-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WhOS5n7V/eVq32e/9OWKUL/9LAxSbwKd9upG8k/PJaX4XXyfg7vdm+Z/cjSmHzww Ok6IwSFctlYWcni4ttn1JQ== 0000318192-07-000023.txt : 20070828 0000318192-07-000023.hdr.sgml : 20070828 20070828113619 ACCESSION NUMBER: 0000318192-07-000023 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070828 DATE AS OF CHANGE: 20070828 EFFECTIVENESS DATE: 20070828 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST INVESTORS GROWTH FUND INC CENTRAL INDEX KEY: 0000318192 IRS NUMBER: 042708574 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-03074 FILM NUMBER: 071082661 BUSINESS ADDRESS: STREET 1: 150 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6175233588 MAIL ADDRESS: STREET 1: 150 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: NORTHEAST FUND INC DATE OF NAME CHANGE: 19801001 0000318192 S000011441 NORTHEAST INVESTORS GROWTH FUND INC C000031646 NORTHEAST INVESTORS GROWTH FUND INC NTHFX N-PX 1 neig06302007.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-3074 Northeast Investors Growth Fund (exact name of registrant as specified in charter) 150 Federal Street, Room 1000 Boston, MA 02110 David Randall 150 Federal St, Room 1000 Boston, MA 02110 (name and address of agent for service) Registrant's telephone number, including area code: 617-523-3588 Date of fiscal year end: December 31 Date of reporting period ending: June 30, 2007 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 records for the most recent twelve-month period 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. Investment Company Report FEDEX CORPORATION SECURITY 31428X106 MEETING TYPE Annual TICKER SYMBOL FDX MEETING DATE 25-Sep-2006 ISIN AGENDA 932575105 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JAMES L. BARKSDALE For For 2 AUGUST A. BUSCH IV For For 3 JOHN A. EDWARDSON For For 4 JUDITH L. ESTRIN For For 5 J. KENNETH GLASS For For 6 PHILIP GREER For For 7 J.R. HYDE, III For For 8 SHIRLEY A. JACKSON For For 9 STEVEN R. LORANGER For For 10 CHARLES T. MANATT For For 11 FREDERICK W. SMITH For For 12 JOSHUA I. SMITH For For 13 PAUL S. WALSH For For 14 PETER S. WILLMOTT For For 02 APPROVAL OF AMENDMENTS TO CERTIFICATE OF Management For For INCORPORATION AND BYLAWS TO ELIMINATE SUPERMAJORITY VOTING REQUIREMENTS. 03 RATIFICATION OF INDEPENDENT REGISTERED PUBLIC Management For For ACCOUNTING FIRM. 04 STOCKHOLDER PROPOSAL REGARDING GLOBAL WARMING Shareholder Against For REPORT. 05 STOCKHOLDER PROPOSAL REGARDING MAJORITY VOTING Shareholder For Against FOR DIRECTOR ELECTIONS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 17600 0 30-Aug-2006 30-Aug-2006
Page 1 of 59 Wednesday, July 18, 2007 Investment Company Report THE PROCTER & GAMBLE COMPANY SECURITY 742718109 MEETING TYPE Annual TICKER SYMBOL PG MEETING DATE 10-Oct-2006 ISIN AGENDA 932579103 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 NORMAN R. AUGUSTINE For For 2 A.G. LAFLEY For For 3 JOHNATHAN A. RODGERS For For 4 JOHN F. SMITH, JR. For For 5 MARGARET C. WHITMAN For For 02 APPROVE AMENDMENT TO THE CODE OF REGULATIONS Management For For TO DECREASE THE AUTHORIZED NUMBER OF DIRECTORS ON THE BOARD 03 RATIFY APPOINTMENT OF THE INDEPENDENT REGISTERED Management For For PUBLIC ACCOUNTING FIRM 04 REAPPROVE AND AMEND THE MATERIAL TERMS OF THE Management Against Against PERFORMANCE CRITERIA UNDER THE PROCTER & GAMBLE 2001 STOCK AND INCENTIVE COMPENSATION PLAN 05 SHAREHOLDER PROPOSAL - AWARD NO FUTURE STOCK Shareholder For Against OPTIONS
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 58800 0 12-Sep-2006 12-Sep-2006
Page 2 of 59 Wednesday, July 18, 2007 Investment Company Report ARCHER-DANIELS-MIDLAND COMPANY SECURITY 039483102 MEETING TYPE Annual TICKER SYMBOL ADM MEETING DATE 02-Nov-2006 ISIN AGENDA 932587819 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 G.A. ANDREAS For For 2 A.L. BOECKMANN For For 3 M.H. CARTER For For 4 R.S. JOSLIN For For 5 A. MACIEL For For 6 P.J. MOORE For For 7 M.B. MULRONEY For For 8 T.F. O'NEILL For For 9 O.G. WEBB For For 10 K.R. WESTBROOK For For 11 P.A. WOERTZ For For 02 ADOPT STOCKHOLDER'S PROPOSAL NO. 1 (LABELING Shareholder Against For GENETICALLY ENGINEERED FOOD.) 03 ADOPT STOCKHOLDER'S PROPOSAL NO. 2 (CODE OF Shareholder Against For CONDUCT REGARDING GLOBAL HUMAN RIGHTS STANDARDS.)
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 45100 0 12-Oct-2006 12-Oct-2006
Page 3 of 59 Wednesday, July 18, 2007 Investment Company Report UNITED NATURAL FOODS, INC. SECURITY 911163103 MEETING TYPE Annual TICKER SYMBOL UNFI MEETING DATE 07-Dec-2006 ISIN AGENDA 932603776 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 RICHARD ANTONELLI For For 2 JOSEPH M. CIANCIOLO For For 02 TO RATIFY THE SELECTION OF KPMG LLP AS THE Management For For CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 31663 0 28-Nov-2006 28-Nov-2006
Page 4 of 59 Wednesday, July 18, 2007 Investment Company Report EMERSON ELECTRIC CO. SECURITY 291011104 MEETING TYPE Annual TICKER SYMBOL EMR MEETING DATE 06-Feb-2007 ISIN AGENDA 932615959 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 C. FERNANDEZ G For For 2 W. J. GALVIN For For 3 R. L. RIDGWAY For For 4 R. L. STEPHENSON For For 02 RATIFICATION OF KPMG LLP AS INDEPENDENT Management For For REGISTERED PUBLIC ACCOUNTING FIRM
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 27800 0 27-Dec-2006 27-Dec-2006
Page 5 of 59 Wednesday, July 18, 2007 Investment Company Report HOLOGIC, INC. SECURITY 436440101 MEETING TYPE Annual TICKER SYMBOL HOLX MEETING DATE 06-Mar-2007 ISIN AGENDA 932626887 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JOHN W. CUMMING For For 2 LAURIE L. FAJARDO For For 3 IRWIN JACOBS For For 4 DAVID R. LAVANCE, JR. For For 5 NANCY L. LEAMING For For 6 ARTHUR G. LERNER For For 7 LAWRENCE M. LEVY For For 8 GLENN P. MUIR For For 9 JAY A. STEIN For For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 30890 0 06-Feb-2007 06-Feb-2007
Page 6 of 59 Wednesday, July 18, 2007 Investment Company Report THE WALT DISNEY COMPANY SECURITY 254687106 MEETING TYPE Annual TICKER SYMBOL DIS MEETING DATE 08-Mar-2007 ISIN AGENDA 932624910 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JOHN E. BRYSON For For 2 JOHN S. CHEN For For 3 JUDITH L. ESTRIN For For 4 ROBERT A. IGER For For 5 STEVEN P. JOBS For For 6 FRED H. LANGHAMMER For For 7 AYLWIN B. LEWIS For For 8 MONICA C. LOZANO For For 9 ROBERT W. MATSCHULLAT For For 10 JOHN E. PEPPER, JR. For For 11 ORIN C. SMITH For For 02 TO RATIFY THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S REGISTERED PUBLIC ACCOUNTANTS FOR 2007. 03 TO APPROVE THE AMENDMENTS TO THE AMENDED AND Management Against Against RESTATED 2005 STOCK INCENTIVE PLAN. 04 TO APPROVE THE TERMS OF THE AMENDED AND Management Against Against RESTATED 2002 EXECUTIVE PERFORMANCE PLAN. 05 TO APPROVE THE SHAREHOLDER PROPOSAL RELATING TO Shareholder Against For GREENMAIL. 06 TO APPROVE THE SHAREHOLDER PROPOSAL TO AMEND Shareholder For Against THE BYLAWS RELATING TO STOCKHOLDER RIGHTS PLANS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 72300 0 05-Feb-2007 05-Feb-2007
Page 7 of 59 Wednesday, July 18, 2007 Investment Company Report CVS/CAREMARK CORPORATION SECURITY 126650100 MEETING TYPE Special TICKER SYMBOL CVS MEETING DATE 15-Mar-2007 ISIN AGENDA 932625784 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 APPROVAL OF THE PROPOSAL TO AMEND CVS' AMENDED Management For For AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE AUTHORIZED NUMBER OF SHARES OF CVS COMMON STOCK FROM 1 BILLION TO 3.2 BILLION AND TO CHANGE THE NAME OF CVS CORPORATION TO "CVS/CAREMARK CORPORATION", AS DESCRIBED IN THE ACCOMPANYING JOINT PROXY STATEMENT/PROSPECTUS. 02 APPROVAL OF PROPOSAL TO ISSUE STOCK PURSUANT TO Management For For THE MERGER AGREEMENT, AS THE SAME MAY BE AMENDED FROM TIME TO TIME, IN CONNECTION WITH THE PROPOSED MERGER OF CAREMARK RX, INC. WITH TWAIN MERGERSUB L.L.C., A WHOLLY OWNED SUBSIDIARY OF CVS CORPORATION, AS DESCRIBED IN THE ACCOMPANYING JOINT PROXY STATEMENT/PROSPECTUS. 03 APPROVAL OF ANY PROPOSAL TO ADJOURN OR POSTPONE THE Management For For SPECIAL MEETING, INCLUDING IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE FOREGOING PROPOSALS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 87430 0 05-Feb-2007 05-Feb-2007
Page 8 of 59 Wednesday, July 18, 2007 Investment Company Report STARBUCKS CORPORATION SECURITY 855244109 MEETING TYPE Annual TICKER SYMBOL SBUX MEETING DATE 21-Mar-2007 ISIN AGENDA 932625619 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 HOWARD SCHULTZ For For 2 BARBARA BASS For For 3 HOWARD P. BEHAR For For 4 WILLIAM W. BRADLEY For For 5 JAMES L. DONALD For For 6 MELLODY HOBSON For For 7 OLDEN LEE For For 8 JAMES G. SHENNAN, JR. For For 9 JAVIER G. TERUEL For For 10 MYRON E. ULLMAN, III For For 11 CRAIG E. WEATHERUP For For 02 COMPANY PROPOSAL TO APPROVE THE MATERIAL TERMS OF THE Management Against Against COMPANY'S EXECUTIVE MANAGEMENT BONUS PLAN. 03 COMPANY PROPOSAL TO RATIFY THE SELECTION OF DELOITTE Management For For AND TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 79600 0 12-Feb-2007 12-Feb-2007
