVER, JR. | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: BRADFORD M. FREEMAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: LUIS G. NOGALES | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: RICHARD T. SCHLOSBERG, III | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: LINDA G. STUNTZ | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: THOMAS C. SUTTON | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: ELLEN O. TAUSCHER | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: PETER J. TAYLOR | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: BRETT WHITE | Management | For | For | ||||||||
2. | RATIFICATION OF THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE THE COMPANY’S EXECUTIVE COMPENSATION | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT BOARD CHAIRMAN | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,308 | 0 | 15-Mar-2014 | 15-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,527 | 0 | 15-Mar-2014 | 15-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 305 | 0 | 15-Mar-2014 | 15-Mar-2014 |
DIRECTV
| ||||||||
Security | 25490A309 | Meeting Type | Annual | |||||
Ticker Symbol | DTV | Meeting Date | 29-Apr-2014 | |||||
ISIN | US25490A3095 | Agenda | 933933550 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: NEIL AUSTRIAN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RALPH BOYD, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: ABELARDO BRU | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: DAVID DILLON | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: SAMUEL DIPIAZZA, JR. | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: DIXON DOLL | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: CHARLES LEE | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: PETER LUND | Management | For | For |
1I. | ELECTION OF DIRECTOR: NANCY NEWCOMB | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: LORRIE NORRINGTON | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: ANTHONY VINCIQUERRA | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: MICHAEL WHITE | Management | For | For | ||||||||
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR DIRECTV FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014. | Management | For | For | ||||||||
3. | AN ADVISORY VOTE TO APPROVE COMPENSATION OF OUR NAMED EXECUTIVES. | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL TO ADOPT A POLICY THAT THERE WOULD BE NO ACCELERATED VESTING OF PERFORMANCE-BASED EQUITY AWARDS UPON A CHANGE IN CONTROL. | Shareholder | Against | For | ||||||||
5. | SHAREHOLDER PROPOSAL TO REQUIRE SENIOR EXECUTIVES TO RETAIN 50% OF NET AFTER-TAX SHARES ACQUIRED THROUGH PAY PROGRAMS UNTIL REACHING NORMAL RETIREMENT AGE. | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,982 | 0 | 21-Mar-2014 | 21-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,265 | 0 | 21-Mar-2014 | 21-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 373 | 0 | 21-Mar-2014 | 21-Mar-2014 |
EMC CORPORATION
| ||||||||
Security | 268648102 | Meeting Type | Annual | |||||
Ticker Symbol | EMC | Meeting Date | 30-Apr-2014 | |||||
ISIN | US2686481027 | Agenda | 933944159 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: MICHAEL W. BROWN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RANDOLPH L. COWEN | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: GAIL DEEGAN | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: JAMES S. DISTASIO | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JOHN R. EGAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: WILLIAM D. GREEN | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: EDMUND F. KELLY | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: JAMI MISCIK | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: PAUL SAGAN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: DAVID N. STROHM | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: JOSEPH M. TUCCI | Management | For | For | ||||||||
2. | RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF PRICEWATERHOUSECOOPERS LLP AS EMC’S INDEPENDENT AUDITORS. | Management | For | For | ||||||||
3. | ADVISORY APPROVAL OF OUR EXECUTIVE COMPENSATION, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Management | For | For | ||||||||
4. | TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO AN INDEPENDENT BOARD CHAIRMAN, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Shareholder | Against | For | ||||||||
5. | TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS, AS DESCRIBED IN EMC’S PROXY STATEMENT. | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,575 | 0 | 22-Mar-2014 | 22-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 9,321 | 0 | 22-Mar-2014 | 22-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,062 | 0 | 22-Mar-2014 | 22-Mar-2014 |
MARATHON PETROLEUM CORPORATION
| ||||||||
Security | 56585A102 | Meeting Type | Annual | |||||
Ticker Symbol | MPC | Meeting Date | 30-Apr-2014 | |||||
ISIN | US56585A1025 | Agenda | 933943208 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | DIRECTOR | Management | ||||||||||
1 STEVEN A. DAVIS | For | For | ||||||||||
2 GARY R. HEMINGER | For | For | ||||||||||
3 JOHN W. SNOW | For | For | ||||||||||
4 JOHN P. SURMA | For | For | ||||||||||
2. | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT AUDITOR FOR 2014. | Management | For | For | ||||||||
3. | ADVISORY APPROVAL OF THE COMPANY’S 2014 NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL SEEKING THE ADOPTION OF QUANTITATIVE GREENHOUSE GAS EMISSION REDUCTION GOALS AND ASSOCIATED REPORTS. | Shareholder | Against | For | ||||||||
5. | SHAREHOLDER PROPOSAL SEEKING A REPORT ON CORPORATE LOBBYING EXPENDITURES, POLICIES AND PROCEDURES. | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,289 | 0 | 20-Mar-2014 | 20-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,411 | 0 | 20-Mar-2014 | 20-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 161 | 0 | 20-Mar-2014 | 20-Mar-2014 |
VERIZON COMMUNICATIONS INC.
| ||||||||
Security | 92343V104 | Meeting Type | Annual | |||||
Ticker Symbol | VZ | Meeting Date | 01-May-2014 | |||||
ISIN | US92343V1044 | Agenda | 933936607 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: SHELLYE L. ARCHAMBEAU | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: RICHARD L. CARRION | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: MELANIE L. HEALEY | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: M. FRANCES KEETH | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: ROBERT W. LANE | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: LOWELL C. MCADAM | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: DONALD T. NICOLAISEN | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: CLARENCE OTIS, JR. | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: RODNEY E. SLATER | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: KATHRYN A. TESIJA | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: GREGORY D. WASSON | Management | For | For | ||||||||
2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For |
4. | PROPOSAL TO IMPLEMENT PROXY ACCESS | Management | For | For | ||||||||
5. | NETWORK NEUTRALITY | Shareholder | Against | For | ||||||||
6. | LOBBYING ACTIVITIES | Shareholder | Against | For | ||||||||
7. | SEVERANCE APPROVAL POLICY | Shareholder | Against | For | ||||||||
8. | SHAREHOLDER RIGHT TO CALL A SPECIAL MEETING | Shareholder | Against | For | ||||||||
9. | SHAREHOLDER RIGHT TO ACT BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
10. | PROXY VOTING AUTHORITY | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,361 | 0 | 22-Mar-2014 | 22-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,590 | 0 | 22-Mar-2014 | 22-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 288 | 0 | 22-Mar-2014 | 22-Mar-2014 |
L-3 COMMUNICATIONS HOLDINGS, INC.
| ||||||||
Security | 502424104 | Meeting Type | Annual | |||||
Ticker Symbol | LLL | Meeting Date | 06-May-2014 | |||||
ISIN | US5024241045 | Agenda | 933945896 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: ANN E. DUNWOODY | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: VINCENT PAGANO, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: H. HUGH SHELTON | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: MICHAEL T. STRIANESE | Management | For | For | ||||||||
2. | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
3. | APPROVE, IN A NON-BINDING, ADVISORY VOTE, THE COMPENSATION PAID TO OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
4. | APPROVE A SHAREHOLDER PROPOSAL REGARDING EQUITY RETENTION BY SENIOR EXECUTIVES, IF PRESENTED AT THE MEETING. | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,805 | 0 | 25-Mar-2014 | 25-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,970 | 0 | 25-Mar-2014 | 25-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 232 | 0 | 25-Mar-2014 | 25-Mar-2014 |
PHILLIPS 66
| ||||||||
Security | 718546104 | Meeting Type | Annual | |||||
Ticker Symbol | PSX | Meeting Date | 07-May-2014 | |||||
ISIN | US7185461040 | Agenda | 933944010 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: WILLIAM R. LOOMIS, JR. | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: GLENN F. TILTON | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: MARNA C. WHITTINGTON | Management | For | For | ||||||||
2. | PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR PHILLIPS 66 FOR 2014. | Management | For | For | ||||||||
3. | SAY ON PAY - AN ADVISORY (NON-BINDING) VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | GREENHOUSE GAS REDUCTION GOALS. | Shareholder | Against | For |
Account
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,504 | 0 | 27-Mar-2014 | 27-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,651 | 0 | 27-Mar-2014 | 27-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 203 | 0 | 27-Mar-2014 | 27-Mar-2014 |
THE DUN & BRADSTREET CORPORATION
| ||||||||
Security | 26483E100 | Meeting Type | Annual | |||||
Ticker Symbol | DNB | Meeting Date | 07-May-2014 | |||||
ISIN | US26483E1001 | Agenda | 933949844 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: AUSTIN A. ADAMS | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: ROBERT P. CARRIGAN | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: JAMES N. FERNANDEZ | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: PAUL R. GARCIA | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ANASTASSIA LAUTERBACH | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: THOMAS J. MANNING | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: SANDRA E. PETERSON | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: JUDITH A. REINSDORF | Management | For | For | ||||||||
2. | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For | ||||||||
3. | ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION (SAY ON PAY). | Management | For | For | ||||||||
4. | VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THE BOARD TO ADOPT A POLICY REQUIRING AN INDEPENDENT CHAIRMAN OF THE BOARD. | Shareholder | Against | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
| Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,119 | 0 | 29-Mar-2014 | 29-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,312 | 0 | 29-Mar-2014 | 29-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 266 | 0 | 29-Mar-2014 | 29-Mar-2014 |
NEWFIELD EXPLORATION COMPANY
| ||||||||
Security | 651290108 | Meeting Type | Annual | |||||
Ticker Symbol | NFX | Meeting Date | 09-May-2014 | |||||
ISIN | US6512901082 | Agenda | 933951926 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: LEE K. BOOTHBY | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: PAMELA J. GARDNER | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: JOHN RANDOLPH KEMP III | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: STEVEN W. NANCE | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: HOWARD H. NEWMAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: THOMAS G. RICKS | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JUANITA M. ROMANS | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: JOHN W. SCHANCK | Management | For | For |
1I. | ELECTION OF DIRECTOR: C.E. (CHUCK) SHULTZ | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: RICHARD K. STONEBURNER | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: J. TERRY STRANGE | Management | For | For | ||||||||
2. | RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITOR FOR FISCAL 2014. | Management | For | For | ||||||||
3. | ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For |
Account
