N-PX 1 d583295dnpx.htm NORTHEAST INVESTORS GROWTH FUND Northeast Investors Growth Fund

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT

INVESTMENT COMPANY

Investment Company Act file number: 811-03074

Northeast Investors Growth Fund

(Exact name of registrant as specified in charter)

100 High Street

Boston, MA 02110

(Address of principal executive offices) (Zip code)

Robert Kane

100 High Street

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: July 1, 2012 – June 30, 2013

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

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


Item 1. Proxy Voting Record


Investment Company Report

 

  THE COCA-COLA COMPANY
  Security    191216100   Meeting Type    Special
  Ticker Symbol    KO   Meeting Date    10-Jul-2012
  ISIN    US1912161007   Agenda    933646385 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  01    TO AMEND ARTICLE FOURTH OF THE COMPANY’S RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, TO INCREASE THE AUTHORIZED COMMON STOCK OF THE COMPANY FROM 5,600,000,000 SHARES, PAR VALUE $.25 PER SHARE, TO 11,200,000,000 SHARES, PAR VALUE $.25 PER SHARE, AND TO EFFECT A SPLIT OF THE ISSUED COMMON STOCK OF THE COMPANY BY CHANGING EACH ISSUED SHARE OF COMMON STOCK INTO TWO SHARES OF COMMON STOCK.    Management      For   

For

  

 

  ASML HOLDINGS N.V.
  Security    N07059186   Meeting Type    Special
  Ticker Symbol    ASML   Meeting Date    07-Sep-2012
  ISIN    USN070591862   Agenda    933678382 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  3A.    PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES IN THE CAPITAL OF THE COMPANY IN CONNECTION WITH THE CUSTOMER CO-INVESTMENT PROGRAM, SUBJECT TO SUPERVISORY BOARD APPROVAL, UP TO 25% OF THE ISSUED SHARE CAPITAL OF THE COMPANY AT THE ANNUAL GENERAL MEETING OF SHAREHOLDERS (THE “AGM”) HELD ON 25 APRIL 2012, FROM 7 SEPTEMBER 2012 THROUGH 31 JULY 2013.    Management      For   

For

  
  3B.    PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE, SUBJECT TO SUPERVISORY BOARD APPROVAL, THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH THE ISSUE OF SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES AS DESCRIBED UNDER (A) FROM 7 SEPTEMBER 2012 THROUGH 31 JULY 2013.    Management      For   

For

  
  4A.    PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART I) TO CREATE A SPECIFIC SHARE CLASS (ORDINARY SHARES M) FOR THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM. UPON THE FIRST AMENDMENT OF THE ARTICLES OF ASSOCIATION OF THE COMPANY THE ORDINARY SHARES TO BE HELD FOR THE BENEFIT OF THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM WILL BE CONVERTED INTO ORDINARY SHARES M AND ALL OTHER ORDINARY SHARES WILL BE CONVERTED INTO ORDINARY SHARES A.    Management      For   

For

  
  4B.    PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART II) TO INCREASE THE PAR VALUE PER ORDINARY SHARE A BY AN AMOUNT TO BE DETERMINED BY THE BOARD OF MANAGEMENT OF AT LEAST EUR 5.97 PER SHARE AND AT MOST EUR 12 PER SHARE AT THE EXPENSE OF THE SHARE PREMIUM RESERVE.    Management      For   

For

  
  4C.    PROPOSAL TO RESOLVE TO REDUCE THE ISSUED CAPITAL BY AN AMOUNT AT LEAST EQUAL TO THE AGGREGATE AMOUNT TO BE PAID BY THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM FOR THEIR SHARES, BEING AN AMOUNT NO LESS THAN EUR 2,513,447,071.07 AND NO MORE THAN EUR 5,000,000,000 BY DECREASING THE NOMINAL VALUE OF THE ORDINARY SHARES A BY AN AMOUNT TO BE DETERMINED BY THE BOARD OF MANAGEMENT OF AT LEAST EUR 5.99 PER SHARE AND AT MOST EUR 12 PER SHARE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    Management      For   

