0001059213-12-000015.txt : 20120827 0001059213-12-000015.hdr.sgml : 20120827 20120827163927 ACCESSION NUMBER: 0001059213-12-000015 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120827 DATE AS OF CHANGE: 20120827 EFFECTIVENESS DATE: 20120827 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DIVIDEND & INCOME FUND CENTRAL INDEX KEY: 0001059213 IRS NUMBER: 510382212 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-08747 FILM NUMBER: 121057491 BUSINESS ADDRESS: STREET 1: 11 HANOVER SQUARE CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2127850400 MAIL ADDRESS: STREET 1: 11 HANOVER SQUARE CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: DIVIDEND & INCOME FUND, INC. DATE OF NAME CHANGE: 20110210 FORMER COMPANY: FORMER CONFORMED NAME: CHARTWELL DIVIDEND & INCOME FUND INC DATE OF NAME CHANGE: 19980406 N-PX 1 dninpx2012.htm dninpx2012.htm
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:
811-08747
   
Dividend and Income Fund
(Exact name of registrant as specified in charter)
   
11 Hanover Square, 12th Floor, New York, NY
10005
(Address of principal executive offices)
(Zip code)

John F. Ramirez, Esq.
Dividend and Income Fund
11 Hanover Square, 12th Floor
New York, NY 10005

Registrant's telephone number, including area code:
1-212-785-0400
Date of fiscal year end:
12/31

Date of reporting period:
07/01/2011 - 06/30/2012


Item 1. Proxy Voting Record

The information contained herein discloses the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:

(a) The name of the issuer of the portfolio security;

(b) The exchange ticker symbol of the portfolio security;

(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;

(d) The shareholder meeting date;

(e) A brief identification of the matter voted on;

(f) Whether the matter was proposed by the issuer or by a security holder;

(g) Whether the registrant cast its vote on the matter;

(h) How the registrant cast its vote; and

(i) Whether the registrant cast its vote for or against management.

DIVIDEND AND INCOME FUND
 
3M COMPANY

Ticker:       MMM            Security ID:  88579Y101
Meeting Date: MAY 08, 2012   Meeting Type: Annual
Record Date:  MAR 09, 2012
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Linda G. Alvarado
For
For
Management
2
Elect Director Vance D. Coffman
For
For
Management
3
Elect Director Michael L. Eskew
For
For
Management
4
Elect Director W. James Farrell
For
For
Management
5
Elect Director Herbert L. Henkel
For
For
Management
6
Elect Director Edward M. Liddy
For
For
Management
7
Elect Director Robert S. Morrison
For
For
Management
8
Elect Director Aulana L. Peters
For
For
Management
9
Elect Director Inge G. Thulin
For
For
Management
10
Elect Director Robert J. Ulrich
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Amend Qualified Employee Stock Purchase Plan
For
For
Management
14
Amend Omnibus Stock Plan
For
For
Management
15
Report on Lobbying Payments and Policy
Against
For
Shareholder
16
Prohibit Political Contributions
Against
Against
Shareholder
17
Require Independent Board Chairman
Against
Against
Shareholder

 
ABBOTT LABORATORIES

Ticker:       ABT            Security ID:  002824100
Meeting Date: APR 27, 2012   Meeting Type: Annual
Record Date:  FEB 29, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Robert J. Alpern
For
For
Management
1.2
Elect Director Roxanne S. Austin
For
For
Management
1.3
Elect Director Sally E. Blount
For
For
Management
1.4
Elect Director W. James Farrell
For
For
Management
1.5
Elect Director Edward M. Liddy
For
For
Management
1.6
Elect Director Nancy McKinstry
For
Withhold
Management
1.7
Elect Director Phebe N. Novakovic
For
For
Management
1.8
Elect Director William A. Osborn
For
For
Management
1.9
Elect Director Samuel C. Scott, III
For
For
Management
1.10
Elect Director Glenn F. Tilton
For
For
Management
1.11
Elect Director Miles D. White
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
4
Report on Research Animal Care and Promotion of Testing Alternatives
Against
Against
Shareholder
5
Report on Lobbying Payments and Policy
Against
For
Shareholder
6
Require Independent Board Chairman
Against
Against
Shareholder
7
Adopt Anti Gross-up Policy
Against
For
Shareholder
8
Stock Retention/Holding Period
Against
For
Shareholder
9
Cease Compliance Adjustments to Performance Criteria
Against
For
Shareholder
10
Pro-rata Vesting of Equity Plans
Against
For
Shareholder

 
ACE LIMITED

Ticker:       ACE            Security ID:  H0023R105
Meeting Date: JAN 09, 2012   Meeting Type: Special
Record Date:  NOV 30, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Approve Dividend Distribution from Legal Reserves
For
For
Management

 
ACE LIMITED

Ticker:       ACE            Security ID:  H0023R105
Meeting Date: MAY 16, 2012   Meeting Type: Annual
Record Date:  MAR 30, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Michael G. Atieh as Director
For
For
Management
1.2
Elect Mary A. Cirillo as Director
For
For
Management
1.3
Elect Thomas J. Neff as Director
For
For
Management
2.1
Approve Annual Report
For
For
Management
2.2
Accept Statutory Financial Statements
For
For
Management
2.3
Accept Consolidated Financial Statements
For
For
Management
3
Approve Allocation of Income and Dividends
For
For
Management
4
Approve Discharge of Board and Senior Management
For
For
Management
5
Approve Creation of CHF 4.2 Billion Pool of Capital without Preemptive Rights
For
For
Management
6.1
Ratify PricewaterhouseCoopers AG as Auditors
For
For
Management
6.2
Ratify PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm as Auditors
For
For
Management
6.3
Ratify BDO AG as Special Auditors
For
For
Management
7
Approve Dividend Distribution From Legal Reserves Through Reduction in Share Capital
For
For
Management
8
Advisory Vote to ratify Named Executive Officers' Compensation
For
For
Management
9
Amend Qualified Employee Stock Purchase Plan
For
For
Management

 
ALTRIA GROUP, INC.

Ticker:       MO             Security ID:  02209S103
Meeting Date: MAY 17, 2012   Meeting Type: Annual
Record Date:  MAR 26, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Elizabeth E. Bailey
For
For
Management
2
Elect Director Gerald L. Baliles
For
For
Management
3
Elect Director Martin J. Barrington
For
For
Management
4
Elect Director John T. Casteen III
For
For
Management
5
Elect Director Dinyar S. Devitre
For
For
Management
6
Elect Director Thomas F. Farrell II
For
For
Management
7
Elect Director Thomas W. Jones
For
For
Management
8
Elect Director W. Leo Kiely III
For
For
Management
9
Elect Director Kathryn B. McQuade
For
For
Management
10
Elect Director George Munoz
For
For
Management
11
Elect Director Nabil Y. Sakkab
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Report on Lobbying Payments and Policy
Against
For
Shareholder

 
ANALOG DEVICES, INC.

Ticker:       ADI            Security ID:  032654105
Meeting Date: MAR 13, 2012   Meeting Type: Annual
Record Date:  JAN 13, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Ray Stata
For
For
Management
2
Elect Director Jerald G. Fishman
For
For
Management
3
Elect Director James A. Champy
For
For
Management
4
Elect Director John C. Hodgson
For
For
Management
5
Elect Director Yves-Andre Istel
For
For
Management
6
Elect Director Neil Novich
For
For
Management
7
Elect Director F. Grant Saviers
For
For
Management
8
Elect Director Paul J. Severino
For
For
Management
9
Elect Director Kenton J. Sicchitano
For
For
Management
10
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
11
Ratify Auditors
For
For
Management

 
ANNALY CAPITAL MANAGEMENT INC.

Ticker:       NLY            Security ID:  035710409
Meeting Date: MAY 24, 2012   Meeting Type: Annual
Record Date:  MAR 30, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Wellington J. Denahan-Norris
For
For
Management
2
Elect Director Michael Haylon
For
For
Management
3
Elect Director Donnell A. Segalas
For
Against
Management
4
Elect Director Jonathan D. Green
For
Against
Management
5
Ratify Auditors
For
For
Management

 
APOLLO INVESTMENT CORPORATION

Ticker:       AINV           Security ID:  03761U106
Meeting Date: AUG 02, 2011   Meeting Type: Annual
Record Date:  JUN 08, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Frank C. Puleo
For
For
Management
1.2
Elect Director Carl Spielvogel
For
For
Management
1.3
Elect Director Jeanette Loeb
For
For
Management
2
Ratify Auditors
For
For
Management
3
Approve Sale of Common Shares Below Net Asset Value
For
For
Management

 
AT&T INC.

Ticker:       T              Security ID:  00206R102
Meeting Date: APR 27, 2012   Meeting Type: Annual
Record Date:  FEB 28, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Randall L. Stephenson
For
For
Management
2
Elect Director Gilbert F. Amelio
For
For
Management
3
Elect Director Reuben V. Anderson
For
For
Management
4
Elect Director James H. Blanchard
For
For
Management
5
Elect Director Jaime Chico Pardo
For
For
Management
6
Elect Director James P. Kelly
For
For
Management
7
Elect Director Jon C. Madonna
For
For
Management
8
Elect Director John B. McCoy
For
For
Management
9
Elect Director Joyce M. Roche
For
For
Management
10
Elect Director Matthew K. Rose
For
For
Management
11
Elect Director Laura D'Andrea Tyson
For
For
Management
12
Ratification Of Appointment Of Independent Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Provide Right to Act by Written Consent
For
For
Management
15
Report on Political Contributions
Against
For
Shareholder
16
Commit to Wireless Network Neutrality
Against
Against
Shareholder
17
Require Independent Board Chairman
Against
For
Shareholder

 
AVON PRODUCTS, INC.

