N-PX 1 d391071dnpx.htm THE APPLETON FUNDS The Appleton Funds

 

 

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: 811-10201

The Appleton Funds

(Exact name of registrant as specified in charter)

45 Milk Street

Boston, Massachusetts 02109

(Address of principal executive offices) (Zip code)

James I. Ladge

45 Milk Street

Boston, Massachusetts 02109

(Name and Address of Agent for Service)

Registrant’s telephone number, including area code: (617) 338-0700

Date of fiscal year end: December 31

Date of reporting period: July 1, 2011 to June 30, 2012

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

 

 

Item 1. Proxy Voting Record

Proxy Voting Record

Meeting Date Range: 01-Jul-2011 To 30-Jun-2012

Selected Accounts

 

TEVA PHARMACEUTICAL INDUSTRIES LIMITED
Security:    881624209          Meeting Type:      Annual
Ticker:    TEVA          Meeting Date:      19-Sep-2011
ISIN    US8816242098          Vote Deadline Date:      08-Sep-2011
Agenda    933499104    Management       Total Ballot Shares:      34175
Last Vote Date:    08-Sep-2011              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    APPROVE RESOLUTION OF THE BOARD TO DECLARE & DISTRIBUTE CASH DIVIDEND FOR YEAR DECEMBER 31, 2010, PAID IN FOUR INSTALLMENTS IN AN AGGREGATE AMOUNT OF NIS 2.90 PER ORDINARY SHARE (OR ADS).    For    4000    0    0    0
2    TO APPOINT MR. CHAIM HURVITZ TO THE BOARD OF DIRECTORS.    For    4000    0    0    0
3    TO APPOINT MR. ORY SLONIM TO THE BOARD OF DIRECTORS.    For    4000    0    0    0
4    TO APPOINT MR. DAN SUESSKIND TO THE BOARD OF DIRECTORS.    For    4000    0    0    0
5    APPOINT MR. JOSEPH (YOSSI) NITZANI AS A STATUTORY INDEPENDENT DIRECTOR, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    For    4000    0    0    0
6    APPOINT PROF. DAFNA SCHWARTZ AS A STATUTORY INDEPENDENT DIRECTOR, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    For    4000    0    0    0
7    APPOINT KESSELMAN & KESSELMAN, MEMBER OF PRICEWATERHOUSECOOPERS INTERNATIONAL LTD., AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    For    4000    0    0    0
8    TO APPROVE THE PURCHASE OF DIRECTORS’ & OFFICERS’ LIABILITY INSURANCE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    For    4000    0    0    0
9    TO APPROVE AN INCREASE IN THE REMUNERATION FOR PROF. MOSHE MANY IN HIS CAPACITY AS VICE CHAIRMAN OF THE BOARD OF DIRECTORS, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    For    4000    0    0    0

 

 

 

Page 1 of 43

Friday, July 27, 2012

Proxy Voting Record

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
10    APPROVE REIMBURSEMENT OF EXPENSES TO DR. PHILLIP FROST, CHAIRMAN OF BOARD, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    For    4000    0    0    0

 

 

 

Page 2 of 43

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Proxy Voting Record

 

ORACLE CORPORATION
Security:    68389X105          Meeting Type:      Annual
Ticker:    ORCL          Meeting Date:      12-Oct-2011
ISIN    US68389X1054          Vote Deadline Date:      11-Oct-2011
Agenda    933499813    Management       Total Ballot Shares:      71355
Last Vote Date:    04-Oct-2011              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action     
1    DIRECTOR    For               
  

1       JEFFREY S. BERG

       11100    0    0    0   
  

2       H. RAYMOND BINGHAM

       11100    0    0    0   
  

3       MICHAEL J. BOSKIN

       11100    0    0    0   
  

4       SAFRA A. CATZ

       11100    0    0    0   
  

5       BRUCE R. CHIZEN

       11100    0    0    0   
  

6       GEORGE H. CONRADES

       11100    0    0    0   
  

7       LAWRENCE J. ELLISON

       11100    0    0    0   
  

8       HECTOR GARCIA-MOLINA

       11100    0    0    0   
  

9       JEFFREY O. HENLEY

       11100    0    0    0   
  

10     MARK V. HURD

       11100    0    0    0   
  

11     DONALD L. LUCAS

       11100    0    0    0   
  

12     NAOMI O. SELIGMAN

       11100    0    0    0   
2    ADVISORY VOTE ON EXECUTIVE COMPENSATION.    For    11100    0    0    0   

Item

   

Proposal

   

Recommendation

    1 Year    2 Years    3 Years   

Abstain

    Take No Action
3    ADVISORY VOTE ON THE FREQUENCY OF FUTURE VOTES RELATING TO EXECUTIVE COMPENSATION.    None    0    0    0    0    0

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action     
4    PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG AS THE INDEPENDENT PUBLIC ACCOUNTING FIRM FOR FISCAL 2012.    For    11100    0    0    0   
5    ACT ON A STOCKHOLDER PROPOSAL REGARDING EQUITY RETENTION.    Against    0    11100    0    0   

 

 

 

Page 3 of 43

Friday, July 27, 2012

Proxy Voting Record

 

PERRIGO COMPANY
Security:    714290103          Meeting Type:      Annual
Ticker:    PRGO          Meeting Date:      26-Oct-2011
ISIN    US7142901039          Vote Deadline Date:      25-Oct-2011
Agenda    933508496    Management       Total Ballot Shares:      19685
Last Vote Date:    04-Oct-2011              

 

Item

   

Proposal

    Recommendation    For   

Against

    Abstain    Take No Action     
1    DIRECTOR    For               
  

1       GARY K. KUNKLE, JR.

       2400    0    0    0   
  

2       HERMAN MORRIS, JR.

       2400    0    0    0   
  

3       BEN-ZION ZILBERFARB

       2400    0    0    0   
2    AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.    For    2400    0    0    0   

Item

   

Proposal

    Recommendation    1 Year   

2 Years

    3 Years   

Abstain

    Take No Action
3    AN ADVISORY VOTE ON THE FREQUENCY OF ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.    1 Year    2400    0    0    0    0

Item

   

Proposal

    Recommendation    For   

Against

    Abstain    Take No Action     
4    RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2012.    For    2400    0    0    0   

 

 

 

Page 4 of 43

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Proxy Voting Record

 

BHP BILLITON LIMITED
Security:    088606108          Meeting Type:      Annual
Ticker:    BHP          Meeting Date:      17-Nov-2011
ISIN    US0886061086          Vote Deadline Date:      09-Nov-2011
Agenda    933510504    Management       Total Ballot Shares:      25549
Last Vote Date:    07-Nov-2011              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    TO RECEIVE THE 2011 FINANCIAL STATEMENTS AND REPORTS FOR BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
2    TO ELECT LINDSAY MAXSTED AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
3    TO ELECT SHRITI VADERA AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
4    TO RE-ELECT MALCOLM BROOMHEAD AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
5    TO RE-ELECT JOHN BUCHANAN AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
6    TO RE-ELECT CARLOS CORDEIRO AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
7    TO RE-ELECT DAVID CRAWFORD AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
8    TO RE-ELECT CAROLYN HEWSON AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
9    TO RE-ELECT MARIUS KLOPPERS AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
10    TO RE-ELECT WAYNE MURDY AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
11    TO RE-ELECT KEITH RUMBLE AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
12    TO RE-ELECT JOHN SCHUBERT AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
13    TO RE-ELECT JACQUES NASSER AS A DIRECTOR OF BHP BILLITON LIMITED AND BHP BILLITON PLC    For    3000    0    0    0
14    TO REAPPOINT KPMG AUDIT PLC AS THE AUDITOR OF BHP BILLITON PLC    For    3000    0    0    0
15    TO RENEW THE GENERAL AUTHORITY TO ISSUE SHARES IN BHP BILLITON PLC    For    3000    0    0    0

 

 

 

Page 5 of 43

Friday, July 27, 2012

Proxy Voting Record

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
16    TO APPROVE THE AUTHORITY TO ISSUE SHARES IN BHP BILLITON PLC FOR CASH    For    3000    0    0    0
17    TO APPROVE THE REPURCHASE OF SHARES IN BHP BILLITON PLC    For    3000    0    0    0
18    TO APPROVE THE 2011 REMUNERATION REPORT    For    3000    0    0    0
19    TO APPROVE TERMINATION BENEFITS FOR GROUP MANAGEMENT COMMITTEE MEMBERS    For    3000    0    0    0
20    TO APPROVE THE GRANT OF AWARDS TO MARIUS KLOPPERS UNDER THE GIS AND THE LTIP    For    3000    0    0    0