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,988 | 0 | 27-Mar-2014 | 27-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,261 | 0 | 27-Mar-2014 | 27-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 375 | 0 | 27-Mar-2014 | 27-Mar-2014 |
ANADARKO PETROLEUM CORPORATION
| ||||||||
Security | 032511107 | Meeting Type | Annual | |||||
Ticker Symbol | APC | Meeting Date | 13-May-2014 | |||||
ISIN | US0325111070 | Agenda | 933952651 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: ANTHONY R. CHASE | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: KEVIN P. CHILTON | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: H. PAULETT EBERHART | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: PETER J. FLUOR | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: RICHARD L. GEORGE | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: CHARLES W. GOODYEAR | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JOHN R. GORDON | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ERIC D. MULLINS | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: R.A. WALKER | Management | For | For | ||||||||
2. | RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT AUDITOR. | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
4. | STOCKHOLDER PROPOSAL - REPORT ON POLITICAL CONTRIBUTIONS. | Shareholder | Against | For | ||||||||
5. | STOCKHOLDER PROPOSAL - REPORT ON CLIMATE CHANGE RISK. | Shareholder | Against | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
| Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,324 | 0 | 29-Mar-2014 | 29-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,444 | 0 | 29-Mar-2014 | 29-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 166 | 0 | 29-Mar-2014 | 29-Mar-2014 |
BROADCOM CORPORATION
| ||||||||
Security | 111320107 | Meeting Type | Annual | |||||
Ticker Symbol | BRCM | Meeting Date | 13-May-2014 | |||||
ISIN | US1113201073 | Agenda | 933953956 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||||
1. | DIRECTOR | Management | ||||||||||||
1 | ROBERT J. FINOCCHIO, JR | For | For | |||||||||||
2 | NANCY H. HANDEL | For | For | |||||||||||
3 | EDDY W. HARTENSTEIN | For | For | |||||||||||
4 | MARIA M. KLAWE, PH.D. | For | For |
5 | JOHN E. MAJOR | For | For | |||||||||||
6 | SCOTT A. MCGREGOR | For | For | |||||||||||
7 | WILLIAM T. MORROW | For | For | |||||||||||
8 | HENRY SAMUELI, PH.D. | For | For | |||||||||||
9 | ROBERT E. SWITZ | For | For | |||||||||||
2. | ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | ||||||||||
3. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2014. | Management | For | For |
Account
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,002 | 0 | 29-Mar-2014 | 29-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 7,665 | 0 | 29-Mar-2014 | 29-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 876 | 0 | 29-Mar-2014 | 29-Mar-2014 |
LABORATORY CORP. OF AMERICA HOLDINGS
| ||||||||
Security | 50540R409 | Meeting Type | Annual | |||||
Ticker Symbol | LH | Meeting Date | 14-May-2014 | |||||
ISIN | US50540R4092 | Agenda | 933960494 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: KERRII B. ANDERSON | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: JEAN-LUC BELINGARD | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: D. GARY GILLILAND, M.D., PH.D. | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: DAVID P. KING | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: GARHENG KONG, M.D., PH.D. | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ROBERT E. MITTELSTAEDT, JR. | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: PETER M. NEUPERT | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ADAM H. SCHECHTER | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: R. SANDERS WILLIAMS, M.D. | Management | For | For | ||||||||
2. | TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
3. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS LABORATORY CORPORATION OF AMERICA HOLDINGS’ INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For |
Account
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
| Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,233 | 0 | 05-Apr-2014 | 05-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,437 | 0 | 05-Apr-2014 | 05-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 295 | 0 | 05-Apr-2014 | 05-Apr-2014 |
MURPHY OIL CORPORATION
| ||||||||
Security | 626717102 | Meeting Type | Annual | |||||
Ticker Symbol | MUR | Meeting Date | 14-May-2014 | |||||
ISIN | US6267171022 | Agenda | 933944767 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: F.W. BLUE | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: T.J. COLLINS | Management | For | For |
1C. | ELECTION OF DIRECTOR: S.A. COSSE | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: C.P. DEMING | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: R.W. JENKINS | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: J.V. KELLEY | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: W. MIROSH | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: R.M. MURPHY | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: J.W. NOLAN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: N.E. SCHMALE | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: C.G. THEUS | Management | For | For | ||||||||
2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
3. | APPROVE THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,880 | 0 | 22-Mar-2014 | 22-Mar-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,052 | 0 | 22-Mar-2014 | 22-Mar-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 222 | 0 | 22-Mar-2014 | 22-Mar-2014 |
APACHE CORPORATION
| ||||||||
Security | 037411105 | Meeting Type | Annual | |||||
Ticker Symbol | APA | Meeting Date | 15-May-2014 | |||||
ISIN | US0374111054 | Agenda | 933967486 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | ELECTION OF DIRECTOR: G. STEVEN FARRIS | Management | For | For | ||||||||
2. | ELECTION OF DIRECTOR: A.D. FRAZIER, JR. | Management | For | For | ||||||||
3. | ELECTION OF DIRECTOR: AMY H. NELSON | Management | For | For | ||||||||
4. | RATIFICATION OF ERNST & YOUNG LLP AS APACHE’S INDEPENDENT AUDITORS | Management | For | For | ||||||||
5. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF APACHE’S NAMED EXECUTIVE OFFICERS | Management | For | For | ||||||||
6. | APPROVAL OF AMENDMENT TO APACHE’S RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE APACHE’S CLASSIFIED BOARD OF DIRECTORS | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,399 | 0 | 05-Apr-2014 | 05-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,527 | 0 | 05-Apr-2014 | 05-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 176 | 0 | 05-Apr-2014 | 05-Apr-2014 |
CMS ENERGY CORPORATION
| ||||||||
Security | 125896100 | Meeting Type | Annual | |||||
Ticker Symbol | CMS | Meeting Date | 16-May-2014 | |||||
ISIN | US1258961002 | Agenda | 933969923 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: JON E. BARFIELD | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: KURT L. DARROW | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: STEPHEN E. EWING | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: RICHARD M. GABRYS | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: WILLIAM D. HARVEY | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: DAVID W. JOOS | Management | For | For |
1G. | ELECTION OF DIRECTOR: PHILIP R. LOCHNER, JR. | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: JOHN G. RUSSELL | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: KENNETH L. WAY | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: LAURA H. WRIGHT | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: JOHN B. YASINSKY | Management | For | For | ||||||||
2. | ADVISORY VOTE TO APPROVE THE CORPORATION’S EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
3. | RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM (PRICEWATERHOUSECOOPERS LLP). | Management | For | For | ||||||||
4. | PROPOSAL TO APPROVE PERFORMANCE INCENTIVE STOCK PLAN. | Management | For | For | ||||||||
5. | PROPOSAL TO APPROVE PERFORMANCE MEASURES IN INCENTIVE COMPENSATION PLAN. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,962 | 0 | 08-Apr-2014 | 08-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,324 | 0 | 08-Apr-2014 | 08-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 497 | 0 | 08-Apr-2014 | 08-Apr-2014 |
THE WESTERN UNION COMPANY
| ||||||||
Security | 959802109 | Meeting Type | Annual | |||||
Ticker Symbol | WU | Meeting Date | 16-May-2014 | |||||
ISIN | US9598021098 | Agenda | 933960393 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A | ELECTION OF DIRECTOR: DINYAR S. DEVITRE | Management | For | For | ||||||||
1B | ELECTION OF DIRECTOR: HIKMET ERSEK | Management | For | For | ||||||||
1C | ELECTION OF DIRECTOR: JACK M. GREENBERG | Management | For | For | ||||||||
1D | ELECTION OF DIRECTOR: BETSY D. HOLDEN | Management | For | For | ||||||||
1E | ELECTION OF DIRECTOR: LINDA FAYNE LEVINSON | Management | For | For | ||||||||
1F | ELECTION OF DIRECTOR: FRANCES FRAGOS TOWNSEND | Management | For | For | ||||||||
1G | ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO | Management | For | For | ||||||||
2 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||
3 | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014 | Management | For | For | ||||||||
4 | STOCKHOLDER PROPOSAL REGARDING STOCKHOLDER ACTION BY WRITTEN CONSENT | Shareholder | Against | For | ||||||||
5 | STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS | Shareholder | Against | For | ||||||||
6 | STOCKHOLDER PROPOSAL REGARDING NEW BOARD COMMITTEE | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 12,584 | 0 | 03-Apr-2014 | 03-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 13,733 | 0 | 03-Apr-2014 | 03-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,674 | 0 | 03-Apr-2014 | 03-Apr-2014 |
ENSCO PLC
| ||||||||
Security | G3157S106 | Meeting Type | Annual | |||||
Ticker Symbol | ESV | Meeting Date | 19-May-2014 | |||||
ISIN | GB00B4VLR192 | Agenda | 933971017 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | RE-ELECTION OF DIRECTOR: J. RODERICK CLARK | Management | For | For | ||||||||
1B. | RE-ELECTION OF DIRECTOR: ROXANNE J. DECYK | Management | For | For | ||||||||
1C. | RE-ELECTION OF DIRECTOR: MARY E. FRANCIS CBE | Management | For | For | ||||||||
1D. | RE-ELECTION OF DIRECTOR: C. CHRISTOPHER GAUT | Management | For | For | ||||||||
1E. | RE-ELECTION OF DIRECTOR: GERALD W. HADDOCK | Management | For | For | ||||||||
1F. | RE-ELECTION OF DIRECTOR: FRANCIS S. KALMAN | Management | For | For | ||||||||
1G. | RE-ELECTION OF DIRECTOR: DANIEL W. RABUN | Management | For | For | ||||||||
1H. | RE-ELECTION OF DIRECTOR: KEITH O. RATTIE | Management | For | For | ||||||||
1I. | RE-ELECTION OF DIRECTOR: PAUL E. ROWSEY, III | Management | For | For | ||||||||
2. | TO AUTHORISE THE BOARD OF DIRECTORS TO ALLOT SHARES. | Management | For | For | ||||||||
3. | TO RATIFY THE AUDIT COMMITTEE’S APPOINTMENT OF KPMG LLP AS OUR U.S. INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED 31 DECEMBER 2014. | Management | For | For | ||||||||
4. | TO RE-APPOINT KPMG AUDIT PLC AS OUR U.K. STATUTORY AUDITORS UNDER THE U.K. COMPANIES ACT 2006 (TO HOLD OFFICE FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING OF SHAREHOLDERS UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF SHAREHOLDERS AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY). | Management | For | For | ||||||||
5. | TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE OUR U.K. STATUTORY AUDITORS’ REMUNERATION. | Management | For | For | ||||||||
6. | TO APPROVE THE DIRECTORS’ REMUNERATION POLICY. | Management | For | For | ||||||||
7. | A NON-BINDING ADVISORY VOTE TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2013. | Management | For | For | ||||||||
8. | A NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | ||||||||
9. | A NON-BINDING ADVISORY VOTE TO APPROVE THE REPORTS OF THE AUDITORS AND THE DIRECTORS AND THE U.K. STATUTORY ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2013 (IN ACCORDANCE WITH LEGAL REQUIREMENTS APPLICABLE TO U.K. COMPANIES). | Management | For | For | ||||||||
10. | TO APPROVE A CAPITAL REORGANISATION. | Management | For | For | ||||||||
11. | TO APPROVE THE DISAPPLICATION OF PRE- EMPTION RIGHTS. | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 2,127 | 0 | 10-Apr-2014 | 10-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,321 | 0 | 10-Apr-2014 | 10-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 278 | 0 | 10-Apr-2014 | 10-Apr-2014 |
DENBURY RESOURCES INC.