For

  
  4D.    PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART IV) TO CONSOLIDATE THE ORDINARY SHARES A AT AN EXCHANGE RATIO TO BE DETERMINED BY THE BOARD OF MANAGEMENT. THE EXCHANGE RATIO WILL DEPEND ON THE PERCENTAGE OF NEW SHARES TO BE ISSUED TO THE PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    Management      For   

For

  
  4E.    PROPOSAL TO RESOLVE TO AMEND THE ARTICLES OF ASSOCIATION IN ACCORDANCE WITH THE DRAFT DEED OF AMENDMENT TO THE ARTICLES OF ASSOCIATION (PART V) TO DELETE THE SHARE CLASS M FOR PARTICIPANTS TO THE CUSTOMER CO-INVESTMENT PROGRAM AND SHARE CLASS A FOR THE OTHER SHAREHOLDERS. THE ORDINARY SHARES M AND ORDINARY SHARES A SHALL BE CONVERTED INTO ORDINARY SHARES WITHOUT A SPECIFIC LETTER MARK ATTACHED TO IT.    Management      For   

For

  
  5.    AUTHORIZATION TO EXECUTE THE DEEDS OF AMENDMENT PROPOSAL TO RESOLVE TO AUTHORIZE EACH DIRECTOR OF THE COMPANY AS WELL AS ANY AND ALL LAWYERS AND PARALEGALS PRACTICING WITH DE BRAUW BLACKSTONE WESTBROEK N.V. TO EXECUTE THE NOTARIAL DEEDS OF AMENDMENT TO THE ARTICLES OF ASSOCIATION.    Management      For   

For

  
  6A.    PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES IN THE CAPITAL OF THE COMPANY, SUBJECT TO SUPERVISORY BOARD APPROVAL, LIMITED TO 5% OF THE ISSUED SHARE CAPITAL AT 25 APRIL 2012 FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013. PROVIDED THAT THE GENERAL MEETING OF SHAREHOLDERS GRANTS THIS NEW AUTHORIZATION, THE CORRESPONDING AUTHORIZATION GRANTED AT THE AGM HELD ON 25 APRIL 2012 WILL CEASE TO APPLY TO THE EXTENT NOT ALREADY USED.    Management      For   

For

  
  6B.    PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH THE ISSUE OF SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES AS DESCRIBED UNDER (A), SUBJECT TO APPROVAL OF THE SUPERVISORY BOARD, FOR A PERIOD FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013. PROVIDED THAT THE GENERAL MEETING OF SHAREHOLDERS GRANTS THIS NEW AUTHORIZATION, THE CORRESPONDING AUTHORIZATION GRANTED AT THE AGM HELD ON 25 APRIL 2012 WILL CEASE TO APPLY TO THE EXTENT NOT ALREADY USED.    Management      For   

For

  
  6C.    PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES IN THE CAPITAL OF THE COMPANY, SUBJECT TO SUPERVISORY BOARD APPROVAL, LIMITED TO 5% OF THE ISSUED SHARE CAPITAL AT 25 APRIL 2012, WHICH 5% CAN ONLY BE USED IN CONNECTION WITH OR ON THE OCCASION OF MERGERS, ACQUISITIONS AND/OR (STRATEGIC) ALLIANCES, FOR A PERIOD FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    Management      For   

For

  
  6D.    PROPOSAL TO RESOLVE TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH THE ISSUE OF SHARES OR RIGHTS TO SUBSCRIBE FOR SHARES AS DESCRIBED UNDER (C), SUBJECT TO APPROVAL OF THE SUPERVISORY BOARD, FOR A PERIOD FROM 7 SEPTEMBER 2012 THROUGH 25 OCTOBER 2013. PROVIDED THAT THE GENERAL MEETING OF SHAREHOLDERS GRANTS THIS NEW AUTHORIZATION, THE CORRESPONDING AUTHORIZATION GRANTED AT THE AGM HELD ON 25 APRIL 2012 WILL CEASE TO APPLY TO THE EXTENT NOT ALREADY USED.    Management      For   

