-----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, ErFr2jdfX7KRGQMRz4cxoBX8U1c4M/Oc+MiXNBU9sAeKyvojARFonjw78aS7laUp vZq6ObryTknDSXdgQJMeOA== 0000318192-09-000020.txt : 20090826 0000318192-09-000020.hdr.sgml : 20090826 20090826130635 ACCESSION NUMBER: 0000318192-09-000020 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090826 DATE AS OF CHANGE: 20090826 EFFECTIVENESS DATE: 20090826 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: 091035813 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 neig06302009.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) 100 High Street, Room 1000 Boston, MA 02110 David Randall 100 High 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, 2009 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 MEDTRONIC, INC. SECURITY 585055106 MEETING TYPE Annual TICKER SYMBOL MDT MEETING DATE 21-Aug-2008 ISIN US5850551061 AGENDA 932935488 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 VICTOR J. DZAU, M.D. For For 2 WILLIAM A. HAWKINS For For 3 SHIRLEY A. JACKSON, PHD For For 4 DENISE M. O'LEARY For For 5 JEAN-PIERRE ROSSO For For 6 JACK W. SCHULER For For TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS MEDTRONIC'S INDEPENDENT REGISTERED 02 PUBLIC ACCOUNTING FIRM. Management For For TO APPROVE THE MEDTRONIC, INC. 2008 STOCK AWARD AND 03 INCENTIVE PLAN. Management Against Against
Page 1 of 49 17-Jul-2009 Investment Company Report NIKE, INC. SECURITY 654106103 MEETING TYPE Annual TICKER SYMBOL NKE MEETING DATE 22-Sep-2008 ISIN US6541061031 AGENDA 932939551 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 JILL K. CONWAY For For 2 ALAN B. GRAF, JR. For For 3 JEANNE P. JACKSON For For TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM. Management For For
Page 2 of 49 17-Jul-2009 Investment Company Report THE PROCTER & GAMBLE COMPANY SECURITY 742718109 MEETING TYPE Annual TICKER SYMBOL PG MEETING DATE 14-Oct-2008 ISIN US7427181091 AGENDA 932946556 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 KENNETH I. CHENAULT For For 2 SCOTT D. COOK For For 3 RAJAT K. GUPTA For For 4 A.G. LAFLEY For For 5 CHARLES R. LEE For For 6 LYNN M. MARTIN For For 7 W. JAMES MCNERNEY, JR. For For 8 JOHNATHAN A. RODGERS For For 9 RALPH SNYDERMAN, M.D. For For 10 MARGARET C. WHITMAN For For 11 PATRICIA A. WOERTZ For For 12 ERNESTO ZEDILLO For For RATIFY APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM Management For For AMEND COMPANY'S AMENDED ARTICLES OF INCORPORATION TO ADOPT 03 MAJORITY VOTING Management For For SHAREHOLDER PROPOSAL #1 -- ROTATE SITE OF 04 ANNUAL MEETING Shareholder Against For SHAREHOLDER PROPOSAL #2 -- ADVISORY VOTE ON 05 EXECUTIVE COMPENSATION Shareholder Against For
Page 3 of 49 17-Jul-2009 Investment Company Report CISCO SYSTEMS, INC. SECURITY 17275R102 MEETING TYPE Annual TICKER SYMBOL CSCO MEETING DATE 13-Nov-2008 ISIN US17275R1023 AGENDA 932954729 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A CAROL A. BARTZ Management For For ELECTION OF DIRECTOR: 1B M. MICHELE BURNS Management For For ELECTION OF DIRECTOR: 1C MICHAEL D. CAPELLAS Management For For ELECTION OF DIRECTOR: 1D LARRY R. CARTER Management For For ELECTION OF DIRECTOR: 1E JOHN T. CHAMBERS Management For For ELECTION OF DIRECTOR: 1F BRIAN L. HALLA Management For For ELECTION OF DIRECTOR: 1G DR. JOHN L. HENNESSY Management For For ELECTION OF DIRECTOR: 1H RICHARD M. KOVACEVICH Management For For ELECTION OF DIRECTOR: 1I RODERICK C. MCGEARY Management For For ELECTION OF DIRECTOR: 1J MICHAEL K. POWELL Management For For ELECTION OF DIRECTOR: 1K STEVEN M. WEST Management For For ELECTION OF DIRECTOR: 1L JERRY YANG Management For For TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS CISCO'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR 02 ENDING JULY 25, 2009. Management For For PROPOSAL SUBMITTED BY A SHAREHOLDER TO AMEND THE COMPANY'S BYLAWS TO ESTABLISH A BOARD COMMITTEE ON HUMAN 03 RIGHTS. Shareholder Against For PROPOSAL SUBMITTED BY SHAREHOLDERS REQUESTING THE BOARD TO PUBLISH A REPORT TO SHAREHOLDERS WITHIN SIX MONTHS PROVIDING A SUMMARIZED LISTING AND ASSESSMENT OF CONCRETE STEPS CISCO COULD REASONABLY TAKE TO REDUCE THE LIKELIHOOD THAT ITS BUSINESS PRACTICES MIGHT ENABLE OR ENCOURAGE THE VIOLATION OF HUMAN RIGHTS, AS SET FORTH IN THE PROXY 04 STATEMENT. Shareholder Against For
Page 4 of 49 17-Jul-2009 Investment Company Report BHP BILLITON LIMITED SECURITY 088606108 MEETING TYPE Annual TICKER SYMBOL BHP MEETING DATE 27-Nov-2008 ISIN US0886061086 AGENDA 932960950 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- TO RECEIVE THE 2008 FINANCIAL STATEMENTS AND REPORTS FOR BHP BILLITON 01 PLC. Management For For TO RECEIVE THE 2008 FINANCIAL STATEMENTS AND REPORTS FOR BHP BILLITON 02 LTD. Management For For TO RE-ELECT MR P M ANDERSON AS A DIRECTOR OF 03 BHP BILLITON PLC. Management For For TO RE-ELECT MR P M ANDERSON AS A DIRECTOR OF 04 BHP BILLITON LTD. Management For For TO RE-ELECT MR D R ARGUS AS A DIRECTOR OF BHP 05 BILLITON PLC. Management For For TO RE-ELECT MR D R ARGUS AS A DIRECTOR OF BHP 06 BILLITON LTD. Management For For TO RE-ELECT DR J G S BUCHANAN AS A DIRECTOR OF 07 BHP BILLITON PLC. Management For For TO RE-ELECT DR J G S BUCHANAN AS A DIRECTOR OF 08 BHP BILLITON LTD. Management For For TO RE-ELECT MR D A CRAWFORD AS A DIRECTOR OF 09 BHP BILLITON PLC. Management For For TO RE-ELECT MR D A CRAWFORD AS A DIRECTOR OF 10 BHP BILLITON LTD. Management For For TO RE-ELECT MR J NASSER AS A DIRECTOR OF BHP 11 BILLITON PLC. Management For For TO RE-ELECT MR J NASSER AS A DIRECTOR OF BHP 12 BILLITON LTD. Management For For TO RE-ELECT DR J M SCHUBERT AS A DIRECTOR OF 13 BHP BILLITON PLC. Management For For TO RE-ELECT DR J M SCHUBERT AS A DIRECTOR OF 14 BHP BILLITON LTD. Management For For TO ELECT MR A L BOECKMANN AS A DIRECTOR OF BHP 15 BILLITON PLC. Management For For TO ELECT MR A L BOECKMANN AS A DIRECTOR OF BHP 16 BILLITON LTD. Management For For TO ELECT MR S MAYNE AS A DIRECTOR OF BHP BILLITON 17 PLC. Shareholder For Against TO ELECT MR S MAYNE AS A DIRECTOR OF BHP BILLITON 18 LTD. Shareholder For Against TO ELECT DR D R MORGAN AS A DIRECTOR OF BHP 19 BILLITON PLC. Management For For TO ELECT DR D R MORGAN AS A DIRECTOR OF BHP 20 BILLITON LTD. Management For For TO ELECT MR K C RUMBLE AS A DIRECTOR OF BHP 21 BILLITON PLC. Management For For TO ELECT MR K C RUMBLE AS A DIRECTOR OF BHP 22 BILLITON LTD. Management For For TO REAPPOINT KPMG AUDIT PLC AS THE AUDITOR OF BHP 23 BILLITON PLC. Management For For TO RENEW THE GENERAL AUTHORITY TO ALLOT SHARES 24 IN BHP BILLITON PLC. Management For For TO RENEW THE DISAPPLICATION OF PRE-EMPTION RIGHTS IN BHP 25 BILLITON PLC. Management For For