Page 9 of 59 Wednesday, July 18, 2007 Investment Company Report ADOBE SYSTEMS INCORPORATED SECURITY 00724F101 MEETING TYPE Annual TICKER SYMBOL ADBE MEETING DATE 05-Apr-2007 ISIN AGENDA 932635925 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 ROBERT K. BURGESS For For 2 CAROL MILLS For For 3 COLLEEN M. POULIOT For For 4 ROBERT SEDGEWICK For For 5 JOHN E. WARNOCK For For 02 APPROVAL OF THE AMENDMENT AND RESTATEMENT OF THE Management Against Against ADOBE SYSTEMS INCORPORATED 2003 EQUITY INCENTIVE PLAN. 03 STOCKHOLDER PROPOSAL. Shareholder For Against 04 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE Management For For COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 40300 0 12-Mar-2007 12-Mar-2007
Page 10 of 59 Wednesday, July 18, 2007 Investment Company Report THE GOLDMAN SACHS GROUP, INC. SECURITY 38141G104 MEETING TYPE Annual TICKER SYMBOL GS MEETING DATE 11-Apr-2007 ISIN AGENDA 932632917 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: LLOYD C. BLANKFEIN Management For 1B ELECTION OF DIRECTOR: LORD BROWNE OF MADINGLEY Management For 1C ELECTION OF DIRECTOR: JOHN H. BRYAN Management Against 1D ELECTION OF DIRECTOR: GARY D. COHN Management For 1E ELECTION OF DIRECTOR: CLAES DAHLBACK Management For 1F ELECTION OF DIRECTOR: STEPHEN FRIEDMAN Management For 1G ELECTION OF DIRECTOR: WILLIAM W. GEORGE Management For 1H ELECTION OF DIRECTOR: RAJAT K. GUPTA Management For 1I ELECTION OF DIRECTOR: JAMES A. JOHNSON Management For 1J ELECTION OF DIRECTOR: LOIS D. JULIBER Management For 1K ELECTION OF DIRECTOR: EDWARD M. LIDDY Management For 1L ELECTION OF DIRECTOR: RUTH J. SIMMONS Management For 1M ELECTION OF DIRECTOR: JON WINKELRIED Management For 02 RATIFICATION OF THE APPOINTMENT OF Management For PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITORS FOR OUR 2007 FISCAL YEAR 03 SHAREHOLDER PROPOSAL REGARDING A CHARITABLE Shareholder Against CONTRIBUTIONS REPORT 04 SHAREHOLDER PROPOSAL REGARDING A SUSTAINABILITY Shareholder Against REPORT 05 SHAREHOLDER PROPOSAL REGARDING STOCK OPTIONS Shareholder For Against
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 20800 0 26-Mar-2007 26-Mar-2007
Page 11 of 59 Wednesday, July 18, 2007 Investment Company Report UNITED TECHNOLOGIES CORPORATION SECURITY 913017109 MEETING TYPE Annual TICKER SYMBOL UTX MEETING DATE 11-Apr-2007 ISIN AGENDA 932634377 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 LOUIS R. CHENEVERT For For 2 GEORGE DAVID For For 3 JOHN V. FARACI For For 4 JEAN-PIERRE GARNIER For For 5 JAMIE S. GORELICK For For 6 CHARLES R. LEE For For 7 RICHARD D. MCCORMICK For For 8 HAROLD MCGRAW III For For 9 RICHARD B. MYERS For For 10 FRANK P. POPOFF For For 11 H. PATRICK SWYGERT For For 12 ANDRE VILLENEUVE For For 13 H.A. WAGNER For For 14 CHRISTINE TODD WHITMAN For For 02 APPOINTMENT OF INDEPENDENT AUDITORS FOR 2007 Management For For 03 SHAREOWNER PROPOSAL: DIRECTOR TERM LIMITS Shareholder For Against 04 SHAREOWNER PROPOSAL: FOREIGN MILITARY SALES Shareholder Against For 05 SHAREOWNER PROPOSAL: POLITICAL CONTRIBUTIONS Shareholder Against For 06 SHAREOWNER PROPOSAL: ADVISORY RESOLUTION TO Shareholder For Against RATIFY EXECUTIVE COMPENSATION 07 SHAREOWNER PROPOSAL: PAY-FOR-SUPERIOR- Shareholder For Against PERFORMANCE
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 34900 0 05-Mar-2007 05-Mar-2007
Page 12 of 59 Wednesday, July 18, 2007 Investment Company Report SCHLUMBERGER LIMITED (SCHLUMBERGER N SECURITY 806857108 MEETING TYPE Annual TICKER SYMBOL SLB MEETING DATE 11-Apr-2007 ISIN AGENDA 932636484 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 P. CAMUS For For 2 J.S. GORELICK For For 3 A. GOULD For For 4 T. ISAAC For For 5 N. KUDRYAVTSEV For For 6 A. LAJOUS For For 7 M.E. MARKS For For 8 D. PRIMAT For For 9 L.R. REIF For For 10 T.I. SANDVOLD For For 11 N. SEYDOUX For For 12 L.G. STUNTZ For For 13 R. TALWAR For For 02 ADOPTION AND APPROVAL OF FINANCIALS AND Management For For DIVIDENDS. 03 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For ACCOUNTING FIRM.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 35000 0 12-Mar-2007 12-Mar-2007
Page 13 of 59 Wednesday, July 18, 2007 Investment Company Report T. ROWE PRICE GROUP, INC. SECURITY 74144T108 MEETING TYPE Annual TICKER SYMBOL TROW MEETING DATE 12-Apr-2007 ISIN AGENDA 932635521 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 EDWARD C. BERNARD For For 2 JAMES T. BRADY For For 3 J. ALFRED BROADDUS, JR. For For 4 DONALD B. HEBB, JR. For For 5 JAMES A.C. KENNEDY For For 6 BRIAN C. ROGERS For For 7 DR. ALFRED SOMMER For For 8 DWIGHT S. TAYLOR For For 9 ANNE MARIE WHITTEMORE For For 02 APPROVAL OF THE 2007 NON-EMPLOYEE DIRECTOR Management Against Against EQUITY PLAN. 03 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For PRICE GROUP'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2007. 04 IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO Management For For VOTE UPON SUCH OTHER BUSINESS AND FURTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENTS AND POSTPONEMENTS THEREOF.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 71000 0 15-Mar-2007 15-Mar-2007
Page 14 of 59 Wednesday, July 18, 2007 Investment Company Report BP P.L.C. SECURITY 055622104 MEETING TYPE Annual TICKER SYMBOL BP MEETING DATE 12-Apr-2007 ISIN AGENDA 932640837 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 TO RECEIVE THE DIRECTORS' ANNUAL REPORT AND Management For For ACCOUNTS 02 TO APPROVE THE DIRECTORS' REMUNERATION REPORT Management For For 03 DIRECTOR Management 1 DR D C ALLEN For For 2 LORD BROWNE For For 3 MR A BURGMANS For For 4 SIR WILLIAM CASTELL For For 5 MR I C CONN For For 6 MR E B DAVIS, JR For For 7 MR D J FLINT For For 8 DR B E GROTE For For 9 DR A B HAYWARD For For 10 MR A G INGLIS For For 11 DR D S JULIUS For For 12 SIR TOM MCKILLOP For For 13 MR J A MANZONI For For 14 DR W E MASSEY For For 15 SIR IAN PROSSER For For 16 MR P D SUTHERLAND For For 19 TO RE-APPOINT ERNST & YOUNG LLP AS AUDITORS AND Management For For AUTHORIZE THE BOARD TO SET THEIR REMUNERATION 20 TO GIVE LIMITED AUTHORITY TO MAKE POLITICAL Management Against Against DONATIONS AND INCUR POLITICAL EXPENDITURE 21 TO AUTHORIZE THE USE OF ELECTRONIC Management For For COMMUNICATIONS S22 SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY FOR Management For For THE PURCHASE OF ITS OWN SHARES BY THE COMPANY 23 TO GIVE AUTHORITY TO ALLOT SHARES UP TO A Management Against Against SPECIFIED AMOUNT S24 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT A Management Against Against LIMITED NUMBER OF SHARES FOR CASH FREE OF PRE- EMPTION RIGHTS
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 17500 0 27-Mar-2007 27-Mar-2007
Page 15 of 59 Wednesday, July 18, 2007 Investment Company Report CITIGROUP INC. SECURITY 172967101 MEETING TYPE Annual TICKER SYMBOL C MEETING DATE 17-Apr-2007 ISIN AGENDA 932641562 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: C. MICHAEL ARMSTRONG. Management For For 1B ELECTION OF DIRECTOR: ALAIN J.P. BELDA. Management For For 1C ELECTION OF DIRECTOR: GEORGE DAVID. Management For For 1D ELECTION OF DIRECTOR: KENNETH T. DERR. Management For For 1E ELECTION OF DIRECTOR: JOHN M. DEUTCH. Management For For 1F ELECTION OF DIRECTOR: ROBERTO HERNANDEZ RAMIREZ. Management For For 1G ELECTION OF DIRECTOR: KLAUS KLEINFELD. Management For For 1H ELECTION OF DIRECTOR: ANDREW N. LIVERIS. Management For For 1I ELECTION OF DIRECTOR: ANNE MULCAHY. Management For For 1J ELECTION OF DIRECTOR: RICHARD D. PARSONS. Management For For 1K ELECTION OF DIRECTOR: CHARLES PRINCE. Management For For 1L ELECTION OF DIRECTOR: JUDITH RODIN. Management For For 1M ELECTION OF DIRECTOR: ROBERT E. RUBIN. Management For For 1N ELECTION OF DIRECTOR: FRANKLIN A. THOMAS. Management For For 02 PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS Management Against Against CITIGROUP'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2007. 03 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Against For PRIOR GOVERNMENTAL SERVICE OF CERTAIN INDIVIDUALS. 04 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Against For POLITICAL CONTRIBUTIONS. 05 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Against For CHARITABLE CONTRIBUTIONS. 06 SHAREOWNER PROPOSAL REQUESTING AN ADVISORY Shareholder Against For RESOLUTION TO RATIFY EXECUTIVE COMPENSATION. 07 STOCKHOLDER PROPOSAL REQUESTING THAT CEO Shareholder Against For COMPENSATION BE LIMITED TO NO MORE THAN 100 TIMES THE AVERAGE COMPENSATION PAID TO WORLDWIDE EMPLOYEES. 08 STOCKHOLDER PROPOSAL REQUESTING THAT THE Shareholder Against For CHAIRMAN OF THE BOARD HAVE NO MANAGEMENT DUTIES, TITLES OR RESPONSIBILITIES. 09 STOCKHOLDER PROPOSAL REQUESTING THAT STOCK Shareholder Against For OPTIONS BE SUBJECT TO A FIVE-YEAR SALES RESTRICTION. 10 STOCKHOLDER PROPOSAL REQUESTING CUMULATIVE Shareholder For Against VOTING. 11 STOCKHOLDER PROPOSAL REQUESTING THAT Shareholder For Against STOCKHOLDERS HAVE THE RIGHT TO CALL SPECIAL SHAREHOLDER MEETINGS.