| ||||||||
Security | 247916208 | Meeting Type | Annual | |||||
Ticker Symbol | DNR | Meeting Date | 20-May-2014 | |||||
ISIN | US2479162081 | Agenda | 933970370 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | DIRECTOR | Management | ||||||||||
1 WIELAND F. WETTSTEIN | For | For |
2 MICHAEL L. BEATTY | For | For | ||||||||||
3 MICHAEL B. DECKER | For | For | ||||||||||
4 JOHN P. DIELWART | For | For | ||||||||||
5 RONALD G. GREENE | For | For | ||||||||||
6 GREGORY L. MCMICHAEL | For | For | ||||||||||
7 KEVIN O. MEYERS | For | For | ||||||||||
8 PHIL RYKHOEK | For | For | ||||||||||
9 RANDY STEIN | For | For | ||||||||||
10 LAURA A. SUGG | For | For | ||||||||||
2. | ADVISORY VOTE TO APPROVE THE COMPANY’S 2013 NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | ||||||||
3. | PROPOSAL TO RATIFY THE AUDIT COMMITTEE’S SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 6,786 | 0 | 11-Apr-2014 | 11-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 7,406 | 0 | 11-Apr-2014 | 11-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 892 | 0 | 11-Apr-2014 | 11-Apr-2014 |
SOUTHWESTERN ENERGY COMPANY
| ||||||||
Security | 845467109 | Meeting Type | Annual | |||||
Ticker Symbol | SWN | Meeting Date | 20-May-2014 | |||||
ISIN | US8454671095 | Agenda | 933966395 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1.1 | ELECTION OF DIRECTOR: JOHN D. GASS | Management | For | For | ||||||||
1.2 | ELECTION OF DIRECTOR: CATHERINE A. KEHR | Management | For | For | ||||||||
1.3 | ELECTION OF DIRECTOR: GREG D. KERLEY | Management | For | For | ||||||||
1.4 | ELECTION OF DIRECTOR: VELLO A. KUUSKRAA | Management | For | For | ||||||||
1.5 | ELECTION OF DIRECTOR: KENNETH R. MOURTON | Management | For | For | ||||||||
1.6 | ELECTION OF DIRECTOR: STEVEN L. MUELLER | Management | For | For | ||||||||
1.7 | ELECTION OF DIRECTOR: ELLIOTT PEW | Management | For | For | ||||||||
1.8 | ELECTION OF DIRECTOR: ALAN H. STEVENS | Management | For | For | ||||||||
2. | PROPOSAL TO RATIFY INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE OUR EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | PROPOSAL FROM STOCKHOLDER REGARDING SPECIAL MEETINGS. | Shareholder | Against | For | ||||||||
5. | PROPOSAL FROM STOCKHOLDER REGARDING METHANE EMISSIONS REPORT. | Shareholder | Against | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 5,064 | 0 | 08-Apr-2014 | 08-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,526 | 0 | 08-Apr-2014 | 08-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 636 | 0 | 08-Apr-2014 | 08-Apr-2014 |
XEROX CORPORATION
| ||||||||
Security | 984121103 | Meeting Type | Annual | |||||
Ticker Symbol | XRX | Meeting Date | 20-May-2014 | |||||
ISIN | US9841211033 | Agenda | 933953932 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: GLENN A. BRITT | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: URSULA M. BURNS | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: RICHARD J. HARRINGTON | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: WILLIAM CURT HUNTER | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: ROBERT J. KEEGAN | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ROBERT A. MCDONALD | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: CHARLES PRINCE | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: ANN N. REESE | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: SARA MARTINEZ TUCKER | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: MARY AGNES WILDEROTTER | Management | For | For | ||||||||
2. | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For | ||||||||
3. | APPROVAL, ON AN ADVISORY BASIS, OF THE 2013 COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 10,346 | 0 | 08-Apr-2014 | 08-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 11,290 | 0 | 08-Apr-2014 | 08-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,299 | 0 | 08-Apr-2014 | 08-Apr-2014 |
CABLEVISION SYSTEMS CORPORATION
| ||||||||
Security | 12686C109 | Meeting Type | Annual | |||||
Ticker Symbol | CVC | Meeting Date | 22-May-2014 | |||||
ISIN | US12686C1099 | Agenda | 933976334 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1. | DIRECTOR | Management | ||||||||||
1 JOSEPH J. LHOTA | For | For | ||||||||||
2 THOMAS V. REIFENHEISER | For | For | ||||||||||
3 JOHN R. RYAN | For | For | ||||||||||
4 VINCENT TESE | For | For | ||||||||||
5 LEONARD TOW | For | For | ||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
3. | APPROVAL OF CABLEVISION SYSTEMS CORPORATION AMENDED AND RESTATED 2006 EMPLOYEE STOCK PLAN. | Management | For | For | ||||||||
4. | NON-BINDING ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
5. | STOCKHOLDER PROPOSAL FOR A POLITICAL CONTRIBUTIONS REPORT. | Shareholder | Against | For | ||||||||
6. | STOCKHOLDER PROPOSAL TO ADOPT A RECAPITALIZATION PLAN. | Shareholder | Against | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
| Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 11,743 | 0 | 12-Apr-2014 | 12-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 12,815 | 0 | 12-Apr-2014 | 12-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,474 | 0 | 12-Apr-2014 | 12-Apr-2014 |
INTEL CORPORATION
| ||||||||
Security | 458140100 | Meeting Type | Annual | |||||
Ticker Symbol | INTC | Meeting Date | 22-May-2014 | |||||
ISIN | US4581401001 | Agenda | 933962854 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: CHARLENE BARSHEFSKY | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: ANDY D. BRYANT | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: SUSAN L. DECKER | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: JOHN J. DONAHOE | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: REED E. HUNDT | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: BRIAN M. KRZANICH | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JAMES D. PLUMMER | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: DAVID S. POTTRUCK | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: FRANK D. YEARY | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: DAVID B. YOFFIE | Management | For | For | ||||||||
2. | RATIFICATION OF SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT YEAR | Management | For | For | ||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,486 | 0 | 04-Apr-2014 | 04-Apr-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 9,290 | 0 | 04-Apr-2014 | 04-Apr-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,087 | 0 | 04-Apr-2014 | 04-Apr-2014 |
CATERPILLAR INC.
| ||||||||
Security | 149123101 | Meeting Type | Annual | |||||
Ticker Symbol | CAT | Meeting Date | 11-Jun-2014 | |||||
ISIN | US1491231015 | Agenda | 934004805 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: DAVID L. CALHOUN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: DANIEL M. DICKINSON | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: JUAN GALLARDO | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: JESSE J. GREENE, JR. | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JON M. HUNTSMAN, JR. | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: PETER A. MAGOWAN | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: DENNIS A. MUILENBURG | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: DOUGLAS R. OBERHELMAN | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: WILLIAM A. OSBORN | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: EDWARD B. RUST, JR. | Management | For | For | ||||||||
1K. | ELECTION OF DIRECTOR: SUSAN C. SCHWAB | Management | For | For | ||||||||
1L. | ELECTION OF DIRECTOR: MILES D. WHITE | Management | For | For | ||||||||
2. | RATIFY THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014. | Management | For | For | ||||||||
3. | ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | APPROVE THE CATERPILLAR INC. 2014 LONG-TERM INCENTIVE PLAN. | Management | For | For | ||||||||
5. | APPROVE THE CATERPILLAR INC. EXECUTIVE SHORT-TERM INCENTIVE PLAN. | Management | For | For | ||||||||
6. | STOCKHOLDER PROPOSAL - REVIEW OF GLOBAL CORPORATE STANDARDS. | Shareholder | Against | For |
7. | STOCKHOLDER PROPOSAL - SALES TO SUDAN. | Shareholder | Against | For | ||||||||
8. | STOCKHOLDER PROPOSAL - CUMULATIVE VOTING. | Shareholder | Against | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,167 | 0 | 02-May-2014 | 02-May-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,273 | 0 | 02-May-2014 | 02-May-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 146 | 0 | 02-May-2014 | 02-May-2014 |
TARGET CORPORATION
| ||||||||
Security | 87612E106 | Meeting Type | Annual | |||||
Ticker Symbol | TGT | Meeting Date | 11-Jun-2014 | |||||
ISIN | US87612E1064 | Agenda | 934026433 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: ROXANNE S. AUSTIN | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: DOUGLAS M. BAKER, JR. | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: CALVIN DARDEN | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: HENRIQUE DE CASTRO | Management | For | For | ||||||||
1E. | ELECTION OF DIRECTOR: JAMES A. JOHNSON | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: MARY E. MINNICK | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: ANNE M. MULCAHY | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: DERICA W. RICE | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: KENNETH L. SALAZAR | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: JOHN G. STUMPF | Management | For | For | ||||||||
2. | COMPANY PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | ||||||||
3. | COMPANY PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE COMPENSATION (“SAY-ON-PAY”). | Management | For | For | ||||||||
4. | SHAREHOLDER PROPOSAL TO ELIMINATE PERQUISITES. | Shareholder | Against | For | ||||||||
5. | SHAREHOLDER PROPOSAL TO ADOPT A POLICY FOR AN INDEPENDENT CHAIRMAN. | Shareholder | Against | For | ||||||||
6. | SHAREHOLDER PROPOSAL TO ADOPT A POLICY PROHIBITING DISCRIMINATION “AGAINST” OR “FOR” PERSONS. | Shareholder | Against | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date
| |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,916 | 0 | 21-May-2014 | 21-May-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,096 | 0 | 21-May-2014 | 21-May-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 243 | 0 | 21-May-2014 | 21-May-2014 |
DAVITA HEALTHCARE PARTNERS, INC.