Page 5 of 49 17-Jul-2009 Investment Company Report
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ---------- ---------- ----------- TO APPROVE THE REPURCHASE OF SHARES IN BHP BILLITON 26 PLC. Management For For TO APPROVE THE CANCELLATION OF SHARES IN BHP BILLITON PLC HELD BY BHP BILLITON LTD ON 30 27A APRIL 2009. Management For For TO APPROVE THE CANCELLATION OF SHARES IN BHP BILLITON PLC HELD BY BHP BILLITON LTD ON 29 MAY 27B 2009. Management For For TO APPROVE THE CANCELLATION OF SHARES IN BHP BILLITON PLC HELD BY BHP BILLITON LTD ON 15 27C JUNE 2009. Management For For TO APPROVE THE CANCELLATION OF SHARES IN BHP BILLITON PLC HELD BY BHP BILLITON LTD ON 31 27D JULY 2009. Management For For TO APPROVE THE CANCELLATION OF SHARES IN BHP BILLITON PLC HELD BY BHP BILLITON LTD ON 15 27E SEPTEMBER 2009. Management For For TO APPROVE THE CANCELLATION OF SHARES IN BHP BILLITON PLC HELD BY BHP BILLITON LTD ON 30 27F NOVEMBER 2009. Management For For TO APPROVE THE 2008 28 REMUNERATION REPORT. Management For For TO APPROVE THE AMENDMENTS TO RULES OF THE GROUP 29 INCENTIVE SCHEME. Management For For TO APPROVE THE GRANT OF AWARDS TO MR M J KLOPPERS UNDER THE GIS AND THE 30 LTIP. Management For For TO APPROVE A CHANGE TO THE MAXIMUM AGGREGATE REMUNERATION PAID BY BHP BILLITON PLC TO NON- EXECUTIVE DIRECTORS IN ANY 31 YEAR. Management For For TO APPROVE A CHANGE TO THE MAXIMUM AGGREGATE REMUNERATION PAID BY BHP BILLITON LTD TO NON- EXECUTIVE DIRECTORS IN ANY 32 YEAR. Management For For TO APPROVE THE AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF BHP 33 BILLITON PLC. Management For For TO APPROVE THE AMENDMENTS TO THE CONSTITUTION OF BHP 34 BILLITON LTD. Management For For
Page 6 of 49 17-Jul-2009 Investment Company Report BANK OF AMERICA CORPORATION SECURITY 060505104 MEETING TYPE Special TICKER SYMBOL BAC MEETING DATE 05-Dec-2008 ISIN US0605051046 AGENDA 932970343 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- A PROPOSAL TO APPROVE THE ISSUANCE OF SHARES OF BANK OF AMERICA COMMON STOCK AS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER, DATED AS OF SEPTEMBER 15, 2008, BY AND BETWEEN MERRILL LYNCH & CO., INC. AND BANK OF AMERICA CORPORATION, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO 01 TIME. Management For For A PROPOSAL TO APPROVE AN AMENDMENT TO THE 2003 KEY ASSOCIATE STOCK PLAN, AS AMENDED 02 AND RESTATED. Management Against Against A PROPOSAL TO ADOPT AN AMENDMENT TO THE BANK OF AMERICA AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF BANK OF AMERICA COMMON STOCK FROM 7.5 BILLION 03 TO 10 BILLION. Management For For A PROPOSAL TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES, IN THE EVENT THAT THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE FOREGOING 04 PROPOSALS. Management For For
Page 7 of 49 17-Jul-2009 Investment Company Report COMPANHIA VALE DO RIO DOCE SECURITY 204412209 MEETING TYPE Special TICKER SYMBOL RIO MEETING DATE 29-Dec-2008 ISIN US2044122099 AGENDA 932983871 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- THE APPROVAL FOR THE PROTOCOL AND JUSTIFICATION OF THE CONSOLIDARION OF MINERACAO ONCA PUMA S.A. INTO VALE PURSUANT TO ARTICLES 224 AND 225 OF THE BRAZILIAN CORPORATE 01 LAW. Management For For TO RATIFY THE APPOINTMENT OF ACAL CONSULTORIA E AUDITOR S/S, THE EXPERTS HIRED TO APPRAISE THE VALUE OF MINERACAO ONCA 02 PUMA S.A. Management For For TO DECIDE ON THE APPRAISAL REPORT, PREPARED BY THE 03 EXPERT APPRAISERS. Management For For THE APPROVAL FOR THE CONSOLIDATION OF MINERACAO ONCA PUMA S.A. INTO VALE, WITHOUT A CAPITAL INCREASE OR THE ISSUANCE OF NEW 04 VALE SHARES. Management For For TO RATIFY THE APPOINTMENT OF A MEMBER AND AN ALTERNATE OF THE BOARD OF DIRECTORS, DULY NOMINATED DURING THE BOARD OF DIRECTORS MEETINGS HELD ON APRIL 17, 2008 AND MAY 21, 2008 IN ACCORDANCE WITH SECTION 10 OF ARTICLE 11 05 OF VALE'S BY-LAWS. Management For For AMEND ARTICLE 1 OF VALE'S BY-LAWS TO REPLACE THE ACRONYM "CVRD" FOR "VALE" IN ACCORDANCE WITH THE NEW 06 GLOBAL BRAND UNIFICATION. Management For For TO ADJUST ARTICLES 5 AND 6 OF VALE'S BY-LAWS TO REFLECT THE CAPITAL INCREASE RESOLVED IN THE BOARD OF DIRECTORS MEETINGS HELD ON JULY 22, 07 2008 AND AUGUST 05, 2008. Management For For
Page 8 of 49 17-Jul-2009 Investment Company Report COSTCO WHOLESALE CORPORATION SECURITY 22160K105 MEETING TYPE Annual TICKER SYMBOL COST MEETING DATE 28-Jan-2009 ISIN US22160K1051 AGENDA 932985623 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 JAMES D. SINEGAL For For 2 JEFFREY H. BROTMAN For For 3 RICHARD A. GALANTI For For 4 DANIEL J. EVANS For For 5 JEFFREY S. RAIKES For For RATIFICATION OF SELECTION 02 OF INDEPENDENT AUDITORS. Management For For
Page 9 of 49 17-Jul-2009 Investment Company Report EMERSON ELECTRIC CO. SECURITY 291011104 MEETING TYPE Annual TICKER SYMBOL EMR MEETING DATE 03-Feb-2009 ISIN US2910111044 AGENDA 932983681 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 A.A. BUSCH III* For For 2 A.F. GOLDEN* For For 3 H. GREEN* For For 4 W.R. JOHNSON* For For 5 J.B. MENZER* For For 6 V.R. LOUCKS, JR.** For For RATIFICATION OF KPMG LLP AS INDEPENDENT REGISTERED 02 PUBLIC ACCOUNTING FIRM. Management For For