Ticker:       AVP            Security ID:  054303102
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  MAR 16, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Douglas R. Conant
For
For
Management
1.2
Elect Director W. Don Cornwell
For
For
Management
1.3
Elect Director V. Ann Hailey
For
For
Management
1.4
Elect Director Fred Hassan
For
For
Management
1.5
Elect Director Andrea Jung
For
For
Management
1.6
Elect Director Maria Elena Lagomasino
For
For
Management
1.7
Elect Director Ann S. Moore
For
For
Management
1.8
Elect Director Gary M. Rodkin
For
For
Management
1.9
Elect Director Paula Stern
For
For
Management
1.10
Elect Director Lawrence A. Weinbach
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Ratify Auditors
For
For
Management

 
BARRICK GOLD CORPORATION

Ticker:       ABX            Security ID:  067901108
Meeting Date: MAY 02, 2012   Meeting Type: Annual
Record Date:  MAR 07, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Howard L. Beck
For
For
Management
1.2
Elect Director C. William D. Birchall
For
For
Management
1.3
Elect Director Donald J. Carty
For
For
Management
1.4
Elect Director Gustavo Cisneros
For
For
Management
1.5
Elect Director Robert M. Franklin
For
For
Management
1.6
Elect Director J. Brett Harvey
For
For
Management
1.7
Elect Director Dambisa Moyo
For
For
Management
1.8
Elect Director Brian Mulroney
For
For
Management
1.9
Elect Director Anthony Munk
For
For
Management
1.10
Elect Director Peter Munk
For
For
Management
1.11
Elect Director Aaron W. Regent
For
For
Management
1.12
Elect Director Nathaniel P. Rothschild
For
For
Management
1.13
Elect Director Steven J. Shapiro
For
For
Management
1.14
Elect Director John L. Thornton
For
For
Management
2
Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration
For
For
Management
3
Advisory Vote on Executive Compensation Approach
For
For
Management
 
 
BRISTOL-MYERS SQUIBB COMPANY

Ticker:       BMY            Security ID:  110122108
Meeting Date: MAY 01, 2012   Meeting Type: Annual
Record Date:  MAR 09, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Lamberto Andreotti
For
For
Management
2
Elect Director Lewis B. Campbell
For
For
Management
3
Elect Director James M. Cornelius
For
For
Management
4
Elect Director Louis J. Freeh
For
For
Management
5
Elect Director Laurie H. Glimcher
For
For
Management
6
Elect Director Michael Grobstein
For
For
Management
7
Elect Director Alan J. Lacy
For
For
Management
8
Elect Director Vicki L. Sato
For
For
Management
9
Elect Director Elliott Sigal
For
For
Management
10
Elect Director Gerald L. Storch
For
For
Management
11
Elect Director Togo D. West, Jr.
For
For
Management
12
Elect Director R. Sanders Williams
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Approve Omnibus Stock Plan
For
For
Management
16
Provide for Cumulative Voting
Against
For
Shareholder
17
Report on Research Animal Care and Promotion of Testing Alternatives
Against
Against
Shareholder
18
Provide Right to Act by Written Consent
Against
For
Shareholder


CARNIVAL CORPORATION

Ticker:       CCL            Security ID:  143658300
Meeting Date: APR 11, 2012   Meeting Type: Annual
Record Date:  FEB 13, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Reelect Micky Arison As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
2
Reelect Jonathon Band As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
3
Reelect Robert H. Dickinson As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
4
Reelect Arnold W. Donald As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
5
Reelect Pier Luigi Foschi As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
6
Reelect Howard S. Frank As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
7
Reelect Richard J. Glasier As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
8
Reelect Debra Kelly-Ennis As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
9
Reelect Modesto A. Maidique As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
10
Reelect Sir John Parker As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
11
Reelect Peter G. Ratcliffe As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
12
Reelect Stuart Subotnick As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
13
Reelect Laura Weil As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
14
Reelect Randall J. Weisenburger As A Director Of Carnival Corporation and As A Director Of Carnival Plc.
For
For
Management
15
Reappoint The UK Firm Of PricewaterhouseCoopers LLP As Independent Auditors For Carnival Plc And Ratify The U.S. Firm Of PricewaterhouseCoopers LLP As The Independent Auditor For Carnival Corporation
For
For
Management
16
Authorize The Audit Committee Of Carnival Plc To Fix Remuneration Of The Independent Auditors Of Carnival Plc
For
For
Management
17
Receive The UK Accounts And Reports Of The Directors And Auditors Of Carnival Plc For The Year Ended November 30, 2011
For
For
Management
18
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
19
Approve Remuneration of Executive Directors
For
For
Management
20
Authorize Issue of Equity with Pre-emptive Rights
For
For
Management
21
Authorize Issue of Equity without Pre-emptive Rights
For
For
Management
22
Authorize Shares for Market Purchase
For
For
Management
23
Report on Political Contributions
Against
For
Shareholder

 
CHEVRON CORPORATION

Ticker:       CVX            Security ID:  166764100
Meeting Date: MAY 30, 2012   Meeting Type: Annual
Record Date:  APR 04, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Linnet F. Deily
For
For
Management
2
Elect Director Robert E. Denham
For
For
Management
3
Elect Director Chuck Hagel
For
For
Management
4
Elect Director Enrique Hernandez, Jr.
For
For
Management
5
Elect Director George L. Kirkland
For
For
Management
6
Elect Director Charles W. Moorman, IV
For
For
Management
7
Elect Director Kevin W. Sharer
For
For
Management
8
Elect Director John G. Stumpf
For
For
Management
9
Elect Director Ronald D. Sugar
For
For
Management
10
Elect Director Carl Ware
For
For
Management
11
Elect Director John S. Watson
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Remove Exclusive Venue Provision
Against
For
Shareholder
15
Require Independent Board Chairman
Against
For
Shareholder
16
Report on Lobbying Payments and Policy
Against
For
Shareholder
17
Adopt Guidelines for Country Selection
Against
For
Shareholder
18
Report on Hydraulic Fracturing Risks to Company
Against
For
Shareholder
19
Report on Accident Risk Reduction Efforts
Against
Against
Shareholder
20
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
21
Request Director Nominee with Environmental Qualifications
Against
For
Shareholder
 
 
CONOCOPHILLIPS

Ticker:       COP            Security ID:  20825C104
Meeting Date: MAY 09, 2012   Meeting Type: Annual
Record Date:  MAR 12, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Richard L. Armitage
For
For
Management
2
Elect Director Richard H. Auchinleck
For
For
Management
3
Elect Director James E. Copeland, Jr.
For
For
Management
4
Elect Director Kenneth M. Duberstein
For
For
Management
5
Elect Director Ruth R. Harkin
For
For
Management
6
Elect Director Ryan M. Lance
For
For
Management
7
Elect Director Mohd H. Marican
For
For
Management
8
Elect Director Harold W. McGraw, III
For
For
Management
9
Elect Director James J. Mulva
For
For
Management
10
Elect Director Robert A. Niblock
For
For
Management
11
Elect Director Harald J. Norvik
For
For
Management
12
Elect Director William K. Reilly
For
For
Management
13
Elect Director Victoria J. Tschinkel
For
For
Management
14
Elect Director Kathryn C. Turner
For
For
Management
15
Elect Director William E. Wade, Jr.
For
For
Management
16
Ratify Auditors
For
For
Management
17
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
18
Adopt Policy to Address Coastal Louisiana Environmental Impacts
Against
Against
Shareholder
19
Report on Accident Risk Reduction Efforts
Against
Against
Shareholder
20
Report on Lobbying Payments and Policy
Against
For
Shareholder
21
Adopt Quantitative GHG Goals for Products and Operations
Against
For
Shareholder
22
Amend EEO Policy to Prohibit Discrimination based on Gender Identity
Against
For
Shareholder

 
CSX CORPORATION

Ticker:       CSX            Security ID:  126408103
Meeting Date: MAY 09, 2012   Meeting Type: Annual
Record Date:  MAR 09, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Donna M. Alvarado
For
For
Management
2
Elect Director John B. Breaux
For
For
Management
3
Elect Director Pamela L. Carter
For
For
Management
4
Elect Director Steven T. Halverson
For
For
Management
5
Elect Director Edward J. Kelly, III
For
For
Management
6
Elect Director Gilbert H. Lamphere
For
For
Management
7
Elect Director John D. McPherson
For
For
Management
8
Elect Director Timothy T. O'Toole
For
For
Management
9
Elect Director David M. Ratcliffe
For
For
Management
10
Elect Director Donald J. Shepard
For
For
Management
11
Elect Director Michael J. Ward
For
For
Management
12
Elect Director J.C. Watts, Jr.
For
For
Management
13
Elect Director J. Steven Whisler
For
For
Management
14
Ratify Auditors
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
DOVER CORPORATION

Ticker:       DOV            Security ID:  260003108
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  MAR 09, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director David H. Benson
For
For
Management
2
Elect Director Robert W. Cremin
For
For
Management
3
Elect Director Jean-Pierre M. Ergas
For
For
Management
4
Elect Director Peter T. Francis
For
For
Management
5
Elect Director Kristiane C. Graham
For
For
Management
6
Elect Director Robert A. Livingston
For
For
Management
7
Elect Director Richard K. Lochridge
For
For
Management
8
Elect Director Bernard G. Rethore
For
For
Management
9
Elect Director Michael B. Stubbs
For
For
Management
10
Elect Director Stephen M. Todd
For
For
Management
11
Elect Director Stephen K. Wagner
For
For
Management
12
Elect Director Mary A. Winston
For
For
Management
13
Approve Omnibus Stock Plan
For
For
Management
14
Ratify Auditors
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
E. I. DU PONT DE NEMOURS AND COMPANY

Ticker:       DD             Security ID:  263534109
Meeting Date: APR 25, 2012   Meeting Type: Annual
Record Date:  FEB 29, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Lamberto Andreotti
For
For
Management
2
Elect Director Richard H. Brown
For
For
Management
3
Elect Director Robert A. Brown
For
For
Management
4
Elect Director Bertrand P. Collomb
For
For
Management
5
Elect Director Curtis J. Crawford
For
For
Management
6
Elect Director Alexander M. Cutler
For
For
Management
7
Elect Director Eleuthere I. Du Pont
For
For
Management
8
Elect Director Marillyn A. Hewson
For
For
Management
9
Elect Director Lois D. Juliber
For
For
Management
10
Elect Director Ellen J. Kullman
For
For
Management
11
Elect Director Lee M. Thomas
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Require Independent Board Chairman
Against
For
Shareholder
15
Report on Pay Disparity
Against
Against
Shareholder

 
EMERSON ELECTRIC CO.