Page 16 of 59 Wednesday, July 18, 2007 Investment Company Report
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 49950 0 21-Mar-2007 21-Mar-2007
Page 17 of 59 Wednesday, July 18, 2007 Investment Company Report STATE STREET CORPORATION SECURITY 857477103 MEETING TYPE Annual TICKER SYMBOL STT MEETING DATE 18-Apr-2007 ISIN AGENDA 932647083 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 T. ALBRIGHT For For 2 K. BURNES For For 3 P. COYM For For 4 N. DAREHSHORI For For 5 A. FAWCETT For For 6 A. GOLDSTEIN For For 7 D. GRUBER For For 8 L. HILL For For 9 C. LAMANTIA For For 10 R. LOGUE For For 11 M. MISKOVIC For For 12 R. SERGEL For For 13 R. SKATES For For 14 G. SUMME For For 15 D. WALSH For For 16 R. WEISSMAN For For 02 TO INCREASE STATE STREET'S AUTHORIZED SHARES OF Management For For COMMON STOCK FROM 500,000,000 TO 750,000,000. 03 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 43500 0 29-Mar-2007 29-Mar-2007
Page 18 of 59 Wednesday, July 18, 2007 Investment Company Report UBS AG SECURITY H89231338 MEETING TYPE Annual TICKER SYMBOL UBS MEETING DATE 18-Apr-2007 ISIN AGENDA 932658529 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 ANNUAL REPORT, GROUP AND PARENT COMPANY Management For For ACCOUNTS FOR FINANCIAL YEAR 2006, REPORTS OF THE GROUP AND STATUTORY AUDITORS 02 APPROPRIATION OF RETAINED EARNINGS DIVIDEND FOR Management For For FINANCIAL YEAR 2006 03 DISCHARGE OF THE MEMBERS OF THE BOARD OF Management For For DIRECTORS AND THE GROUP EXECUTIVE BOARD 4A1 RE-ELECTION OF BOARD MEMBER: STEPHAN HAERINGER Management For For 4A2 RE-ELECTION OF BOARD MEMBER: HELMUT PANKE Management For For 4A3 RE-ELECTION OF BOARD MEMBER: PETER SPUHLER Management For For 4B1 ELECTION OF NEW BOARD MEMBER: SERGIO MARCHIONNE Management For For 4C ELECTION OF THE GROUP AND STATUTORY AUDITORS Management For For 5A CAPITAL REDUCTION: CANCELLATION OF SHARES Management For For REPURCHASED UNDER THE 2006/2007 SHARE BUYBACK PROGRAM AND RESPECTIVE AMENDMENT OF ARTICLE 4 PARA 1 OF THE ARTICLES OF ASSOCIATION 5B CAPITAL REDUCTION: APPROVAL OF A NEW SHARE Management For For BUYBACK PROGRAM FOR 2007-2010 06 IN CASE OF AD-HOC SHAREHOLDERS' MOTIONS DURING Management For For THE ANNUAL GENERAL MEETING, I/WE AUTHORIZE MY/OUR PROXY TO ACT IN ACCORDANCE WITH THE BOARD OF DIRECTORS
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 55500 0 04-Apr-2007 04-Apr-2007
Page 19 of 59 Wednesday, July 18, 2007 Investment Company Report GENENTECH, INC. SECURITY 368710406 MEETING TYPE Annual TICKER SYMBOL DNA MEETING DATE 20-Apr-2007 ISIN AGENDA 932642603 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 HERBERT W. BOYER For For 2 WILLIAM M. BURNS For For 3 ERICH HUNZIKER For For 4 JONATHAN K.C. KNOWLES For For 5 ARTHUR D. LEVINSON For For 6 DEBRA L. REED For For 7 CHARLES A. SANDERS For For 02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF GENENTECH FOR THE YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 41900 0 28-Mar-2007 28-Mar-2007
Page 20 of 59 Wednesday, July 18, 2007 Investment Company Report AMERICAN EXPRESS COMPANY SECURITY 025816109 MEETING TYPE Annual TICKER SYMBOL AXP MEETING DATE 23-Apr-2007 ISIN AGENDA 932643629 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 D.F. AKERSON For For 2 C. BARSHEFSKY For For 3 U.M. BURNS For For 4 K.I. CHENAULT For For 5 P. CHERNIN For For 6 V.E. JORDAN, JR. For For 7 J. LESCHLY For For 8 R.C. LEVIN For For 9 R.A. MCGINN For For 10 E.D. MILLER For For 11 F.P. POPOFF For For 12 S.S. REINEMUND For For 13 R.D. WALTER For For 14 R.A. WILLIAMS For For 02 THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS Management For For OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2007. 03 A PROPOSAL TO APPROVE THE AMERICAN EXPRESS Management Against Against COMPANY 2007 INCENTIVE COMPENSATION PLAN. 04 A SHAREHOLDER PROPOSAL RELATING TO CUMULATIVE Shareholder For Against VOTING FOR DIRECTORS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 45500 0 27-Mar-2007 27-Mar-2007
Page 21 of 59 Wednesday, July 18, 2007 Investment Company Report GENERAL ELECTRIC COMPANY SECURITY 369604103 MEETING TYPE Annual TICKER SYMBOL GE MEETING DATE 25-Apr-2007 ISIN AGENDA 932635862 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- A DIRECTOR Management 1 JAMES I. CASH, JR. For For 2 SIR WILLIAM M. CASTELL For For 3 ANN M. FUDGE For For 4 CLAUDIO X. GONZALEZ For For 5 SUSAN HOCKFIELD For For 6 JEFFREY R. IMMELT For For 7 ANDREA JUNG For For 8 ALAN G.(A.G.) LAFLEY For For 9 ROBERT W. LANE For For 10 RALPH S. LARSEN For For 11 ROCHELLE B. LAZARUS For For 12 SAM NUNN For For 13 ROGER S. PENSKE For For 14 ROBERT J. SWIERINGA For For 15 DOUGLAS A. WARNER III For For 16 ROBERT C. WRIGHT For For B RATIFICATION OF KPMG Management For For C ADOPTION OF MAJORITY VOTING FOR DIRECTORS Management For For D APPROVAL OF 2007 LONG TERM INCENTIVE PLAN Management Against Against E APPROVAL OF MATERIAL TERMS OF SENIOR OFFICER Management Against Against PERFORMANCE GOALS 01 CUMULATIVE VOTING Shareholder For Against 02 CURB OVER-EXTENDED DIRECTORS Shareholder Against For 03 ONE DIRECTOR FROM THE RANKS OF RETIREES Shareholder 04 INDEPENDENT BOARD CHAIRMAN Shareholder For Against 05 ELIMINATE DIVIDEND EQUIVALENTS Shareholder For Against 06 REPORT ON CHARITABLE CONTRIBUTIONS Shareholder Against For 07 GLOBAL WARMING REPORT Shareholder Against For 08 ETHICAL CRITERIA FOR MILITARY CONTRACTS Shareholder Against For 09 REPORT ON PAY DIFFERENTIAL Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 94400 0 12-Mar-2007 12-Mar-2007
Page 22 of 59 Wednesday, July 18, 2007 Investment Company Report STRYKER CORPORATION SECURITY 863667101 MEETING TYPE Annual TICKER SYMBOL SYK MEETING DATE 25-Apr-2007 ISIN AGENDA 932642754 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JOHN W. BROWN For For 2 HOWARD E. COX, JR. For For 3 DONALD M. ENGELMAN For For 4 JEROME H. GROSSMAN For For 5 LOUISE L. FRANCESCONI For For 6 STEPHEN P. MACMILLAN For For 7 WILLIAM U. PARFET For For 8 RONDA E. STRYKER For For 02 APPROVAL OF THE EXECUTIVE BONUS PLAN. Management Against Against 03 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG Management For For LLP AS INDEPENDENT AUDITORS FOR 2007. 04 SHAREHOLDER PROPOSAL REGARDING GRANTING OF Shareholder For Against PERFORMANCE-VESTING SHARES TO SENIOR EXECUTIVES.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 37300 0 27-Mar-2007 27-Mar-2007
Page 23 of 59 Wednesday, July 18, 2007 Investment Company Report BANK OF AMERICA CORPORATION SECURITY 060505104 MEETING TYPE Annual TICKER SYMBOL BAC MEETING DATE 25-Apr-2007 ISIN AGENDA 932644481 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: WILLIAM BARNET, III Management For For 1B ELECTION OF DIRECTOR: FRANK P. BRAMBLE, SR. Management For For 1C ELECTION OF DIRECTOR: JOHN T. COLLINS Management For For 1D ELECTION OF DIRECTOR: GARY L. COUNTRYMAN Management For For 1E ELECTION OF DIRECTOR: TOMMY R. FRANKS Management For For 1F ELECTION OF DIRECTOR: CHARLES K. GIFFORD Management For For 1G ELECTION OF DIRECTOR: W. STEVEN JONES Management For For 1H ELECTION OF DIRECTOR: KENNETH D. LEWIS Management For For 1I ELECTION OF DIRECTOR: MONICA C. LOZANO Management For For 1J ELECTION OF DIRECTOR: WALTER E. MASSEY Management For For 1K ELECTION OF DIRECTOR: THOMAS J. MAY Management For For 1L ELECTION OF DIRECTOR: PATRICIA E. MITCHELL Management For For 1M ELECTION OF DIRECTOR: THOMAS M. RYAN Management For For 1N ELECTION OF DIRECTOR: O. TEMPLE SLOAN, JR. Management For For 1O ELECTION OF DIRECTOR: MEREDITH R. SPANGLER Management For For 1P ELECTION OF DIRECTOR: ROBERT L. TILLMAN Management For For 1Q ELECTION OF DIRECTOR: JACKIE M. WARD Management For For 02 RATIFICATION OF THE INDEPENDENT REGISTERED PUBLIC Management For For ACCOUNTING FIRM FOR 2007 03 STOCKHOLDER PROPOSAL - STOCK OPTIONS Shareholder For Against 04 STOCKHOLDER PROPOSAL - NUMBER OF DIRECTORS Shareholder For Against 05 STOCKHOLDER PROPOSAL - INDEPENDENT BOARD Shareholder For Against CHAIRMAN