 

 

 

Page 6 of 43

Friday, July 27, 2012

Proxy Voting Record

 

AMERICAN TOWER CORPORATION
Security:    029912201          Meeting Type:      Special
Ticker:    AMT          Meeting Date:      29-Nov-2011
ISIN    US0299122012          Vote Deadline Date:      28-Nov-2011
Agenda    933516037    Management       Total Ballot Shares:      37628
Last Vote Date:    07-Nov-2011              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF AUGUST 24, 2011, BETWEEN AMERICAN TOWER CORPORATION AND AMERICAN TOWER REIT, INC., WHICH IS PART OF THE REORGANIZATION OF AMERICAN TOWER’S OPERATIONS THROUGH WHICH AMERICAN TOWER INTENDS TO QUALIFY AS A REIT FOR FEDERAL INCOME TAX PURPOSES.    For    4750    0    0    0
2    PROPOSAL TO PERMIT THE BOARD OF DIRECTORS OF AMERICAN TOWER CORPORATION TO ADJOURN THE SPECIAL MEETING, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THAT THERE ARE NOT SUFFICIENT VOTES AT THE ORIGINALLY SCHEDULED TIME OF THE SPECIAL MEETING TO APPROVE PROPOSAL 1.    For    4750    0    0    0

 

 

 

Page 7 of 43

Friday, July 27, 2012

Proxy Voting Record

 

EXPRESS SCRIPTS, INC.
Security:    302182100          Meeting Type:      Special
Ticker:    ESRX          Meeting Date:      21-Dec-2011
ISIN    US3021821000          Vote Deadline Date:      20-Dec-2011
Agenda    933528397    Management       Total Ballot Shares:      44465
Last Vote Date:    09-Dec-2011              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JULY 20, 2011, AS AMENDED ON NOVEMBER 7, 2011 AND AS IT MAY BE AMENDED FROM TIME TO TIME, BY AND AMONG EXPRESS SCRIPTS, INC., MEDCO HEALTH SOLUTIONS, INC., ARISTOTLE HOLDING, INC., ARISTOTLE MERGER SUB, INC., AND PLATO MERGER SUB, INC.    For    6100    0    0    0
2    TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING BY EXPRESS SCRIPTS STOCKHOLDERS (IF IT IS NECESSARY OR APPROPRIATE TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES TO ADOPT THE MERGER AGREEMENT).    For    6100    0    0    0

 

 

 

Page 8 of 43

Friday, July 27, 2012

Proxy Voting Record

 

COSTCO WHOLESALE CORPORATION
Security:    22160K105          Meeting Type:      Annual
Ticker:    COST          Meeting Date:      26-Jan-2012
ISIN    US22160K1051          Vote Deadline Date:      25-Jan-2012
Agenda    933536344    Management       Total Ballot Shares:      26136
Last Vote Date:    04-Jan-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       JAMES D. SINEGAL

       3500    0    0    0
  

2       JEFFREY H. BROTMAN

       3500    0    0    0
  

3       RICHARD A. GALANTI

       3500    0    0    0
  

4       DANIEL J. EVANS

       3500    0    0    0
  

5       JEFFREY S. RAIKES

       3500    0    0    0
2    RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS.    For    3500    0    0    0
3    AMENDMENT OF COMPANY’S FIFTH RESTATED STOCK INCENTIVE PLAN.    For    3500    0    0    0
4    APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION.    For    3500    0    0    0

 

 

 

Page 9 of 43

Friday, July 27, 2012

Proxy Voting Record

 

VISA INC.
Security:    92826C839          Meeting Type:      Annual
Ticker:    V          Meeting Date:      31-Jan-2012
ISIN    US92826C8394          Vote Deadline Date:      30-Jan-2012
Agenda    933536205    Management       Total Ballot Shares:      32986
Last Vote Date:    04-Jan-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: GARY P. COUGHLAN    For    3250    0    0    0
2    ELECTION OF DIRECTOR: MARY B. CRANSTON    For    3250    0    0    0
3    ELECTION OF DIRECTOR: FRANCISCO JAVIER FERNANDEZ-CARBAJAL    For    3250    0    0    0
4    ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT    For    3250    0    0    0
5    ELECTION OF DIRECTOR: CATHY E. MINEHAN    For    3250    0    0    0
6    ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON    For    3250    0    0    0
7    ELECTION OF DIRECTOR: DAVID J. PANG    For    3250    0    0    0
8    ELECTION OF DIRECTOR: JOSEPH W. SAUNDERS    For    3250    0    0    0
9    ELECTION OF DIRECTOR: WILLIAM S. SHANAHAN    For    3250    0    0    0
10    ELECTION OF DIRECTOR: JOHN A. SWAINSON    For    3250    0    0    0
11    TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.    For    3250    0    0    0
12    TO APPROVE THE VISA INC. 2007 EQUITY INCENTIVE COMPENSATION PLAN, AS AMENDED AND RESTATED.    For    3250    0    0    0
13    TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2012.    For    3250    0    0    0

 

 

 

Page 10 of 43

Friday, July 27, 2012

Proxy Voting Record

 

VARIAN MEDICAL SYSTEMS, INC.
Security:    92220P105          Meeting Type:      Annual
Ticker:    VAR          Meeting Date:      09-Feb-2012
ISIN    US92220P1057          Vote Deadline Date:      08-Feb-2012
Agenda    933537815    Management       Total Ballot Shares:      10875
Last Vote Date:    01-Feb-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       TIMOTHY E. GUERTIN

       4200    0    0    0
  

2       DAVID J. ILLINGWORTH

       4200    0    0    0
  

3       R. NAUMANN-ETIENNE

       4200    0    0    0
2    TO APPROVE THE COMPENSATION OF THE VARIAN MEDICAL SYSTEMS, INC. NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE PROXY STATEMENT.    For    4200    0    0    0
3    TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE VARIAN MEDICAL SYSTEMS, INC. 2005 OMNIBUS STOCK PLAN.    For    4200    0    0    0
4    TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS VARIAN MEDICAL SYSTEMS, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2012.    For    4200    0    0    0

 

 

 

Page 11 of 43

Friday, July 27, 2012

Proxy Voting Record

 

APPLE INC.
Security:    037833100          Meeting Type:      Annual
Ticker:    AAPL          Meeting Date:      23-Feb-2012
ISIN    US0378331005          Vote Deadline Date:      22-Feb-2012
Agenda    933542474    Management       Total Ballot Shares:      18379
Last Vote Date:    01-Feb-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       WILLIAM V. CAMPBELL

       1145    0    0    0
  

2       TIMOTHY D. COOK

       1145    0    0    0
  

3       MILLARD S. DREXLER

       1145    0    0    0
  

4       AL GORE

       1145    0    0    0
  

5       ROBERT A. IGER

       1145    0    0    0
  

6       ANDREA JUNG

       1145    0    0    0
  

7       ARTHUR D. LEVINSON

       1145    0    0    0
  

8       RONALD D. SUGAR

       1145    0    0    0
2    RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012.    For    1145    0    0    0
3    ADVISORY VOTE ON EXECUTIVE COMPENSATION.    For    1145    0    0    0
4    A SHAREHOLDER PROPOSAL ENTITLED “CONFLICT OF INTEREST REPORT”    Against    0    1145    0    0
5    A SHAREHOLDER PROPOSAL ENTITLED “SHAREHOLDER SAY ON DIRECTOR PAY”    Against    0    1145    0    0
6    A SHAREHOLDER PROPOSAL ENTITLED “REPORT ON POLITICAL CONTRIBUTIONS AND EXPENDITURES”    Against    0    1145    0    0
7    A SHAREHOLDER PROPOSAL ENTITLED “ADOPT A MAJORITY VOTING STANDARD FOR DIRECTOR ELECTIONS”    Against    0    1145    0    0

 

 

 

Page 12 of 43

Friday, July 27, 2012

Proxy Voting Record

 