Ticker:       EMR            Security ID:  291011104
Meeting Date: FEB 07, 2012   Meeting Type: Annual
Record Date:  NOV 29, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director C. Fernandez G.
For
For
Management
1.2
Elect Director A.F. Golden
For
For
Management
1.3
Elect Director W.R. Johnson
For
For
Management
1.4
Elect Director J.B. Menzer
For
For
Management
1.5
Elect Director A.A. Busch, III
For
For
Management
1.6
Elect Director R.I. Ridgway
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Ratify Auditors
For
For
Management
4
Report on Sustainability
Against
For
Shareholder
5
Declassify the Board of Directors
Against
For
Shareholder

 
ENTERGY CORPORATION

Ticker:       ETR            Security ID:  29364G103
Meeting Date: MAY 04, 2012   Meeting Type: Annual
Record Date:  MAR 06, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Maureen Scannell Bateman
For
For
Management
2
Elect Director Gary W. Edwards
For
For
Management
3
Elect Director Alexis M. Herman
For
For
Management
4
Elect Director Donald C. Hintz
For
For
Management
5
Elect Director J. Wayne Leonard
For
For
Management
6
Elect Director Stuart L. Levenick
For
For
Management
7
Elect Director Blanche L. Lincoln
For
For
Management
8
Elect Director Stewart C. Myers
For
For
Management
9
Elect Director William A. Percy, II
For
For
Management
10
Elect Director W.J. Tauzin
For
For
Management
11
Elect Director Steven V. Wilkinson
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
EXELON CORPORATION

Ticker:       EXC            Security ID:  30161N101
Meeting Date: NOV 17, 2011   Meeting Type: Special
Record Date:  OCT 07, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Issue Shares in Connection with Acquisition
For
For
Management
2
Adjourn Meeting
For
For
Management

 
EXELON CORPORATION

Ticker:       EXC            Security ID:  30161N101
Meeting Date: APR 02, 2012   Meeting Type: Annual
Record Date:  FEB 07, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director John A. Canning, Jr.
For
For
Management
2
Elect Director Christopher M. Crane
For
For
Management
3
Elect Director M. Walter D'Alessio
For
For
Management
4
Elect Director Nicholas DeBenedictis
For
For
Management
5
Elect Director Nelson A. Diaz
For
For
Management
6
Elect Director Sue L. Gin
For
For
Management
7
Elect Director Rosemarie B. Greco
For
For
Management
8
Elect Director Paul L. Joskow, Ph. D.
For
For
Management
9
Elect Director Richard W. Mies
For
For
Management
10
Elect Director John M. Palms, Ph. D.
For
For
Management
11
Elect Director William C. Richardson, Ph. D.
For
For
Management
12
Elect Director Thomas J. Ridge
For
For
Management
13
Elect Director John W. Rogers, Jr.
For
For
Management
14
Elect Director John W. Rowe
For
For
Management
15
Elect Director Stephen D. Steinour
For
For
Management
16
Elect Director Don Thompson
For
For
Management
17
Elect Director Ann C. Berzin
For
For
Management
18
Elect Director Yves C. de Balmann
For
For
Management
19
Elect Director Robert J. Lawless
For
For
Management
20
Elect Director Mayo A. Shattuck III
For
For
Management
21
Ratify Auditors
For
For
Management
22
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management

 
EXXON MOBIL CORPORATION

Ticker:       XOM            Security ID:  30231G102
Meeting Date: MAY 30, 2012   Meeting Type: Annual
Record Date:  APR 04, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director M.J. Boskin
For
For
Management
1.2
Elect Director P. Brabeck-Letmathe
For
For
Management
1.3
Elect Director L.R. Faulkner
For
For
Management
1.4
Elect Director J.S. Fishman
For
For
Management
1.5
Elect Director H.H. Fore
For
For
Management
1.6
Elect Director K.C. Frazier
For
For
Management
1.7
Elect Director W.W. George
For
For
Management
1.8
Elect Director S.J. Palmisano
For
For
Management
1.9
Elect Director S.S. Reinemund
For
For
Management
1.10
Elect Director R.W. Tillerson
For
For
Management
1.11
Elect Director E.E. Whitacre, Jr.
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
4
Require Independent Board Chairman
Against
For
Shareholder
5
Require a Majority Vote for the Election of Directors
Against
For
Shareholder
6
Report on Political Contributions
Against
For
Shareholder
7
Amend EEO Policy to Prohibit Discrimination based on Sexual Orientation and Gender Identity
Against
Against
Shareholder
8
Report on Hydraulic Fracturing Risks to Company
Against
For
Shareholder
9
Adopt Quantitative GHG Goals for Products and Operations
Against
For
Shareholder

 
FIRSTENERGY CORP.

Ticker:       FE             Security ID:  337932107
Meeting Date: MAY 15, 2012   Meeting Type: Annual
Record Date:  MAR 21, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Paul T. Addison
For
For
Management
1.2
Elect Director Anthony J. Alexander
For
For
Management
1.3
Elect Director Michael J. Anderson
For
For
Management
1.4
Elect Director Carol A. Cartwright
For
For
Management
1.5
Elect Director William T. Cottle
For
For
Management
1.6
Elect Director Robert B. Heisler, Jr.
For
For
Management
1.7
Elect DirectorJulia L. Johnson
For
For
Management
1.8
Elect DirectorTed J. Kleisner
For
For
Management
1.9
Elect Director Donald T. Misheff
For
For
Management
1.10
Elect Director Ernest J. Novak, Jr.
For
For
Management
1.11
Elect Director Christopher D. Pappas
For
For
Management
1.12
Elect Director Catherine A. Rein
For
For
Management
1.13
Elect Director George M. Smart
For
For
Management
1.14
Elect Director Wes M. Taylor
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
4
Amend Omnibus Stock Plan
For
For
Management
5
Report on Coal Combustion Waste Hazard and Risk Mitigation Efforts
Against
For
Shareholder
6
Report on Plans to Reduce Coal-Related Costs and Risks
Against
Against
Shareholder
7
Reduce Supermajority Vote Requirement
Against
For
Shareholder

 
GENERAL ELECTRIC COMPANY

Ticker:       GE             Security ID:  369604103
Meeting Date: APR 25, 2012   Meeting Type: Annual
Record Date:  FEB 27, 2012
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director W. Geoffrey Beattie
For
For
Management
2
Elect Director James I. Cash, Jr.
For
For
Management
3
Elect Director Ann M. Fudge
For
For
Management
4
Elect Director Susan Hockfield
For
For
Management
5
Elect Director Jeffrey R. Immelt
For
For
Management
6
Elect Director Andrea Jung
For
For
Management
7
Elect Director Alan G. Lafley
For
For
Management
8
Elect Director Robert W. Lane
For
For
Management
9
Elect Director Ralph S. Larsen
For
For
Management
10
Elect Director Rochelle B. Lazarus
For
For
Management
11
Elect Director James J. Mulva
For
For
Management
12
Elect Director Sam Nunn
For
For
Management
13
Elect Director Roger S. Penske
For
For
Management
14
Elect Director Robert J. Swieringa
For
For
Management
15
Elect Director James S. Tisch
For
For
Management
16
Elect Director Douglas A. Warner, III
For
For
Management
17
Ratify Auditors
For
For
Management
18
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
19
Amend Omnibus Stock Plan
For
For
Management
20
Approve Material Terms of Senior Officer Performance Goals
For
For
Management
21
Provide for Cumulative Voting
Against
For
Shareholder
22
Phase Out Nuclear Activities
Against
Against
Shareholder
23
Require Independent Board Chairman
Against
Against
Shareholder
24
Provide Right to Act by Written Consent
Against
For
Shareholder

 
GOLDCORP INC.