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 37670 0 02-Apr-2007 02-Apr-2007
Page 24 of 59 Wednesday, July 18, 2007 Investment Company Report CHEVRON CORPORATION SECURITY 166764100 MEETING TYPE Annual TICKER SYMBOL CVX MEETING DATE 25-Apr-2007 ISIN AGENDA 932647007 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: S.H. ARMACOST Management For For 1B ELECTION OF DIRECTOR: L.F. DEILY Management For For 1C ELECTION OF DIRECTOR: R.E. DENHAM Management For For 1D ELECTION OF DIRECTOR: R.J. EATON Management For For 1E ELECTION OF DIRECTOR: S. GINN Management For For 1F ELECTION OF DIRECTOR: F.G. JENIFER Management For For 1G ELECTION OF DIRECTOR: S. NUNN Management For For 1H ELECTION OF DIRECTOR: D.J. O'REILLY Management For For 1I ELECTION OF DIRECTOR: D.B. RICE Management For For 1J ELECTION OF DIRECTOR: P.J. ROBERTSON Management For For 1K ELECTION OF DIRECTOR: K.W. SHARER Management For For 1L ELECTION OF DIRECTOR: C.R. SHOEMATE Management For For 1M ELECTION OF DIRECTOR: R.D. SUGAR Management For For 1N ELECTION OF DIRECTOR: C. WARE Management For For 02 RATIFICATION OF INDEPENDENT REGISTERED PUBLIC Management For For ACCOUNTING FIRM 03 PROPOSAL TO AMEND CHEVRON'S RESTATED Management For For CERTIFICATE OF INCORPORATION TO REPEAL THE SUPERMAJORITY VOTE PROVISIONS 04 ADOPT POLICY AND REPORT ON HUMAN RIGHTS Shareholder Against For 05 ADOPT GOALS AND REPORT ON GREENHOUSE GAS EMISSIONS Shareholder Against For 06 ADOPT POLICY AND REPORT ON ANIMAL WELFARE Shareholder Against For 07 RECOMMEND AMENDMENT TO THE BY-LAWS TO SEPARATE THE Shareholder For Against CEO/CHAIRMAN POSITIONS 08 AMEND THE BY-LAWS REGARDING THE STOCKHOLDER RIGHTS Shareholder Against For PLAN POLICY 09 REPORT ON HOST COUNTRY ENVIRONMENTAL LAWS Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 30700 0 29-Mar-2007 29-Mar-2007
Page 25 of 59 Wednesday, July 18, 2007 Investment Company Report ENCANA CORPORATION SECURITY 292505104 MEETING TYPE Annual and Special Meeting TICKER SYMBOL ECA MEETING DATE 25-Apr-2007 ISIN AGENDA 932651094 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 RALPH S. CUNNINGHAM For For 2 PATRICK D. DANIEL For For 3 IAN W. DELANEY For For 4 RANDALL K. ERESMAN For For 5 MICHAEL A. GRANDIN For For 6 BARRY W. HARRISON For For 7 DALE A. LUCAS For For 8 KEN F. MCCREADY For For 9 VALERIE A.A. NIELSEN For For 10 DAVID P. O'BRIEN For For 11 JANE L. PEVERETT For For 12 ALLAN P. SAWIN For For 13 DENNIS A. SHARP For For 14 JAMES M. STANFORD For For 15 WAYNE G. THOMSON For For 02 APPOINTMENT OF AUDITORS - PRICEWATERHOUSECOOPERS Management For For LLP AT A REMUNERATION TO BE FIXED BY THE BOARD OF DIRECTORS. 03 RECONFIRMATION OF THE SHAREHOLDER RIGHTS PLAN Management Against Against (AS DESCRIBED ON PAGES 12-14 OF THE INFORMATION CIRCULAR). 04 AMENDMENT NO. 1 TO THE EMPLOYEE STOCK OPTION Management Against Against PLAN (AS DESCRIBED ON PAGES 14-16 OF THE INFORMATION CIRCULAR). 05 AMENDMENT NO. 2 TO THE EMPLOYEE STOCK OPTION Management Against Against PLAN (AS DESCRIBED ON PAGES 14-16 OF THE INFORMATION CIRCULAR).
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 46100 0 23-Apr-2007 23-Apr-2007
Page 26 of 59 Wednesday, July 18, 2007 Investment Company Report CORNING INCORPORATED SECURITY 219350105 MEETING TYPE Annual TICKER SYMBOL GLW MEETING DATE 26-Apr-2007 ISIN AGENDA 932637905 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 ROBERT F. CUMMINGS, JR. For For 2 EUGENE C. SIT For For 3 WILLIAM D. SMITHBURG For For 4 HANSEL E. TOOKES II For For 5 WENDELL P. WEEKS For For 02 PROPOSAL TO RATIFY THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS CORNING'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007. 03 SHAREHOLDER PROPOSAL RELATING TO THE ELECTION Shareholder For Against OF EACH DIRECTOR ANNUALLY.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 127900 0 26-Mar-2007 26-Mar-2007
Page 27 of 59 Wednesday, July 18, 2007 Investment Company Report CAPITAL ONE FINANCIAL CORPORATION SECURITY 14040H105 MEETING TYPE Annual TICKER SYMBOL COF MEETING DATE 26-Apr-2007 ISIN AGENDA 932651602 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 W. RONALD DIETZ For For 2 LEWIS HAY, III For For 3 MAYO SHATTUCK, III For For 02 RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT Management For For AUDITORS OF THE CORPORATION FOR 2007. 03 APPROVAL AND ADOPTION OF CAPITAL ONE'S AMENDED Management For For AND RESTATED CERTIFICATE OF INCORPORATION TO PERMIT AMENDMENT OF THE BYLAWS TO ADOPT MAJORITY VOTING FOR THE ELECTION OF DIRECTORS. 04 STOCKHOLDER PROPOSAL: STOCKHOLDER ADVISORY Shareholder Against For VOTE ON EXECUTIVE COMPENSATION.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 16500 0 25-Apr-2007 25-Apr-2007
Page 28 of 59 Wednesday, July 18, 2007 Investment Company Report SUNCOR ENERGY INC. SECURITY 867229106 MEETING TYPE Annual and Special Meeting TICKER SYMBOL SU MEETING DATE 26-Apr-2007 ISIN AGENDA 932656816 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 MEL E. BENSON For For 2 BRIAN A. CANFIELD For For 3 BRYAN P. DAVIES For For 4 BRIAN A. FELESKY For For 5 JOHN T. FERGUSON For For 6 W. DOUGLAS FORD For For 7 RICHARD L. GEORGE For For 8 JOHN R. HUFF For For 9 M. ANN MCCAIG For For 10 MICHAEL W. O'BRIEN For For 11 EIRA M. THOMAS For For 02 RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP Management For For AS AUDITOR OF THE CORPORATION FOR THE ENSUING YEAR. 03 APPROVAL OF AMENDMENTS TO EQUITY COMPENSATION Management Against Against PLANS PLEASE READ THE RESOLUTION IN FULL IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. 04 APPROVAL OF PERFORMANCE STOCK OPTIONS PLEASE Management Against Against READ THE RESOLUTION IN FULL IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR. 05 AMENDMENT OF BYLAWS PLEASE READ THE RESOLUTION Management Against Against IN FULL IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 17532 0 10-Apr-2007 10-Apr-2007
Page 29 of 59 Wednesday, July 18, 2007 Investment Company Report BARCLAYS PLC SECURITY 06738E204 MEETING TYPE Annual TICKER SYMBOL BCS MEETING DATE 26-Apr-2007 ISIN AGENDA 932673266 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 TO RECEIVE THE DIRECTORS' AND AUDITORS' REPORTS Management For For AND THE AUDITED ACCOUNTS FOR THE YEAR ENDED 31ST DECEMBER 2006. 02 TO APPROVE THE DIRECTORS' REMUNERATION REPORT Management For For FOR THE YEAR ENDED 31ST DECEMBER 2006. 03 THAT MARCUS AGIUS BE RE-ELECTED A DIRECTOR OF THE Management For For COMPANY. 04 THAT FREDERIK SEEGERS BE RE-ELECTED A DIRECTOR OF Management For For THE COMPANY. 05 THAT CHRISTOPHER LUCAS BE RE-ELECTED A DIRECTOR Management For For OF THE COMPANY. 06 THAT STEPHEN RUSSELL BE RE-ELECTED A DIRECTOR OF Management For For THE COMPANY. 07 THAT RICHARD LEIGH CLIFFORD BE RE-ELECTED A Management For For DIRECTOR OF THE COMPANY. 08 THAT SIR ANDREW LIKLERMAN BE RE-ELECTED A Management For For DIRECTOR OF THE COMPANY. 09 THAT JOHN VARLEY BE RE-ELECTED A DIRECTOR OF THE Management For For COMPANY. 10 THAT NIGEL RUDD BE RE-ELECTED A DIRECTOR OF THE Management For For COMPANY. 11 TO REAPPOINT PRICEWATERHOUSECOOPERS LLP AS Management For For AUDITORS OF THE COMPANY. 12 TO AUTHORISE THE DIRECTORS TO SET THE Management For For REMUNERATION OF THE AUDITORS. 13 TO AUTHORISE BARCLAYS BANK PLC TO MAKE EU Management Against Against POLITICAL DONATIONS. 14 TO RENEW THE AUTHORITY GIVEN TO THE DIRECTORS TO Management Against Against ALLOT SECURITIES. 15 TO RENEW THE AUTHORITY GIVEN TO THE DIRECTORS TO Management Against Against ALLOT SECURITIES FOR CASH OTHER THAN ON A PRO- RATA BASIS TO SHAREHOLDERS AND TO SELL TREASURY SHARES. 16 TO RENEW THE COMPANY'S AUTHORITY TO PURCHASE ITS Management For For OWN SHARES. 17 TO ADOPT NEW ARTICLES OF ASSOCIATION OF THE Management For For COMPANY.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 3700 0 23-Apr-2007 23-Apr-2007