For

  

 

  NIKE, INC.
  Security    654106103   Meeting Type    Annual
  Ticker Symbol    NKE   Meeting Date    20-Sep-2012
  ISIN    US6541061031   Agenda    933673471 - Management

 

     Item      Proposal      Type    Vote    For/Against
Management
    
  1.      DIRECTOR      Management         
      

1      ALAN B. GRAF, JR.

        Did not vote on loan      
      

2      JOHN C. LECHLEITER

        Did not vote on loan      
      

3      PHYLLIS M. WISE

        Did not vote on loan      
  2.      TO HOLD AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.      Management    Did not vote on loan      
  3.      TO AMEND THE ARTICLES OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK.      Management    Did not vote on loan      
  4.      TO RE-APPROVE AND AMEND THE NIKE, INC. LONG-TERM INCENTIVE PLAN.      Management    Did not vote on loan      
  5.      TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.      Management    Did not vote on loan      
  6.      TO CONSIDER A SHAREHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS DISCLOSURE.      Shareholder    Did not vote on loan      

 

  DIAGEO PLC
  Security    25243Q205   Meeting Type    Annual
  Ticker Symbol    DEO   Meeting Date    17-Oct-2012
  ISIN    US25243Q2057   Agenda    933687418 - Management

 

     Item      Proposal      Type    Vote    For/Against
Management
    
  1.      REPORT AND ACCOUNTS 2012.      Management   

For

  

For

  
  2.      DIRECTORS’ REMUNERATION REPORT 2012.      Management   

For

  

For

  
  3.      DECLARATION OF FINAL DIVIDEND.      Management   

For

  

For

  
  4.      RE-ELECTION OF PB BRUZELIUS AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE)      Management   

For

  

For

  
  5.      RE-ELECTION OF LM DANON AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE)      Management   

For

  

For

  
  6.      RE-ELECTION OF LORD DAVIES AS A DIRECTOR. (AUDIT, NOMINATION, REMUNERATION(CHAIRMAN OF THE COMMITTEE))      Management   

For

  

For

  
  7.      RE-ELECTION OF BD HOLDEN AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE)      Management   

For

  

For

  
  8.      RE-ELECTION OF DR FB HUMER AS A DIRECTOR. (NOMINATION COMMITTEE (CHAIRMAN OF THE COMMITTEE))      Management   

For

  

For

  
  9.      RE-ELECTION OF D MAHLAN AS A DIRECTOR. (EXECUTIVE COMMITTEE)      Management   

For

  

For

  
  10.      RE-ELECTION OF PG SCOTT AS A DIRECTOR. (AUDIT(CHAIRMAN OF THE COMMITTEE), NOMINATION, REMUNERATION COMMITTEE)      Management   

For

  

For

  
  11.      RE-ELECTION OF HT STITZER AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE)      Management   

For

  

For

  
  12.      RE-ELECTION OF PS WALSH AS A DIRECTOR. (EXECUTIVE COMMITTEE(CHAIRMAN OF THE COMMITTEE))      Management   

For

  

For

  
  13.      ELECTION OF HO KWONPING AS A DIRECTOR. (AUDIT, NOMINATION & REMUNERATION COMMITTEE)      Management   

For

  

For

  
  14.      ELECTION OF IM MENEZES AS A DIRECTOR. (EXECUTIVE COMMITTEE)      Management   

For

  

For

  
  15.      RE-APPOINTMENT OF AUDITOR.      Management   

For

  

For

  
  16.      REMUNERATION OF AUDITOR.      Management   

For

  

For

  
  17.      AUTHORITY TO ALLOT SHARES.      Management   

For

  

For

  
  18.      DISAPPLICATION OF PRE-EMPTION RIGHTS.      Management   

For

  