Ticker:       G              Security ID:  380956409
Meeting Date: APR 26, 2012   Meeting Type: Annual/Special
Record Date:  MAR 12, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Ian W. Telfer
For
For
Management
1.2
Elect Director Douglas M. Holtby
For
For
Management
1.3
Elect Director Charles A. Jeannes
For
For
Management
1.4
Elect Director John P. Bell
For
For
Management
1.5
Elect Director Lawrence I. Bell
For
For
Management
1.6
Elect Director Beverley A. Briscoe
For
For
Management
1.7
Elect Director Peter J. Dey
For
For
Management
1.8
Elect Director P. Randy Reifel
For
For
Management
1.9
Elect Director A. Dan Rovig
For
For
Management
1.10
Elect Director Blanca Trevino de Vega
For
For
Management
1.11
Elect Director Kenneth F. Williamson
For
For
Management
2
Approve Deloitte & Touche LLP as Auditors and Authorize Board to Fix Their Remuneration
For
For
Management
3
Re-approve Restricted Share Plan
For
For
Management
4
Advisory Vote on Executive Compensation Approach
For
For
Management
5
Community-Environment Impact
Against
Against
Shareholder

 
HEWLETT-PACKARD COMPANY

Ticker:       HPQ            Security ID:  428236103
Meeting Date: MAR 21, 2012   Meeting Type: Annual
Record Date:  JAN 23, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Marc L. Andreessen
For
For
Management
2
Elect Director Shumeet Banerji
For
For
Management
3
Elect Director Rajiv L. Gupta
For
For
Management
4
Elect Director John H. Hammergren
For
For
Management
5
Elect Director Raymond. J. Lane
For
For
Management
6
Elect Director Ann M. Livermore
For
For
Management
7
Elect Director G. M. Reiner
For
For
Management
8
Elect Director Patricia. F. Russo
For
For
Management
9
Elect Director G. Kennedy Thompson
For
For
Management
10
Elect Director Margaret C. Whitman
For
For
Management
11
Elect Director Ralph. V. Whitworth
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Adopt Retention Ratio for Executives
Against
For
Shareholder
 
 
HONEYWELL INTERNATIONAL INC.

Ticker:       HON            Security ID:  438516106
Meeting Date: APR 23, 2012   Meeting Type: Annual
Record Date:  FEB 24, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Gordon M. Bethune
For
For
Management
2
Elect Director Kevin Burke
For
For
Management
3
Elect Director Jaime Chico Pardo
For
For
Management
4
Elect Director David M. Cote
For
For
Management
5
Elect Director D. Scott Davis
For
For
Management
6
Elect Director Linnet F. Deily
For
For
Management
7
Elect Director Judd Gregg
For
For
Management
8
Elect Director Clive R. Hollick
For
For
Management
9
Elect Director George Paz
For
For
Management
10
Elect Director Bradley T. Sheares
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Require Independent Board Chairman
Against
For
Shareholder
14
Report on Political Contributions
Against
For
Shareholder

 
HORIZON TECHNOLOGY FINANCE CORPORATION

Ticker:       HRZN           Security ID:  44045A102
Meeting Date: JUL 12, 2011   Meeting Type: Special
Record Date:  MAY 23, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Approve Sale of Common Shares Below Net Asset Value
For
For
Management

 
INTEL CORPORATION

Ticker:       INTC           Security ID:  458140100
Meeting Date: MAY 17, 2012   Meeting Type: Annual
Record Date:  MAR 19, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Charlene Barshefsky
For
For
Management
2
Elect Director Andy D. Bryant
For
For
Management
3
Elect Director Susan L. Decker
For
For
Management
4
Elect Director John J. Donahoe
For
For
Management
5
Elect Director Reed E. Hundt
For
For
Management
6
Elect Director Paul S. Otellini
For
For
Management
7
Elect Director James D. Plummer
For
For
Management
8
Elect Director David S. Pottruck
For
For
Management
9
Elect Director Frank D. Yeary
For
For
Management
10
Elect Director David B. Yoffie
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Adopt Proxy Statement Reporting on Political Contributions and Advisory Vote
Against
Against
Shareholder

 
INTERNATIONAL BUSINESS MACHINES CORPORATION

Ticker:       IBM            Security ID:  459200101
Meeting Date: APR 24, 2012   Meeting Type: Annual
Record Date:  FEB 24, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Alain J.P. Belda
For
For
Management
2
Elect Director William R. Brody
For
For
Management
3
Elect Director Kenneth I. Chenault
For
For
Management
4
Elect Director Michael L. Eskew
For
For
Management
5
Elect Director David N. Farr
For
For
Management
6
Elect Director Shirley Ann Jackson
For
For
Management
7
Elect Director Andrew N. Liveris
For
For
Management
8
Elect Director W. James McNerney, Jr.
For
For
Management
9
Elect Director James W. Owens
For
For
Management
10
Elect Director Samuel J. Palmisano
For
For
Management
11
Elect Director Virginia M. Rometty
For
For
Management
12
Elect Director Joan E. Spero
For
For
Management
13
Elect Director Sidney Taurel
For
For
Management
14
Elect Director Lorenzo H. Zambrano
For
For
Management
15
Ratify Auditors
For
For
Management
16
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
17
Provide for Cumulative Voting
Against
For
Shareholder
18
Report on Political Contributions
Against
Against
Shareholder
19
Report on Lobbying Expenses
Against
Against
Shareholder

 
INVESCO MORTGAGE CAPITAL INC.

Ticker:       IVR            Security ID:  46131B100
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  MAR 05, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director G. Mark Armour
For
For
Management
2
Elect Director James S. Balloun
For
For
Management
3
Elect Director John S. Day
For
For
Management
4
Elect Director Karen Dunn Kelley
For
For
Management
5
Elect Director James R. Lientz, Jr.
For
For
Management
6
Elect Director Neil Williams
For
For
Management
7
Ratify Auditors
For
For
Management

 
ITT CORPORATION

Ticker:       ITT            Security ID:  450911201
Meeting Date: MAY 08, 2012   Meeting Type: Annual
Record Date:  MAR 16, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Denise L. Ramos
For
For
Management
2
Elect Director Frank T. MacInnis
For
For
Management
3
Elect Director Orlando D. Ashford
For
For
Management
4
Elect Director Peter D'Aloia
For
For
Management
5
Elect Director Donald DeFosset, Jr.
For
For
Management
6
Elect Director Christina A. Gold
For
For
Management
7
Elect Director General Paul J. Kern
For
For
Management
8
Elect Director Linda S. Sanford
For
For
Management
9
Elect Director Donald J. Stebbins
For
For
Management
10
Elect Director Markos I. Tambakeras
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Reincorporate in Another State [from Indiana To Delaware]
Against
Against
Shareholder
14
Require Independent Board Chairman Amend Human Rights Policies
Against
For
Shareholder

 
JOHNSON & JOHNSON

Ticker:       JNJ            Security ID:  478160104
Meeting Date: APR 26, 2012   Meeting Type: Annual
Record Date:  FEB 28, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Mary Sue Coleman
For
For
Management
2
Elect Director James G. Cullen
For
For
Management
3
Elect Director Ian E.l. Davis
For
For
Management
4
Elect Director Alex Gorsky
For
For
Management
5
Elect Director Michael M.e. Johns
For
For
Management
6
Elect Director Susan L. Lindquist
For
For
Management
7
Elect Director Anne M. Mulcahy
For
For
Management
8
Elect Director Leo F. Mullin
For
For
Management
9
Elect Director William D. Perez
For
For
Management
10
Elect Director Charles Prince
For
For
Management
11
Elect Director David Satcher
For
For
Management
12
Elect Director William C. Weldon
For
For
Management
13
Elect Director Ronald A. Williams
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
15
Approve Omnibus Stock Plan
For
For
Management
16
Ratify Auditors
For
For
Management
17
Require Independent Board Chairman
Against
For
Shareholder
18
Require Shareholder Vote to Approve Political Contributions
Against
Against
Shareholder
19
Adopt Animal-Free Training Methods
Against
Against
Shareholder

 
JPMORGAN CHASE & CO.

Ticker:       JPM            Security ID:  46625H100
Meeting Date: MAY 15, 2012   Meeting Type: Annual
Record Date:  MAR 16, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director James A. Bell
For
For
Management
2
Elect Director Crandall C. Bowles
For
For
Management
3
Elect Director Stephen B. Burke
For
For
Management
4
Elect Director David M. Cote
For
For
Management
5
Elect Director James S. Crown
For
For
Management
6
Elect Director James Dimon
For
For
Management
7
Elect Director Timothy P. Flynn
For
For
Management
8
Elect Director Ellen V. Futter
For
For
Management
9
Elect Director Laban P. Jackson, Jr.
For
For
Management
10
Elect Director Lee R. Raymond
For
For
Management
11
Elect Director William C. Weldon
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Affirm Political Non-Partisanship
Against
Against
Shareholder
15
Require Independent Board Chairman
Against
For
Shareholder
16
Report on Loan Modifications
Against
Against
Shareholder
17
Report on Political Contributions
Against
Against
Shareholder
18
Institute Procedures to Prevent Investments in Companies that Contribute to Genocide or Crimes Against Humanity
Against
Against
Shareholder
19
Provide Right to Act by Written Consent
Against
For
Shareholder
20
Stock Retention
Against
For
Shareholder

 
KELLOGG COMPANY

Ticker:       K              Security ID:  487836108
Meeting Date: APR 20, 2012   Meeting Type: Annual
Record Date:  FEB 27, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Benjamin Carson
For
For
Management
1.2
Elect Director John Dillon
For
For
Management
1.3
Elect Director Jim Jenness
For
For
Management
1.4
Elect Director Don Knauss
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Ratify Auditors
For
For
Management
4
Declassify the Board of Directors
Against
For
Shareholder
5
Reduce Supermajority Vote Requirement
Against
For
Shareholder