| ||||||||
Security | 23918K108 | Meeting Type | Annual | |||||
Ticker Symbol | DVA | Meeting Date | 17-Jun-2014 | |||||
ISIN | US23918K1088 | Agenda | 934006671 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1A. | ELECTION OF DIRECTOR: PAMELA M. ARWAY | Management | For | For | ||||||||
1B. | ELECTION OF DIRECTOR: CHARLES G. BERG | Management | For | For | ||||||||
1C. | ELECTION OF DIRECTOR: CAROL ANTHONY DAVIDSON | Management | For | For | ||||||||
1D. | ELECTION OF DIRECTOR: PAUL J. DIAZ | Management | For | For |
1E. | ELECTION OF DIRECTOR: PETER T. GRAUER | Management | For | For | ||||||||
1F. | ELECTION OF DIRECTOR: ROBERT J. MARGOLIS | Management | For | For | ||||||||
1G. | ELECTION OF DIRECTOR: JOHN M. NEHRA | Management | For | For | ||||||||
1H. | ELECTION OF DIRECTOR: WILLIAM L. ROPER | Management | For | For | ||||||||
1I. | ELECTION OF DIRECTOR: KENT J. THIRY | Management | For | For | ||||||||
1J. | ELECTION OF DIRECTOR: ROGER J. VALINE | Management | For | For | ||||||||
2. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014. | Management | For | For | ||||||||
3. | TO HOLD AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | ||||||||
4. | TO ADOPT AND APPROVE AN AMENDMENT AND RESTATEMENT OF OUR 2011 INCENTIVE AWARD PLAN. | Management | For | For | ||||||||
5. | TO CONSIDER AND VOTE UPON A STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE ANNUAL MEETING REGARDING THE BOARD CHAIRMANSHIP. | Shareholder | Against | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,128 | 0 | 08-May-2014 | 08-May-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,421 | 0 | 08-May-2014 | 08-May-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 384 | 0 | 08-May-2014 | 08-May-2014 |
GAMESTOP CORP.
| ||||||||
Security | 36467W109 | Meeting Type | Annual | |||||
Ticker Symbol | GME | Meeting Date | 24-Jun-2014 | |||||
ISIN | US36467W1099 | Agenda | 934015175 - Management |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1.1 | RE-ELECTION OF DIRECTOR: THOMAS N. KELLY JR. | Management | For | For | ||||||||
1.2 | RE-ELECTION OF DIRECTOR: GERALD R. SZCZEPANSKI | Management | For | For | ||||||||
1.3 | RE-ELECTION OF DIRECTOR: LAWRENCE S. ZILAVY | Management | For | For | ||||||||
2. | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Management | For | For | ||||||||
3. | RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS INDEPENDENT, REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2014 | Management | For | For |
Account Number
| Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||
6734305560 | 6734305560 | 6734305560 | UNION BANK | 8,061 | 0 | 16-May-2014 | 16-May-2014 | |||||||||||
6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,816 | 0 | 16-May-2014 | 16-May-2014 | |||||||||||
6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,023 | 0 | 16-May-2014 | 16-May-2014 |
Crystal Strategy Absolute Income Fund
Custodian Account Name | Company Name | Ticker | Country | Provider Security ID | Meeting Type | Meeting Date | Record Date | Proponent | Proposal Number | Proposal Text | Management Recommendation | Vote Instruction | ||||||||||||
Crystal Strategy Absolute Income | Fifth Street Finance Corp. | FSC | USA | 31678A103 | Annual | 13-Mar-14 | 14-Jan-14 | Management | 1.1a | Elect Director Ivelin M. Dimitrov | For | For | ||||||||||||
Crystal Strategy Absolute Income | Fifth Street Finance Corp. | FSC | USA | 31678A103 | Annual | 13-Mar-14 | 14-Jan-14 | Management | 1.1b | Elect Director Brian S. Dunn | For | For | ||||||||||||
Crystal Strategy Absolute Income | Fifth Street Finance Corp. | FSC | USA | 31678A103 | Annual | 13-Mar-14 | 14-Jan-14 | Management | 1.1c | Elect Director Byron J. Haney | For | For | ||||||||||||
Crystal Strategy Absolute Income | Fifth Street Finance Corp. | FSC | USA | 31678A103 | Annual | 13-Mar-14 | 14-Jan-14 | Management | 2 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 1 | Accept Financial Statements and Statutory Reports | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 2 | Approve Remuneration Report | For | Abstain | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 3 | Approve Remuneration Policy | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 4 | Re-elect Bob Dudley as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 5 | Re-elect Iain Conn as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 6 | Re-elect Dr Brian Gilvary as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 7 | Re-elect Paul Anderson as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 8 | Re-elect Frank Bowman as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 9 | Re-elect Antony Burgmans as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 10 | Re-elect Cynthia Carroll as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 11 | Re-elect George David as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 12 | Re-elect Ian Davis as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 13 | Re-elect Dame Ann Dowling as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 14 | Re-elect Brendan Nelson as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 15 | Re-elect Phuthuma Nhleko as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 16 | Re-elect Andrew Shilston as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 17 | Re-elect Carl-Henric Svanberg as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 18 | Reappoint Ernst & Young LLP as Auditors and Authorise Their Remuneration | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 19 | Approve Executive Directors’ Incentive Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 20 | Approve Remuneration of Non-Executive Directors | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 21 | Authorise Issue of Equity with Pre-emptive Rights | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 22 | Authorise Issue of Equity without Pre-emptive Rights | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 23 | Authorise Market Purchase of Ordinary Shares | For | For | ||||||||||||
Crystal Strategy Absolute Income | BP plc | BP. | United Kingdom | 055622104 | Annual | 10-Apr-14 | 28-Mar-14 | Management | 24 | Authorise the Company to Call EGM with Two Weeks’ Notice | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 1.1 | Elect Director Brian M. Sondey | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 1.2 | Elect Director Malcolm P. Baker | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 1.3 | Elect Director Claude Germain | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 1.4 | Elect Director Kenneth Hanau | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 1.5 | Elect Director Helmut Kaspers | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 1.6 | Elect Director Frederic H. Lindeberg | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 3 | Approve Omnibus Stock Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | TAL International Group, Inc. | TAL | USA | 874083108 | Annual | 22-Apr-14 | 14-Mar-14 | Management | 4 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.1 | Elect Director Richard D. Bronson | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.2 | Elect Director Jeffrey F. DiModica | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.3 | Elect Director Jeffrey G. Dishner | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.4 | Elect Director Camille J. Douglas | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.5 | Elect Director Boyd W. Fellows | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.6 | Elect Director Barry S. Sternlicht | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.7 | Elect Director Strauss Zelnick | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 3 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Share Holder | 4 | Require Independent Board Chairman | Against | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.1 | Elect Director Peter Marrone | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.2 | Elect Director Patrick J. Mars | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.3 | Elect Director John Begeman | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.4 | Elect Director Alexander Davidson | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.5 | Elect Director Richard Graff | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.6 | Elect Director Nigel Lees | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.7 | Elect Director Carl Renzoni | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.8 | Elect Director Dino Titaro | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 2 | Ratify Deloitte LLP as Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 3 | Adopt By-Law No. 1 | For | For | ||||||||||||
Crystal Strategy Absolute Income | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 4 | Advisory Vote on Executive Compensation Approach | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 1.1 | Elect Director Thomas J. Barrack, Jr. | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 1.2 | Elect Director Richard B. Saltzman | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 1.3 | Elect Director George G. C. Parker | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 1.4 | Elect Director John A. Somers | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 1.5 | Elect Director John L. Steffens | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 3 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | Colony Financial, Inc. | CLNY | USA | 19624R106 | Annual | 08-May-14 | 25-Mar-14 | Management | 4 | Amend Omnibus Stock Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1a | Elect Director Richard L. Armitage | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1b | Elect Director Richard H. Auchinleck | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1c | Elect Director Charles E. Bunch | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1d | Elect Director James E. Copeland, Jr. | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1e | Elect Director Jody L. Freeman | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1f | Elect Director Gay Huey Evans | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1g | Elect Director Ryan M. Lance | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1h | Elect Director Robert A. Niblock | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1i | Elect Director Harald J. Norvik | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 1j | Elect Director William E. Wade, Jr. | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 2 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Management | 4 | Approve Omnibus Stock Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Share Holder | 5 | Report on Lobbying Payments and Policy | Against | For | ||||||||||||