DEERE & COMPANY
Security:    244199105          Meeting Type:      Annual
Ticker:    DE          Meeting Date:      29-Feb-2012
ISIN    US2441991054          Vote Deadline Date:      28-Feb-2012
Agenda    933543692    Management       Total Ballot Shares:      8415
Last Vote Date:    01-Feb-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: CRANDALL C. BOWLES    For    3000    0    0    0
2    ELECTION OF DIRECTOR: VANCE D. COFFMAN    For    3000    0    0    0
3    ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR.    For    3000    0    0    0
4    ELECTION OF DIRECTOR: DIPAK C. JAIN    For    3000    0    0    0
5    ELECTION OF DIRECTOR: CLAYTON M. JONES    For    3000    0    0    0
6    ELECTION OF DIRECTOR: JOACHIM MILBERG    For    3000    0    0    0
7    ELECTION OF DIRECTOR: RICHARD B. MYERS    For    3000    0    0    0
8    ELECTION OF DIRECTOR: THOMAS H. PATRICK    For    3000    0    0    0
9    ELECTION OF DIRECTOR: SHERRY M. SMITH    For    3000    0    0    0
10    NON-BINDING VOTE ON EXECUTIVE COMPENSATION    For    3000    0    0    0
11    APPROVAL OF THE NONEMPLOYEE DIRECTOR STOCK OWNERSHIP PLAN    For    3000    0    0    0
12    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS DEERE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2012    For    3000    0    0    0

 

 

 

Page 13 of 43

Friday, July 27, 2012

Proxy Voting Record

 

THE BANK OF NOVA SCOTIA
Security:    064149107          Meeting Type:      Annual
Ticker:    BNS          Meeting Date:      03-Apr-2012
ISIN    CA0641491075          Vote Deadline Date:      30-Mar-2012
Agenda    933553441    Management       Total Ballot Shares:      40530
Last Vote Date:    07-Mar-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       RONALD A. BRENNEMAN

       4400    0    0    0
  

2       C.J. CHEN

       4400    0    0    0
  

3       DAVID A. DODGE

       4400    0    0    0
  

4       N. ASHLEIGH EVERETT

       4400    0    0    0
  

5       JOHN C. KERR

       4400    0    0    0
  

6       JOHN T. MAYBERRY

       4400    0    0    0
  

7       THOMAS C. O’NEILL

       4400    0    0    0
  

8       INDIRA V. SAMARASEKERA

       4400    0    0    0
  

9       SUSAN L. SEGAL

       4400    0    0    0
  

10     ALLAN C. SHAW

       4400    0    0    0
  

11     PAUL D. SOBEY

       4400    0    0    0
  

12     BARBARA S. THOMAS

       4400    0    0    0
  

13     RICHARD E. WAUGH

       4400    0    0    0
2    APPOINTMENT OF KPMG LLP AS AUDITORS.    For    4400    0    0    0
3    ADVISORY VOTE ON NON-BINDING RESOLUTION ON EXECUTIVE COMPENSATION APPROACH.    For    4400    0    0    0
4    SHAREHOLDER PROPOSAL 1.    Against    0    4400    0    0
5    SHAREHOLDER PROPOSAL 2.    Against    0    4400    0    0
6    SHAREHOLDER PROPOSAL 3.    Against    0    4400    0    0

 

 

 

Page 14 of 43

Friday, July 27, 2012

Proxy Voting Record

 

SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.)
Security:    806857108          Meeting Type:      Annual
Ticker:    SLB          Meeting Date:      11-Apr-2012
ISIN    AN8068571086          Vote Deadline Date:      10-Apr-2012
Agenda    933556827    Management       Total Ballot Shares:      40957
Last Vote Date:    07-Mar-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action

1

    ELECTION OF DIRECTOR: PETER L.S. CURRIE    For    3500    0    0    0

2

    ELECTION OF DIRECTOR: TONY ISAAC    For    3500    0    0    0

3

    ELECTION OF DIRECTOR: K. VAMAN KAMATH    For    3500    0    0    0

4

    ELECTION OF DIRECTOR: PAAL KIBSGAARD    For    3500    0    0    0

5

    ELECTION OF DIRECTOR: NIKOLAY KUDRYAVTSEV    For    3500    0    0    0

6

    ELECTION OF DIRECTOR: ADRIAN LAJOUS    For    3500    0    0    0

7

    ELECTION OF DIRECTOR: MICHAEL E. MARKS    For    3500    0    0    0

8

    ELECTION OF DIRECTOR: ELIZABETH A. MOLER    For    3500    0    0    0

9

    ELECTION OF DIRECTOR: LUBNA S. OLAYAN    For    3500    0    0    0

10

    ELECTION OF DIRECTOR: L. RAFAEL REIF    For    3500    0    0    0

11

    ELECTION OF DIRECTOR: TORE I. SANDVOLD    For    3500    0    0    0

12

    ELECTION OF DIRECTOR: HENRI SEYDOUX    For    3500    0    0    0

13

    TO APPROVE AN ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION.    For    3500    0    0    0

14

    TO APPROVE THE COMPANY’S 2011 FINANCIAL STATEMENTS AND DECLARATIONS OF DIVIDENDS.    For    3500    0    0    0

15

    TO APPROVE THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    For    3500    0    0    0

16

    TO APPROVE AMENDMENTS TO THE COMPANY’S 2004 STOCK AND DEFERRAL PLAN FOR NON-EMPLOYEE DIRECTORS TO INCREASE THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE AND MAKE CERTAIN TECHNICAL CHANGES.    For    3500    0    0    0

 

 

 

Page 15 of 43

Friday, July 27, 2012

Proxy Voting Record

 

INTERNATIONAL BUSINESS MACHINES CORP.
Security:    459200101          Meeting Type:      Annual
Ticker:    IBM          Meeting Date:      24-Apr-2012
ISIN    US4592001014          Vote Deadline Date:      23-Apr-2012
Agenda    933564204    Management       Total Ballot Shares:      27434
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: A. J. P. BELDA    For    1950    0    0    0
2    ELECTION OF DIRECTOR: W. R. BRODY    For    1950    0    0    0
3    ELECTION OF DIRECTOR: K. I. CHENAULT    For    1950    0    0    0
4    ELECTION OF DIRECTOR: M. L. ESKEW    For    1950    0    0    0
5    ELECTION OF DIRECTOR: D. N. FARR    For    1950    0    0    0
6    ELECTION OF DIRECTOR: S. A. JACKSON    For    1950    0    0    0
7    ELECTION OF DIRECTOR: A. N. LIVERIS    For    1950    0    0    0
8    ELECTION OF DIRECTOR: W. J. MCNERNEY, JR.    For    1950    0    0    0
9    ELECTION OF DIRECTOR: J. W. OWENS    For    1950    0    0    0
10    ELECTION OF DIRECTOR: S. J. PALMISANO    For    1950    0    0    0
11    ELECTION OF DIRECTOR: V. M. ROMETTY    For    1950    0    0    0
12    ELECTION OF DIRECTOR: J. E. SPERO    For    1950    0    0    0
13    ELECTION OF DIRECTOR: S. TAUREL    For    1950    0    0    0
14    ELECTION OF DIRECTOR: L. H. ZAMBRANO    For    1950    0    0    0
15    RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM (PAGE 71)    For    1950    0    0    0
16    ADVISORY VOTE ON EXECUTIVE COMPENSATION (PAGE 72)    For    1950    0    0    0
17    STOCKHOLDER PROPOSAL ON CUMULATIVE VOTING (PAGE 73)    Against    0    1950    0    0
18    STOCKHOLDER PROPOSAL TO REVIEW POLITICAL CONTRIBUTIONS - TRADE ASSOCIATIONS POLICY (PAGE 74)    Against    0    1950    0    0
19    STOCKHOLDER PROPOSAL FOR DISCLOSURE OF LOBBYING POLICIES AND PRACTICES (PAGE 75)    Against    0    1950    0    0

 

 

 

Page 16 of 43

Friday, July 27, 2012

Proxy Voting Record

 

PRAXAIR, INC.
Security:    74005P104          Meeting Type:      Annual
Ticker:    PX          Meeting Date:      24-Apr-2012
ISIN    US74005P1049          Vote Deadline Date:      23-Apr-2012
Agenda    933562729    Management       Total Ballot Shares:      23894
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       STEPHEN F. ANGEL

       2175    0    0    0
  

2       OSCAR BERNARDES

       2175    0    0    0
  

3       BRET K. CLAYTON

       2175    0    0    0
  

4       NANCE K. DICCIANI

       2175    0    0    0
  

5       EDWARD G. GALANTE

       2175    0    0    0
  

6       CLAIRE W. GARGALLI

       2175    0    0    0
  

7       IRA D. HALL

       2175    0    0    0
  

8       RAYMOND W. LEBOEUF

       2175    0    0    0
  

9       LARRY D. MCVAY

       2175    0    0    0
  

10     WAYNE T. SMITH

       2175    0    0    0
  

11     ROBERT L. WOOD

       2175    0    0    0
2    TO APPROVE AMENDMENTS TO PRAXAIR’S RESTATED CERTIFICATE OF INCORPORATION TO PERMIT SHAREHOLDERS TO CALL SPECIAL MEETINGS OF SHAREHOLDERS.    For    2175    0    0    0
3    TO APPROVE, ON AN ADVISORY AND NON-BINDING BASIS, THE COMPENSATION OF PRAXAIR’S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE 2012 PROXY STATEMENT.    For    2175    0    0    0
4    A SHAREHOLDER PROPOSAL REGARDING ELECTIONEERING POLICIES AND CONTRIBUTIONS.    Against    0    2175    0    0
5    TO RATIFY THE APPOINTMENT OF THE INDEPENDENT AUDITOR.    For    2175    0    0    0