Page 10 of 49 17-Jul-2009 Investment Company Report AMERISOURCEBERGEN CORPORATION SECURITY 03073E105 MEETING TYPE Annual TICKER SYMBOL ABC MEETING DATE 19-Feb-2009 ISIN US03073E1055 AGENDA 932989227 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A RICHARD C. GOZON Management For For ELECTION OF DIRECTOR: 1B MICHAEL J. LONG Management For For ELECTION OF DIRECTOR: 1C J. LAWRENCE WILSON Management For For RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS AMERISOURCEBERGEN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 2 FOR FISCAL YEAR 2009. Management For For APPROVAL OF AMENDMENTS TO THE AMERISOURCEBERGEN CORPORATION 2002 MANAGEMENT STOCK INCENTIVE PLAN AND APPROVAL OF THE PLAN, 3 AS AMENDED. Management Against Against STOCKHOLDER PROPOSAL TO REDEEM COMPANY'S 4 POISON PILL. Shareholder For Against
Page 11 of 49 17-Jul-2009 Investment Company Report APPLE INC. SECURITY 037833100 MEETING TYPE Annual TICKER SYMBOL AAPL MEETING DATE 25-Feb-2009 ISIN US0378331005 AGENDA 932989760 -- 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. Withheld Against 4 STEVEN P. JOBS For For 5 ANDREA JUNG For For 6 A.D. LEVINSON, PH.D. For For 7 ERIC E. SCHMIDT, PH.D. For For 8 JEROME B. YORK For For SHAREHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS AND EXPENDITURES REPORT, IF PROPERLY PRESENTED 02 AT THE MEETING. Shareholder Against For SHAREHOLDER PROPOSAL REGARDING ADOPTION OF PRINCIPLES FOR HEALTH CARE REFORM, IF PROPERLY PRESENTED AT 03 THE MEETING. Shareholder Against For SHAREHOLDER PROPOSAL REGARDING SUSTAINABILITY REPORT, IF PROPERLY PRESENTED AT THE 04 MEETING. Shareholder Against For SHAREHOLDER PROPOSAL REGARDING ADVISORY VOTE ON COMPENSATION, IF PROPERLY PRESENTED 05 AT THE MEETING. Shareholder Against For
Page 12 of 49 17-Jul-2009 Investment Company Report DEERE & COMPANY SECURITY 244199105 MEETING TYPE Annual TICKER SYMBOL DE MEETING DATE 25-Feb-2009 ISIN US2441991054 AGENDA 932992185 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A CRANDALL C. BOWLES Management For For ELECTION OF DIRECTOR: 1B VANCE D. COFFMAN Management For For ELECTION OF DIRECTOR: 1C CLAYTON M. JONES Management For For ELECTION OF DIRECTOR: 1D THOMAS H. PATRICK Management For For RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 02 FISCAL 2009 Management For For STOCKHOLDER PROPOSAL #1 -- ANNUAL ELECTION 03 OF DIRECTORS Management For For STOCKHOLDER PROPOSAL #2 -- ADVISORY VOTE ON 04 EXECUTIVE COMPENSATION Shareholder Against For STOCKHOLDER PROPOSAL #3 -- SEPARATION OF CEO AND CHAIRMAN 05 RESPONSIBILITIES Shareholder For Against
Page 13 of 49 17-Jul-2009 Investment Company Report QUALCOMM, INCORPORATED SECURITY 747525103 MEETING TYPE Annual TICKER SYMBOL QCOM MEETING DATE 03-Mar-2009 ISIN US7475251036 AGENDA 932990218 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 BARBARA T. ALEXANDER For For 2 STEPHEN M. BENNETT For For 3 DONALD G. CRUICKSHANK For For 4 RAYMOND V. DITTAMORE For For 5 THOMAS W. HORTON For For 6 IRWIN MARK JACOBS For For 7 PAUL E. JACOBS For For 8 ROBERT E. KAHN For For 9 SHERRY LANSING For For 10 DUANE A. NELLES For For 11 MARC I. STERN For For 12 BRENT SCOWCROFT For For TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT PUBLIC ACCOUNTANTS FOR THE COMPANY'S FISCAL YEAR 02 ENDING SEPTEMBER 27, 2009. Management For For
Page 14 of 49 17-Jul-2009 Investment Company Report HOLOGIC, INC. SECURITY 436440101 MEETING TYPE Annual TICKER SYMBOL HOLX MEETING DATE 04-Mar-2009 ISIN US4364401012 AGENDA 932996373 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 JOHN W. CUMMING For For 2 ROBERT A. CASCELLA For For 3 DAVID R. LAVANCE, JR. For For 4 NANCY L. LEAMING For For 5 LAWRENCE M. LEVY For For 6 GLENN P. MUIR For For 7 ELAINE S. ULLIAN For For 8 SALLY W. CRAWFORD For For 9 WAYNE WILSON For For TO CONSIDER AND ACT UPON A STOCK OPTION EXCHANGE PROGRAM FOR 02 ELIGIBLE EMPLOYEES Management Against Against TO CONSIDER AND ACT UPON THE ADJOURNMENT OF THE ANNUAL MEETING, INCLUDING, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE FOREGOING PROPOSALS, AS DESCRIBED IN THE ACCOMPANYING 03 PROXY STATEMENT Management For For
Page 15 of 49 17-Jul-2009 Investment Company Report UNITED TECHNOLOGIES CORPORATION SECURITY 913017109 MEETING TYPE Annual TICKER SYMBOL UTX MEETING DATE 08-Apr-2009 ISIN US9130171096 AGENDA 933001644 -- 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 CARLOS M. GUTIERREZ For For 7 EDWARD A. KANGAS For For 8 CHARLES R. LEE For For 9 RICHARD D. MCCORMICK For For 10 HAROLD MCGRAW III For For 11 RICHARD B. MYERS For For 12 H. PATRICK SWYGERT For For 13 ANDRE VILLENEUVE For For 14 CHRISTINE TODD WHITMAN For For APPOINTMENT OF 02 INDEPENDENT AUDITORS Management For For SHAREOWNER PROPOSAL: OFFSETS FOR FOREIGN 03 MILITARY SALES Shareholder Against For
Page 16 of 49 17-Jul-2009 Investment Company Report T. ROWE PRICE GROUP, INC. SECURITY 74144T108 MEETING TYPE Annual TICKER SYMBOL TROW MEETING DATE 08-Apr-2009 ISIN US74144T1088 AGENDA 933001961 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A EDWARD C. BERNARD Management For For ELECTION OF DIRECTOR: 1B JAMES T. BRADY Management For For ELECTION OF DIRECTOR: J. 1C ALFRED BROADDUS, JR. Management For For ELECTION OF DIRECTOR: 1D DONALD B. HEBB, JR. Management For For ELECTION OF DIRECTOR: 1E JAMES A.C. KENNEDY Management For For ELECTION OF DIRECTOR: 1F BRIAN C. ROGERS Management For For ELECTION OF DIRECTOR: DR. 1G ALFRED SOMMER Management For For ELECTION OF DIRECTOR: 1H DWIGHT S. TAYLOR Management For For ELECTION OF DIRECTOR: ANNE 1I MARIE WHITTEMORE Management For For RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 02 2009. Management For For