Page 30 of 59 Wednesday, July 18, 2007 Investment Company Report THE BOEING COMPANY SECURITY 097023105 MEETING TYPE Annual TICKER SYMBOL BA MEETING DATE 30-Apr-2007 ISIN AGENDA 932651676 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: JOHN H. BIGGS Management For For 1B ELECTION OF DIRECTOR: JOHN E. BRYSON Management For For 1C ELECTION OF DIRECTOR: ARTHUR D. COLLINS, JR. Management For For 1D ELECTION OF DIRECTOR: LINDA Z. COOK Management For For 1E ELECTION OF DIRECTOR: WILLIAM M. DALEY Management For For 1F ELECTION OF DIRECTOR: KENNETH M. DUBERSTEIN Management For For 1G ELECTION OF DIRECTOR: JOHN F. MCDONNELL Management For For 1H ELECTION OF DIRECTOR: W. JAMES MCNERNEY, JR. Management For For 1I ELECTION OF DIRECTOR: RICHARD D. NANULA Management For For 1J ELECTION OF DIRECTOR: ROZANNE L. RIDGWAY Management For For 1K ELECTION OF DIRECTOR: MIKE S. ZAFIROVSKI Management For For 02 ADVISORY VOTE ON APPOINTMENT OF DELOITTE & Management For For TOUCHE LLP AS INDEPENDENT AUDITORS. 03 PREPARE A REPORT ON FOREIGN MILITARY SALES. Shareholder Against For 04 DEVELOP AND ADOPT HUMAN RIGHTS POLICIES. Shareholder Against For 05 PREPARE A REPORT ON CHARITABLE CONTRIBUTIONS. Shareholder Against For 06 PREPARE A REPORT ON POLITICAL CONTRIBUTIONS. Shareholder Against For 07 SEPARATE THE ROLES OF CEO AND CHAIRMAN. Shareholder For Against 08 SUBJECT RIGHTS PLANS TO SHAREHOLDER VOTE. Shareholder For Against 09 ADVISORY VOTE ON COMPENSATION DISCUSSION AND Shareholder Against For ANALYSIS. 10 ADOPT A POLICY ON PERFORMANCE-BASED STOCK Shareholder Against For OPTIONS. 11 RECOUP UNEARNED MANAGEMENT BONUSES. Shareholder For Against
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 26000 0 10-Apr-2007 10-Apr-2007
Page 31 of 59 Wednesday, July 18, 2007 Investment Company Report PEPSICO, INC. SECURITY 713448108 MEETING TYPE Annual TICKER SYMBOL PEP MEETING DATE 02-May-2007 ISIN AGENDA 932655345 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: D. DUBLON Management For For 1B ELECTION OF DIRECTOR: V.J. DZAU Management For For 1C ELECTION OF DIRECTOR: R.L. HUNT Management For For 1D ELECTION OF DIRECTOR: A. IBARGUEN Management For For 1E ELECTION OF DIRECTOR: A.C. MARTINEZ Management For For 1F ELECTION OF DIRECTOR: I.K. NOOYI Management For For 1G ELECTION OF DIRECTOR: S.P. ROCKEFELLER Management For For 1H ELECTION OF DIRECTOR: J.J. SCHIRO Management For For 1I ELECTION OF DIRECTOR: D. VASELLA Management For For 1J ELECTION OF DIRECTOR: M.D. WHITE Management For For 02 APPROVAL OF INDEPENDENT REGISTERED PUBLIC Management For For ACCOUNTANTS 03 APPROVAL OF 2007 LONG-TERM INCENTIVE PLAN (PROXY Management Against Against STATEMENT P. 37) 04 SHAREHOLDER PROPOSAL- CHARITABLE CONTRIBUTIONS Shareholder Against For (PROXY STATEMENT P. 44)
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 36600 0 19-Apr-2007 19-Apr-2007
Page 32 of 59 Wednesday, July 18, 2007 Investment Company Report APACHE CORPORATION SECURITY 037411105 MEETING TYPE Annual TICKER SYMBOL APA MEETING DATE 02-May-2007 ISIN AGENDA 932657375 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 ELECTION OF DIRECTOR: EUGENE C. FIEDOREK Management For For 02 ELECTION OF DIRECTOR: PATRICIA ALBJERG GRAHAM Management For For 03 ELECTION OF DIRECTOR: F.H. MERELLI Management For For 04 ELECTION OF DIRECTOR: RAYMOND PLANK Management For For 05 APPROVAL OF 2007 OMNIBUS EQUITY COMPENSATION Management Against Against PLAN 06 STOCKHOLDER PROPOSAL CONCERNING Shareholder Against For REIMBURSEMENT OF PROXY EXPENSES
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 30900 0 30-Apr-2007 30-Apr-2007
Page 33 of 59 Wednesday, July 18, 2007 Investment Company Report SEACOAST BANKING CORPORATION OF FLOR SECURITY 811707306 MEETING TYPE Annual TICKER SYMBOL SBCF MEETING DATE 03-May-2007 ISIN AGENDA 932644912 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JOHN H. CRANE For For 2 JEFFREY S. FURST For For 3 DENNIS S. HUDSON, JR. For For 4 THOMAS E. ROSSIN For For 5 THOMAS H. THURLOW, JR. For For 02 TO APPROVE AN AMENDMENT TO SEACOAST'S 2000 LONG-TERM Management Against Against INCENTIVE PLAN TO REMOVE THE RESTRICTION ON THE PERCENTAGE OF AUTHORIZED SHARES OF THE COMPANY'S COMMON STOCK THAT MAY BE GRANTED UNDER THE PLAN AS AWARDS OF RESTRICTED AND UNRESTRICTED STOCK. 03 TO GRANT THE PROXIES DISCRETIONARY AUTHORITY TO VOTE Management For For TO ADJOURN THE ANNUAL MEETING FOR UP TO 120 DAYS TO ALLOW FOR THE SOLICITATION OF ADDITIONAL PROXIES IN THE EVENT THAT THERE ARE INSUFFICIENT SHARES VOTED AT THE ANNUAL MEETING TO APPROVE PROPOSAL 2.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 47055 0 02-Apr-2007 02-Apr-2007
Page 34 of 59 Wednesday, July 18, 2007 Investment Company Report ZIONS BANCORPORATION SECURITY 989701107 MEETING TYPE Annual TICKER SYMBOL ZION MEETING DATE 04-May-2007 ISIN AGENDA 932657123 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 ROGER B. PORTER For For 2 L.E. SIMMONS For For 3 STEVEN C. WHEELWRIGHT For For 02 TO RATIFY THE APPOINTMENT OF THE COMPANY'S Management For For INDEPENDENT AUDITORS FOR FISCAL 2007. 03 TO TRANSACT ANY OTHER SUCH BUSINESS AS MAY PROPERLY Management For For COME BEFORE THE MEETING.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 29400 0 11-Apr-2007 11-Apr-2007
Page 35 of 59 Wednesday, July 18, 2007 Investment Company Report 3M COMPANY SECURITY 88579Y101 MEETING TYPE Annual TICKER SYMBOL MMM MEETING DATE 08-May-2007 ISIN AGENDA 932657832 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 LINDA G. ALVARADO For For 2 GEORGE W. BUCKLEY For For 3 VANCE D. COFFMAN For For 4 MICHAEL L. ESKEW For For 5 W. JAMES FARRELL For For 6 HERBERT L. HENKEL For For 7 EDWARD M. LIDDY For For 8 ROBERT S. MORRISON For For 9 AULANA L. PETERS For For 10 ROZANNE L. RIDGWAY For For 02 RATIFICATION OF THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 03 AMENDMENT OF THE COMPANY'S RESTATED CERTIFICATE Management For For OF INCORPORATION TO ELIMINATE THE SUPERMAJORITY VOTE REQUIREMENTS 04 AMENDMENT OF THE COMPANY'S RESTATED CERTIFICATE Management For For OF INCORPORATION TO ELIMINATE THE FAIR PRICE PROVISION 05 APPROVAL OF THE EXECUTIVE ANNUAL INCENTIVE PLAN Management Against Against 06 APPROVAL OF THE MATERIAL TERMS OF THE Management Against Against PERFORMANCE CRITERIA UNDER THE PERFORMANCE UNIT PLAN 07 EXECUTIVE COMPENSATION BASED ON THE PERFORMANCE OF Shareholder Against For PEER COMPANIES.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 22700 0 11-Apr-2007 11-Apr-2007
Page 36 of 59 Wednesday, July 18, 2007 Investment Company Report AMGEN INC. SECURITY 031162100 MEETING TYPE Annual TICKER SYMBOL AMGN MEETING DATE 09-May-2007 ISIN AGENDA 932645988 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: MR. FRANK J. BIONDI, JR. Management For For 1B ELECTION OF DIRECTOR: MR. JERRY D. CHOATE Management For For 1C ELECTION OF DIRECTOR: MR. FRANK C. HERRINGER Management For For 1D ELECTION OF DIRECTOR: DR. GILBERT S. OMENN Management For For 02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE Management For For COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE YEAR ENDING DECEMBER 31, 2007. 03 TO APPROVE THE AMENDMENTS TO THE COMPANY'S RESTATED Management For For CERTIFICATE OF INCORPORATION ELIMINATING THE CLASSIFICATION OF THE BOARD OF DIRECTORS. 04 TO APPROVE THE AMENDMENTS TO THE COMPANY'S AMENDED Management For For AND RESTATED BYLAWS ELIMINATING THE CLASSIFICATION OF THE BOARD OF DIRECTORS. 5A STOCKHOLDER PROPOSAL #1 (ANIMAL WELFARE POLICY). Shareholder Against For 5B STOCKHOLDER PROPOSAL #2 (SUSTAINABILITY REPORT). Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 36600 0 30-Mar-2007 30-Mar-2007