 

 

 

Page 17 of 43

Friday, July 27, 2012

Proxy Voting Record

 

WELLS FARGO & COMPANY
Security:    949746101          Meeting Type:      Annual
Ticker:    WFC          Meeting Date:      24-Apr-2012
ISIN    US9497461015          Vote Deadline Date:      23-Apr-2012
Agenda    933560369    Management       Total Ballot Shares:      71097
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: JOHN D. BAKER II    For    7700    0    0    0
2    ELECTION OF DIRECTOR: ELAINE L. CHAO    For    7700    0    0    0
3    ELECTION OF DIRECTOR: JOHN S. CHEN    For    7700    0    0    0
4    ELECTION OF DIRECTOR: LLOYD H. DEAN    For    7700    0    0    0
5    ELECTION OF DIRECTOR: SUSAN E. ENGEL    For    7700    0    0    0
6    ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR.    For    7700    0    0    0
7    ELECTION OF DIRECTOR: DONALD M. JAMES    For    7700    0    0    0
8    ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN    For    7700    0    0    0
9    ELECTION OF DIRECTOR: NICHOLAS G. MOORE    For    7700    0    0    0
10    ELECTION OF DIRECTOR: FEDERICO F. PENA    For    7700    0    0    0
11    ELECTION OF DIRECTOR: PHILIP J. QUIGLEY    For    7700    0    0    0
12    ELECTION OF DIRECTOR: JUDITH M. RUNSTAD    For    7700    0    0    0
13    ELECTION OF DIRECTOR: STEPHEN W. SANGER    For    7700    0    0    0
14    ELECTION OF DIRECTOR: JOHN G. STUMPF    For    7700    0    0    0
15    ELECTION OF DIRECTOR: SUSAN G. SWENSON    For    7700    0    0    0
16    PROPOSAL TO APPROVE AN ADVISORY RESOLUTION TO APPROVE THE NAMED EXECUTIVES’ COMPENSATION.    For    7700    0    0    0
17    PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS INDEPENDENT AUDITORS FOR 2012.    For    7700    0    0    0
18    STOCKHOLDER PROPOSAL REGARDING THE ADOPTION OF A POLICY TO REQUIRE AN INDEPENDENT CHAIRMAN.    Against    0    7700    0    0
19    STOCKHOLDER PROPOSAL TO PROVIDE FOR CUMULATIVE VOTING IN CONTESTED DIRECTOR ELECTIONS.    Against    0    7700    0    0

 

 

 

Page 18 of 43

Friday, July 27, 2012

Proxy Voting Record

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
20    STOCKHOLDER PROPOSAL TO AMEND THE COMPANY’S BY-LAWS TO ALLOW STOCKHOLDERS TO NOMINATE DIRECTOR CANDIDATES FOR INCLUSION IN THE COMPANY’S PROXY MATERIALS.    Against    0    7700    0    0
21    STOCKHOLDER PROPOSAL REGARDING AN INVESTIGATION AND REPORT ON INTERNAL CONTROLS FOR MORTGAGE SERVICING OPERATIONS.    Against    0    7700    0    0

 

 

 

Page 19 of 43

Friday, July 27, 2012

Proxy Voting Record

 

E. I. DU PONT DE NEMOURS AND COMPANY
Security:    263534109          Meeting Type:      Annual
Ticker:    DD          Meeting Date:      25-Apr-2012
ISIN    US2635341090          Vote Deadline Date:      24-Apr-2012
Agenda    933562731    Management       Total Ballot Shares:      60063
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: LAMBERTO ANDREOTTI    For    4500    0    0    0
2    ELECTION OF DIRECTOR: RICHARD H. BROWN    For    4500    0    0    0
3    ELECTION OF DIRECTOR: ROBERT A. BROWN    For    4500    0    0    0
4    ELECTION OF DIRECTOR: BERTRAND P. COLLOMB    For    4500    0    0    0
5    ELECTION OF DIRECTOR: CURTIS J. CRAWFORD    For    4500    0    0    0
6    ELECTION OF DIRECTOR: ALEXANDER M. CUTLER    For    4500    0    0    0
7    ELECTION OF DIRECTOR: ELEUTHERE I. DU PONT    For    4500    0    0    0
8    ELECTION OF DIRECTOR: MARILLYN A. HEWSON    For    4500    0    0    0
9    ELECTION OF DIRECTOR: LOIS D. JULIBER    For    4500    0    0    0
10    ELECTION OF DIRECTOR: ELLEN J. KULLMAN    For    4500    0    0    0
11    ELECTION OF DIRECTOR: LEE M. THOMAS    For    4500    0    0    0
12    ON RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM    For    4500    0    0    0
13    TO APPROVE, BY ADVISORY VOTE, EXECUTIVE COMPENSATION    For    4500    0    0    0
14    ON INDEPENDENT CHAIR    Against    0    4500    0    0
15    ON EXECUTIVE COMPENSATION REPORT    Against    0    4500    0    0

 

 

 

Page 20 of 43

Friday, July 27, 2012

Proxy Voting Record

 

GENERAL ELECTRIC COMPANY
Security:    369604103          Meeting Type:      Annual
Ticker:    GE          Meeting Date:      25-Apr-2012
ISIN    US3696041033          Vote Deadline Date:      24-Apr-2012
Agenda    933564951    Management       Total Ballot Shares:      120369
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: W. GEOFFREY BEATTIE    For    13000    0    0    0
2    ELECTION OF DIRECTOR: JAMES I. CASH, JR.    For    13000    0    0    0
3    ELECTION OF DIRECTOR: ANN M. FUDGE    For    13000    0    0    0
4    ELECTION OF DIRECTOR: SUSAN HOCKFIELD    For    13000    0    0    0
5    ELECTION OF DIRECTOR: JEFFREY R. IMMELT    For    13000    0    0    0
6    ELECTION OF DIRECTOR: ANDREA JUNG    For    13000    0    0    0
7    ELECTION OF DIRECTOR: ALAN G. (A.G.) LAFLEY    For    13000    0    0    0
8    ELECTION OF DIRECTOR: ROBERT W. LANE    For    13000    0    0    0
9    ELECTION OF DIRECTOR: RALPH S. LARSEN    For    13000    0    0    0
10    ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS    For    13000    0    0    0
11    ELECTION OF DIRECTOR: JAMES J. MULVA    For    13000    0    0    0
12    ELECTION OF DIRECTOR: SAM NUNN    For    13000    0    0    0
13    ELECTION OF DIRECTOR: ROGER S. PENSKE    For    13000    0    0    0
14    ELECTION OF DIRECTOR: ROBERT J. SWIERINGA    For    13000    0    0    0
15    ELECTION OF DIRECTOR: JAMES S. TISCH    For    13000    0    0    0
16    ELECTION OF DIRECTOR: DOUGLAS A. WARNER III    For    13000    0    0    0
17    RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM    For    13000    0    0    0
18    ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION    For    13000    0    0    0
19    APPROVAL OF AN AMENDMENT TO THE GE 2007 LONG-TERM INCENTIVE PLAN TO INCREASE THE NUMBER OF AUTHORIZED SHARES    For    13000    0    0    0
20    APPROVAL OF THE MATERIAL TERMS OF SENIOR OFFICER PERFORMANCE GOALS    For    13000    0    0    0
21    CUMULATIVE VOTING    Against    0    13000    0    0
22    NUCLEAR ACTIVITIES    Against    0    13000    0    0

 

 

 

Page 21 of 43

Friday, July 27, 2012

Proxy Voting Record

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
23    INDEPENDENT BOARD CHAIRMAN    Against    13000    0    0    0
24    SHAREOWNER ACTION BY WRITTEN CONSENT    Against    0    13000    0    0

 

 

 

Page 22 of 43

Friday, July 27, 2012

Proxy Voting Record

 

W.W. GRAINGER, INC.
Security:    384802104          Meeting Type:      Annual
Ticker:    GWW          Meeting Date:      25-Apr-2012
ISIN    US3848021040          Vote Deadline Date:      24-Apr-2012
Agenda    933564800    Management       Total Ballot Shares:      3730
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       BRIAN P. ANDERSON