Crystal Strategy Absolute Income | ConocoPhillips | COP | USA | 20825C104 | Annual | 13-May-14 | 14-Mar-14 | Share Holder | 6 | Adopt Quantitative GHG Goals for Operations | Against | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 1 | Accept Financial Statements and Statutory Reports | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 2 | Approve Remuneration Policy | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 3 | Approve Remuneration Report | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 4 | Elect Euleen Goh as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 5 | Elect Patricia Woertz as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 6 | Elect Ben van Beurden as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 7 | Re-elect Guy Elliott as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 8 | Re-elect Simon Henry as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 9 | Re-elect Charles Holliday as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 10 | Re-elect Gerard Kleisterlee as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 11 | Re-elect Jorma Ollila as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 12 | Re-elect Sir Nigel Sheinwald as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 13 | Re-elect Linda Stuntz as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 14 | Re-elect Hans Wijers as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 15 | Re-elect Gerrit Zalm as Director | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 16 | Reappoint PricewaterhouseCoopers LLP as Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 17 | Authorise Board to Fix Remuneration of Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 18 | Authorise Issue of Equity with Pre-emptive Rights | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 19 | Authorise Issue of Equity without Pre-emptive Rights | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 20 | Authorise Market Purchase of Ordinary Shares | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 21 | Approve Long Term Incentive Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 22 | Approve Deferred Bonus Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 23 | Approve Restricted Share Plan | For | For | ||||||||||||
Crystal Strategy Absolute Income | Royal Dutch Shell plc | RDSA | United Kingdom | 780259206 | Annual | 20-May-14 | 10-Apr-14 | Management | 24 | Approve EU Political Donations and Expenditure | For | For |
Crystal Strategy Absolute Return Fund
Custodian Account Name | Company Name | Ticker | Country | Provider Security ID | Meeting Type | Meeting Date | Record Date | Proponent | Proposal Number | Proposal Text | Management Recommendation | Vote Instruction | ||||||||||||
Crystal Strategy Absolute Return | WisdomTree Trust | USA | 97717W851 | Special | 11-Mar-14 | 16-Jan-14 | Management | 1.1 | Elect Director David G. Chrencik | For | For | |||||||||||||
Crystal Strategy Absolute Return | WisdomTree Trust | USA | 97717W851 | Special | 11-Mar-14 | 16-Jan-14 | Management | 1.2 | Elect Director Joel H. Goldberg | For | For | |||||||||||||
Crystal Strategy Absolute Return | WisdomTree Trust | USA | 97717W851 | Special | 11-Mar-14 | 16-Jan-14 | Management | 1.3 | Elect Director Melinda A. Raso Kirstein | For | For | |||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 1 | Approve Financial Statements and Statutory Reports | For | For | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 2 | Approve Allocation of Income | For | For | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 3 | Authorize Increase in Variable Portion of Capital via Capitalization of Reserves and Issuance of Treasury Shares | For | For | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 4 | Elect Directors, Members and Chairmen of Audit, Corporate Practices and Finance Committees | For | Against | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 5 | Approve Remuneration of Directors and Members of Audit, Corporate Practices and Finance Committees | For | For | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 6 | Authorize Board to Ratify and Execute Approved Resolutions | For | For | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 1 | Expand Corporate Purpose and Amend Article 2 Accordingly | For | Against | ||||||||||||
Crystal Strategy Absolute Return | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 2 | Authorize Board to Ratify and Execute Approved Resolutions | For | Against | ||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1a | Elect Director Donald C. Cacciapaglia | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1b | Elect Director Donald A. Chubb, Jr. | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1c | Elect Director Maynard F. Oliverius | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1d | Elect Director Jerry B. Farley | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 2 | Approve Increase in Size of Board | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1a | Elect Director Donald C. Cacciapaglia | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1b | Elect Director Donald A. Chubb, Jr. | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1c | Elect Director Maynard F. Oliverius | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1d | Elect Director Jerry B. Farley | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 2 | Approve Increase in Size of Board | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1a | Elect Director Donald C. Cacciapaglia | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1b | Elect Director Donald A. Chubb, Jr. | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1c | Elect Director Maynard F. Oliverius | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1d | Elect Director Jerry B. Farley | For | For | |||||||||||||
Crystal Strategy Absolute Return | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 2 | Approve Increase in Size of Board | For | For | |||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.1 | Elect Director Don M. Casto, III | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.2 | Elect Director Ann (‘Tanny’) B. Crane | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.3 | Elect Director Steven G. Elliott | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.4 | Elect Director Michael J. Endres | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.5 | Elect Director John B. Gerlach, Jr. | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.6 | Elect Director Peter J. Kight | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.7 | Elect Director Jonathan A. Levy | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.8 | Elect Director Richard W. Neu | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.9 | Elect Director David L. Porteous | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.10 | Elect Director Kathleen H. Ransier | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.11 | Elect Director Stephen D. Steinour | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 2 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Return | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.1 | Elect Director Richard D. Bronson | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.2 | Elect Director Jeffrey F. DiModica | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.3 | Elect Director Jeffrey G. Dishner | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.4 | Elect Director Camille J. Douglas | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.5 | Elect Director Boyd W. Fellows | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.6 | Elect Director Barry S. Sternlicht | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.7 | Elect Director Strauss Zelnick | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 3 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Return | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Share Holder | 4 | Require Independent Board Chairman | Against | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.1 | Elect Director Peter Marrone | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.2 | Elect Director Patrick J. Mars | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.3 | Elect Director John Begeman | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.4 | Elect Director Alexander Davidson | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.5 | Elect Director Richard Graff | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.6 | Elect Director Nigel Lees | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.7 | Elect Director Carl Renzoni | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.8 | Elect Director Dino Titaro | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 2 | Ratify Deloitte LLP as Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 3 | Adopt By-Law No. 1 | For | For | ||||||||||||
Crystal Strategy Absolute Return | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 4 | Advisory Vote on Executive Compensation Approach | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1a | Elect Director Jared L. Cohon | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1b | Elect Director J. Edward Coleman | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1c | Elect Director Alison Davis | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1d | Elect Director Nathaniel A. Davis | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1e | Elect Director Denise K. Fletcher | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1f | Elect Director Leslie F. Kenne | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1g | Elect Director Lee D. Roberts | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1h | Elect Director Paul E. Weaver | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 2 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Return | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1a | Elect Director Herbert Wender | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1b | Elect Director David C. Carney | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1c | Elect Director Howard B. Culang | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1d | Elect Director Lisa W. Hess | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1e | Elect Director Stephen T. Hopkins | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1f | Elect Director Sanford A. Ibrahim | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1g | Elect Director Brian D. Montgomery | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1h | Elect Director Gaetano Muzio | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1i | Elect Director Jan Nicholson | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1j | Elect Director Gregory V. Serio | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1k | Elect Director Noel J. Spiegel | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 3 | Approve Omnibus Stock Plan | For | For | ||||||||||||
Crystal Strategy Absolute Return | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 4 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.1 | Elect Director Bruce B. Bingham | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.2 | Elect Director Christine C. Carsman | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.3 | Elect Director William E. Chapman, II | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.4 | Elect Director Edward J. Kaier | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.5 | Elect Director Kurt Keilhacker | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.6 | Elect Director Steven J. Paggioli | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.7 | Elect Director Richard F. Powers, III | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.8 | Elect Director Eric P. Rakowski | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.9 | Elect Director Victoria Sassine | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.10 | Elect Director Thomas R. Schneeweis | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 2 | Approve Investment Advisory Agreement | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 3 | Approve the Manager-of-Managers Structure | For | For | |||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.1 | Elect Director Bradford B. Baker | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.2 | Elect Director Max H. Cohen | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.3 | Elect Director Mark D. Gordon | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.4 | Elect Director Mark B. Justh | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.5 | Elect Director David J. Saul | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.6 | Elect Director Jon D. Sawyer | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.7 | Elect Director Gregory P. Stemm | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 3 | Approve Omnibus Stock Plan (Withdrawn) | ||||||||||||||