For

  
  19.      AUTHORITY TO PURCHASE OWN ORDINARY SHARES.      Management   

For

  

For

  
  20.      AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE IN THE EU.      Management   

For

  

For

  
  21.      REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING.      Management   

For

  

For

  


  PERRIGO COMPANY
  Security    714290103   Meeting Type    Annual
  Ticker Symbol    PRGO   Meeting Date    06-Nov-2012
  ISIN    US7142901039   Agenda    933695174 - Management

 

     Item      Proposal      Type    Vote    For/Against
Management
    
  1.      DIRECTOR      Management         
      

1      GARY M. COHEN

        Did not vote on loan      
      

2      DAVID T. GIBBONS

        Did not vote on loan      
      

3      RAN GOTTFRIED

        Did not vote on loan      
      

4      ELLEN R. HOFFING

        Did not vote on loan      
  2.      AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.      Management    Did not vote on loan      
  3.      RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013.      Management    Did not vote on loan      

 

  COACH, INC.
  Security    189754104   Meeting Type    Annual
  Ticker Symbol    COH   Meeting Date    07-Nov-2012
  ISIN    US1897541041   Agenda    933690287 - Management

 

     Item      Proposal      Type    Vote    For/Against
Management
    
  1.      DIRECTOR      Management         
      

1      LEW FRANKFORT

        Did not vote on loan      
      

2      SUSAN KROPF

        Did not vote on loan      
      

3      GARY LOVEMAN

        Did not vote on loan      
      

4      IVAN MENEZES

        Did not vote on loan      
      

5      IRENE MILLER

        Did not vote on loan      
      

6      MICHAEL MURPHY

        Did not vote on loan      
      

7      STEPHANIE TILENIUS

        Did not vote on loan      
      

8      JIDE ZEITLIN

        Did not vote on loan      
  2.      TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013      Management    Did not vote on loan      
  3.      TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION      Management    Did not vote on loan      

 

  ORACLE CORPORATION
  Security    68389X105   Meeting Type    Annual
  Ticker Symbol    ORCL   Meeting Date    07-Nov-2012
  ISIN    US68389X1054   Agenda    933690302 - Management

 

     Item      Proposal      Type    Vote    For/Against
Management
    
  1      DIRECTOR      Management         
      

1      JEFFREY S. BERG

        For   

For

  
      

2      H. RAYMOND BINGHAM

        For   

For

  
      

3      MICHAEL J. BOSKIN

        For   

For

  
      

4      SAFRA A. CATZ

        For   

For

  
      

5      BRUCE R. CHIZEN

        For   

For

  
      

6      GEORGE H. CONRADES

        For   

For

  
      

7      LAWRENCE J. ELLISON

        For   

For

  
      

8      HECTOR GARCIA-MOLINA

        For   

For

  
      

9      JEFFREY O. HENLEY

        For   

For

  
      

10    MARK V. HURD

        For   

For

  
      

11    DONALD L. LUCAS

        For   

For

  
      

12    NAOMI O. SELIGMAN

        For   

For

  
  2      ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.      Management    For   

For

  
  3      APPROVAL OF INCREASE IN SHARES UNDER THE DIRECTORS’ STOCK PLAN.      Management    For   

For

  
  4      RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013.      Management    For   

For

  
  5      STOCKHOLDER PROPOSAL REGARDING MULTIPLE PERFORMANCE METRICS.      Shareholder    Against   

For

  
  6      STOCKHOLDER PROPOSAL REGARDING INDEPENDENT BOARD CHAIRMAN.      Shareholder    Against   

For

  
  7      STOCKHOLDER PROPOSAL REGARDING EQUITY RETENTION POLICY.      Shareholder    Against   

For

  
  8      STOCKHOLDER PROPOSAL REGARDING EQUITY ACCELERATION UPON A CHANGE IN CONTROL OF ORACLE.      Shareholder    Against   

For

  

 