       1600    0    0    0
  

2       WILBUR H. GANTZ

       1600    0    0    0
  

3       V. ANN HAILEY

       1600    0    0    0
  

4       WILLIAM K. HALL

       1600    0    0    0
  

5       STUART L. LEVENICK

       1600    0    0    0
  

6       JOHN W. MCCARTER, JR.

       1600    0    0    0
  

7       NEIL S. NOVICH

       1600    0    0    0
  

8       MICHAEL J. ROBERTS

       1600    0    0    0
  

9       GARY L. ROGERS

       1600    0    0    0
  

10     JAMES T. RYAN

       1600    0    0    0
  

11     E. SCOTT SANTI

       1600    0    0    0
  

12     JAMES D. SLAVIK

       1600    0    0    0
2    PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITOR FOR THE YEAR ENDING DECEMBER 31, 2012.    For    1600    0    0    0
3    SAY ON PAY: ADVISORY PROPOSAL TO APPROVE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.    For    1600    0    0    0

 

 

 

Page 23 of 43

Friday, July 27, 2012

Proxy Voting Record

 

EMC CORPORATION
Security:    268648102          Meeting Type:      Annual
Ticker:    EMC          Meeting Date:      01-May-2012
ISIN    US2686481027          Vote Deadline Date:      30-Apr-2012
Agenda    933561501    Management       Total Ballot Shares:      69131
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: MICHAEL W. BROWN    For    10000    0    0    0
2    ELECTION OF DIRECTOR: RANDOLPH L. COWEN    For    10000    0    0    0
3    ELECTION OF DIRECTOR: GAIL DEEGAN    For    10000    0    0    0
4    ELECTION OF DIRECTOR: JAMES S. DISTASIO    For    10000    0    0    0
5    ELECTION OF DIRECTOR: JOHN R. EGAN    For    10000    0    0    0
6    ELECTION OF DIRECTOR: EDMUND F. KELLY    For    10000    0    0    0
7    ELECTION OF DIRECTOR: WINDLE B. PRIEM    For    10000    0    0    0
8    ELECTION OF DIRECTOR: PAUL SAGAN    For    10000    0    0    0
9    ELECTION OF DIRECTOR: DAVID N. STROHM    For    10000    0    0    0
10    ELECTION OF DIRECTOR: JOSEPH M. TUCCI    For    10000    0    0    0
11    RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF PRICEWATERHOUSECOOPERS LLP AS EMC’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012, AS DESCRIBED IN EMC’S PROXY STATEMENT.    For    10000    0    0    0
12    ADVISORY APPROVAL OF OUR EXECUTIVE COMPENSATION, AS DESCRIBED IN EMC’S PROXY STATEMENT.    For    10000    0    0    0

 

 

 

Page 24 of 43

Friday, July 27, 2012

Proxy Voting Record

 

UNDER ARMOUR, INC.
Security:    904311107          Meeting Type:      Annual
Ticker:    UA          Meeting Date:      01-May-2012
ISIN    US9043111072          Vote Deadline Date:      30-Apr-2012
Agenda    933563911    Management       Total Ballot Shares:      17705
Last Vote Date:    03-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       KEVIN A. PLANK

       3200    0    0    0
  

2       BYRON K. ADAMS, JR.

       3200    0    0    0
  

3       DOUGLAS E. COLTHARP

       3200    0    0    0
  

4       ANTHONY W. DEERING

       3200    0    0    0
  

5       A.B. KRONGARD

       3200    0    0    0
  

6       WILLIAM R. MCDERMOTT

       3200    0    0    0
  

7       HARVEY L. SANDERS

       3200    0    0    0
  

8       THOMAS J. SIPPEL

       3200    0    0    0
2    TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF EXECUTIVES AS DISCLOSED IN THE “EXECUTIVE COMPENSATION” SECTION OF THE PROXY STATEMENT, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS AND TABLES.    For    3200    0    0    0
3    TO APPROVE AN AMENDMENT TO OUR AMENDED AND RESTATED 2005 OMNIBUS LONG-TERM INCENTIVE PLAN RELATED TO PERFORMANCE BASED EQUITY AWARDS.    For    3200    0    0    0
4    RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    For    3200    0    0    0

 

 

 

Page 25 of 43

Friday, July 27, 2012

Proxy Voting Record

 

PEPSICO, INC.
Security:    713448108          Meeting Type:      Annual
Ticker:    PEP          Meeting Date:      02-May-2012
ISIN    US7134481081          Vote Deadline Date:      01-May-2012
Agenda    933566842    Management       Total Ballot Shares:      42115
Last Vote Date:    30-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: S.L. BROWN    For    3700    0    0    0
2    ELECTION OF DIRECTOR: I.M. COOK    For    3700    0    0    0
3    ELECTION OF DIRECTOR: D. DUBLON    For    3700    0    0    0
4    ELECTION OF DIRECTOR: V.J. DZAU    For    3700    0    0    0
5    ELECTION OF DIRECTOR: R.L. HUNT    For    3700    0    0    0
6    ELECTION OF DIRECTOR: A. IBARGUEN    For    3700    0    0    0
7    ELECTION OF DIRECTOR: I.K. NOOYI    For    3700    0    0    0
8    ELECTION OF DIRECTOR: S.P. ROCKEFELLER    For    3700    0    0    0
9    ELECTION OF DIRECTOR: J.J. SCHIRO    For    3700    0    0    0
10    ELECTION OF DIRECTOR: L.G. TROTTER    For    3700    0    0    0
11    ELECTION OF DIRECTOR: D. VASELLA    For    3700    0    0    0
12    ELECTION OF DIRECTOR: A. WEISSER    For    3700    0    0    0
13    RATIFY THE APPOINTMENT KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR FISCAL YEAR 2012.    For    3700    0    0    0
14    APPROVAL, BY NON-BINDING VOTE, OF EXECUTIVE COMPENSATION.    For    3700    0    0    0
15    RE-APPROVAL OF THE PERFORMANCE MEASURES UNDER OUR 2007 LONG-TERM INCENTIVE PLAN.    For    3700    0    0    0
16    SHAREHOLDER PROPOSAL - LOBBYING PRACTICES REPORT.    Against    0    3700    0    0
17    SHAREHOLDER PROPOSAL - FORMATION OF RISK OVERSIGHT COMMITTEE.    Against    0    3700    0    0
18    SHAREHOLDER PROPOSAL - CHAIRMAN OF THE BOARD SHALL BE AN INDEPENDENT DIRECTOR.    Against    0    3700    0    0

 

 

 

Page 26 of 43

Friday, July 27, 2012

Proxy Voting Record

 

CHURCH & DWIGHT CO., INC.
Security:    171340102          Meeting Type:      Annual
Ticker:    CHD          Meeting Date:      03-May-2012
ISIN    US1713401024          Vote Deadline Date:      02-May-2012
Agenda    933570168    Management       Total Ballot Shares:      15189
Last Vote Date:    30-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: T. ROSIE ALBRIGHT    For    5600    0    0    0
2    ELECTION OF DIRECTOR: RAVICHANDRA K. SALIGRAM    For    5600    0    0    0
3    ELECTION OF DIRECTOR: ROBERT K. SHEARER    For    5600    0    0    0
4    APPROVAL OF OUR AMENDED AND RESTATED ANNUAL INCENTIVE PLAN.    For    5600    0    0    0
5    ADVISORY VOTE TO APPROVE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.    For    5600    0    0    0
6    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012.    For    5600    0    0    0

 

 

 

Page 27 of 43

Friday, July 27, 2012

Proxy Voting Record

 