Crystal Strategy Absolute Return | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 4 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.1 | Elect Director Matthew Goldstein | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.2 | Elect Director John F. Finn | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.3 | Elect Director Robert J. Higgins | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.4 | Elect Director Peter C. Marshall | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.5 | Elect Director Mary E. Martinez | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.6 | Elect Director Marilyn McCoy | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.7 | Elect Director Mitchell M. Merin | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.8 | Elect Director William G. Morton, Jr. | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.9 | Elect Director Robert A. Oden, Jr. | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.10 | Elect Director Marian U. Pardo | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.11 | Elect Director Frederick W. Ruebeck | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.12 | Elect Director James J. Schonbachler | For | For | |||||||||||||
Crystal Strategy Absolute Return | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.13 | Elect Director Frankie D. Hughes | For | For | |||||||||||||
Crystal Strategy Absolute Return | Aston Funds | USA | 00080Y462 | Special | 25-Jun-14 | 24-Apr-14 | Management | 1 | Approve Subadvisory Agreement Between Aston Asset Management, LP and River Road Asset Management, LLC | For | For |
Crystal Strategy Leveraged Alternative Fund
Custodian Account Name | Company Name | Ticker | Country | Provider Security ID | Meeting Type | Meeting Date | Record Date | Proponent | Proposal Number | Proposal Text | Management Recommendation | Vote Instruction | ||||||||||||
Crystal Strategy Leverage Fund | WisdomTree Trust | USA | 97717W851 | Special | 11-Mar-14 | 16-Jan-14 | Management | 1.1 | Elect Director David G. Chrencik | For | For | |||||||||||||
Crystal Strategy Leverage Fund | WisdomTree Trust | USA | 97717W851 | Special | 11-Mar-14 | 16-Jan-14 | Management | 1.2 | Elect Director Joel H. Goldberg | For | For | |||||||||||||
Crystal Strategy Leverage Fund | WisdomTree Trust | USA | 97717W851 | Special | 11-Mar-14 | 16-Jan-14 | Management | 1.3 | Elect Director Melinda A. Raso Kirstein | For | For | |||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 1 | Approve Financial Statements and Statutory Reports | For | For | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 2 | Approve Allocation of Income | For | For | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 3 | Authorize Increase in Variable Portion of Capital via Capitalization of Reserves and Issuance of Treasury Shares | For | For | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 4 | Elect Directors, Members and Chairmen of Audit, Corporate Practices and Finance Committees | For | Against | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 5 | Approve Remuneration of Directors and Members of Audit, Corporate Practices and Finance Committees | For | For | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 6 | Authorize Board to Ratify and Execute Approved Resolutions | For | For | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 1 | Expand Corporate Purpose and Amend Article 2 Accordingly | For | Against | ||||||||||||
Crystal Strategy Leverage Fund | CEMEX S.A.B. de C.V. | CEMEXCPO | Mexico | 151290889 | Annual/Special | 20-Mar-14 | 10-Feb-14 | Management | 2 | Authorize Board to Ratify and Execute Approved Resolutions | For | Against | ||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1a | Elect Director Donald C. Cacciapaglia | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1b | Elect Director Donald A. Chubb, Jr. | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1c | Elect Director Maynard F. Oliverius | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1d | Elect Director Jerry B. Farley | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M209 | Special | 03-Apr-14 | 17-Jan-14 | Management | 2 | Approve Increase in Size of Board | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1a | Elect Director Donald C. Cacciapaglia | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1b | Elect Director Donald A. Chubb, Jr. | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1c | Elect Director Maynard F. Oliverius | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1d | Elect Director Jerry B. Farley | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M605 | Special | 03-Apr-14 | 17-Jan-14 | Management | 2 | Approve Increase in Size of Board | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1a | Elect Director Donald C. Cacciapaglia | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1b | Elect Director Donald A. Chubb, Jr. | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1c | Elect Director Maynard F. Oliverius | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 1d | Elect Director Jerry B. Farley | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Claymore Exchange-Traded Fund Trust - Guggenheim BRIC ETF | USA | 18383M613 | Special | 03-Apr-14 | 17-Jan-14 | Management | 2 | Approve Increase in Size of Board | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.1 | Elect Director Don M. Casto, III | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.2 | Elect Director Ann (‘Tanny’) B. Crane | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.3 | Elect Director Steven G. Elliott | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.4 | Elect Director Michael J. Endres | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.5 | Elect Director John B. Gerlach, Jr. | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.6 | Elect Director Peter J. Kight | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.7 | Elect Director Jonathan A. Levy | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.8 | Elect Director Richard W. Neu | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.9 | Elect Director David L. Porteous | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.10 | Elect Director Kathleen H. Ransier | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 1.11 | Elect Director Stephen D. Steinour | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 2 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Huntington Bancshares Incorporated | HBAN | USA | 446150104 | Annual | 17-Apr-14 | 12-Feb-14 | Management | 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.1 | Elect Director Richard D. Bronson | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.2 | Elect Director Jeffrey F. DiModica | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.3 | Elect Director Jeffrey G. Dishner | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.4 | Elect Director Camille J. Douglas | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.5 | Elect Director Boyd W. Fellows | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.6 | Elect Director Barry S. Sternlicht | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 1.7 | Elect Director Strauss Zelnick | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Management | 3 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Starwood Property Trust, Inc. | STWD | USA | 85571B105 | Annual | 30-Apr-14 | 10-Mar-14 | Share Holder | 4 | Require Independent Board Chairman | Against | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.1 | Elect Director Peter Marrone | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.2 | Elect Director Patrick J. Mars | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.3 | Elect Director John Begeman | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.4 | Elect Director Alexander Davidson | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.5 | Elect Director Richard Graff | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.6 | Elect Director Nigel Lees | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.7 | Elect Director Carl Renzoni | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 1.8 | Elect Director Dino Titaro | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 2 | Ratify Deloitte LLP as Auditors | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 3 | Adopt By-Law No. 1 | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Yamana Gold Inc. | YRI | Canada | 98462Y100 | Annual/Special | 30-Apr-14 | 07-Mar-14 | Management | 4 | Advisory Vote on Executive Compensation Approach | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1a | Elect Director Jared L. Cohon | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1b | Elect Director J. Edward Coleman | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1c | Elect Director Alison Davis | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1d | Elect Director Nathaniel A. Davis | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1e | Elect Director Denise K. Fletcher | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1f | Elect Director Leslie F. Kenne | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1g | Elect Director Lee D. Roberts | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 1h | Elect Director Paul E. Weaver | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 2 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Unisys Corporation | UIS | USA | 909214306 | Annual | 01-May-14 | 03-Mar-14 | Management | 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1a | Elect Director Herbert Wender | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1b | Elect Director David C. Carney | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1c | Elect Director Howard B. Culang | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1d | Elect Director Lisa W. Hess | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1e | Elect Director Stephen T. Hopkins | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1f | Elect Director Sanford A. Ibrahim | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1g | Elect Director Brian D. Montgomery | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1h | Elect Director Gaetano Muzio | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1i | Elect Director Jan Nicholson | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1j | Elect Director Gregory V. Serio | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 1k | Elect Director Noel J. Spiegel | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 3 | Approve Omnibus Stock Plan | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Radian Group Inc. | RDN | USA | 750236101 | Annual | 14-May-14 | 17-Mar-14 | Management | 4 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.1 | Elect Director Bruce B. Bingham | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.2 | Elect Director Christine C. Carsman | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.3 | Elect Director William E. Chapman, II | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.4 | Elect Director Edward J. Kaier | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.5 | Elect Director Kurt Keilhacker | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.6 | Elect Director Steven J. Paggioli | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.7 | Elect Director Richard F. Powers, III | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.8 | Elect Director Eric P. Rakowski | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.9 | Elect Director Victoria Sassine | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 1.10 | Elect Director Thomas R. Schneeweis | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 2 | Approve Investment Advisory Agreement | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 28-May-14 | 24-Jan-14 | Management | 3 | Approve the Manager-of-Managers Structure | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.1 | Elect Director Bradford B. Baker | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.2 | Elect Director Max H. Cohen | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.3 | Elect Director Mark D. Gordon | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.4 | Elect Director Mark B. Justh | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.5 | Elect Director David J. Saul | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.6 | Elect Director Jon D. Sawyer | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 1.7 | Elect Director Gregory P. Stemm | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | ||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 3 | Approve Omnibus Stock Plan (Withdrawn) | ||||||||||||||