Page 17 of 49 17-Jul-2009 Investment Company Report SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) SECURITY 806857108 MEETING TYPE Annual TICKER SYMBOL SLB MEETING DATE 08-Apr-2009 ISIN AN8068571086 AGENDA 933013865 -- 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 L.R. REIF For For 9 T.I. SANDVOLD For For 10 H. SEYDOUX For For 11 L.G. STUNTZ For For PROPOSAL TO ADOPT AND APPROVE OF FINANCIALS 02 AND DIVIDENDS. Management For For PROPOSAL REGARDING A STOCKHOLDER ADVISORY VOTE ON NAMED EXECUTIVE OFFICER 03 COMPENSATION. Shareholder Against For PROPOSAL TO APPROVE OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING 04 FIRM. Management For For
Page 18 of 49 17-Jul-2009 Investment Company Report COMPANHIA VALE DO RIO DOCE SECURITY 204412209 MEETING TYPE Special TICKER SYMBOL RIO MEETING DATE 16-Apr-2009 ISIN US2044122099 AGENDA 933027953 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- APPRECIATION OF THE MANAGEMENTS' REPORT AND ANALYSIS, DISCUSSION AND VOTE ON THE FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDING DECEMBER 31, O1A 2008 Management For For PROPOSAL FOR THE DESTINATION OF PROFITS OF THE SAID FISCAL YEAR AND APPROVAL OF THE INVESTMENT O1B BUDGET FOR VALE Management For For APPOINTMENT OF THE MEMBERS O1C OF THE BOARD OF DIRECTORS Management For For APPOINTMENT OF THE MEMBERS O1D OF THE FISCAL COUNCIL Management For For ESTABLISHMENT OF THE REMUNERATION OF THE SENIOR MANAGEMENT AND FISCAL O1E COUNCIL MEMBERS Management For For TO CHANGE THE LEGAL NAME OF THE COMPANY TO "VALE S.A.", WITH THE CONSEQUENT AMENDMENT OF ARTICLE 1 OF VALE'S BY-LAWS IN ACCORDANCE WITH THE NEW E2A GLOBAL BRAND UNIFICATION Management For For TO ADJUST ARTICLE 5 OF VALE'S BY-LAWS TO REFLECT THE CAPITAL INCREASE RESOLVED IN THE BOARD OF DIRECTORS MEETINGS HELD ON JULY 22, 2008 AND AUGUST E2B 05, 2008 Management For For
Page 19 of 49 17-Jul-2009 Investment Company Report AMERICA MOVIL, S.A.B. DE C.V. SECURITY 02364W105 MEETING TYPE Annual TICKER SYMBOL AMX MEETING DATE 20-Apr-2009 ISIN US02364W1053 AGENDA 933052730 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- APPOINTMENT OR, AS THE CASE MAY BE, REELECTION OF THE MEMBERS OF THE BOARD OF DIRECTORS OF THE COMPANY THAT THE HOLDERS OF THE SERIES "L" SHARES ARE ENTITLED TO APPOINT. ADOPTION OF RESOLUTION I THEREON. Management For N/A APPOINTMENT OF DELEGATES TO EXECUTE AND, IF APPLICABLE, FORMALIZE THE RESOLUTIONS ADOPTED BY THE MEETING. ADOPTION OF II RESOLUTIONS THEREON. Management For N/A
Page 20 of 49 17-Jul-2009 Investment Company Report NORTHERN TRUST CORPORATION SECURITY 665859104 MEETING TYPE Annual TICKER SYMBOL NTRS MEETING DATE 21-Apr-2009 ISIN US6658591044 AGENDA 933012748 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 LINDA WALKER BYNOE For For 2 NICHOLAS D. CHABRAJA For For 3 SUSAN CROWN For For 4 DIPAK C. JAIN For For 5 ARTHUR L. KELLY For For 6 ROBERT C. MCCORMACK For For 7 EDWARD J. MOONEY For For 8 WILLIAM A. OSBORN For For 9 JOHN W. ROWE For For 10 HAROLD B. SMITH For For 11 WILLIAM D. SMITHBURG For For 12 ENRIQUE J. SOSA For For 13 CHARLES A. TRIBBETT III For For 14 FREDERICK H. WADDELL For For RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 02 2009. Management For For ADOPTION OF THE PROPOSAL RELATING TO AN ADVISORY (NON-BINDING) VOTE ON EXECUTIVE 03 COMPENSATION. Management Against Against
Page 21 of 49 17-Jul-2009 Investment Company Report ENCANA CORPORATION SECURITY 292505104 MEETING TYPE Annual TICKER SYMBOL ECA MEETING DATE 22-Apr-2009 ISIN CA2925051047 AGENDA 933020062 -- 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 CLAIRE S. FARLEY For For 6 MICHAEL A. GRANDIN For For 7 BARRY W. HARRISON For For 8 VALERIE A.A. NIELSEN For For 9 DAVID P. O'BRIEN For For 10 JANE L. PEVERETT For For 11 ALLAN P. SAWIN For For 12 WAYNE G. THOMSON For For 13 CLAYTON H. WOITAS For For APPOINTMENT OF AUDITORS - PRICEWATERHOUSECOOPERS LLP AT A REMUNERATION TO BE FIXED BY THE BOARD OF 02 DIRECTORS. Management For For
Page 22 of 49 17-Jul-2009 Investment Company Report JOHNSON & JOHNSON SECURITY 478160104 MEETING TYPE Annual TICKER SYMBOL JNJ MEETING DATE 23-Apr-2009 ISIN US4781601046 AGENDA 933008523 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A MARY SUE COLEMAN Management For For ELECTION OF DIRECTOR: 1B JAMES G. CULLEN Management For For ELECTION OF DIRECTOR: 1C MICHAEL M.E. JOHNS Management For For ELECTION OF DIRECTOR: 1D ARNOLD G. LANGBO Management For For ELECTION OF DIRECTOR: 1E SUSAN L. LINDQUIST Management For For ELECTION OF DIRECTOR: 1F LEO F. MULLIN Management For For ELECTION OF DIRECTOR: 1G WILLIAM D. PEREZ Management For For ELECTION OF DIRECTOR: 1H CHARLES PRINCE Management For For ELECTION OF DIRECTOR: 1I DAVID SATCHER Management For For ELECTION OF DIRECTOR: 1J WILLIAM C. WELDON Management For For RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM Management For For ADVISORY VOTE ON EXECUTIVE COMPENSATION POLICIES 03 AND DISCLOSURE Shareholder Against For
Page 23 of 49 17-Jul-2009 Investment Company Report BURLINGTON NORTHERN SANTA FE CORPORATION SECURITY 12189T104 MEETING TYPE Annual TICKER SYMBOL BNI MEETING DATE 23-Apr-2009 ISIN US12189T1043 AGENDA 933013625 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A A.L. BOECKMANN Management For For ELECTION OF DIRECTOR: 1B D.G. COOK Management For For ELECTION OF DIRECTOR: 1C V.S. MARTINEZ Management For For ELECTION OF DIRECTOR: 1D M.F. RACICOT Management For For ELECTION OF DIRECTOR: 1E R.S. ROBERTS Management For For ELECTION OF DIRECTOR: 1F M.K. ROSE Management For For ELECTION OF DIRECTOR: 1G M.J. SHAPIRO Management For For ELECTION OF DIRECTOR: 1H J.C. WATTS, JR. Management For For ELECTION OF DIRECTOR: 1I R.H. WEST Management For For ELECTION OF DIRECTOR: 1J J.S. WHISLER Management For For ELECTION OF DIRECTOR: 1K E.E. WHITACRE, JR. Management For For RATIFICATION OF THE 02 APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT AUDITOR FOR 2009 (ADVISORY VOTE). PROPOSAL REGARDING SAY 03 ON EXECUTIVE PAY. Shareholder Against For PROPOSAL REGARDING 04 SPECIAL SHAREOWNER Shareholder Against For MEETINGS. PROPOSAL REGARDING 05 REPORT ON POLITICAL Shareholder Against For CONTRIBUTIONS.