VERIZON COMMUNICATIONS INC.
Security:    92343V104          Meeting Type:      Annual
Ticker:    VZ          Meeting Date:      03-May-2012
ISIN    US92343V1044          Vote Deadline Date:      02-May-2012
Agenda    933561739    Management       Total Ballot Shares:      77910
Last Vote Date:    30-Apr-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: RICHARD L. CARRION    For    7150    0    0    0
2    ELECTION OF DIRECTOR: MELANIE L. HEALEY    For    7150    0    0    0
3    ELECTION OF DIRECTOR: M. FRANCES KEETH    For    7150    0    0    0
4    ELECTION OF DIRECTOR: ROBERT W. LANE    For    7150    0    0    0
5    ELECTION OF DIRECTOR: LOWELL C. MCADAM    For    7150    0    0    0
6    ELECTION OF DIRECTOR: SANDRA O. MOOSE    For    7150    0    0    0
7    ELECTION OF DIRECTOR: JOSEPH NEUBAUER    For    7150    0    0    0
8    ELECTION OF DIRECTOR: DONALD T. NICOLAISEN    For    7150    0    0    0
9    ELECTION OF DIRECTOR: CLARENCE OTIS, JR.    For    7150    0    0    0
10    ELECTION OF DIRECTOR: HUGH B. PRICE    For    7150    0    0    0
11    ELECTION OF DIRECTOR: RODNEY E. SLATER    For    7150    0    0    0
12    RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM    For    7150    0    0    0
13    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION    For    7150    0    0    0
14    DISCLOSURE OF PRIOR GOVERNMENT SERVICE    Against    0    7150    0    0
15    DISCLOSURE OF LOBBYING ACTIVITIES    Against    0    7150    0    0
16    VESTING OF PERFORMANCE STOCK UNITS    Against    0    7150    0    0
17    SHAREHOLDER RIGHT TO CALL A SPECIAL MEETING    Against    0    7150    0    0
18    SHAREHOLDER ACTION BY WRITTEN CONSENT    Against    0    7150    0    0
19    NETWORK NEUTRALITY FOR WIRELESS BROADBAND    Against    0    7150    0    0

 

 

 

Page 28 of 43

Friday, July 27, 2012

Proxy Voting Record

 

KRAFT FOODS INC.
Security:    50075N104          Meeting Type:      Annual
Ticker:    KFT          Meeting Date:      23-May-2012
ISIN    US50075N1046          Vote Deadline Date:      22-May-2012
Agenda    933593609    Management       Total Ballot Shares:      47675
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: MYRA M. HART    For    6000    0    0    0
2    ELECTION OF DIRECTOR: PETER B. HENRY    For    6000    0    0    0
3    ELECTION OF DIRECTOR: LOIS D. JULIBER    For    6000    0    0    0
4    ELECTION OF DIRECTOR: MARK D. KETCHUM    For    6000    0    0    0
5    ELECTION OF DIRECTOR: TERRY J. LUNDGREN    For    6000    0    0    0
6    ELECTION OF DIRECTOR: MACKEY J. MCDONALD    For    6000    0    0    0
7    ELECTION OF DIRECTOR: JORGE S. MESQUITA    For    6000    0    0    0
8    ELECTION OF DIRECTOR: JOHN C. POPE    For    6000    0    0    0
9    ELECTION OF DIRECTOR: FREDRIC G. REYNOLDS    For    6000    0    0    0
10    ELECTION OF DIRECTOR: IRENE B. ROSENFELD    For    6000    0    0    0
11    ELECTION OF DIRECTOR: J.F. VAN BOXMEER    For    6000    0    0    0
12    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.    For    6000    0    0    0
13    APPROVAL OF AMENDMENT TO CHANGE COMPANY NAME.    For    6000    0    0    0
14    RATIFICATION OF THE SELECTION OF INDEPENDENT AUDITORS.    For    6000    0    0    0
15    SHAREHOLDER PROPOSAL: SUSTAINABLE FORESTRY REPORT.    Against    0    6000    0    0
16    SHAREHOLDER PROPOSAL:REPORT ON EXTENDED PRODUCER RESPONSIBILITY.    Against    0    6000    0    0
17    SHAREHOLDER PROPOSAL: REPORT ON LOBBYING.    Against    0    6000    0    0

 

 

 

Page 29 of 43

Friday, July 27, 2012

Proxy Voting Record

 

MCDONALD’S CORPORATION
Security:    580135101          Meeting Type:      Annual
Ticker:    MCD          Meeting Date:      24-May-2012
ISIN    US5801351017          Vote Deadline Date:      23-May-2012
Agenda    933595247    Management       Total Ballot Shares:      47112
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: ROBERT A. ECKERT    For    3175    0    0    0
2    ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR.    For    3175    0    0    0
3    ELECTION OF DIRECTOR: JEANNE P. JACKSON    For    3175    0    0    0
4    ELECTION OF DIRECTOR: ANDREW J. MCKENNA    For    3175    0    0    0
5    ELECTION OF DIRECTOR: DONALD THOMPSON    For    3175    0    0    0
6    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.    For    3175    0    0    0
7    APPROVAL OF THE 2012 OMNIBUS STOCK OWNERSHIP PLAN.    For    3175    0    0    0
8    APPROVAL OF DECLASSIFICATION OF THE BOARD OF DIRECTORS.    For    3175    0    0    0
9    APPROVAL OF SHAREHOLDERS’ RIGHT TO CALL SPECIAL MEETINGS.    For    3175    0    0    0
10    ADVISORY VOTE TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITOR FOR 2012.    For    3175    0    0    0
11    ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING A NUTRITION REPORT.    Against    0    3175    0    0

 

 

 

Page 30 of 43

Friday, July 27, 2012

Proxy Voting Record

 

THE GOLDMAN SACHS GROUP, INC.
Security:    38141G104          Meeting Type:      Annual
Ticker:    GS          Meeting Date:      24-May-2012
ISIN    US38141G1040          Vote Deadline Date:      23-May-2012
Agenda    933600125    Management       Total Ballot Shares:      15746
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: LLOYD C. BLANKFEIN    For    2400    0    0    0
2    ELECTION OF DIRECTOR: M. MICHELE BURNS    For    2400    0    0    0
3    ELECTION OF DIRECTOR: GARY D. COHN    For    2400    0    0    0
4    ELECTION OF DIRECTOR: CLAES DAHLBACK    For    2400    0    0    0
5    ELECTION OF DIRECTOR: STEPHEN FRIEDMAN    For    2400    0    0    0
6    ELECTION OF DIRECTOR: WILLIAM W. GEORGE    For    2400    0    0    0
7    ELECTION OF DIRECTOR: JAMES A. JOHNSON    For    2400    0    0    0
8    ELECTION OF DIRECTOR: LAKSHMI N. MITTAL    For    2400    0    0    0
9    ELECTION OF DIRECTOR: JAMES J. SCHIRO    For    2400    0    0    0
10    ELECTION OF DIRECTOR: DEBORA L. SPAR    For    2400    0    0    0
11    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION (SAY ON PAY)    For    2400    0    0    0
12    RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012    For    2400    0    0    0
13    SHAREHOLDER PROPOSAL REGARDING CUMULATIVE VOTING    Against    0    2400    0    0
14    SHAREHOLDER PROPOSAL REGARDING EXECUTIVE COMPENSATION AND LONG-TERM PERFORMANCE    Against    0    2400    0    0
15    SHAREHOLDER PROPOSAL REGARDING REPORT ON LOBBYING EXPENDITURES    Against    0    2400    0    0

 

 

 

Page 31 of 43

Friday, July 27, 2012

Proxy Voting Record

 

EXPRESS SCRIPTS HOLDING COMPANY
Security:    30219G108          Meeting Type:      Annual
Ticker:    ESRX          Meeting Date:      30-May-2012
ISIN    US30219G1085          Vote Deadline Date:      29-May-2012
Agenda    933610001    Management       Total Ballot Shares:      41985
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: GARY G. BENANAV    For    6100    0    0    0
2    ELECTION OF DIRECTOR: MAURA C. BREEN    For    6100    0    0    0
3    ELECTION OF DIRECTOR: WILLIAM J. DELANEY    For    6100    0    0    0
4    ELECTION OF DIRECTOR: NICHOLAS J. LAHOWCHIC    For    6100    0    0    0
5    ELECTION OF DIRECTOR: THOMAS P. MAC MAHON    For    6100    0    0    0
6    ELECTION OF DIRECTOR: FRANK MERGENTHALER    For    6100    0    0    0
7    ELECTION OF DIRECTOR: WOODROW A. MYERS, JR., MD    For    6100    0    0    0
8    ELECTION OF DIRECTOR: JOHN O. PARKER, JR.    For    6100    0    0    0
9    ELECTION OF DIRECTOR: GEORGE PAZ    For    6100    0    0    0
10    ELECTION OF DIRECTOR: MYRTLE S. POTTER    For    6100    0    0    0
11    ELECTION OF DIRECTOR: WILLIAM L. ROPER, MD, MPH    For    6100    0    0    0
12    ELECTION OF DIRECTOR: SAMUEL K. SKINNER    For    6100    0    0    0
13    ELECTION OF DIRECTOR: SEYMOUR STERNBERG    For    6100    0    0    0
14    TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE COMPANY’S CURRENT FISCAL YEAR.    For    6100    0    0    0
15    TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION.    For    6100    0    0    0
16    STOCKHOLDER PROPOSAL REGARDING REPORT ON POLITICAL CONTRIBUTIONS.    Against    0    6100    0    0
17    STOCKHOLDER PROPOSAL REGARDING STOCKHOLDER ACTION BY WRITTEN CONSENT.    Against    0    6100    0    0