  VISA INC.
  Security    92826C839   Meeting Type    Annual
  Ticker Symbol    V   Meeting Date    30-Jan-2013
  ISIN    US92826C8394   Agenda    933718895 - Management

 

     Item      Proposal      Type    Vote    For/Against
Management
    
  1A.      ELECTION OF DIRECTOR: GARY P. COUGHLAN      Management    For   

For

  
  1B.      ELECTION OF DIRECTOR: MARY B. CRANSTON      Management    For   

For

  
  1C.      ELECTION OF DIRECTOR: FRANCISCO JAVIER FERNANDEZ-CARBAJAL      Management    For   

For

  
  1D.      ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT      Management    For   

For

  
  1E.      ELECTION OF DIRECTOR: CATHY E. MINEHAN      Management    For   

For

  
  1F.      ELECTION OF DIRECTOR: SUZANNE NORA JOHNSON      Management    For   

For

  
  1G.      ELECTION OF DIRECTOR: DAVID J. PANG      Management    For   

For

  
  1H.      ELECTION OF DIRECTOR: JOSEPH W. SAUNDERS      Management    For   

For

  
  1I.      ELECTION OF DIRECTOR: CHARLES W. SCHARF      Management    For   

For

  
  1J.      ELECTION OF DIRECTOR: WILLIAM S. SHANAHAN      Management    For   

For

  
  1K.      ELECTION OF DIRECTOR: JOHN A. SWAINSON      Management    For   

For

  
  2.      APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.      Management    For   

For

  
  3.      RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013.      Management    For   

For

  
  4.      STOCKHOLDER PROPOSAL ON LOBBYING PRACTICES AND EXPENDITURES, IF PROPERLY PRESENTED.      Shareholder    Against   

For

  


  NOVARTIS AG
  Security    66987V109    Meeting Type    Annual
  Ticker Symbol    NVS    Meeting Date    22-Feb-2013
  ISIN    US66987V1098    Agenda    933730081 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1    APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS AND THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE BUSINESS YEAR 2012    Management    Did not vote on loan      
  2    DISCHARGE FROM LIABILITY OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE COMMITTEE    Management    Did not vote on loan      
  3    APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS AG AND DECLARATION OF DIVIDEND    Management    Did not vote on loan      
  4    CONSULTATIVE VOTE ON THE COMPENSATION SYSTEM    Management    Did not vote on loan      
  5.1    ELECTION OF VERENA A. BRINER, M.D., FOR A THREE-YEAR TERM    Management    Did not vote on loan      
  5.2    ELECTION OF JOERG REINHARDT, PH.D., FOR A TERM OF OFFICE BEGINNING ON AUGUST 1, 2013 AND ENDING ON THE DAY OF AGM IN 2016    Management    Did not vote on loan      
  5.3    ELECTION OF CHARLES L. SAWYERS, M.D., FOR A THREE-YEAR TERM    Management    Did not vote on loan      
  5.4    ELECTION OF WILLIAM T. WINTERS FOR A THREE-YEAR TERM    Management    Did not vote on loan      
  6    APPOINTMENT OF THE AUDITOR    Management    Did not vote on loan      
  7    ADDITIONAL AND/OR COUNTER-PROPOSALS PRESENTED AT THE MEETING    Management    Did not vote on loan      

 

   APPLE INC.
   Security    037833100    Meeting Type    Annual
   Ticker Symbol    AAPL    Meeting Date    27-Feb-2013
   ISIN    US0378331005    Agenda    933725042 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      WILLIAM CAMPBELL

      For   

For

  
    

2      TIMOTHY COOK

      For   

For

  
    

3      MILLARD DREXLER

      For   

For

  
    

4      AL GORE

      For   

For

  
    

5      ROBERT IGER

      For   

For

  
    

6      ANDREA JUNG

      For   

For

  
    

7      ARTHUR LEVINSON

      For   

For

  
    