Page 37 of 59 Wednesday, July 18, 2007 Investment Company Report AMERICAN TOWER CORPORATION SECURITY 029912201 MEETING TYPE Annual TICKER SYMBOL AMT MEETING DATE 09-May-2007 ISIN AGENDA 932654103 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 RAYMOND P. DOLAN For For 2 RONALD M. DYKES For For 3 CAROLYN F. KATZ For For 4 GUSTAVO LARA CANTU For For 5 PAMELA D.A. REEVE For For 6 DAVID E. SHARBUTT For For 7 JAMES D. TAICLET, JR. For For 8 SAMME L. THOMPSON For For 02 APPROVAL OF THE AMERICAN TOWER CORPORATION 2007 Management For For EQUITY INCENTIVE PLAN. 03 RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE Management For For LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 66300 0 04-Apr-2007 04-Apr-2007
Page 38 of 59 Wednesday, July 18, 2007 Investment Company Report GILEAD SCIENCES, INC. SECURITY 375558103 MEETING TYPE Annual TICKER SYMBOL GILD MEETING DATE 09-May-2007 ISIN AGENDA 932658098 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 PAUL BERG For For 2 JOHN F. COGAN For For 3 ETIENNE F. DAVIGNON For For 4 JAMES M. DENNY For For 5 CARLA A. HILLS For For 6 JOHN W. MADIGAN For For 7 JOHN C. MARTIN For For 8 GORDON E. MOORE For For 9 NICHOLAS G. MOORE For For 10 GAYLE E. WILSON For For 02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP BY Management For For THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF GILEAD FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007. 03 TO APPROVE THE PROPOSED AMENDMENT TO GILEAD'S Management Against Against 2004 EQUITY INCENTIVE PLAN. 04 TO APPROVE THE PROPOSED AMENDMENT TO GILEAD'S Management Against Against EMPLOYEE STOCK PURCHASE PLAN.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 50700 0 19-Apr-2007 19-Apr-2007
Page 39 of 59 Wednesday, July 18, 2007 Investment Company Report CVS/CAREMARK CORPORATION SECURITY 126650100 MEETING TYPE Annual TICKER SYMBOL CVS MEETING DATE 09-May-2007 ISIN AGENDA 932675816 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 1A ELECTION OF DIRECTOR: EDWIN M. BANKS Management For For 1B ELECTION OF DIRECTOR: C. DAVID BROWN II Management For For 1C ELECTION OF DIRECTOR: E. MAC CRAWFORD Management For For 1D ELECTION OF DIRECTOR: DAVID W. DORMAN Management For For 1E ELECTION OF DIRECTOR: KRISTEN E. GIBNEY Management For For WILLIAMS 1F ELECTION OF DIRECTOR: ROGER L. HEADRICK Management For For 1G ELECTION OF DIRECTOR: MARIAN L. HEARD Management For For 1H ELECTION OF DIRECTOR: WILLIAM H. JOYCE Management For For 1I ELECTION OF DIRECTOR: JEAN-PIERRE MILLON Management For For 1J ELECTION OF DIRECTOR: TERRENCE MURRAY Management For For 1K ELECTION OF DIRECTOR: C.A. LANCE PICCOLO Management For For 1L ELECTION OF DIRECTOR: SHELI Z. ROSENBERG Management For For 1M ELECTION OF DIRECTOR: THOMAS M. RYAN Management For For 1N ELECTION OF DIRECTOR: RICHARD J. SWIFT Management For For 02 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP Management For For AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2007 FISCAL YEAR. 03 PROPOSAL TO ADOPT THE COMPANY'S 2007 EMPLOYEE Management Against Against STOCK PURCHASE PLAN. 04 PROPOSAL TO ADOPT THE COMPANY'S 2007 INCENTIVE Management Against Against PLAN. 05 STOCKHOLDER PROPOSAL REGARDING LIMITS ON CEO Shareholder Against For COMPENSATION. 06 STOCKHOLDER PROPOSAL REGARDING SEPARATION OF Shareholder For Against THE ROLES OF CHAIRMAN AND CEO. 07 STOCKHOLDER PROPOSAL REGARDING SUSTAINABILITY Shareholder Against For REPORTING BY THE COMPANY. 08 STOCKHOLDER PROPOSAL REGARDING THE Shareholder Against For RELATIONSHIP BETWEEN THE COMPANY AND COMPENSATION CONSULTANTS. 09 STOCKHOLDER PROPOSAL REGARDING THE COMPANY'S Shareholder For Against POLICY ON STOCK OPTION GRANTS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 93430 0 19-Apr-2007 19-Apr-2007
Page 41 of 59 Wednesday, July 18, 2007 Investment Company Report GOOGLE INC. SECURITY 38259P508 MEETING TYPE Annual TICKER SYMBOL GOOG MEETING DATE 10-May-2007 ISIN AGENDA 932673886 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 ERIC SCHMIDT For For 2 SERGEY BRIN For For 3 LARRY PAGE For For 4 L. JOHN DOERR For For 5 JOHN L. HENNESSY For For 6 ARTHUR D. LEVINSON For For 7 ANN MATHER For For 8 PAUL S. OTELLINI For For 9 K. RAM SHRIRAM For For 10 SHIRLEY M. TILGHMAN For For 02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS Management For For THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF GOOGLE INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007. 03 APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 STOCK PLAN Management Against Against TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CLASS A COMMON STOCK ISSUABLE THEREUNDER BY 4,500,000. 04 APPROVAL OF GOOGLE'S EXECUTIVE BONUS PLAN. Management Against Against 05 STOCKHOLDER PROPOSAL TO REQUEST THAT MANAGEMENT Shareholder Against For INSTITUTE POLICIES TO HELP PROTECT FREEDOM OF ACCESS TO THE INTERNET.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 7000 0 19-Apr-2007 19-Apr-2007
Page 42 of 59 Wednesday, July 18, 2007 Investment Company Report APPLE INC. SECURITY 037833100 MEETING TYPE Annual TICKER SYMBOL AAPL MEETING DATE 10-May-2007 ISIN AGENDA 932685071 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 WILLIAM V. CAMPBELL For For 2 MILLARD S. DREXLER For For 3 ALBERT A. GORE, JR. For For 4 STEVEN P. JOBS For For 5 ARTHUR D. LEVINSON For For 6 ERIC E. SCHMIDT For For 7 JEROME B. YORK For For 02 TO APPROVE AMENDMENTS TO THE APPLE INC. 2003 Management Against Against EMPLOYEE STOCK PLAN. 03 TO APPROVE AMENDMENTS TO THE APPLE INC. Management Against Against EMPLOYEE STOCK PURCHASE PLAN. 04 TO APPROVE AMENDMENTS TO THE 1997 DIRECTOR STOCK Management Against Against OPTION PLAN. 05 TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE Management For For COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2007. 06 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED "OPTION Shareholder For Against DATING POLICY," IF PROPERLY PRESENTED AT THE MEETING. 07 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For "PAY FOR PERFORMANCE STANDARD," IF PROPERLY PRESENTED AT THE MEETING. 08 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For "ENVIRONMENTAL REPORT," IF PROPERLY PRESENTED AT THE MEETING. 09 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder For Against "EQUITY RETENTION POLICY," IF PROPERLY PRESENTED AT THE MEETING. 10 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For "ELECTRONIC WASTE TAKE BACK AND RECYCLING," IF PROPERLY PRESENTED AT THE MEETING. 11 TO CONSIDER A SHAREHOLDER PROPOSAL ENTITLED Shareholder Against For "ADVISORY VOTE ON COMPENSATION," IF PROPERLY PRESENTED AT THE MEETING.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 40700 0 04-May-2007 04-May-2007
Page 43 of 59 Wednesday, July 18, 2007 Investment Company Report JPMORGAN CHASE & CO. SECURITY 46625H100 MEETING TYPE Annual TICKER SYMBOL JPM MEETING DATE 15-May-2007 ISIN AGENDA 932660120 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 CRANDALL C. BOWLES For For 2 STEPHEN B. BURKE For For 3 JAMES S. CROWN For For 4 JAMES DIMON For For 5 ELLEN V. FUTTER For For 6 WILLIAM H. GRAY, III For For 7 LABAN P. JACKSON, JR. For For 8 ROBERT I. LIPP For For 9 DAVID C. NOVAK For For 10 LEE R. RAYMOND For For 11 WILLIAM C. WELDON For For 02 APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC Management For For ACCOUNTING FIRM 03 STOCK OPTIONS Shareholder For Against 04 PERFORMANCE-BASED RESTRICTED STOCK Shareholder For Against 05 EXECUTIVE COMPENSATION APPROVAL Shareholder Against For 06 SEPARATE CHAIRMAN Shareholder For Against 07 CUMULATIVE VOTING Shareholder For Against 08 MAJORITY VOTING FOR DIRECTORS Shareholder For Against 09 POLITICAL CONTRIBUTIONS REPORT Shareholder Against For 10 SLAVERY APOLOGY REPORT Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 54700 0 17-Apr-2007 17-Apr-2007