 
KIMBERLY-CLARK CORPORATION

Ticker:       KMB            Security ID:  494368103
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  MAR 05, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director John R. Alm
For
For
Management
2
Elect Director John F. Bergstrom
For
For
Management
3
Elect Director Abelardo E. Bru
For
For
Management
4
Elect Director Robert W. Decherd
For
For
Management
5
Elect Director Thomas J. Falk
For
For
Management
6
Elect Director Fabian T. Garcia
For
For
Management
7
Elect Director Mae C. Jemison, M.D.
For
For
Management
8
Elect Director James M. Jenness
For
For
Management
9
Elect Director Nancy J. Karch
For
For
Management
10
Elect Director Ian C. Read
For
For
Management
11
Elect Director Linda Johnson Rice
For
For
Management
12
Elect Director Marc J. Shapiro
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
KONINKLIJKE PHILIPS ELECTRONICS

Ticker:       PHG            Security ID:  500472303
Meeting Date: APR 26, 2012   Meeting Type: Annual
Record Date:  MAR 15, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
President's Speech
None
None
Management
2a
Adopt Financial Statements
For
For
Management
2b
Receive Explanation on Company's Reserves and Dividend Policy
None
None
Management
2c
Approve Dividends of EUR 0.75 Per Share
For
For
Management
2d
Approve Discharge of Management Board
For
For
Management
2e
Approve Discharge of Supervisory Board
For
For
Management
3a
Reelect E. Kist to Supervisory Board
For
For
Management
3b
Elect N. Dhawan to Supervisory Board
For
For
Management
4a
Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital Plus Additional 10 Percent in Case of Takeover/Merger and Restricting/Excluding Preemptive Rights
For
For
Management
4b
Authorize Board to Exclude Preemptive Rights from Issuance under Item 4a
For
For
Management
5
Approve Reduction in Share Capital by Cancellation of Shares
For
For
Management
6
Authorize Repurchase of Shares
For
For
Management
7
Other Business (Non-Voting)
None
None
Management

 
KRAFT FOODS INC.

Ticker:       KFT            Security ID:  50075N104
Meeting Date: MAY 23, 2012   Meeting Type: Annual
Record Date:  MAR 15, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Myra M. Hart
For
For
Management
2
Elect Director Peter B. Henry
For
For
Management
3
Elect Director Lois D. Juliber
For
For
Management
4
Elect Director Mark D. Ketchum
For
For
Management
5
Elect Director Terry J. Lundgren
For
For
Management
6
Elect Director Mackey J. McDonald
For
For
Management
7
Elect Director Jorge S. Mesquita
For
For
Management
8
Elect Director John C. Pope
For
For
Management
9
Elect Director Fredric G. Reynolds
For
For
Management
10
Elect Director Irene B. Rosenfeld
For
For
Management
11
Elect Director Jean-Francois M.L. van Boxmeer
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Change Company Name
For
For
Management
14
Ratify Auditors
For
For
Management
15
Report on Supply Chain and Deforestation
Against
Against
Shareholder
16
Report on Adopting Extended Producer Responsibility Policy
Against
For
Shareholder
17
Report on Lobbying Payments and Policy
Against
Against
Shareholder
 
 
LENDER PROCESSING SERVICES, INC.

Ticker:       LPS            Security ID:  52602E102
Meeting Date: MAY 24, 2012   Meeting Type: Annual
Record Date:  MAR 26, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director David K. Hunt
For
For
Management
1.2
Elect Director James K. Hunt
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management

 
LIMITED BRANDS, INC.

Ticker:       LTD            Security ID:  532716107
Meeting Date: MAY 24, 2012   Meeting Type: Annual
Record Date:  APR 04, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director James L. Heskett
For
For
Management
2
Elect Director Allan R. Tessler
For
For
Management
3
Elect Director Abigail S. Wexner
For
For
Management
4
Ratify Auditors
For
For
Management
5
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
6
Reduce Supermajority Vote Requirement
For
For
Management
7
Require Independent Board Chairman
Against
Against
Shareholder
8
Declassify the Board of Directors
Against
For
Shareholder
9
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
10
Stock Retention/Holding Period
Against
For
Shareholder

 
MATTEL, INC.

Ticker:       MAT            Security ID:  577081102
Meeting Date: MAY 10, 2012   Meeting Type: Annual
Record Date:  MAR 16, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Michael J. Dolan
For
For
Management
2
Elect Director Robert A. Eckert
For
For
Management
3
Elect Director Trevor A. Edwards
For
For
Management
4
Elect Director Frances D. Fergusson
For
For
Management
5
Elect Director Dominic Ng
For
For
Management
6
Elect Director Vasant M. Prabhu
For
For
Management
7
Elect Director Andrea L. Rich
For
For
Management
8
Elect Director Dean A. Scarborough
For
For
Management
9
Elect Director Christopher A. Sinclair
For
For
Management
10
Elect Director Bryan G. Stockton
For
For
Management
11
Elect Director Dirk Van de Put
For
For
Management
12
Elect Director Kathy White Loyd
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Approve Executive Incentive Bonus Plan
For
For
Management
15
Ratify Auditors
For
For
Management

 
MCDONALD'S CORPORATION

Ticker:       MCD            Security ID:  580135101
Meeting Date: MAY 24, 2012   Meeting Type: Annual
Record Date:  MAR 27, 2012
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Robert A. Eckert
For
For
Management
2
Elect Director Enrique Hernandez, Jr.
For
For
Management
3
Elect Director Jeanne P. Jackson
For
For
Management
4
Elect Director Andrew J. Mckenna
For
For
Management
5
Elect Director Donald Thompson
For
For
Management
6
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
7
Approve Omnibus Stock Plan
For
For
Management
8
Declassify the Board of Directors
For
For
Management
9
Provide Right to Call Special Meeting
For
For
Management
10
Ratify Auditors
For
For
Management
11
Report on Policy Responses to Children's Health Concerns and Fast Food
Against
Against
Shareholder

 
MERCK & CO., INC.

Ticker:       MRK            Security ID:  58933Y105
Meeting Date: MAY 22, 2012   Meeting Type: Annual
Record Date:  MAR 23, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Leslie A. Brun
For
For
Management
2
Elect Director Thomas R. Cech
For
For
Management
3
Elect Director Kenneth C. Frazier
For
For
Management
4
Elect Director Thomas H. Glocer
For
For
Management
5
Elect Director William B. Harrison Jr.
For
For
Management
6
Elect Director C. Robert Kidder
For
For
Management
7
Elect Director Rochelle B. Lazarus
For
For
Management
8
Elect Director Carlos E. Represas
For
For
Management
9
Elect Director Patricia F. Russo
For
For
Management
10
Elect Director Craig B. Thompson
For
For
Management
11
Elect Director Wendell P. Weeks
For
For
Management
12
Elect Director Peter C. Wendell
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Provide Right to Act by Written Consent
Against
For
Shareholder
16
Amend Bylaws -- Call Special Meetings
Against
For
Shareholder
17
Report on Charitable and Political Contributions
Against
Against
Shareholder

 
METLIFE, INC.

Ticker:       MET            Security ID:  59156R108
Meeting Date: APR 24, 2012   Meeting Type: Annual
Record Date:  MAR 01, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director John M. Keane
For
For
Management
1.2
Elect Director Catherine R. Kinney
For
For
Management
1.3
Elect Director Hugh B. Price
For
For
Management
1.4
Elect Director Kenton J. Sicchitano
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
MFA FINANCIAL, INC.

Ticker:       MFA            Security ID:  55272X102
Meeting Date: MAY 22, 2012   Meeting Type: Annual
Record Date:  MAR 26, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Michael L. Dahir
For
For
Management
1.2
Elect Director Robin Josephs
For
For
Management
1.3
Elect Director George H. Krauss
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
MICROCHIP TECHNOLOGY INCORPORATED

Ticker:       MCHP           Security ID:  595017104
Meeting Date: AUG 19, 2011   Meeting Type: Annual
Record Date:  JUN 24, 2011
 
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Steve Sanghi
For
For
Management
1.2
Elect Director Albert J. Hugo-Martinez
For
For
Management
1.3
Elect Director L.b. Day
For
For
Management
1.4
Elect Director Matthew W. Chapman
For
For
Management
1.5
Elect Director Wade F. Meyercord
For
For
Management
2
Amend Executive Incentive Bonus Plan
For
For
Management
3
Ratify Auditors
For
For
Management
4
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
5
Advisory Vote on Say on Pay Frequency
Three Years
One Year
Management

 
MICROSOFT CORPORATION

Ticker:       MSFT           Security ID:  594918104
Meeting Date: NOV 15, 2011   Meeting Type: Annual
Record Date:  SEP 02, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Steven A. Ballmer
For
For
Management
2
Elect Director Dina Dublon
For
For
Management
3
Elect Director William H. Gates, III
For
For
Management
4
Elect Director Raymond V. Gilmartin
For
For
Management
5
Elect Director Reed Hastings
For
For
Management
6
Elect Director Maria M. Klawe
For
For
Management
7
Elect Director David F. Marquardt
For
For
Management
8
Elect Director Charles H. Noski
For
For
Management
9
Elect Director Helmut Panke
For
For
Management
10
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
11
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
12
Ratify Auditors
For
For
Management
13
Amend Bylaws to Establish a Board Committee on Environmental Sustainability
Against
Against
Shareholder
 
 
MOLSON COORS BREWING COMPANY

Ticker:       TAP            Security ID:  60871R209
Meeting Date: MAY 30, 2012   Meeting Type: Annual
Record Date:  APR 02, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Charles M. Herington
For
Withhold
Management
1.2
Elect Director H. Sanford Riley
For
Withhold
Management
 
 
NEWMONT MINING CORPORATION

Ticker:       NEM            Security ID:  651639106
Meeting Date: APR 24, 2012   Meeting Type: Annual
Record Date:  FEB 24, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Bruce R. Brook
For
For
Management
1.2
Elect Director Vincent A. Calarco
For
For
Management
1.3
Elect Director Joseph A. Carrabba
For
For
Management
1.4
Elect Director Noreen Doyle
For
For
Management
1.5
Elect Director Veronica M. Hagen
For
For
Management
1.6
Elect Director Michael S. Hamson
For
For
Management
1.7
Elect Director Jane Nelson
For
For
Management
1.8
Elect Director Richard T. O'Brien
For
For
Management
1.9
Elect Director John B. Prescott
For
For
Management
1.10
Elect Director Donald C. Roth
For
For
Management
1.11
Elect Director Simon R. Thompson
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
4
Other Business
For
Against
Management

 
NOKIA CORP.