Page 24 of 49 17-Jul-2009 Investment Company Report NESTLE S.A. SECURITY 641069406 MEETING TYPE Annual TICKER SYMBOL NSRGY MEETING DATE 23-Apr-2009 ISIN US6410694060 AGENDA 933021711 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- APPROVAL OF THE 2008 ANNUAL REPORT, FINANCIAL STATEMENTS OF NESTLE S.A. AND CONSOLIDATED FINANCIAL STATEMENTS OF THE NESTLE 1A GROUP.* Management For For ACCEPTANCE OF THE 2008 COMPENSATION REPORT (NON- 1B BINDING ADVISORY VOTE). Management For For RELEASE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND 02 OF THE MANAGEMENT. Management For For APPROPRIATION OF PROFITS RESULTING FROM THE BALANCE SHEET OF NESTLE S.A. (PROPOSED DIVIDEND) FOR 03 THE FINANCIAL YEAR 2008. Management For For RE-ELECTION TO THE BOARD OF DIRECTORS: MR. DANIEL 4A1 BOREL Management For For RE-ELECTION TO THE BOARD OF DIRECTORS: MS. CAROLINA 4A2 MULLER-MOHL Management For For ELECTION OF THE STATUTORY AUDITORS KPMG S.A., GENEVA BRANCH (FOR A TERM OF ONE 4B YEAR). Management For For CAPITAL REDUCTION (BY 05 CANCELLATION OF SHARES). Management For For MARK THE "FOR" BOX TO THE RIGHT IF YOU WISH TO GIVE A PROXY TO INDEPENDENT REPRESENTATIVE, MR. JEAN- 06 LUDOVIC HARTMAN Management For
Page 25 of 49 17-Jul-2009 Investment Company Report INTERNATIONAL BUSINESS MACHINES CORP. SECURITY 459200101 MEETING TYPE Annual TICKER SYMBOL IBM MEETING DATE 28-Apr-2009 ISIN US4592001014 AGENDA 933008725 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A A.J.P. BELDA Management For For ELECTION OF DIRECTOR: 1B C. BLACK Management For For ELECTION OF DIRECTOR: 1C W.R. BRODY Management For For ELECTION OF DIRECTOR: 1D K.I. CHENAULT Management For For ELECTION OF DIRECTOR: 1E M.L. ESKEW Management For For ELECTION OF DIRECTOR: 1F S.A. JACKSON Management For For ELECTION OF DIRECTOR: 1G T. NISHIMURO Management For For ELECTION OF DIRECTOR: 1H J.W. OWENS Management For For ELECTION OF DIRECTOR: 1I S.J. PALMISANO Management For For ELECTION OF DIRECTOR: 1J J.E. SPERO Management For For ELECTION OF DIRECTOR: 1K S. TAUREL Management For For ELECTION OF DIRECTOR: 1L L.H. ZAMBRANO Management For For RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM Management For For APPROVAL OF LONG-TERM INCENTIVE PERFORMANCE TERMS FOR CERTAIN EXECUTIVES PURSUANT TO SECTION 162(M) OF THE INTERNAL 03 REVENUE CODE Management Against Against STOCKHOLDER PROPOSAL 04 ON CUMULATIVE VOTING Shareholder For Against STOCKHOLDER PROPOSAL ON EXECUTIVE COMPENSATION AND 05 PENSION INCOME Shareholder Against For STOCKHOLDER PROPOSAL ON ADVISORY VOTE ON 06 EXECUTIVE COMPENSATION Shareholder Against For
Page 26 of 49 17-Jul-2009 Investment Company Report EXELON CORPORATION SECURITY 30161N101 MEETING TYPE Annual TICKER SYMBOL EXC MEETING DATE 28-Apr-2009 ISIN US30161N1019 AGENDA 933010984 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A JOHN A. CANNING, JR. Management For For ELECTION OF DIRECTOR: 1B M. WALTER D'ALESSIO Management For For ELECTION OF DIRECTOR: 1C BRUCE DEMARS Management For For ELECTION OF DIRECTOR: 1D NELSON A. DIAZ Management For For ELECTION OF DIRECTOR: 1E ROSEMARIE B. GRECO Management For For ELECTION OF DIRECTOR: 1F PAUL L. JOSKOW Management For For ELECTION OF DIRECTOR: 1G JOHN M. PALMS Management For For ELECTION OF DIRECTOR: 1H JOHN W. ROGERS, JR. Management For For ELECTION OF DIRECTOR: 1I JOHN W. ROWE Management For For ELECTION OF DIRECTOR: 1J STEPHEN D. STEINOUR Management For For THE RENEWAL OF THE EXELON CORPORATION ANNUAL INCENTIVE PLAN FOR SENIOR EXECUTIVES EFFECTIVE JANUARY 1, 02 2009. Management Against Against THE RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS EXELON'S INDEPENDENT ACCOUNTANT 03 FOR 2009. Management For For A SHAREHOLDER RECOMMENDATION TO PREPARE A REPORT SHOWING THAT EXELON'S ACTIONS TO REDUCE GLOBAL WARMING HAVE REDUCED MEAN GLOBAL TEMPERATURE OR AVOIDED 04 DISASTERS. Shareholder Against For
Page 27 of 49 17-Jul-2009 Investment Company Report STRYKER CORPORATION SECURITY 863667101 MEETING TYPE Annual TICKER SYMBOL SYK MEETING DATE 29-Apr-2009 ISIN US8636671013 AGENDA 933013966 -- 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 LOUISE L. FRANCESCONI For For 5 HOWARD L. LANCE For For 6 STEPHEN P. MACMILLAN For For 7 WILLIAM U. PARFET For For 8 RONDA E. STRYKER For For RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 02 2009. Management For For
Page 28 of 49 17-Jul-2009 Investment Company Report CORNING INCORPORATED SECURITY 219350105 MEETING TYPE Annual TICKER SYMBOL GLW MEETING DATE 30-Apr-2009 ISIN US2193501051 AGENDA 933011570 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTORS Management 1 JAMES B. FLAWS For For 2 JAMES R. HOUGHTON For For 3 JAMES J. O'CONNOR For For 4 DEBORAH D. RIEMAN For For 5 PETER F. VOLANAKIS For For 6 MARK S. WRIGHTON For For RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS CORNING'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDING 02 DECEMBER 31, 2009. Management For For SHAREHOLDER PROPOSAL REGARDING A DIRECTOR ELECTION MAJORITY VOTE 03 STANDARD. Shareholder For Against SHAREHOLDER PROPOSAL RELATING TO THE ELECTION OF EACH DIRECTOR 04 ANNUALLY. Shareholder For Against
Page 29 of 49 17-Jul-2009 Investment Company Report OCCIDENTAL PETROLEUM CORPORATION SECURITY 674599105 MEETING TYPE Annual TICKER SYMBOL OXY MEETING DATE 01-May-2009 ISIN US6745991058 AGENDA 933021230 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A SPENCER ABRAHAM Management For For ELECTION OF DIRECTOR: 1B RONALD W. BURKLE Management Against Against ELECTION OF DIRECTOR: 1C JOHN S. CHALSTY Management For For ELECTION OF DIRECTOR: 1D EDWARD P. DJEREJIAN Management For For ELECTION OF DIRECTOR: 1E JOHN E. FEICK Management For For ELECTION OF DIRECTOR: 1F RAY R. IRANI Management For For ELECTION OF DIRECTOR: 1G IRVIN W. MALONEY Management For For ELECTION OF DIRECTOR: 1H AVEDICK B. POLADIAN Management For For ELECTION OF DIRECTOR: 1I RODOLFO SEGOVIA Management For For ELECTION OF DIRECTOR: 1J AZIZ D. SYRIANI Management For For ELECTION OF DIRECTOR: 1K ROSEMARY TOMICH Management For For ELECTION OF DIRECTOR: 1L WALTER L. WEISMAN Management For For RATIFICATION OF SELECTION OF KPMG AS 02 INDEPENDENT AUDITORS. Management For For AMENDMENT OF RESTATED CERTIFICATE OF INCORPORATION TO PERMIT STOCKHOLDERS TO 03 CALL SPECIAL MEETINGS. Management For For REPORT ON ASSESSMENT 04 OF HOST COUNTRY LAWS. Shareholder Against For