Page 44 of 59 Wednesday, July 18, 2007 Investment Company Report BOSTON PROPERTIES, INC. SECURITY 101121101 MEETING TYPE Annual TICKER SYMBOL BXP MEETING DATE 15-May-2007 ISIN AGENDA 932674698 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 MORTIMER B. ZUCKERMAN For For 2 CAROL B. EINIGER For For 3 RICHARD E. SALOMON For For 02 TO CONSIDER AND ACT UPON A PROPOSAL TO APPROVE THE Management Against Against SECOND AMENDMENT AND RESTATEMENT OF THE BOSTON PROPERTIES, INC. 1997 STOCK OPTION AND INCENTIVE PLAN. 03 TO RATIFY THE AUDIT COMITTEE'S APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS BOSTON PROPERTIES, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007. THE BOARD OF DIRECTORS RECOMMENDS A VOTE "AGAINST" PROPOSALS 4 AND 5. 04 TO CONSIDER AND ACT UPON A STOCKHOLDER PROPOSAL Shareholder For Against CONCERNING THE ANNUAL ELECTION OF DIRECTORS, IF PROPERLY PRESENTED AT THE ANNUAL MEETING. 05 TO CONSIDER AND ACT UPON A STOCKHOLDER PROPOSAL Shareholder Against For CONCERNING ENERGY EFFICIENCY, IF PROPERLY PRESENTED AT THE ANNUAL MEETING.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 17250 0 19-Apr-2007 19-Apr-2007
Page 45 of 59 Wednesday, July 18, 2007 Investment Company Report AKAMAI TECHNOLOGIES, INC. SECURITY 00971T101 MEETING TYPE Annual TICKER SYMBOL AKAM MEETING DATE 15-May-2007 ISIN AGENDA 932677315 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 RONALD GRAHAM For For 2 F. THOMSON LEIGHTON For For 3 PAUL SAGAN For For 4 NAOMI SELIGMAN For For 02 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Management For For AS THE INDEPENDENT AUDITORS OF AKAMAI FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 84100 0 23-Apr-2007 23-Apr-2007
Page 46 of 59 Wednesday, July 18, 2007 Investment Company Report DANAHER CORPORATION SECURITY 235851102 MEETING TYPE Annual TICKER SYMBOL DHR MEETING DATE 15-May-2007 ISIN AGENDA 932680552 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 STEVEN M. RALES For For 2 JOHN T. SCHWIETERS For For 3 ALAN G. SPOON For For 02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS Management For For DANAHER'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2007. 03 TO APPROVE AN AMENDMENT TO DANAHER'S CERTIFICATE OF Management For For INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK OF DANAHER TO A TOTAL OF ONE BILLION (1,000,000,000) SHARES, $.01 PAR VALUE PER SHARE. 04 TO APPROVE THE 2007 STOCK INCENTIVE PLAN. Management Against Against 05 TO APPROVE THE 2007 EXECUTIVE CASH INCENTIVE Management Against Against COMPENSATION PLAN. 06 TO APPROVE AN AMENDMENT TO DANAHER'S AMENDED AND Management Against Against RESTATED EXECUTIVE DEFERRED INCENTIVE PROGRAM. 07 TO ACT UPON A SHAREHOLDER PROPOSAL URGING THE Shareholder Against For COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS TO ADOPT A POLICY REQUIRING THAT SENIOR EXECUTIVES RETAIN A SIGNIFICANT PERCENTAGE OF SHARES ACQUIRED THROUGH EQUITY COMPENSATION PROGRAMS DURING THEIR EMPLOYMENT, AND TO REPORT TO SHAREHOLDERS REGARDING THE POLICY BEFORE DANAHER'S 2008 ANNUAL MEETING OF SHAREHOLDERS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 32000 0 04-May-2007 04-May-2007
Page 47 of 59 Wednesday, July 18, 2007 Investment Company Report COMMERCE BANCORP, INC. SECURITY 200519106 MEETING TYPE Annual TICKER SYMBOL CBH MEETING DATE 15-May-2007 ISIN AGENDA 932700607 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 VERNON W. HILL, II For For 2 JACK R BERSHAD For For 3 JOSEPH E. BUCKELEW For For 4 DONALD T. DIFRANCESCO For For 5 NICHOLAS A. GIORDANO For For 6 MORTON N. KERR For For 7 STEVEN M. LEWIS For For 8 JOHN K. LLOYD For For 9 GEORGE E. NORCROSS, III For For 10 DANIEL J. RAGONE For For 11 WILLIAM A. SCHWARTZ, JR For For 12 JOSEPH T. TARQUINI, JR. For For 13 JOSEPH S. VASSALLUZZO For For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 53200 0 08-May-2007 08-May-2007
Page 48 of 59 Wednesday, July 18, 2007 Investment Company Report WELLPOINT, INC. SECURITY 94973V107 MEETING TYPE Annual TICKER SYMBOL WLP MEETING DATE 16-May-2007 ISIN AGENDA 932666792 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 SHEILA P. BURKE For For 2 VICTOR S. LISS For For 3 JANE G. PISANO, PH.D. For For 4 GEORGE A. SCHAEFER, JR. For For 5 JACKIE M. WARD For For 6 JOHN E. ZUCCOTTI For For 02 TO APPROVE MAJORITY VOTING FOR THE ELECTION OF Management For For DIRECTORS IN NON-CONTESTED ELECTIONS. 03 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE Management For For INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 18400 0 19-Apr-2007 19-Apr-2007
Page 49 of 59 Wednesday, July 18, 2007 Investment Company Report COMCAST CORPORATION SECURITY 20030N101 MEETING TYPE Annual TICKER SYMBOL CMCSA MEETING DATE 23-May-2007 ISIN AGENDA 932669546 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 S. DECKER ANSTROM For For 2 KENNETH J. BACON For For 3 SHELDON M. BONOVITZ For For 4 EDWARD D. BREEN For For 5 JULIAN A. BRODSKY For For 6 JOSEPH J. COLLINS For For 7 J. MICHAEL COOK For For 8 JEFFREY A. HONICKMAN For For 9 BRIAN L. ROBERTS For For 10 RALPH J. ROBERTS For For 11 DR. JUDITH RODIN For For 12 MICHAEL I. SOVERN For For 02 INDEPENDENT AUDITORS Management For For 03 PREVENT THE ISSUANCE OF NEW STOCK OPTIONS Shareholder For Against 04 REQUIRE THAT THE CHAIRMAN OF THE BOARD NOT BE AN Shareholder Against For EMPLOYEE 05 REQUIRE SUSTAINABILITY REPORT Shareholder Against For 06 ADOPT A RECAPITALIZATION PLAN Shareholder Against For 07 REQUIRE ANNUAL VOTE ON EXECUTIVE COMPENSATION Shareholder Against For 08 REQUIRE PAY DIFFERENTIAL REPORT Shareholder Against For 09 REQUIRE DISCLOSURE OF POLITICAL CONTRIBUTIONS Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 31200 0 19-Apr-2007 19-Apr-2007
Page 50 of 59 Wednesday, July 18, 2007 Investment Company Report MEDCO HEALTH SOLUTIONS, INC. SECURITY 58405U102 MEETING TYPE Annual TICKER SYMBOL MHS MEETING DATE 24-May-2007 ISIN AGENDA 932680374 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 HOWARD W. BARKER, JR. For For 2 DAVID B. SNOW, JR. For For 02 TO AMEND THE COMPANY'S SECOND AMENDED AND Management For For RESTATED CERTIFICATE OF INCORPORATION TO PROVIDE FOR THE PHASE-IN OF THE ANNUAL ELECTION OF DIRECTORS. 03 TO APPROVE THE 2007 EMPLOYEE STOCK PURCHASE Management Against Against PLAN. 04 TO RATIFY THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 29, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 17800 0 15-May-2007 15-May-2007