8      RONALD SUGAR

      For   

For

  
  2.    AMENDMENT OF APPLE’S RESTATED ARTICLES OF INCORPORATION TO (I) ELIMINATE CERTAIN LANGUAGE RELATING TO TERM OF OFFICE OF DIRECTORS IN ORDER TO FACILITATE THE ADOPTION OF MAJORITY VOTING FOR ELECTION OF DIRECTORS, (II) ELIMINATE “BLANK CHECK” PREFERRED STOCK, (III) ESTABLISH A PAR VALUE FOR COMPANY’S COMMON STOCK OF $0.00001 PER SHARE AND (IV) MAKE OTHER CHANGES.    Management    For   

For

  
  3.    RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.    Management    For   

For

  
  4.    A NON-BINDING ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION.    Management    For   

For

  
  5.    A SHAREHOLDER PROPOSAL ENTITLED “EXECUTIVES TO RETAIN SIGNIFICANT STOCK.”    Shareholder    Against   

For

  
  6.    A SHAREHOLDER PROPOSAL ENTITLED “BOARD COMMITTEE ON HUMAN RIGHTS.”    Shareholder    Against   

For

  

 

   DEERE & COMPANY
   Security    244199105    Meeting Type    Annual
   Ticker Symbol    DE    Meeting Date    27-Feb-2013
   ISIN    US2441991054    Agenda    933725270 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: SAMUEL R. ALLEN    Management    Did not vote on loan      
  1B.    ELECTION OF DIRECTOR: CRANDALL C. BOWLES    Management    Did not vote on loan      
  1C.    ELECTION OF DIRECTOR: VANCE D. COFFMAN    Management    Did not vote on loan      
  1D.    ELECTION OF DIRECTOR: CHARLES O. HOLLIDAY, JR.    Management    Did not vote on loan      
  1E.    ELECTION OF DIRECTOR: DIPAK C. JAIN    Management    Did not vote on loan      
  1F.    ELECTION OF DIRECTOR: CLAYTON M. JONES    Management    Did not vote on loan      
  1G.    ELECTION OF DIRECTOR: JOACHIM MILBERG    Management    Did not vote on loan      
  1H.    ELECTION OF DIRECTOR: RICHARD B. MYERS    Management    Did not vote on loan      
  1I.    ELECTION OF DIRECTOR: THOMAS H. PATRICK    Management    Did not vote on loan      
  1J.    ELECTION OF DIRECTOR: AULANA L. PETERS    Management    Did not vote on loan      
  1K.    ELECTION OF DIRECTOR: SHERRY M. SMITH    Management    Did not vote on loan      
  2.    ADVISORY VOTE ON EXECUTIVE COMPENSATION.    Management    Did not vote on loan      
  3.    RE-APPROVAL OF THE JOHN DEERE MID- TERM INCENTIVE PLAN.    Management    Did not vote on loan      
  4.    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS DEERE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    Management    Did not vote on loan      


   QUALCOMM INCORPORATED
   Security    747525103    Meeting Type    Annual
   Ticker Symbol    QCOM    Meeting Date    05-Mar-2013
   ISIN    US7475251036    Agenda    933726397 - Management

 

      Item    Proposal    Type    Vote   

For/Against
Management

 

    
   1A    ELECTION OF DIRECTOR: BARBARA T. ALEXANDER    Management   

For

  

For

  
   1B    ELECTION OF DIRECTOR: DONALD G. CRUICKSHANK    Management   

For

  

For

  
   1C    ELECTION OF DIRECTOR: RAYMOND V. DITTAMORE    Management   

For

  

For

  
   1D    ELECTION OF DIRECTOR: SUSAN HOCKFIELD    Management   

For

  

For

  
   1E    ELECTION OF DIRECTOR: THOMAS W. HORTON    Management   

For

  

For

  
   1F    ELECTION OF DIRECTOR: PAUL E. JACOBS    Management   

For

  

For

  
   1G    ELECTION OF DIRECTOR: SHERRY LANSING    Management   

For

  

For

  
   1H    ELECTION OF DIRECTOR: DUANE A. NELLES    Management   

For

  