Page 30 of 49 17-Jul-2009 Investment Company Report ITRON, INC. SECURITY 465741106 MEETING TYPE Annual TICKER SYMBOL ITRI MEETING DATE 05-May-2009 ISIN US4657411066 AGENDA 933017433 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A MICHAEL B. BRACY Management For For ELECTION OF DIRECTOR: 1B KIRBY A. DYESS Management For For ELECTION OF DIRECTOR: 1C GRAHAM M. WILSON Management For For THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2 THE 2009 FISCAL YEAR; Management For For
Page 31 of 49 17-Jul-2009 Investment Company Report DANAHER CORPORATION SECURITY 235851102 MEETING TYPE Annual TICKER SYMBOL DHR MEETING DATE 05-May-2009 ISIN US2358511028 AGENDA 933024591 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A MORTIMER M. CAPLIN Management For For ELECTION OF DIRECTOR: 1B DONALD J. EHRLICH Management For For ELECTION OF DIRECTOR: 1C WALTER G. LOHR, JR. Management For For ELECTION OF DIRECTOR: 1D LINDA P. HEFNER Management For For TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS DANAHER'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING 02 DECEMBER 31, 2009. Management For For TO APPROVE CERTAIN AMENDMENTS TO DANAHER'S 2007 STOCK 03 INCENTIVE PLAN. Management Against Against TO ACT UPON A SHAREHOLDER PROPOSAL REQUESTING THAT DANAHER'S COMPENSATION COMMITTEE ADOPT SPECIFIED PRINCIPLES RELATING TO THE EMPLOYMENT OF ANY NAMED EXECUTIVE 04 OFFICER. Shareholder For Against TO ACT UPON A SHAREHOLDER PROPOSAL REQUESTING THAT DANAHER'S COMPENSATION COMMITTEE ADOPT A POLICY REQUIRING THAT SENIOR EXECUTIVES RETAIN A SIGNIFICANT PERCENTAGE OF SHARES ACQUIRED THROUGH EQUITY COMPENSATION PROGRAMS UNTIL TWO YEARS FOLLOWING TERMINATION OF THEIR 05 EMPLOYMENT. Shareholder For Against TO ACT UPON A SHAREHOLDER PROPOSAL REQUESTING THAT DANAHER'S BOARD OF DIRECTORS ISSUE A REPORT IDENTIFYING POLICY OPTIONS FOR ELIMINATING EXPOSURE OF THE ENVIRONMENT AND DENTAL CONSUMERS TO MERCURY FROM DENTAL AMALGAMS SOLD BY 06 DANAHER. Shareholder Against For
Page 32 of 49 17-Jul-2009 Investment Company Report AMERICAN TOWER CORPORATION SECURITY 029912201 MEETING TYPE Annual TICKER SYMBOL AMT MEETING DATE 06-May-2009 ISIN US0299122012 AGENDA 933022749 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A RAYMOND P. DOLAN Management For For ELECTION OF DIRECTOR: 1B RONALD M. DYKES Management For For ELECTION OF DIRECTOR: 1C CAROLYN F. KATZ Management For For ELECTION OF DIRECTOR: 1D GUSTAVO LARA CANTU Management For For ELECTION OF DIRECTOR: 1E JOANN A. REED Management For For ELECTION OF DIRECTOR: 1F PAMELA D.A. REEVE Management For For ELECTION OF DIRECTOR: 1G DAVID E. SHARBUTT Management For For ELECTION OF DIRECTOR: 1H JAMES D. TAICLET, JR. Management For For ELECTION OF DIRECTOR: 1I SAMME L. THOMPSON Management For For RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM FOR 2009. Management For For
Page 33 of 49 17-Jul-2009 Investment Company Report GILEAD SCIENCES, INC. SECURITY 375558103 MEETING TYPE Annual TICKER SYMBOL GILD MEETING DATE 06-May-2009 ISIN US3755581036 AGENDA 933024248 -- 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 RICHARD J. WHITLEY For For 11 GAYLE E. WILSON For For TO RATIFY THE SELECTION OF ERNST & YOUNG LLP BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF GILEAD FOR THE FISCAL YEAR ENDING DECEMBER 02 31, 2009. Management For For TO APPROVE AN AMENDMENT TO GILEAD'S 2004 EQUITY 03 INCENTIVE PLAN. Management Against Against
Page 34 of 49 17-Jul-2009 Investment Company Report GOOGLE INC. SECURITY 38259P508 MEETING TYPE Annual TICKER SYMBOL GOOG MEETING DATE 07-May-2009 ISIN US38259P5089 AGENDA 933017178 -- 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 RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS GOOGLE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 02 2009. Management For For APPROVAL OF AN AMENDMENT TO GOOGLE'S 2004 STOCK PLAN TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CLASS A COMMON STOCK ISSUABLE UNDER THE 03 PLAN BY 8,500,000. Management Against Against STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTION 04 DISCLOSURE. Management Against Against STOCKHOLDER PROPOSAL REGARDING INTERNET 05 CENSORSHIP. Shareholder Against For STOCKHOLDER PROPOSAL REGARDING HEALTH CARE 06 REFORM. Shareholder Against For
Page 35 of 49 17-Jul-2009 Investment Company Report APACHE CORPORATION SECURITY 037411105 MEETING TYPE Annual TICKER SYMBOL APA MEETING DATE 07-May-2009 ISIN US0374111054 AGENDA 933026254 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 01 FREDERICK M. BOHEN Management For For ELECTION OF DIRECTOR: 02 GEORGE D. LAWRENCE Management For For ELECTION OF DIRECTOR: 03 RODMAN D. PATTON Management For For ELECTION OF DIRECTOR: 04 CHARLES J. PITMAN Management For For
Page 36 of 49 17-Jul-2009 Investment Company Report THE GOLDMAN SACHS GROUP, INC. SECURITY 38141G104 MEETING TYPE Annual TICKER SYMBOL GS MEETING DATE 08-May-2009 ISIN US38141G1040 AGENDA 933037322 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A LLOYD C. BLANKFEIN Management For For ELECTION OF DIRECTOR: 1B JOHN H. BRYAN Management Against Against ELECTION OF DIRECTOR: 1C GARY D. COHN Management For For ELECTION OF DIRECTOR: 1D CLAES DAHLBACK Management For For ELECTION OF DIRECTOR: 1E STEPHEN FRIEDMAN Management For For ELECTION OF DIRECTOR: 1F WILLIAM W. GEORGE Management For For ELECTION OF DIRECTOR: 1G RAJAT K. GUPTA Management For For ELECTION OF DIRECTOR: 1H JAMES A. JOHNSON Management For For ELECTION OF DIRECTOR: 1I LOIS D. JULIBER Management For For ELECTION OF DIRECTOR: 1J LAKSHMI N. MITTAL Management For For ELECTION OF DIRECTOR: 1K JAMES J. SCHIRO Management For For ELECTION OF DIRECTOR: 1L RUTH J. SIMMONS Management For For RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR 2009 02 FISCAL YEAR Management For For ADVISORY VOTE TO APPROVE EXECUTIVE 03 COMPENSATION Management Against Against SHAREHOLDER PROPOSAL REGARDING CUMULATIVE 04 VOTING Shareholder For Against SHAREHOLDER PROPOSAL REGARDING SIMPLE MAJORITY 05 VOTE Shareholder For Against SHAREHOLDER PROPOSAL TO AMEND BY-LAWS TO PROVIDE FOR A BOARD COMMITTEE ON U.S. 06 ECONOMIC SECURITY Shareholder Against For SHAREHOLDER PROPOSAL REGARDING POLITICAL 07 CONTRIBUTIONS Shareholder Against For