 

 

 

Page 32 of 43

Friday, July 27, 2012

Proxy Voting Record

 

EXXON MOBIL CORPORATION
Security:    30231G102          Meeting Type:      Annual
Ticker:    XOM          Meeting Date:      30-May-2012
ISIN    US30231G1022          Vote Deadline Date:      29-May-2012
Agenda    933600086    Management       Total Ballot Shares:      88153
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       M.J. BOSKIN

       4360    0    0    0
  

2       P. BRABECK-LETMATHE

       4360    0    0    0
  

3       L.R. FAULKNER

       4360    0    0    0
  

4       J.S. FISHMAN

       4360    0    0    0
  

5       H.H. FORE

       4360    0    0    0
  

6       K.C. FRAZIER

       4360    0    0    0
  

7       W.W. GEORGE

       4360    0    0    0
  

8       S.J. PALMISANO

       4360    0    0    0
  

9       S.S REINEMUND

       4360    0    0    0
  

10     R.W. TILLERSON

       4360    0    0    0
  

11     E.E. WHITACRE, JR.

       4360    0    0    0
2    RATIFICATION OF INDEPENDENT AUDITORS (PAGE 61)    For    4360    0    0    0
3    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION (PAGE 62)    For    4360    0    0    0
4    INDEPENDENT CHAIRMAN (PAGE 64)    Against    0    4360    0    0
5    MAJORITY VOTE FOR DIRECTORS (PAGE 65)    Against    0    4360    0    0
6    REPORT ON POLITICAL CONTRIBUTIONS (PAGE 66)    Against    0    4360    0    0
7    AMENDMENT OF EEO POLICY (PAGE 67)    Against    0    4360    0    0
8    REPORT ON NATURAL GAS PRODUCTION (PAGE 69)    Against    0    4360    0    0
9    GREENHOUSE GAS EMISSIONS GOALS (PAGE 71)    Against    0    4360    0    0

 

 

 

Page 33 of 43

Friday, July 27, 2012

Proxy Voting Record

 

ROPER INDUSTRIES, INC.
Security:    776696106          Meeting Type:      Annual
Ticker:    ROP          Meeting Date:      04-Jun-2012
ISIN    US7766961061          Vote Deadline Date:      01-Jun-2012
Agenda    933623731    Management       Total Ballot Shares:      23397
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       ROBERT D. JOHNSON

       3250    0    0    0
  

2       ROBERT E. KNOWLING, JR.

       3250    0    0    0
  

3       WILBUR J. PREZZANO

       3250    0    0    0
2    TO CONSIDER, ON A NON-BINDING, ADVISORY BASIS, A RESOLUTION APPROVING THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.    For    3250    0    0    0
3    TO APPROVE AN AMENDMENT TO THE ROPER INDUSTRIES, INC. 2006 INCENTIVE PLAN TO INCREASE THE SHARES AVAILABLE AND TO RE- APPROVE THE QUALIFIED BUSINESS CRITERIA FOR PERFORMANCE-BASED AWARDS.    For    3250    0    0    0
4    TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED ACCOUNTING FIRM OF THE COMPANY.    For    3250    0    0    0

 

 

 

Page 34 of 43

Friday, July 27, 2012

Proxy Voting Record

 

COGNIZANT TECHNOLOGY SOLUTIONS CORP.
Security:    192446102          Meeting Type:      Annual
Ticker:    CTSH          Meeting Date:      05-Jun-2012
ISIN    US1924461023          Vote Deadline Date:      04-Jun-2012
Agenda    933614390    Management       Total Ballot Shares:      23654
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: FRANCISCO D’SOUZA    For    3600    0    0    0
2    ELECTION OF DIRECTOR: JOHN N. FOX, JR.    For    3600    0    0    0
3    ELECTION OF DIRECTOR: THOMAS M. WENDEL    For    3600    0    0    0
4    APPROVAL OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS, DISCLOSED PURSUANT TO ITEM 402 OF REGULATION S-K.    For    3600    0    0    0
5    TO AMEND OUR RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED AND TO AMEND AND RESTATE OUR AMENDED AND RESTATED BY-LAWS, AS AMENDED, TO PROVIDE HOLDERS OF TWENTY- FIVE PERCENT (25%) OF THE COMPANY’S OUTSTANDING SHARES OF CLASS A COMMON STOCK, PAR VALUE $0.01 PER SHARE, UPON SATISFACTION OF CERTAIN CONDITIONS, THE POWER TO CALL A SPECIAL MEETING OF STOCKHOLDERS.    For    3600    0    0    0
6    TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2012.    For    3600    0    0    0
7    TO ACT ON A STOCKHOLDER PROPOSAL TO DECLASSIFY THE COMPANY’S BOARD OF DIRECTORS AND PROVIDE FOR THE ANNUAL ELECTION OF ALL DIRECTORS.    Against    0    3600    0    0

 

 

 

Page 35 of 43

Friday, July 27, 2012

Proxy Voting Record

 

PRICELINE.COM INCORPORATED
Security:    741503403          Meeting Type:      Annual
Ticker:    PCLN          Meeting Date:      07-Jun-2012
ISIN    US7415034039          Vote Deadline Date:      06-Jun-2012
Agenda    933610847    Management       Total Ballot Shares:      2350
Last Vote Date:    30-May-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       JEFFERY H. BOYD

       500    0    0    0
  

2       RALPH M. BAHNA

       500    0    0    0
  

3       HOWARD W. BARKER, JR.

       500    0    0    0
  

4       JAN L. DOCTER

       500    0    0    0
  

5       JEFFREY E. EPSTEIN

       500    0    0    0
  

6       JAMES M. GUYETTE

       500    0    0    0
  

7       NANCY B. PERETSMAN

       500    0    0    0
  

8       CRAIG W. RYDIN

       500    0    0    0
2    TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2012.    For    500    0    0    0
3    TO APPROVE ON AN ADVISORY BASIS THE COMPENSATION PAID BY THE COMPANY TO OUR NAMED EXECUTIVE OFFICERS.    For    500    0    0    0
4    TO CONSIDER AND VOTE UPON A STOCKHOLDER PROPOSAL ON STOCKHOLDER ACTION BY WRITTEN CONSENT.    Against    0    500    0    0

 

 

 

Page 36 of 43

Friday, July 27, 2012

Proxy Voting Record

 

CATERPILLAR INC.
Security:    149123101          Meeting Type:      Annual
Ticker:    CAT          Meeting Date:      13-Jun-2012
ISIN    US1491231015          Vote Deadline Date:      12-Jun-2012
Agenda    933623933    Management       Total Ballot Shares:      40437
Last Vote Date:    04-Jun-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1   

DIRECTOR

    For            
  

1       DAVID L. CALHOUN

       4575    0    0    0
  

2       DANIEL M. DICKINSON

       4575    0    0    0
  

3       EUGENE V. FIFE

       4575    0    0    0
  

4       JUAN GALLARDO

       4575    0    0    0
  

5       DAVID R. GOODE

       4575    0    0    0
  

6       JESSE J. GREENE, JR.

       4575    0    0    0
  

7       JON M. HUNTSMAN, JR.

       4575    0    0    0
  

8       PETER A. MAGOWAN

       4575    0    0    0
  

9       DENNIS A. MUILENBURG

       4575    0    0    0
  

10     DOUGLAS R. OBERHELMAN

       4575    0    0    0
  

11     WILLIAM A. OSBORN

       4575    0    0    0
  

12     CHARLES D. POWELL

       4575    0    0    0
  

13     EDWARD B. RUST, JR.

       4575    0    0    0
  

14     SUSAN C. SCHWAB

       4575    0    0    0
  

15     JOSHUA I. SMITH

       4575    0    0    0
  

16     MILES D. WHITE

       4575    0    0    0
2    RATIFY THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012    For    4575    0    0    0
3    ADVISORY VOTE ON EXECUTIVE COMPENSATION.    For    4575    0    0    0
4    AMEND RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO PROVIDE STOCKHOLDERS THE RIGHT TO CALL SPECIAL MEETINGS.    For    4575    0    0    0
5    AMEND BYLAW ADVANCE NOTICE PROVISIONS.    For    4575    0    0    0
6    STOCKHOLDER PROPOSAL - REPORT ON POLITICAL CONTRIBUTIONS AND EXPENSES.    Against    0    4575    0    0

 

 

 