Ticker:       NOK1V          Security ID:  654902204
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  FEB 27, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Open Meeting
None
None
Management
2
Call the Meeting to Order
None
None
Management
3
Designate Inspector or Shareholder Representative(s) of Minutes of Meeting
None
None
Management
4
Acknowledge Proper Convening of Meeting
None
None
Management
5
Acknowledge Proper Convening of Meeting
None
None
Management
6
Receive Financial Statements and Statutory Reports; Receive CEO's Review
None
None
Management
7
Accept Financial Statements and Statutory Reports
For
For
Management
8
Approve Allocation of Income and Dividends of EUR 0.20 Per Share
For
For
Management
9
Approve Discharge of Board and President
For
For
Management
10
Approve Remuneration of Directors in the Amount of EUR 440,000 for the Chairman, EUR 150,000 for Deputy Chairman, and EUR 130,000 for Other Directors
For
For
Management
11
Fix Number of Directors at 11
For
For
Management
12.1
Elect Bruce Brown as Director
For
For
Management
12.2
Elect Stephen Elop as Director
For
For
Management
12.3
Elect Henning Kagermann as Director
For
For
Management
12.4
Elect Jouko Karvinen as Director
For
For
Management
12.5
Elect Helge Lund as Director
For
For
Management
12.6
Elect Isabel Marey-Semper as Director
For
For
Management
12.7
Elect Marten Mickos as Director
For
For
Management
12.8
Elect Elizabeth Nelson as Director
For
For
Management
12.9
Elect Dame Marjorie Scardino as Director
For
For
Management
12.10
Elect Risto Siilasmaa as Director
For
For
Management
12.11
Elect Kari Stadigh as Director
For
For
Management
13
Approve Remuneration of Auditors
For
For
Management
14
Ratify PricewaterhouseCoopers as Auditors
For
For
Management
15
Authorize Share Repurchase Program
For
For
Management
16
Close Meeting
None
None
Management

 
NORDIC AMERICAN TANKERS LTD.

Ticker:       NAT            Security ID:  G65773106
Meeting Date: MAY 21, 2012   Meeting Type: Annual
Record Date:  APR 10, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Herbjorn Hansson as Director
For
Withhold
Management
1.2
Elect David Gibbons as Director
For
For
Management
1.3
Elect Andreas Ove Ugland as Director
For
For
Management
1.4
Elect Jim Kelly as Director
For
For
Management
1.5
Elect Jan Erik Langangen as Director
For
Withhold
Management
1.6
Elect Paul J. Hopkins as Director
For
For
Management
1.7
Elect Richard H. K. Vietor as Director
For
For
Management
2
Ratify Deloitte AS as Auditors
For
For
Management
3
Approve Reduction of Share Premium Account by $75.5 Million
For
For
Management
4
Receive Financial Statements and Statutory Reports (Non-Voting)
None
None
Management
5
Transact Other Business (Non-Voting)
None
None
Management

 
NYSE EURONEXT

Ticker:       NYX            Security ID:  629491101
Meeting Date: JUL 07, 2011   Meeting Type: Special
Record Date:  MAY 09, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Approve Merger Agreement
For
For
Management
2
Reduce Supermajority Vote Requirement to Amend Articles and Approve Certain Transactions
For
For
Management
3
Reduce Supermajority Vote Requirement to Elect Directors in Certain Circumstances and Remove Directors
For
For
Management
4
Approve Appointment of Directors for Initial Term Expiring at the AGM in 2015
For
For
Management
5
Adjourn Meeting
For
For
Management

 
NYSE EURONEXT

Ticker:       NYX            Security ID:  629491101
Meeting Date: APR 26, 2012   Meeting Type: Annual
Record Date:  FEB 28, 2012
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Andre Bergen
For
For
Management
2
Elect Director Ellyn L. Brown
For
For
Management
3
Elect Director Marshall N. Carter
For
For
Management
4
Elect Director Dominique Cerutti
For
For
Management
5
Elect Director Patricia M. Cloherty
For
For
Management
6
Elect Director George Cox
For
For
Management
7
Elect Director Sylvain Hefes
For
For
Management
8
Elect Director Jan-Michiel Hessels
For
For
Management
9
Elect Director Duncan M. McFarland
For
For
Management
10
Elect Director James J. McNulty
For
For
Management
11
Elect Director Duncan L. Niederauer
For
For
Management
12
Elect Director Ricardo Salgado
For
Against
Management
13
Elect Director Robert G. Scott
For
For
Management
14
Elect Director Jackson P. Tai
For
For
Management
15
Elect Director Rijnhard van Tets
For
For
Management
16
Elect Director Brian Williamson
For
For
Management
17
Ratify Auditors
For
For
Management
18
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
19
Call Special Meetings
Against
For
Shareholder

 
OCCIDENTAL PETROLEUM CORPORATION

Ticker:       OXY            Security ID:  674599105
Meeting Date: MAY 04, 2012   Meeting Type: Annual
Record Date:  MAR 13, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Spencer Abraham
For
For
Management
2
Elect Director Howard I. Atkins
For
For
Management
3
Elect Director Stephen I. Chazen
For
For
Management
4
Elect Director Edward P. Djerejian
For
For
Management
5
Elect Director John E. Feick
For
For
Management
6
Elect Director Margaret M. Foran
For
For
Management
7
Elect Director Carlos M. Gutierrez
For
For
Management
8
Elect Director Ray R. Irani
For
For
Management
9
Elect Director Avedick B. Poladian
For
For
Management
10
Elect Director Aziz D. Syriani
For
For
Management
11
Elect Director Rosemary Tomich
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Ratify Auditors
For
For
Management
14
Request Director Nominee with Environmental Qualifications
Against
Against
Shareholder

 
PACCAR INC

Ticker:       PCAR           Security ID:  693718108
Meeting Date: APR 24, 2012   Meeting Type: Annual
Record Date:  FEB 27, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Mark C. Pigott
For
For
Management
1.2
Elect Director Warren R. Staley
For
For
Management
1.3
Elect Director Charles R. Williamson
For
For
Management
2
Require a Majority Vote for the Election of Directors
For
For
Shareholder
3
Reduce Supermajority Vote Requirement
Against
For
Shareholder
4
Declassify the Board of Directors
Against
For
Shareholder

 
PAYCHEX, INC.

Ticker:       PAYX           Security ID:  704326107
Meeting Date: OCT 11, 2011   Meeting Type: Annual
Record Date:  AUG 12, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director B. Thomas Golisano
For
For
Management
2
Elect Director Joseph G. Doody
For
For
Management
3
Elect Director David J. S. Flaschen
For
For
Management
4
Elect Director Phillip Horsley
For
For
Management
5
Elect Director Grant M. Inman
For
For
Management
6
Elect Director Pamela A. Joseph
For
For
Management
7
Elect Director Martin Mucci
For
For
Management
8
Elect Director Joseph M. Tucci
For
For
Management
9
Elect Director Joseph M. Velli
For
For
Management
10
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
11
Advisory Vote on Say on Pay Frequency
One Year
One Year
Management
12
Ratify Auditors
For
For
Management

 
PEOPLE'S UNITED FINANCIAL, INC.

Ticker:       PBCT           Security ID:  712704105
Meeting Date: APR 19, 2012   Meeting Type: Annual
Record Date:  FEB 23, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director George P. Carter
For
For
Management
1.2
Elect Director Jerry Franklin
For
For
Management
1.3
Elect Director Kirk W. Walters
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Approve Executive Incentive Bonus Plan
For
For
Management
4
Ratify Auditors
For
For
Management
5
Declassify the Board of Directors
None
For
Shareholder

 
PEPSICO, INC.

Ticker:       PEP            Security ID:  713448108
Meeting Date: MAY 02, 2012   Meeting Type: Annual
Record Date:  MAR 02, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Shona L. Brown
For
For
Management
2
Elect Director Ian M. Cook
For
For
Management
3
Elect Director Dina Dublon
For
For
Management
4
Elect Director Victor J. Dzau
For
For
Management
5
Elect Director Ray L. Hunt
For
For
Management
6
Elect Director Alberto Ibarguen
For
For
Management
7
Elect Director Indra K. Nooyi
For
For
Management
8
Elect Director Sharon Percy Rockefeller
For
For
Management
9
Elect Director James J. Schiro
For
For
Management
10
Elect Director Lloyd G. Trotter
For
For
Management
11
Elect Director Daniel Vasella
For
For
Management
12
Elect Director Alberto Weisser
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
15
Amend Omnibus Stock Plan
For
For
Management
16
Report on Lobbying Payments and Policy
Against
Against
Shareholder
17
Establish Risk Oversight Committee
Against
Against
Shareholder
18
Require Independent Board Chairman
Against
For
Shareholder

 
PFIZER INC.