Page 37 of 49 17-Jul-2009 Investment Company Report ENTERGY CORPORATION SECURITY 29364G103 MEETING TYPE Annual TICKER SYMBOL ETR MEETING DATE 08-May-2009 ISIN US29364G1031 AGENDA 933037687 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: M.S. 1A BATEMAN Management For For ELECTION OF DIRECTOR: W.F. 1B BLOUNT Management For For ELECTION OF DIRECTOR: G.W. 1C EDWARDS Management For For ELECTION OF DIRECTOR: A.M. 1D HERMAN Management For For ELECTION OF DIRECTOR: D.C. 1E HINTZ Management For For ELECTION OF DIRECTOR: J.W. 1F LEONARD Management For For ELECTION OF DIRECTOR: S.L. 1G LEVENICK Management For For ELECTION OF DIRECTOR: J.R. 1H NICHOLS Management For For ELECTION OF DIRECTOR: W.A. 1I PERCY, II Management For For ELECTION OF DIRECTOR: W.J. 1J TAUZIN Management For For ELECTION OF DIRECTOR: S.V. 1K WILKINSON Management For For RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 02 2009. Management For For
Page 38 of 49 17-Jul-2009 Investment Company Report CME GROUP SECURITY 12572Q105 MEETING TYPE Annual TICKER SYMBOL CME MEETING DATE 13-May-2009 ISIN US12572Q1058 AGENDA 933026999 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 DENNIS H. CHOOKASZIAN For For 2 ROBERT F. CORVINO For For 3 LARRY G. GERDES For For 4 DANIEL R. GLICKMAN For For 5 JAMES E. OLIFF For For 6 JOHN L. PIETRZAK For For 7 ALEX J. POLLOCK For For 8 WILLIAM R. SHEPARD For For TO APPROVE THE CME GROUP INC. AMENDED AND RESTATED OMNIBUS STOCK 02 PLAN. Management Against Against TO APPROVE THE CME GROUP INC. AMENDED AND RESTATED 2005 DIRECTOR 03 STOCK PLAN. Management Against Against TO APPROVE THE CME GROUP INC. AMENDED AND RESTATED INCENTIVE PLAN FOR HIGHLY COMPENSATED 04 EXECUTIVE OFFICERS. Management Against Against TO RATIFY ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC 05 ACCOUNTING FIRM. Management For For
Page 39 of 49 17-Jul-2009 Investment Company Report JPMORGAN CHASE & CO. SECURITY 46625H100 MEETING TYPE Annual TICKER SYMBOL JPM MEETING DATE 19-May-2009 ISIN US46625H1005 AGENDA 933038641 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A CRANDALL C. BOWLES Management For For ELECTION OF DIRECTOR: 1B STEPHEN B. BURKE Management For For ELECTION OF DIRECTOR: 1C DAVID M. COTE Management For For ELECTION OF DIRECTOR: 1D JAMES S. CROWN Management For For ELECTION OF DIRECTOR: 1E JAMES DIMON Management For For ELECTION OF DIRECTOR: 1F ELLEN V. FUTTER Management For For ELECTION OF DIRECTOR: 1G WILLIAM H. GRAY, III Management For For ELECTION OF DIRECTOR: 1H LABAN P. JACKSON, JR. Management For For ELECTION OF DIRECTOR: 1I DAVID C. NOVAK Management For For ELECTION OF DIRECTOR: 1J LEE R. RAYMOND Management For For ELECTION OF DIRECTOR: 1K WILLIAM C. WELDON Management For For APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM Management For For ADVISORY VOTE ON 03 EXECUTIVE COMPENSATION Management Against Against GOVERNMENTAL SERVICE 04 REPORT Shareholder Against For 05 CUMULATIVE VOTING Shareholder For Against SPECIAL SHAREOWNER 06 MEETINGS Shareholder For Against CREDIT CARD LENDING 07 PRACTICES Shareholder Against For 08 CHANGES TO KEPP Shareholder Against For 09 SHARE RETENTION Shareholder For Against CARBON PRINCIPLES 10 REPORT Shareholder Against For
Page 40 of 49 17-Jul-2009 Investment Company Report AKAMAI TECHNOLOGIES, INC. SECURITY 00971T101 MEETING TYPE Annual TICKER SYMBOL AKAM MEETING DATE 19-May-2009 ISIN US00971T1016 AGENDA 933051497 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A GEORGE H. CONRADES Management For For ELECTION OF DIRECTOR: 1B MARTIN M. COYNE II Management For For ELECTION OF DIRECTOR: 1C JILL A. GREENTHAL Management For For ELECTION OF DIRECTOR: 1D GEOFFREY A. MOORE Management For For TO APPROVE ADOPTION OF THE AKAMAI TECHNOLOGIES, INC. 2009 02 STOCK INCENTIVE PLAN. Management Against Against TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT AUDITORS OF AKAMAI TECHNOLOGIES, INC. FOR THE FISCAL YEAR ENDING 03 DECEMBER 31, 2009. Management For For
Page 41 of 49 17-Jul-2009 Investment Company Report EXXON MOBIL CORPORATION SECURITY 30231G102 MEETING TYPE Annual TICKER SYMBOL XOM MEETING DATE 27-May-2009 ISIN US30231G1022 AGENDA 933046965 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 M.J. BOSKIN For For 2 L.R. FAULKNER For For 3 K.C. FRAZIER For For 4 W.W. GEORGE For For 5 R.C. KING For For 6 M.C. NELSON For For 7 S.J. PALMISANO For For 8 S.S REINEMUND For For 9 R.W. TILLERSON For For 10 E.E. WHITACRE, JR. For For RATIFICATION OF INDEPENDENT AUDITORS 02 (PAGE 50) Management For For CUMULATIVE VOTING 03 (PAGE 51) Shareholder For Against SPECIAL SHAREHOLDER 04 MEETINGS (PAGE 53) Shareholder For Against INCORPORATE IN NORTH 05 DAKOTA (PAGE 54) Shareholder For Against BOARD CHAIRMAN AND CEO 06 (PAGE 55) Shareholder Against For SHAREHOLDER ADVISORY VOTE ON EXECUTIVE 07 COMPENSATION (PAGE 57) Shareholder Against For EXECUTIVE COMPENSATION 08 REPORT (PAGE 59) Shareholder Against For CORPORATE SPONSORSHIPS 09 REPORT (PAGE 60) Shareholder Against For AMENDMENT OF EEO 10 POLICY (PAGE 62) Shareholder Against For GREENHOUSE GAS EMISSIONS GOALS (PAGE 11 63) Shareholder Against For CLIMATE CHANGE AND TECHNOLOGY REPORT 12 (PAGE 65) Shareholder Against For RENEWABLE ENERGY 13 POLICY (PAGE 66) Shareholder Against For
Page 42 of 49 17-Jul-2009 Investment Company Report CHEVRON CORPORATION SECURITY 166764100 MEETING TYPE Annual TICKER SYMBOL CVX MEETING DATE 27-May-2009 ISIN US1667641005 AGENDA 933051067 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A S.H. ARMACOST Management For For ELECTION OF DIRECTOR: 1B L.F. DEILY Management For For ELECTION OF DIRECTOR: 1C R.E. DENHAM Management For For ELECTION OF DIRECTOR: 1D R.J. EATON Management For For ELECTION OF DIRECTOR: 1E E. HERNANDEZ Management For For ELECTION OF DIRECTOR: 1F F.G. JENIFER Management For For ELECTION OF DIRECTOR: 1G S. NUNN Management For For ELECTION OF DIRECTOR: 1H D.J. O'REILLY Management For For ELECTION OF DIRECTOR: 1I D.B. RICE Management For For ELECTION OF DIRECTOR: 1J K.W. SHARER Management For For ELECTION OF DIRECTOR: 1K C.R. SHOEMATE Management For For ELECTION OF DIRECTOR: 1L R.D. SUGAR Management For For ELECTION OF DIRECTOR: 1M C. WARE Management For For ELECTION OF DIRECTOR: 1N J.S. WATSON Management For For RATIFICATION OF INDEPENDENT REGISTERED PUBLIC 02 ACCOUNTING FIRM Management For For APPROVE THE MATERIAL TERMS OF PERFORMANCE GOALS FOR PERFORMANCE-BASED AWARDS UNDER THE 03 CHEVRON INCENTIVE PLAN Management Against Against APPROVE THE MATERIAL TERMS OF PERFORMANCE GOALS FOR PERFORMANCE-BASED AWARDS UNDER THE LONG-TERM INCENTIVE PLAN OF CHEVRON 04 CORPORATION Management Against Against SPECIAL STOCKHOLDER 05 MEETINGS Shareholder Against For ADVISORY VOTE ON SUMMARY COMPENSATION 06 TABLE Shareholder Against For GREENHOUSE GAS 07 EMISSIONS Shareholder Against For COUNTRY SELECTION 08 GUIDELINES Shareholder Against For 09 HUMAN RIGHTS POLICY Shareholder Against For 10 HOST COUNTRY LAWS Shareholder Against For