Page 37 of 43

Friday, July 27, 2012

Proxy Voting Record

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
7    STOCKHOLDER PROPOSAL - DIRECTOR ELECTION MAJORITY VOTE STANDARD.    Against    0    4575    0    0
8    STOCKHOLDER PROPOSAL - REVIEW GLOBAL CORPORATE STANDARDS.    Against    0    4575    0    0
9    STOCKHOLDER PROPOSAL - STOCKHOLDER ACTION BY WRITTEN CONSENT.    Against    0    4575    0    0

 

 

 

Page 38 of 43

Friday, July 27, 2012

Proxy Voting Record

 

THE TJX COMPANIES, INC.
Security:    872540109          Meeting Type:      Annual
Ticker:    TJX          Meeting Date:      13-Jun-2012
ISIN    US8725401090          Vote Deadline Date:      12-Jun-2012
Agenda    933628995    Management       Total Ballot Shares:      98083
Last Vote Date:    04-Jun-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: ZEIN ABDALLA    For    8750    0    0    0
2    ELECTION OF DIRECTOR: JOSE B. ALVAREZ    For    8750    0    0    0
3    ELECTION OF DIRECTOR: ALAN M. BENNETT    For    8750    0    0    0
4    ELECTION OF DIRECTOR: BERNARD CAMMARATA    For    8750    0    0    0
5    ELECTION OF DIRECTOR: DAVID T. CHING    For    8750    0    0    0
6    ELECTION OF DIRECTOR: MICHAEL F. HINES    For    8750    0    0    0
7    ELECTION OF DIRECTOR: AMY B. LANE    For    8750    0    0    0
8    ELECTION OF DIRECTOR: CAROL MEYROWITZ    For    8750    0    0    0
9    ELECTION OF DIRECTOR: JOHN F. O’BRIEN    For    8750    0    0    0
10    ELECTION OF DIRECTOR: WILLOW B. SHIRE    For    8750    0    0    0
11    RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    For    8750    0    0    0
12    APPROVAL OF MATERIAL TERMS OF EXECUTIVE OFFICER PERFORMANCE GOALS UNDER CASH INCENTIVE PLANS.    For    8750    0    0    0
13    ADVISORY APPROVAL OF TJX’S EXECUTIVE COMPENSATION.    For    8750    0    0    0

 

 

 

Page 39 of 43

Friday, July 27, 2012

Proxy Voting Record

 

CONTINENTAL RESOURCES, INC.
Security:    212015101          Meeting Type:      Annual
Ticker:    CLR          Meeting Date:      14-Jun-2012
ISIN    US2120151012          Vote Deadline Date:      13-Jun-2012
Agenda    933626749    Management       Total Ballot Shares:      6645
Last Vote Date:    04-Jun-2012              

 

Item

   

Proposal

    Recommendation    For    Against    Abstain    Take No Action

1

    DIRECTOR    For            
  

1       LON MCCAIN

       3200    0    0    0
  

2       MARK E. MONROE

       3200    0    0    0
  

3       EDWARD T. SCHAFER

       3200    0    0    0

2

    RATIFICATION OF GRANT THORNTON LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    For    3200    0    0    0

 

 

 

Page 40 of 43

Friday, July 27, 2012

Proxy Voting Record

 

AMERICAN TOWER CORPORATION
Security:    03027X100          Meeting Type:      Annual
Ticker:    AMT          Meeting Date:      19-Jun-2012
ISIN    US03027X1000          Vote Deadline Date:      18-Jun-2012
Agenda    933622246    Management       Total Ballot Shares:      37625
Last Vote Date:    04-Jun-2012              

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
1    ELECTION OF DIRECTOR: RAYMOND P. DOLAN    For    4750    0    0    0
2    ELECTION OF DIRECTOR: RONALD M. DYKES    For    4750    0    0    0
3    ELECTION OF DIRECTOR: CAROLYN F. KATZ    For    4750    0    0    0
4    ELECTION OF DIRECTOR: GUSTAVO LARA CANTU    For    4750    0    0    0
5    ELECTION OF DIRECTOR: JOANN A. REED    For    4750    0    0    0
6    ELECTION OF DIRECTOR: PAMELA D.A. REEVE    For    4750    0    0    0
7    ELECTION OF DIRECTOR: DAVID E. SHARBUTT    For    4750    0    0    0
8    ELECTION OF DIRECTOR: JAMES D. TAICLET, JR.    For    4750    0    0    0
9    ELECTION OF DIRECTOR: SAMME L. THOMPSON    For    4750    0    0    0
10    TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012.    For    4750    0    0    0
11    TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION.    For    4750    0    0    0
12    TO REQUIRE EXECUTIVES TO RETAIN A SIGNIFICANT PERCENTAGE OF STOCK ACQUIRED THROUGH EQUITY PAY PROGRAMS UNTIL ONE YEAR FOLLOWING TERMINATION OF THEIR EMPLOYMENT.    Against    0    4750    0    0

 

 

 

Page 41 of 43

Friday, July 27, 2012

Proxy Voting Record

 

GOOGLE INC.
Security:    38259P508          Meeting Type:      Annual
Ticker:    GOOG          Meeting Date:      21-Jun-2012
ISIN    US38259P5089          Vote Deadline Date:      20-Jun-2012
Agenda    933632968    Management       Total Ballot Shares:      2185
Last Vote Date:    04-Jun-2012              

 

Item

   

Proposal

    Recommendation    For    Against    Abstain    Take No Action
1    DIRECTOR    For            
  

1       LARRY PAGE

       550    0    0    0
  

2       SERGEY BRIN

       550    0    0    0
  

3       ERIC E. SCHMIDT

       550    0    0    0
  

4       L. JOHN DOERR

       550    0    0    0
  

5       DIANE B. GREENE

       550    0    0    0
  

6       JOHN L. HENNESSY

       550    0    0    0
  

7       ANN MATHER

       550    0    0    0
  

8       PAUL S. OTELLINI

       550    0    0    0
  

9       K. RAM SHRIRAM

       550    0    0    0
  

10     SHIRLEY M. TILGHMAN

       550    0    0    0
2    THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS GOOGLE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.    For    550    0    0    0
3    THE APPROVAL OF THE ADOPTION OF GOOGLE’S FOURTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION: THE APPROVAL OF THE ADOPTION OF AMENDMENTS TO GOOGLE’S THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ESTABLISH THE CLASS C CAPITAL STOCK AND TO MAKE CERTAIN CLARIFYING CHANGES.    For    550    0    0    0
4    THE APPROVAL OF THE ADOPTION OF GOOGLE’S FOURTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION: THE APPROVAL OF THE ADOPTION OF AMENDMENTS TO GOOGLE’S THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CLASS A COMMON STOCK FROM 6 BILLION TO 9 BILLION.    For    550    0    0    0

 

 

 

Page 42 of 43

Friday, July 27, 2012

Proxy Voting Record

 

Item

   

Proposal

   

Recommendation

    For    Against    Abstain    Take No Action
5    THE APPROVAL OF THE ADOPTION OF GOOGLE’S FOURTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION: THE APPROVAL OF THE ADOPTION OF AMENDMENTS TO GOOGLE’S THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO PROVIDE FOR THE TREATMENT OF SHARES OF CLASS A COMMON STOCK IN A MANNER THAT IS AT LEAST AS FAVORABLE AS THE SHARES OF CLASS B COMMON STOCK.    For    550    0    0    0
6    THE APPROVAL OF GOOGLE’S 2012 STOCK PLAN.    For    550    0    0    0
7    THE APPROVAL OF GOOGLE’S 2012 INCENTIVE COMPENSATION PLAN FOR EMPLOYEES AND CONSULTANTS OF MOTOROLA MOBILITY.    For    550    0    0    0
8    A STOCKHOLDER PROPOSAL REGARDING AN ADVISORY VOTE ON POLITICAL CONTRIBUTIONS, IF PROPERLY PRESENTED AT THE MEETING.    Against    0    550    0    0
9    A STOCKHOLDER PROPOSAL REGARDING MANDATORY ARBITRATION OF CERTAIN SHAREHOLDER CLAIMS, IF PROPERLY PRESENTED AT THE MEETING.    Against    0    550    0    0
10    A STOCKHOLDER PROPOSAL REGARDING EQUAL SHAREHOLDER VOTING, IF PROPERLY PRESENTED AT THE MEETING.    Against    0    550    0    0

 

 

 

Page 43 of 43

Friday, July 27, 2012

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.

The Appleton Funds

 

By:   /s/ James I. Ladge
  James I. Ladge
  President

Date: August 17, 2012