Ticker:       PFE            Security ID:  717081103
Meeting Date: APR 26, 2012   Meeting Type: Annual
Record Date:  FEB 28, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Dennis A. Ausiello
For
For
Management
2
Elect Director M. Anthony Burns
For
For
Management
3
Elect Director W. Don Cornwell
For
For
Management
4
Elect Director Frances D. Fergusson
For
For
Management
5
Elect Director William H. Gray, III
For
For
Management
6
Elect Director Helen H. Hobbs
For
For
Management
7
Elect Director Constance J. Horner
For
For
Management
8
Elect Director James M. Kilts
For
For
Management
9
Elect Director George A. Lorch
For
For
Management
10
Elect Director John P. Mascotte
For
For
Management
11
Elect Director Suzanne Nora Johnson
For
For
Management
12
Elect Director Ian C. Read
For
For
Management
13
Elect Director Stephen W. Sanger
For
For
Management
14
Elect Director Marc Tessier-Lavigne
For
For
Management
15
Ratify Auditors
For
For
Management
16
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
17
Publish Political Contributions
Against
Against
Shareholder
18
Provide Right to Act by Written Consent
Against
For
Shareholder
19
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
20
Non-Employee Director Compensation
Against
Against
Shareholder

 
PPG INDUSTRIES, INC.

Ticker:       PPG            Security ID:  693506107
Meeting Date: APR 19, 2012   Meeting Type: Annual
Record Date:  FEB 17, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Charles E. Bunch
For
For
Management
1.2
Elect Director Robert Ripp
For
For
Management
1.3
Elect Director Thomas J. Usher
For
For
Management
1.4
Elect Director David R. Whitwam
For
For
Management
2
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
3
Declassify the Board of Directors
For
For
Management
4
Ratify Auditors
For
For
Management

 
QUALCOMM INCORPORATED

Ticker:       QCOM           Security ID:  747525103
Meeting Date: MAR 06, 2012   Meeting Type: Annual
Record Date:  JAN 09, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Barbara T. Alexander
For
For
Management
1.2
Elect Director Stephen M. Bennett
For
For
Management
1.3
Elect Director Donald G. Cruickshank
For
For
Management
1.4
Elect Director Raymond V. Dittamore
For
For
Management
1.5
Elect Director Thomas W. Horton
For
For
Management
1.6
Elect Director Paul E. Jacobs
For
For
Management
1.7
Elect Director Robert E. Kahn
For
For
Management
1.8
Elect Director Sherry Lansing
For
For
Management
1.9
Elect Director Duane A. Nelles
For
For
Management
1.10
Elect Director Francisco Ros
For
For
Management
1.11
Elect Director Brent Scowcroft
For
For
Management
1.12
Elect Director Marc I. Stern
For
For
Management
2
Ratify Auditors
For
For
Management
3
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
4
Eliminate Provision Relating to Plurality Voting for the Election of Directors
For
For
Management

 
SANOFI

Ticker:       SAN            Security ID:  80105N105
Meeting Date: MAY 04, 2012   Meeting Type: Annual/Special
Record Date:  MAR 26, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Approve Financial Statements and Statutory Reports
For
For
Management
2
Approve Consolidated Financial Statements and Statutory Reports
For
For
Management
3
Approve Allocation of Income and Dividends of EUR 2.65 per Share
For
For
Management
4
Elect Laurent Attal as Director
For
For
Management
5
Reelect Uwe Bicker as Director
For
For
Management
6
Reelect Jean Rene Fourtou as Director
For
For
Management
7
Reelect Claudie Haignere as Director
For
For
Management
8
Reelect Carole Piwnica as Director
For
For
Management
9
Reelect Klaus Pohle as Director
For
For
Management
10
Appoint Ernst & Young et Autres as Auditor
For
For
Management
11
Appoint Auditex as Alternate Auditor
For
For
Management
12
Ratify Change of Registered Office to 54, rue La Boetie, 75008 Paris and Amend Article 4 of Bylaws Accordingly
For
For
Management
13
Authorize Repurchase of Up to 10 Percent of Issued Share Capital
For
For
Management
14
Authorize up to 1.2 Percent of Issued Capital for Use in Restricted Stock Plan
For
For
Management
15
Authorize Filing of Required Documents/Other Formalities
For
For
Management

 
SOLAR CAPITAL LTD.

Ticker:       SLRC           Security ID:  83413U100
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  MAR 08, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director  Michael S. Gross
For
For
Management
1.2
Elect Director Leonard A. Potter
For
For
Management
2
Approve Issuance of Shares Below Net Asset Value
For
For
Management

 
STAPLES, INC.

Ticker:       SPLS           Security ID:  855030102
Meeting Date: JUN 04, 2012   Meeting Type: Annual
Record Date:  APR 09, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Basil L. Anderson
For
For
Management
2
Elect Director Arthur M. Blank
For
For
Management
3
Elect Director Drew G. Faust
For
For
Management
4
Elect Director Justin King
For
For
Management
5
Elect Director Carol Meyrowitz
For
For
Management
6
Elect Director Rowland T. Moriarty
For
For
Management
7
Elect Director Robert C. Nakasone
For
For
Management
8
Elect Director Ronald L. Sargent
For
For
Management
9
Elect Director Elizabeth A. Smith
For
For
Management
10
Elect Director Robert E. Sulentic
For
For
Management
11
Elect Director Vijay Vishwanath
For
For
Management
12
Elect Director Paul F. Walsh
For
For
Management
13
Provide Right to Act by Written Consent
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management
15
Amend Executive Incentive Bonus Plan
For
For
Management
16
Amend Executive Incentive Bonus Plan
For
For
Management
17
Approve Qualified Employee Stock Purchase Plan
For
For
Management
18
Ratify Auditors
For
For
Management
19
Stock Retention/Holding Period
Against
For
Shareholder

 
STAR ASIA FIN LTD

Ticker:                      Security ID:  855082301
Meeting Date: SEP 14, 2011   Meeting Type: Annual
Record Date:  AUG 03, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Accept Financial Statements and Statutory Reports
For
For
Management
2.1
Reelect Talmai Morgan as Director
For
Withhold
Management
2.2
Reelect Roger Phillips as Director
For
Withhold
Management
2.3
Reelect Daniel Cohen as Director
For
Withhold
Management
3
Reappoint Grant Thornton LLP as Auditors and Authorize Board to Fix Their Remuneration
For
For
Management

 
STMICROELECTRONICS NV

Ticker:       STM            Security ID:  861012102
Meeting Date: MAY 30, 2012   Meeting Type: Annual
Record Date:  MAY 02, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Open Meeting
None
None
Management
2
Receive Report of Management Board
None
None
Management
3
Receive Report of Supervisory Board
None
None
Management
4a
Adopt Financial Statements
For
For
Management
4b
Approve Allocation of Income and Dividends of USD 0.40 per Share
For
For
Management
4c
Approve Discharge of Management Board
For
For
Management
4d
Approve Discharge of Supervisory Board
For
For
Management
5a
Approve Executive Incentive Bonus Plan
For
Against
Management
5b
Approve Restricted Stock Grants
For
Against
Management
6
Elect M. Verluyten to Supervisory Board
For
For
Management
7
Authorize Repurchase of Up to 10 Percent of Issued Share Capital
For
For
Management
8
Allow Questions
None
None
Management
9
Close Meeting
None
None
Management

 
TARGET CORPORATION

Ticker:       TGT            Security ID:  87612E106
Meeting Date: JUN 13, 2012   Meeting Type: Annual
Record Date:  APR 16, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1.1
Elect Director Roxanne S. Austin
For
For
Management
1.2
Elect Director Calvin Darden
For
For
Management
1.3
Elect Director Mary N. Dillon
For
For
Management
1.4
Elect Director James A. Johnson
For
For
Management
1.5
Elect Director Mary E. Minnick
For
For
Management
1.6
Elect Director Anne M. Mulcahy
For
For
Management
1.7
Elect Director Derica W. Rice
For
For
Management
1.8
Elect Director Stephen W. Sanger
For
For
Management
1.9
Elect Director Gregg W. Steinhafel
For
For
Management
1.10
Elect Director John G. Stumpf
For
For
Management
1.11
Elect Director Solomon D. Trujillo
For
For
Management
2
Ratify Auditors
For
For
Management
3
Approve Executive Incentive Bonus Plan
For
For
Management
4
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
5
Report on Electronics Recycling and Preventing E-Waste Export
Against
Against
Shareholder
6
Prohibit Political Contributions
Against
Against
Shareholder

 
THE COCA-COLA COMPANY

Ticker:       KO             Security ID:  191216100
Meeting Date: APR 25, 2012   Meeting Type: Annual
Record Date:  FEB 27, 2012
 