Crystal Strategy Leverage Fund | Odyssey Marine Exploration, Inc. | OMEX | USA | 676118102 | Annual | 04-Jun-14 | 07-Apr-14 | Management | 4 | Ratify Auditors | For | For | ||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.1 | Elect Director Matthew Goldstein | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.2 | Elect Director John F. Finn | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.3 | Elect Director Robert J. Higgins | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.4 | Elect Director Peter C. Marshall | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.5 | Elect Director Mary E. Martinez | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.6 | Elect Director Marilyn McCoy | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.7 | Elect Director Mitchell M. Merin | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.8 | Elect Director William G. Morton, Jr. | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.9 | Elect Director Robert A. Oden, Jr. | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.10 | Elect Director Marian U. Pardo | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.11 | Elect Director Frederick W. Ruebeck | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.12 | Elect Director James J. Schonbachler | For | For | |||||||||||||
Crystal Strategy Leverage Fund | JPMorgan Trust I | USA | 4812A4351 | Special | 10-Jun-14 | 21-Mar-14 | Management | 1.13 | Elect Director Frankie D. Hughes | For | For | |||||||||||||
Crystal Strategy Leverage Fund | Aston Funds | USA | 00080Y462 | Special | 25-Jun-14 | 24-Apr-14 | Management | 1 | Approve Subadvisory Agreement Between Aston Asset Management, LP and River Road Asset Management, LLC | For | For |
Riverside Frontier Markets Fund
Vote Summary
PRESTARIANG BHD
| ||||||||
Security | Y707AR102 | Meeting Type | Extraordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 16-Apr-2014 | ||||||
ISIN | MYL520400002 | Agenda | 705088222 - Management | |||||
Record Date | 10-Apr-2014 | Holding Recon Date | 10-Apr-2014 | |||||
City / Country | SELANGOR / Malaysia | Vote Deadline Date | 04-Apr-2014 | |||||
SEDOL(s) | B6WFG06 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
1 | Proposed bonus issue of 220,000,000 new ordinary shares of RM0.10 each in Prestariang Berhad (“prestariang shares”) (“bonus shares”) to be credited as fully paid-up, on the basis of one (1) bonus share for every one (1) existing Prestariang share held by the entitled shareholders on an entitlement date to be determined and announced later (“proposed bonus issue”) | Management | For | For |
Page 2 of 39 | 23-Jul-2014 |
Vote Summary
KAZMUNAIGAS EXPLORATION PRODUCTION JSC, ASTANA
| ||||||||
Security | 48666V204 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 13-May-2014 | ||||||
ISIN | US48666V2043 | Agenda | 705176700 - Management | |||||
Record Date | 14-Apr-2014 | Holding Recon Date | 14-Apr-2014 | |||||
City / Country | ASTANA / Kazakhstan | Vote Deadline Date | 29-Apr-2014 | |||||
SEDOL(s) | B1FKV75 - B1FSCP4 - BJ04DL6 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
1 | APPROVE CONSOLIDATED FINANCIAL STATEMENTS | Management | For | For | ||||||||
2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS | Management | For | For | ||||||||
3 | APPROVE ANNUAL REPORT | Management | For | For | ||||||||
4 | RECEIVE RESULTS OF SHAREHOLDERS APPEALS ON ACTIONS OF COMPANY AND ITS OFFICIALS | Management | For | For | ||||||||
5 | RECEIVE REPORT ON REMUNERATION OF DIRECTORS AND MEMBERS OF MANAGEMENT BOARD IN 2013 | Management | For | For | ||||||||
6 | APPROVE REPORT ON ACTIVITIES OF BOARD OF DIRECTORS AND MANAGEMENT BOARD IN FISCAL 2013 | Management | For | For | ||||||||
7 | RATIFY AUDITOR | Management | For | For | ||||||||
CMMT | 21 APR 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE-WILL BE A SECOND CALL ON 14 MAY 2014 AT 10:00 AM. CONSEQUENTLY, YOUR VOTING l-NSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THAN-K YOU | Non-Voting | ||||||||||
CMMT | 21 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMM-ENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS Y-OU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Page 11 of 39 | 23-Jul-2014 |
Vote Summary
KAZMUNAIGAS EXPLORATION PRODUCTION JSC, ASTANA
| ||||||||
Security | 48666V204 | Meeting Type | Extraordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 14-Apr-2014 | ||||||
ISIN | US48666V2043 | Agenda | 705091027 - Management | |||||
Record Date | 14-Mar-2014 | Holding Recon Date | 14-Mar-2014 | |||||
City / Country | ASTANA / Kazakhstan | Vote Deadline Date | 02-Apr-2014 | |||||
SEDOL(s) | B1FKV75 - B1FSCP4 - BJ04DL6 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
CMMT | PLEASE NOTE THAT CUMULATIVE VOTING APPLIES TO THIS RESOLUTION REGARDING THE-ELECTION OF DIRECTORS. STANDING INSTRUCTIONS HAVE BEEN REMOVED FOR THIS-MEETING. PLEASE NOTE THAT ONLY A VOTE “FOR” THE DIRECTOR WILL BE CUMULATED.-PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE IF YOU HAVE ANY QUESTIONS. | Non-Voting | ||||||||||
1.1 | ELECT DANIYAR BERLIBAYEV AS DIRECTOR | Management | For | For | ||||||||
1.2 | ELECT TIMUR BIMAGAMBETOV AS DIRECTOR | Management | For | For | ||||||||
1.3 | ELECT ASIYA SYRGABEKOVA AS DIRECTOR | Management | For | For | ||||||||
1.4 | ELECT YERZHAN ZHANGAULOV AS DIRECTOR | Management | For | For | ||||||||
1.5 | ELECT ABAT NURSEITOV AS DIRECTOR | Management | For | For | ||||||||
1.6 | ELECT PHILIP DAYER AS DIRECTOR | Management | For | For | ||||||||
1.7 | ELECT EDWARD WALSHE AS DIRECTOR | Management | For | For | ||||||||
1.8 | ELECT ALASTAIR FERGUSON AS DIRECTOR | Management | For | For | ||||||||
2 | APPROVE REMUNERATION OF DIRECTORS | Management | For | For | ||||||||
CMMT | 03 APR 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE-WILL BE A SECOND CALL ON 15 APR 2014. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS-WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||||
CMMT | 03 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMM-ENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY F-ORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 1 of 39 | 23-Jul-2014 |
Vote Summary
MALAYSIA BUILDING SOCIETY BHD MBS
| ||||||||
Security | Y56103107 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 22-Apr-2014 | ||||||
ISIN | MYL117100007 | Agenda | 705087840 - Management | |||||
Record Date | 15-Apr-2014 | Holding Recon Date | 15-Apr-2014 | |||||
City / Country | KUALALUMPUR / Malaysia | Vote Deadline Date | 15-Apr-2014 | |||||
SEDOL(s) | 6556789 | Quick Code |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1 | To receive and adopt the Audited Financial Statements of the Company and of the Group for the year ended 31 December 2013 and Reports of the Directors and Auditors thereon | Management | For | For | ||||||||
2 | To declare a Single-Tier Final Dividend of 5% for the financial year ended 31 December 2013 | Management | For | For | ||||||||
3 | To approve payment of Directors’ Fees amounting to RM586,667.00 for the financial year ended 31 December 2013 | Management | For | For | ||||||||
4 | To re-elect the following Director who retire in accordance with Article 86 of the Company’s Articles of Association and who being eligible offer himself for re-election: Encik Lim Tian Huat | Management | For | For | ||||||||
5 | To re-elect the following Director who retire in accordance with Article 78 of the Company’s Articles of Association and who being eligible offer herself for re-election: Cik Ravinder Kaur a/p Mahan Singh | Management | For | For | ||||||||
6 | That YBhg Tan Sri Abdul Halim bin Ali, retiring pursuant to Section 129 (6) of the Companies Act, 1965, be re-appointed a Director of the Company to hold office until the next Annual General Meeting | Management | For | For | ||||||||
7 | To re-appoint Messrs Ernst & Young as Auditors of the Company and to authorise the Directors to determine their remuneration | Management | For | For | ||||||||
8 | Authority to Directors to issue shares | Management | For | For | ||||||||
9 | Allotment and issuance of new Ordinary Shares of RM1.00 each in MBSB (“MBSB Shares”) in relation to the dividend reinvestment plan that allows shareholders of MBSB (“Shareholders”) to reinvest their dividend to which the dividend reinvestment plan applies, in new Ordinary Shares of RM1.00 each in MBSB (“Dividend Reinvestment Plan”) | Management | For | For |
Page 3 of 39 | 23-Jul-2014 |
Vote Summary
GLOBETRONICS TECHNOLOGY BHD
| ||||||||
Security | Y2725L106 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 20-May-2014 | ||||||
ISIN | MYL702200006 | Agenda | 705216427 - Management | |||||
Record Date | 12-May-2014 | Holding Recon Date | 12-May-2014 | |||||
City / Country | PENANG / Malaysia | Vote Deadline Date | 06-May-2014 | |||||
SEDOL(s) | 6071174 - B00NYQ2 - B02GQY1 | Quick Code |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1 | THAT DATO’ NG KWENG MOH, A DIRECTOR WHO RETIRES PURSUANT TO SECTION 129(2) OF THE COMPANIES ACT, 1965 BE AND IS HEREBY RE-APPOINTED AS A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY | Management | For | For | ||||||||
2 | THAT MR. NG KWENG TONG, A DIRECTOR WHO RETIRES PURSUANT TO SECTION 129(2) OF THE COMPANIES ACT, 1965 BE AND IS HEREBY RE-APPOINTED AS A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY | Management | For | For | ||||||||
3 | TO RE-ELECT DATO’ NORHALIM BIN YUNUS, A DIRECTOR WHO RETIRES BY ROTATION IN ACCORDANCE WITH ARTICLE 80 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND WHO, BEING ELIGIBLE, OFFER HIMSELF FOR RE-ELECTION | Management | For | For | ||||||||
4 | TO RE-ELECT MS. LAM VOON KEAN, A DIRECTOR WHO RETIRES IN ACCORDANCE WITH ARTICLE 87 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND WHO, BEING ELIGIBLE, OFFER HERSELF FOR RE- ELECTION | Management | For | For | ||||||||
5 | TO APPROVE THE INCREASE IN DIRECTORS’ FEES AND THE PAYMENT OF DIRECTORS’ FEES FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013 | Management | For | For | ||||||||
6 | TO APPROVE THE PAYMENT OF A SINGLE TIER FINAL DIVIDEND OF 4% PER ORDINARY SHARE OF RM0.50 EACH AND A SPECIAL DIVIDEND OF 4% PER ORDINARY SHARE OF RM0.50 EACH FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013 | Management | For | For | ||||||||
7 | TO RE-APPOINT MESSRS. KPMG AS AUDITORS OF THE COMPANY UNTIL THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For |