Page 51 of 59 Wednesday, July 18, 2007 Investment Company Report EXXON MOBIL CORPORATION SECURITY 30231G102 MEETING TYPE Annual TICKER SYMBOL XOM MEETING DATE 30-May-2007 ISIN AGENDA 932676844 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 M.J. BOSKIN For For 2 W.W. GEORGE For For 3 J.R. HOUGHTON For For 4 W.R. HOWELL For For 5 R.C. KING For For 6 P.E. LIPPINCOTT For For 7 M.C. NELSON For For 8 S.J. PALMISANO For For 9 S.S. REINEMUND For For 10 W.V. SHIPLEY For For 11 J.S. SIMON For For 12 R.W. TILLERSON For For 02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 44) Management For For 03 CUMULATIVE VOTING (PAGE 45) Shareholder For Against 04 SPECIAL SHAREHOLDER MEETINGS (PAGE 47) Shareholder Against For 05 BOARD CHAIRMAN AND CEO (PAGE 47) Shareholder For Against 06 DIVIDEND STRATEGY (PAGE 48) Shareholder Against For 07 SHAREHOLDER ADVISORY VOTE ON EXECUTIVE Shareholder Against For COMPENSATION (PAGE 50) 08 CEO COMPENSATION DECISIONS (PAGE 51) Shareholder Against For 09 EXECUTIVE COMPENSATION REPORT (PAGE 52) Shareholder Against For 10 EXECUTIVE COMPENSATION LIMIT (PAGE 53) Shareholder Against For 11 INCENTIVE PAY RECOUPMENT (PAGE 54) Shareholder Against For 12 POLITICAL CONTRIBUTIONS REPORT (PAGE 55) Shareholder Against For 13 AMENDMENT OF EEO POLICY (PAGE 57) Shareholder Against For 14 COMMUNITY ENVIRONMENTAL IMPACT (PAGE 58) Shareholder Against For 15 GREENHOUSE GAS EMISSIONS GOALS (PAGE 60) Shareholder Against For 16 CO2 INFORMATION AT THE PUMP (PAGE 61) Shareholder Against For 17 RENEWABLE ENERGY INVESTMENT LEVELS (PAGE 62) Shareholder Against For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 20082 0 23-Apr-2007 23-Apr-2007
Page 52 of 59 Wednesday, July 18, 2007 Investment Company Report DSW, INC. SECURITY 23334L102 MEETING TYPE Annual TICKER SYMBOL DSW MEETING DATE 30-May-2007 ISIN AGENDA 932700304 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JAY L. SCHOTTENSTEIN For For 2 PHILIP B. MILLER For For 3 JAMES D. ROBBINS For For
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 28060 0 08-May-2007 08-May-2007
Page 53 of 59 Wednesday, July 18, 2007 Investment Company Report KBW, INC. SECURITY 482423100 MEETING TYPE Annual TICKER SYMBOL KBW MEETING DATE 06-Jun-2007 ISIN AGENDA 932703970 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 THOMAS B. MICHAUD For For 02 RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS Management For For INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 49400 0 10-May-2007 10-May-2007
Page 54 of 59 Wednesday, July 18, 2007 Investment Company Report NYSE EURONEXT SECURITY 629491101 MEETING TYPE Annual TICKER SYMBOL NYX MEETING DATE 07-Jun-2007 ISIN AGENDA 932715800 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 ELLYN L. BROWN For For 2 MARSHALL N. CARTER For For 3 SIR GEORGE COX For For 4 ANDRE DIRCKX For For 5 WILLIAM E. FORD For For 6 JAN-MICHIEL HESSELS For For 7 SYLVAIN HEFES For For 8 DOMINIQUE HOENN For For 9 PATRICK HOUEL For For 10 SHIRLEY ANN JACKSON For For 11 JAMES S. MCDONALD For For 12 DUNCAN MCFARLAND For For 13 JAMES J. MCNULTY For For 14 BARON JEAN PETERBROECK For For 15 ALICE M. RIVLIN For For 16 RICARDO SALGADO For For 17 ROBERT B. SHAPIRO For For 18 RIJNHARD VAN TETS For For 19 JOHN A. THAIN For For 20 JEAN-FRANCOIS THEODORE For For 21 KARL M. VON DER HEYDEN For For 22 SIR BRIAN WILLIAMSON For For 02 TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For For LLP AS NYSE EURONEXT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 14060 0 15-May-2007 15-May-2007
Page 55 of 59 Wednesday, July 18, 2007 Investment Company Report CELGENE CORPORATION SECURITY 151020104 MEETING TYPE Annual TICKER SYMBOL CELG MEETING DATE 12-Jun-2007 ISIN AGENDA 932712260 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 SOL J. BARER, PH.D. For For 2 ROBERT J. HUGIN For For 3 MICHAEL D. CASEY For For 4 RODMAN L. DRAKE For For 5 A. HULL HAYES, JR., MD For For 6 GILLA KAPLAN, PH.D. For For 7 JAMES J. LOUGHLIN For For 8 RICHARD C.E. MORGAN For For 9 WALTER L. ROBB, PH.D. For For 02 TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR Management For For INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2007.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 27300 0 15-May-2007 15-May-2007
Page 56 of 59 Wednesday, July 18, 2007 Investment Company Report CATERPILLAR INC. SECURITY 149123101 MEETING TYPE Annual TICKER SYMBOL CAT MEETING DATE 13-Jun-2007 ISIN AGENDA 932706231 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 JOHN T. DILLON For For 2 JUAN GALLARDO For For 3 WILLIAM A. OSBORN For For 4 EDWARD B. RUST, JR. For For 02 RATIFY AUDITORS Management For For 03 STOCKHOLDER PROPOSAL-SEPARATE CEO & CHAIR Shareholder For Against 04 STOCKHOLDER PROPOSAL-MAJORITY VOTE STANDARD Shareholder For Against
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 35100 0 14-May-2007 14-May-2007
Page 57 of 59 Wednesday, July 18, 2007 Investment Company Report INFOSYS TECHNOLOGIES LIMITED SECURITY 456788108 MEETING TYPE Annual TICKER SYMBOL INFY MEETING DATE 22-Jun-2007 ISIN AGENDA 932738632 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 TO RECEIVE, CONSIDER AND ADOPT THE BALANCE SHEET Management For AS AT MARCH 31, 2007 AND THE PROFIT AND LOSS ACCOUNT FOR THE YEAR. 02 TO DECLARE A FINAL DIVIDEND FOR THE FINANCIAL YEAR Management For ENDED MARCH 31, 2007. 03 TO APPOINT A DIRECTOR IN PLACE OF MR. DEEPAK M. Management For SATWALEKAR, WHO RETIRES BY ROTATION AND, OFFERS HIMSELF FOR RE-ELECTION. 04 TO APPOINT A DIRECTOR IN PLACE OF PROF. MARTI G. Management For SUBRAHMANYAM, WHO RETIRES BY ROTATION AND, OFFERS HIMSELF FOR RE-ELECTION. 05 TO APPOINT A DIRECTOR IN PLACE OF MR. S. Management For GOPALAKRISHNAN, WHO RETIRES BY ROTATION AND, OFFERS HIMSELF FOR RE-ELECTION. 06 TO APPOINT A DIRECTOR IN PLACE OF MR. S.D. SHIBULAL, Management For WHO RETIRES BY ROTATION AND, OFFERS HIMSELF FOR RE-ELECTION. 07 TO APPOINT A DIRECTOR IN PLACE OF MR. T.V. MOHANDAS Management For PAI, WHO RETIRES BY ROTATION AND, OFFERS HIMSELF FOR RE-ELECTION. 08 TO APPOINT AUDITORS TO HOLD OFFICE FROM THE Management For CONCLUSION OF THE ANNUAL GENERAL MEETING HELD ON JUNE 22, 2007, AND TO FIX THEIR REMUNERATION. 09 TO APPOINT MR. N.R. NARAYANA MURTHY AS A DIRECTOR Management For LIABLE TO RETIRE BY ROTATION. 10 TO APPROVE THE RE-APPOINTMENT OF MR. NANDAN M. Management For NILEKANI AS A WHOLE-TIME DIRECTOR FOR 5 YEARS EFFECTIVE 5/1/2007. 11 TO APPROVE THE APPOINTMENT OF MR. S. Management For GOPALAKRISHNAN AS THE CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR. 12 TO APPROVE THE RE-APPOINTMENT OF MR. K. DINESH AS Management For A WHOLE-TIME DIRECTOR FOR 5 YEARS EFFECTIVE 5/1/2007. 13 TO APPROVE THE RE-APPOINTMENT OF MR. S.D. SHIBULAL Management For AS A WHOLE- TIME DIRECTOR FOR A PERIOD OF 5 YEARS EFFECTIVE 1/10/2007. 14 TO APPROVE PAYMENT OF AN ANNUAL REMUNERATION BY Management For COMMISSION OF A SUM NOT EXCEEDING 1% PER ANNUM OF THE NET PROFITS.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 43100 0 07-Jun-2007 07-Jun-2007
Page 58 of 59 Wednesday, July 18, 2007 Investment Company Report BEST BUY CO., INC. SECURITY 086516101 MEETING TYPE Annual TICKER SYMBOL BBY MEETING DATE 27-Jun-2007 ISIN AGENDA 932721738 - Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ---- -------- ----------- ------- ----------- 01 DIRECTOR Management 1 RONALD JAMES* For For 2 ELLIOT S. KAPLAN* For For 3 MATTHEW H. PAULL* For For 4 JAMES E. PRESS* For For 5 RICHARD M. SCHULZE* For For 6 MARY A. TOLAN* For For 7 HATIM A. TYABJI* For For 8 ROGELIO M. REBOLLEDO** For For 02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING MARCH 1, 2008. 03 APPROVAL OF AN AMENDMENT TO THE BEST BUY CO., INC. Management Against Against 2004 OMNIBUS STOCK AND INCENTIVE PLAN TO INCREASE THE NUMBER OF SHARES SUBJECT TO THE PLAN TO 38 MILLION SHARES.
ACCOUNT NUMBER CUSTODIAN BALLOT SHARES UNAVAILABLE SHARES VOTE DATE DATE CONFIRMED - -------------- --------- ------------- ------------------ ----------- -------------- 000000099017 61C 35950 0 17-May-2007 17-May-2007
Page 59 of 59 Wednesday, July 18, 2007 Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) Northeast Investors Growth Fund By (Signature and Title)* William A. Oates, President and Trustee Date August 28, 2007 * Print the name and title of each signing officer under his or her signature By the Commission -----END PRIVACY-ENHANCED MESSAGE-----