#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Herbert A. Allen
For
For
Management
2
Elect Director Ronald W. Allen
For
Against
Management
3
Elect Director Howard G. Buffett
For
For
Management
4
Elect Director Richard M. Daley
For
For
Management
5
Elect Director Barry Diller
For
For
Management
6
Elect Director Evan G. Greenberg
For
For
Management
7
Elect Director Alexis M. Herman
For
For
Management
8
Elect Director Muhtar Kent
For
For
Management
9
Elect Director Donald R. Keough
For
For
Management
10
Elect Director Robert A. Kotick
For
For
Management
11
Elect Director Maria Elena Lagomasino
For
For
Management
12
Elect Director Donald F. McHenry
For
For
Management
13
Elect Director Sam Nunn
For
For
Management
14
Elect Director James D. Robinson, III
For
For
Management
15
Elect Director Peter V. Ueberroth
For
For
Management
16
Elect Director Jacob Wallenberg
For
For
Management
17
Elect Director James B. Williams
For
For
Management
18
Ratify Auditors
For
For
Management
19
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management

 
THE DOW CHEMICAL COMPANY

Ticker:       DOW            Security ID:  260543103
Meeting Date: MAY 10, 2012   Meeting Type: Annual
Record Date:  MAR 19, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Arnold A. Allemang
For
For
Management
2
Elect Director Jacqueline K. Barton
For
For
Management
3
Elect Director James A. Bell
For
For
Management
4
Elect Director Jeff M. Fettig
For
For
Management
5
Elect Director John B. Hess
For
For
Management
6
Elect Director Andrew N. Liveris
For
For
Management
7
Elect Director Paul Polman
For
For
Management
8
Elect Director Dennis H. Reilley
For
For
Management
9
Elect Director James M. Ringler
For
For
Management
10
Elect Director Ruth G. Shaw
For
For
Management
11
Ratify Auditors
For
For
Management
12
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
13
Approve Omnibus Stock Plan
For
For
Management
14
Approve Nonqualified Employee Stock Purchase Plan
For
For
Management
15
Provide Right to Act by Written Consent
Against
For
Shareholder
16
Require Independent Board Chairman
Against
Against
Shareholder

 
THE KROGER CO.

Ticker:       KR             Security ID:  501044101
Meeting Date: JUN 21, 2012   Meeting Type: Annual
Record Date:  APR 23, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Reuben V. Anderson
For
For
Management
2
Elect Director Robert D. Beyer
For
For
Management
3
Elect Director David B. Dillon
For
For
Management
4
Elect Director Susan J. Kropf
For
For
Management
5
Elect Director John T. LaMacchia
For
For
Management
6
Elect Director David B. Lewis
For
For
Management
7
Elect Director W. Rodney McMullen
For
For
Management
8
Elect Director Jorge P. Montoya
For
For
Management
9
Elect Director Clyde R. Moore
For
For
Management
10
Elect Director Susan M. Phillips
For
For
Management
11
Elect Director Steven R. Rogel
For
For
Management
12
Elect Director James A. Runde
For
For
Management
13
Elect Director Ronald L. Sargent
For
For
Management
14
Elect Director Bobby S. Shackouls
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
16
Ratify Auditors
For
For
Management
17
Adopt ILO Based Code of Conduct
Against
Against
Shareholder
18
Report on Adopting Extended Producer Responsibility Policy
Against
Against
Shareholder

 
THE SOUTHERN COMPANY

Ticker:       SO             Security ID:  842587107
Meeting Date: MAY 23, 2012   Meeting Type: Annual
Record Date:  MAR 26, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Juanita Powell Baranco
For
For
Management
2
Elect Director Jon A. Boscia
For
For
Management
3
Elect Director Henry A. Clark, III
For
For
Management
4
Elect Director Thomas A. Fanning
For
For
Management
5
Elect Director H. William Habermeyer, Jr.
For
For
Management
6
Elect Director Veronica M. Hagen
For
For
Management
7
Elect Director Warren A. Hood, Jr.
For
For
Management
8
Elect Director Donald M. James
For
For
Management
9
Elect Director Dale E. Klein
For
For
Management
10
Elect Director William G. Smith, Jr.
For
For
Management
11
Elect Director Steven R. Specker
For
For
Management
12
Elect Director Larry D. Thompson
For
For
Management
13
Elect Director E. Jenner Wood, III
For
For
Management
14
Ratify Auditors
For
For
Management
15
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
16
Report on Coal Combustion Waste Hazard and Risk Mitigation Efforts
Against
For
Shareholder
17
Report on Lobbying Payments and Policy
Against
Against
Shareholder

 
TIME WARNER INC.

Ticker:       TWX            Security ID:  887317303
Meeting Date: MAY 15, 2012   Meeting Type: Annual
Record Date:  MAR 22, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director James L. Barksdale
For
For
Management
2
Elect Director William P. Barr
For
For
Management
3
Elect Director Jeffrey L. Bewkes
For
For
Management
4
Elect Director Stephen F. Bollenbach
For
For
Management
5
Elect Director Robert C. Clark
For
For
Management
6
Elect Director Mathias Dopfner
For
For
Management
7
Elect Director Jessica P. Einhorn
For
For
Management
8
Elect Director Fred Hassan
For
For
Management
9
Elect Director Kenneth J. Novack
For
For
Management
10
Elect Director Paul D. Wachter
For
For
Management
11
Elect Director Deborah C. Wright
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Provide Right to Act by Written Consent
Against
For
Shareholder

 
UNITED TECHNOLOGIES CORPORATION

Ticker:       UTX            Security ID:  913017109
Meeting Date: APR 11, 2012   Meeting Type: Annual
Record Date:  FEB 15, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Louis R. Chenevert
For
For
Management
2
Elect Director John V. Faraci
For
For
Management
3
Elect Director Jean-Pierre Garnier, Ph. D.
For
For
Management
4
Elect Director Jamie S. Gorelick
For
For
Management
5
Elect Director Edward A. Kangas
For
For
Management
6
Elect Director Ellen J. Kullman
For
For
Management
7
Elect Director Richard D. McCormick
For
For
Management
8
Elect Director Harold McGraw, III
For
For
Management
9
Elect Director Richard B. Myers
For
For
Management
10
Elect Director H. Patrick Swygert
For
For
Management
11
Elect Director Andre Villeneuve
For
For
Management
12
Elect Director Christine Todd Whitman
For
For
Management
13
Ratify Auditors
For
For
Management
14
Advisory Vote to Ratify Named Executive Officers' Compensation
For
Against
Management

 
VERIZON COMMUNICATIONS INC.

Ticker:       VZ             Security ID:  92343V104
Meeting Date: MAY 03, 2012   Meeting Type: Annual
Record Date:  MAR 05, 2012

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Elect Director Richard L. Carrion
For
For
Management
2
Elect Director Melanie L. Healey
For
For
Management
3
Elect Director M. Frances Keeth
For
For
Management
4
Elect Director Robert W. Lane
For
For
Management
5
Elect Director Lowell C. McAdam
For
For
Management
6
Elect Director Sandra O. Moose
For
For
Management
7
Elect Director Joseph Neubauer
For
For
Management
8
Elect Director Donald T. Nicolaisen
For
For
Management
9
Elect Director Clarence Otis, Jr.
For
For
Management
10
Elect Director Hugh B. Price
For
For
Management
11
Elect Director Rodney E. Slater
For
For
Management
12
Ratify Auditors
For
For
Management
13
Advisory Vote to Ratify Named Executive Officers' Compensation
For
For
Management
14
Disclose Prior Government Service
Against
Against
Shareholder
15
Report on Lobbying Payments and Policy
Against
For
Shareholder
16
Performance-Based and/or Time-Based Equity Awards
Against
For
Shareholder
17
Amend Articles/Bylaws/Charter -- Call Special Meetings
Against
For
Shareholder
18
Provide Right to Act by Written Consent
Against
For
Shareholder
19
Commit to Wireless Network Neutrality
Against
Against
Shareholder

 
VODAFONE GROUP PLC

Ticker:       VOD            Security ID:  92857W209
Meeting Date: JUL 26, 2011   Meeting Type: Annual
Record Date:  JUN 03, 2011

#
Proposal
Mgt Rec
Vote Cast
Sponsor
1
Accept Financial Statements and Statutory Reports
For
For
Management
2
Elect Gerard Kleisterlee as Director
For
For
Management
3
Re-elect John Buchanan as Director
For
For
Management
4
Re-elect Vittorio Colao as Director
For
For
Management
5
Re-elect Michel Combes as Director
For
For
Management
6
Re-elect Andy Halford as Director
For
For
Management
7
Re-elect Stephen Pusey as Director
For
For
Management
8
Elect Renee James as Director
For
For
Management
9
Re-elect Alan Jebson as Director
For
For
Management
10
Re-elect Samuel Jonah as Director
For
For
Management
11
Re-elect Nick Land as Director
For
For
Management
12
Re-elect Anne Lauvergeon as Director
For
For
Management
13
Re-elect Luc Vandevelde as Director
For
For
Management
14
Re-elect Anthony Watson as Director
For
For
Management
15
Re-elect Philip Yea as Director
For
For
Management
16
Approve Final Dividend
For
For
Management
17
Approve Remuneration Report
For
For
Management
18
Reappoint Deloitte LLP as Auditors
For
For
Management
19
Authorise Audit Committee to Fix Remuneration of Auditors
For
For
Management
20
Authorise Issue of Equity with Pre-emptive Rights
For
For
Management
21
Authorise Issue of Equity without Pre-emptive Rights
For
For
Management
22
Authorise Market Purchase
For
For
Management
23
Authorise the Company to Call EGM with Two Weeks' Notice
For
For
Management

 
SIGNATURES

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.

Dividend and Income Fund

By:
/s/ John F. Ramirez
 
John F. Ramírez, Chief Compliance Officer
   
 
Date: August 27, 2012