Page 15 of 39 | 23-Jul-2014 |
Vote Summary
GLOBETRONICS TECHNOLOGY BHD
| ||||||||
Security | Y2725L106 | Meeting Type | Extraordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 20-May-2014 | ||||||
ISIN | MYL702200006 | Agenda | 705212518 - Management | |||||
Record Date | 12-May-2014 | Holding Recon Date | 12-May-2014 | |||||
City / Country | PENANG / Malaysia | Vote Deadline Date | 09-May-2014 | |||||
SEDOL(s) | 6071174 - B00NYQ2 - B02GQY1 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
1 | PROPOSED ESTABLISHMENT OF A NEW EMPLOYEES’ SHARE OPTION SCHEME OF UP TO TEN PERCENT (10%) OF THE ISSUED AND PAID-UP ORDINARY SHARE CAPITAL OF THE COMPANY (“PROPOSED NEW ESOS”) | Management | For | For | ||||||||
2 | PROPOSED GRANTING OF OPTIONS TO NG KWENG CHONG | Management | For | For | ||||||||
3 | PROPOSED GRANTING OF OPTIONS TO HENG HUCK LEE | Management | For | For | ||||||||
4 | PROPOSED GRANTING OF OPTIONS TO NG KOK YU | Management | For | For | ||||||||
5 | PROPOSED GRANTING OF OPTIONS TO HENG CHARNG SUH | Management | For | For | ||||||||
6 | PROPOSED GRANTING OF OPTIONS TO HENG CHARNG YEE | Management | For | For | ||||||||
7 | PROPOSED GRANTING OF OPTIONS TO NG KOK CHOONG | Management | For | For |
Page 16 of 39 | 23-Jul-2014 |
Vote Summary
HAP SENG CONSOLIDATED BHD
| ||||||||
Security | Y6579W100 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 28-May-2014 | ||||||
ISIN | MYL303400005 | Agenda | 705234300 - Management | |||||
Record Date | 21-May-2014 | Holding Recon Date | 21-May-2014 | |||||
City / Country | KUALALUMPUR / Malaysia | Vote Deadline Date | 16-May-2014 | |||||
SEDOL(s) | 6297743 - B2RK642 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
1 | TO REAPPOINT DATO’ JORGEN BORNHOFT PURSUANT TO SECTION 129(6) OF THE COMPANIES ACT, 1965 AS DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY | Management | For | For | ||||||||
2 | TO RE-ELECT DATUK EDWARD LEE MING FOO, JP WHO SHALL RETIRE IN ACCORDANCE WITH ARTICLE 97 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, HAS OFFERED HIMSELF FOR RE-ELECTION | Management | For | For | ||||||||
3 | TO RE-ELECT MR. LEE WEE YONG WHO SHALL RETIRE IN ACCORDANCE WITH ARTICLE 97 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, HAS OFFERED HIMSELF FOR RE-ELECTION | Management | For | For | ||||||||
4 | TO APPROVE THE PAYMENT OF DIRECTORS’ FEES OF RM472,500.00 FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2013 | Management | For | For | ||||||||
5 | TO REAPPOINT MESSRS ERNST & YOUNG AS AUDITORS OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AT A REMUNERATION TO BE DETERMINED BY THE DIRECTORS OF THE COMPANY | Management | For | For | ||||||||
6 | AUTHORITY TO ALLOT AND ISSUE SHARES PURSUANT TO SECTION 132D OF THE COMPANIES ACT, 1965 | Management | For | For | ||||||||
7 | CONTINUATION OF INDEPENDENT NON-EXECUTIVE CHAIRMAN :DATO’ JORGEN BORNHOFT | Management | For | For | ||||||||
CMMT | 30 APR 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION TO TEXT O-F RESOLUTION 7. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGA-IN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 19 of 39 | 23-Jul-2014 |
Vote Summary
HAP SENG CONSOLIDATED BHD
| ||||||||
Security | Y6579W100 | Meeting Type | Extraordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 28-May-2014 | ||||||
ISIN | MYL303400005 | Agenda | 705234297 - Management | |||||
Record Date | 21-May-2014 | Holding Recon Date | 21-May-2014 | |||||
City / Country | KUALALUMPUR / Malaysia | Vote Deadline Date | 16-May-2014 | |||||
SEDOL(s) | 6297743 - B2RK642 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
O.1 | THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH GEK POH (HOLDINGS) SDN BHD GROUP BE AND IS HEREBY APPROVED | Management | For | For | ||||||||
O.2 | THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH LEI SHING HONG LIMITED GROUP BE AND IS HEREBY APPROVED | Management | For | For | ||||||||
O.3 | THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH SAMLING STRATEGIC CORPORATION SDN BHD GROUP, LINGUI DEVELOPMENTS BERHAD GROUP AND GLENEALY PLANTATIONS (MALAYA) BERHAD GROUP BE AND IS HEREBY APPROVED | Management | For | For | ||||||||
O.4 | THAT THE PROPOSED RENEWAL OF AND NEW SHAREHOLDERS MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS WITH CORPORATED INTERNATIONAL CONSULTANT BE AND IS HEREBY APPROVED | Management | For | For | ||||||||
S.1 | PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||
O.5 | PROPOSED RENEWAL OF SHARE BUY-BACK AUTHORITY | Management | For | For |
Page 20 of 39 | 23-Jul-2014 |
Vote Summary
TOTAL GABON, PORT GENTIL
| ||||||||||
Security | V9047L105 | Meeting Type | Annual General Meeting | |||||||
Ticker Symbol | Meeting Date | 28-May-2014 | ||||||||
ISIN | GA0000121459 | Agenda | 705263337 - Management | |||||||
Record Date | Holding Recon Date | 26-May-2014 | ||||||||
City / Country | TBD / Gabon | Blocking | Vote Deadline Date | 19-May-2014 | ||||||
SEDOL(s) | 4309781 - B01XSM5 - B030RZ0 - B28ZZB6 | Quick Code |
Item | Proposal | Type | Vote | For/Against Management
| ||||||||
1 | APPROVAL OF THE ANNUAL FINANCIAL STATEMENTS AND THE BALANCE SHEET FOR THE 2013 FINANCIAL YEAR-REVIEW OF THE REPORT OF THE STATUTORY AUDITORS ON THE REGULATED AGREEMENTS AND APPROVAL OF THE AGREEMENTS THEREIN | Management | For | For | ||||||||
2 | ALLOCATION OF INCOME | Management | For | For | ||||||||
3 | RATIFICATION OF THE COOPTATION OF MR. OLIVIER MIHINDOU AS DIRECTOR, REPLACING MR. HENRI-MAX NDONG-NZUE WHO RESIGNED | Management | For | For | ||||||||
4 | RATIFICATION OF THE COOPTATION OF MR. ALEXANDRE MAILLARD AS DIRECTOR, REPLACING MR. PHILIPPE LE TARO WHO RESIGNED | Management | For | For | ||||||||
5 | RATIFICATION OF THE COOPTATION OF MR. GUY MAURICE AS DIRECTOR, REPLACING MR. JACQUES MARRAUD DES GROTTES WHO RESIGNED | Management | For | For | ||||||||
6 | RENEWAL OF TERM OF MR. BENOIT CHAGUE AS DIRECTOR | Management | For | For | ||||||||
7 | RENEWAL OF TERM OF REPUBLIQUE GABONAISE AS DIRECTOR | Management | For | For | ||||||||
8 | RENEWAL OF TERM OF MR. ALEXANDRE MAILLARD AS DIRECTOR | Management | For | For | ||||||||
9 | RENEWAL OF TERM OF MR. THEODORE IYEZE AS DIRECTOR | Management | For | For | ||||||||
10 | SETTING THE TOTAL COMPENSATION TO BE PAID TO THE STATUTORY AUDITORS FOR THEIR REPORTS ON THE 2013 FINANCIAL STATEMENTS AT EUR 75,400 | Management | For | For | ||||||||
11 | SETTING THE AMOUNT OF ATTENDANCE ALLOWANCES TO BE ALLOCATED TO THE DIRECTORS | Management | For | For | ||||||||
12 | POWERS TO THE BEARER OF A COPY OR AN EXTRACT OF THE MINUTES OF THIS MEETING TO CARRY OUT ALL LEGAL FORMALITIES | Management | For | For | ||||||||
CMMT | 08 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN BLOCKING TAG-TO Y. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS-YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 24 of 39 | 23-Jul-2014 |
Vote Summary
RAS AL KHAIMAH CERAMIC CO (RAK CERAMICS), RAS AL K
| ||||||||
Security | M82052107 | Meeting Type | Extraordinary General Meeting | |||||
Ticker Symbol | Meeting Date | 12-Jun-2014 | ||||||
ISIN | AER000301013 | Agenda | 705316621 - Management | |||||
Record Date | 11-Jun-2014 | Holding Recon Date | 11-Jun-2014 | |||||
City / Country | RASALKHIMAH /United Arab Emirates | Vote Deadline Date | 05-Jun-2014 | |||||
SEDOL(s) | 6706636 | Quick Code |
Item | Proposal | Type | Vote | For/Against
| ||||||||
1 | DISCUSS AND APPROVE CLAUSE 7 OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||
2 | DISCUSS AND APPROVE CLAUSE 21 OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||
3 | DISCUSS AND APPROVE CLAUSE 66 OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||
CMMT | 26 MAY 2014: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE-WILL BE A SECOND CALL ON 19 JUN 2014 (AND A THIRD CALL ON 20 JUL 2014). CONSE-QUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE A-GENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||||
CMMT | 26 MAY 2014: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF QUORUM COMM-ENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS Y-OU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Page 33 of 39 | 23-Jul-2014 |
Vote Summary
DELEUM BERHAD
| ||||||||
Security | Y2026U102 | Meeting Type | Annual General Meeting | |||||
Ticker Symbol | Meeting Date | 27-May-2014 | ||||||
ISIN | MYL51320 0005 | Agenda | 705254756 - Management | |||||
Record Date | 20-May-2014 | Holding Recon Date | 20-May-2014 | |||||
City / Country | KUALALUMPUR / Malaysia | Vote Deadline Date | 15-May-2014 | |||||
SEDOL(s) | B1Y9MF8 | Quick Code |
Item | Proposal | Type | Vote | For/Against
| ||||||||
0.1 | TO RE-ELECT THE DIRECTOR WHO RETIRE BY ROTATION PURSUANT TO ARTICLE 78 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, OFFER HIMSELF FOR RE-ELECTION: CHIN KWAI YOONG | Management | For | For | ||||||||
0.2 | TO RE-ELECT THE DIRECTOR WHO RETIRE BY ROTATION PURSUANT TO ARTICLE 78 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, OFFER HIMSELF FOR RE-ELECTION: TAN SRI DATO’ SERI ABDUL GHANI BIN ABDUL AZIZ | Management | For | For | ||||||||
0.3 | TO RE-ELECT DATUK IR (DR) ABDUL RAHIM BIN HASHIM WHO RETIRES PURSUANT TO ARTICLE 76 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-ELECTION | Management | For | For | ||||||||
0.4 | TO APPROVE THE PAYMENT OF THE DIRECTORS’ FEES OF RM924.475 IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2013. 2012: RM811.664 | Management | For | For | ||||||||
0.5 | TO RE-APPOINT MESSRS PRICEWATERHOUSECOOPERS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND TO AUTHORISE THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||||||||
0.6 | THAT DATO’ IZHAM BIN MAHMUD, BEING OVER THE AGE OF 70 YEARS AND RETIRING IN ACCORDANCE WITH SECTION 129(2) OF THE COMPANIES ACT, 1965, BE AND IS HEREBY RE-APPOINTED A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||
0.7 | THAT DATUK VIVEKANANTHAN A/L M.V. NATHAN, BEING OVER THE AGE OF 70 YEARS AND RETIRING IN ACCORDANCE WITH SECTION 129(2) OF THE COMPANIES ACT, 1965, BE AND IS HEREBY REAPPOINTED A DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING | Management | For | For | ||||||||
0.8 | AUTHORITY TO ALLOT AND ISSUE SHARES PURSUANT TO SECTION 132D OF THE COMPANIES ACT, 1965 | Management | For | For |
Page 17 of 39 | 23-Jul-2014 |
Vote Summary
0.9 | PROPOSED RENEWAL OF SHAREHOLDERS’ MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS OF A REVENUE OR TRADING NATURE AS SET OUT UNDER SECTION 2.5(1) OF THE CIRCULAR TO SHAREHOLDERS DATED 5 MAY 2014 | Management | For | For | ||||||||
0.10 | PROPOSED RENEWAL OF SHAREHOLDERS’ MANDATE FOR RECURRENT RELATED PARTY TRANSACTIONS OF A REVENUE OR TRADING NATURE AS SET OUT UNDER SECTION 2.5(2) OF THE CIRCULAR TO SHAREHOLDERS DATED 5 MAY 2014 | Management | For | For | ||||||||
0.11 | PROPOSED BONUS ISSUE | Management | For | For | ||||||||
0.12 | PROPOSED SHARE SPLIT | Management | For | For | ||||||||
0.13 | PROPOSED ESTABLISHMENT OF A LONG-TERM INCENTIVE PLAN FOR THE EXECUTIVE DIRECTORS OF THE COMPANY AND THE KEY EMPLOYEES OF THE COMPANY AND ITS SUBSIDIARIES | Management | For | For | ||||||||
0.14 | PROPOSED LTIP AWARD TO NAN YUSRI BIN NAN RAHIMY | Management | For | For | ||||||||
0.15 | PROPOSED LTIP AWARD TO TAN SRI DATO’ SERI ABDUL GHANI BIN ABDUL AZIZ | Management | For | For | ||||||||
S.1 | PROPOSED AMENDMENTS TO THE MEMORANDUM OF ASSOCIATION | Management | For | For |
Page 18 of 39 | 23-Jul-2014 |
SIGNATURE
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.
ALPS Series Trust | ||
By: | /s/ Jeremy O. May | |
Jeremy O. May | ||
President | ||
Date: | August 29, 2014 |
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