Page 43 of 49 17-Jul-2009 Investment Company Report MCDONALD'S CORPORATION SECURITY 580135101 MEETING TYPE Annual TICKER SYMBOL MCD MEETING DATE 27-May-2009 ISIN US5801351017 AGENDA 933053124 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A ROBERT A. ECKERT Management For For ELECTION OF DIRECTOR: 1B ENRIQUE HERNANDEZ, JR. Management For For ELECTION OF DIRECTOR: 1C JEANNE P. JACKSON Management For For ELECTION OF DIRECTOR: 1D ANDREW J. MCKENNA Management For For APPROVAL OF THE APPOINTMENT OF AN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM TO SERVE AS INDEPENDENT AUDITORS 02 FOR 2009. Management For For APPROVAL OF PERFORMANCE GOALS FOR CERTAIN QUALIFIED PERFORMANCE-BASED AWARDS UNDER THE MCDONALD'S CORPORATION AMENDED AND RESTATED 2001 OMNIBUS STOCK 03 OWNERSHIP PLAN. Management Against Against APPROVAL OF MCDONALD'S CORPORATION 2009 CASH 04 INCENTIVE PLAN. Management Against Against SHAREHOLDER PROPOSAL RELATING TO SHAREHOLDER VOTE ON EXECUTIVE 05 COMPENSATION. Shareholder Against For SHAREHOLDER PROPOSAL RELATING TO THE USE OF 06 CAGE-FREE EGGS. Shareholder Against For
Page 44 of 49 17-Jul-2009 Investment Company Report AMAZON.COM, INC. SECURITY 023135106 MEETING TYPE Annual TICKER SYMBOL AMZN MEETING DATE 28-May-2009 ISIN US0231351067 AGENDA 933053225 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- ELECTION OF DIRECTOR: 1A JEFFREY P. BEZOS Management For For ELECTION OF DIRECTOR: TOM 1B A. ALBERG Management For For ELECTION OF DIRECTOR: JOHN 1C SEELY BROWN Management For For ELECTION OF DIRECTOR: L. 1D JOHN DOERR Management For For ELECTION OF DIRECTOR: 1E WILLIAM B. GORDON Management For For ELECTION OF DIRECTOR: 1F ALAIN MONIE Management For For ELECTION OF DIRECTOR: 1G THOMAS O. RYDER Management For For ELECTION OF DIRECTOR: 1H PATRICIA Q. STONESIFER Management For For RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT AUDITORS FOR 02 2009. Management For For
Page 45 of 49 17-Jul-2009 Investment Company Report LOWE'S COMPANIES, INC. SECURITY 548661107 MEETING TYPE Annual TICKER SYMBOL LOW MEETING DATE 29-May-2009 ISIN US5486611073 AGENDA 933047359 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 01 DIRECTOR Management 1 PETER C. BROWNING For For 2 MARSHALL O. LARSEN For For 3 STEPHEN F. PAGE For For 4 O. TEMPLE SLOAN, JR. For For TO APPROVE AMENDMENTS TO THE COMPANY'S 2006 LONG TERM INCENTIVE 02 PLAN. Management Against Against TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING 03 FIRM. Management For For TO APPROVE AMENDMENTS TO LOWE'S ARTICLES OF INCORPORATION ELIMINATING ALL REMAINING SUPERMAJORITY VOTE 04 REQUIREMENTS. Management For For SHAREHOLDER PROPOSAL REGARDING REINCORPORATING IN 05 NORTH DAKOTA. Shareholder For Against SHAREHOLDER PROPOSAL REGARDING HEALTH CARE 06 REFORM PRINCIPLES. Shareholder Against For SHAREHOLDER PROPOSAL REGARDING SEPARATING THE ROLES OF CHAIRMAN 07 AND CEO. Shareholder Against For
Page 46 of 49 17-Jul-2009 Investment Company Report FREEPORT-MCMORAN COPPER & GOLD INC. SECURITY 35671D857 MEETING TYPE Annual TICKER SYMBOL FCX MEETING DATE 11-Jun-2009 ISIN US35671D8570 AGENDA 933071754 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- 1 DIRECTOR Management 1 RICHARD C. ADKERSON For For 2 ROBERT J. ALLISON, JR. For For 3 ROBERT A. DAY For For 4 GERALD J. FORD For For 5 H. DEVON GRAHAM, JR. For For 6 J. BENNETT JOHNSTON For For 7 CHARLES C. KRULAK For For 8 BOBBY LEE LACKEY For For 9 JON C. MADONNA For For 10 DUSTAN E. MCCOY For For 11 GABRIELLE K. MCDONALD For For 12 JAMES R. MOFFETT For For 13 B. M. RANKIN, JR. For For 14 J. STAPLETON ROY For For 15 STEPHEN H. SIEGELE For For 16 J. TAYLOR WHARTON For For RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS 2 INDEPENDENT AUDITOR. Management For For APPROVAL OF THE PROPOSED 2009 ANNUAL 3 INCENTIVE PLAN. Management Against Against STOCKHOLDER PROPOSAL REGARDING THE SELECTION OF A CANDIDATE WITH ENVIRONMENTAL EXPERTISE TO BE RECOMMENDED FOR ELECTION TO THE COMPANY'S BOARD OF 4 DIRECTORS. Shareholder Against For
Page 47 of 49 17-Jul-2009 Investment Company Report CELGENE CORPORATION SECURITY 151020104 MEETING TYPE Annual TICKER SYMBOL CELG MEETING DATE 17-Jun-2009 ISIN US1510201049 AGENDA 933078378 -- 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.H. HAYES, JR., M.D. For For 6 GILLA KAPLAN, PH.D. For For 7 JAMES J. LOUGHLIN For For 8 ERNEST MARIO, PH.D. For For 9 WALTER L. ROBB, PH.D. For For RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 02 2009. Management For For APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE COMPANY'S 2008 STOCK 03 INCENTIVE PLAN. Management Against Against STOCKHOLDER PROPOSAL REGARDING THE VOTING STANDARD FOR DIRECTOR 04 ELECTIONS. Shareholder Against For
Page 48 of 49 17-Jul-2009 Investment Company Report TEVA PHARMACEUTICAL INDUSTRIES LIMITED SECURITY 881624209 MEETING TYPE Annual TICKER SYMBOL TEVA MEETING DATE 22-Jun-2009 ISIN US8816242098 AGENDA 933094384 -- Management
FOR/AGAINST ITEM PROPOSAL TYPE VOTE MANAGEMENT - ------- --------------------------- ------------- ---------- ----------- TO APPROVE THE BOARD OF DIRECTORS' RECOMMENDATION THAT THE CASH DIVIDEND FOR THE YEAR ENDED DECEMBER 31, 2008, WHICH WAS PAID IN FOUR INSTALLMENTS AND AGGREGATED NIS 1.95 (APPROXIMATELY US$0.525, ACCORDING TO THE APPLICABLE EXCHANGE RATES) PER ORDINARY SHARE (OR 01 ADS), BE DECLARED FINAL. Management For For ELECTION OF DIRECTOR: DR. 2A PHILLIP FROST Management For For ELECTION OF DIRECTOR: 2B ROGER ABRAVANEL Management For For ELECTION OF DIRECTOR: 2C PROF. ELON KOHLBERG Management For For ELECTION OF DIRECTOR: 2D PROF. YITZHAK PETERBURG Management For For ELECTION OF DIRECTOR: EREZ 2E VIGODMAN Management For For TO APPOINT KESSELMAN & KESSELMAN, A MEMBER OF PRICEWATERHOUSECOOPERS INTERNATIONAL LTD., AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM UNTIL THE 2010 ANNUAL MEETING OF SHAREHOLDERS AND TO AUTHORIZE THE BOARD OF DIRECTORS TO DETERMINE THEIR COMPENSATION PROVIDED SUCH COMPENSATION IS ALSO APPROVED BY THE 03 AUDIT COMMITTEE. Management For For
Page 49 of 49 17-Jul-2009 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 /s/ William A. Oates By (Signature and Title)* William A. Oates, President and Trustee Date August 26, 2009 * Print the name and title of each signing officer under his or her signature By the Commission -----END PRIVACY-ENHANCED MESSAGE-----