For

  
   1I    ELECTION OF DIRECTOR: FRANCISCO ROS    Management   

For

  

For

  
   1J    ELECTION OF DIRECTOR: BRENT SCOWCROFT    Management   

For

  

For

  
   1K    ELECTION OF DIRECTOR: MARC I. STERN    Management   

For

  

For

  
   02    TO APPROVE THE 2006 LONG-TERM INCENTIVE PLAN, AS AMENDED, WHICH INCLUDES AN INCREASE IN THE SHARE RESERVE BY 90,000,000 SHARES.    Management   

Against

  

Against

  
   03    TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING SEPTEMBER 29, 2013.    Management   

For

  

For

  
   04    ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION.    Management   

For

  

For

  

 

  THE WALT DISNEY COMPANY

 

  Security   254687106   Meeting Type    Annual
  Ticker Symbol   DIS   Meeting Date    06-Mar-2013
  ISIN   US2546871060   Agenda    933727109 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: SUSAN E. ARNOLD    Management    For            For   
  1B.    ELECTION OF DIRECTOR: JOHN S. CHEN    Management    For            For   
  1C.    ELECTION OF DIRECTOR: JUDITH L. ESTRIN    Management    For            For   
  1D.    ELECTION OF DIRECTOR: ROBERT A. IGER    Management    For            For   
  1E.    ELECTION OF DIRECTOR: FRED H. LANGHAMMER    Management    For            For   
  1F.    ELECTION OF DIRECTOR: AYLWIN B. LEWIS    Management    For            For   
  1G.    ELECTION OF DIRECTOR: MONICA C. LOZANO    Management    For            For   
  1H.    ELECTION OF DIRECTOR: ROBERT W. MATSCHULLAT    Management    For            For   
  1I.    ELECTION OF DIRECTOR: SHERYL K. SANDBERG    Management    For            For   
  1J.    ELECTION OF DIRECTOR: ORIN C. SMITH    Management    For            For   
  2.    TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S REGISTERED PUBLIC ACCOUNTANTS FOR 2013.    Management    For            For   
  3.    TO APPROVE THE TERMS OF THE COMPANY’S AMENDED AND RESTATED 2002 EXECUTIVE PERFORMANCE PLAN, AS AMENDED.    Management    Against            Against   
  4.    TO APPROVE THE ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION.    Management    For            For   
  5.    TO APPROVE THE SHAREHOLDER PROPOSAL RELATING TO PROXY ACCESS.    Shareholder    Against            For   
  6.    TO APPROVE THE SHAREHOLDER PROPOSAL RELATING TO FUTURE SEPARATION OF CHAIRMAN AND CHIEF EXECUTIVE OFFICER.    Shareholder    Against            For   

 

   COVIDIEN PLC

 

  Security    G2554F113   Meeting Type    Annual
  Ticker Symbol    COV   Meeting Date    20-Mar-2013
  ISIN    IE00B68SQD29   Agenda    933727779 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A)    ELECTION OF DIRECTOR: JOSE E. ALMEIDA    Management    For   

For

  
  1B)    ELECTION OF DIRECTOR: JOY A. AMUNDSON    Management    For   

For

  
  1C)    ELECTION OF DIRECTOR: CRAIG ARNOLD    Management    For   

For

  
  1D)    ELECTION OF DIRECTOR: ROBERT H. BRUST    Management    For   

For

  
  1E)    ELECTION OF DIRECTOR: JOHN M. CONNORS, JR.    Management    For   

For

  
  1F)    ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN    Management    For   

For

  
  1G)    ELECTION OF DIRECTOR: RANDALL J. HOGAN, III    Management    For   

For

  
  1H)    ELECTION OF DIRECTOR: MARTIN D. MADAUS    Management    For   

For

  
  1I)    ELECTION OF DIRECTOR: DENNIS H. REILLEY    Management    For   

For

  
  1J)    ELECTION OF DIRECTOR: JOSEPH A. ZACCAGNINO    Management    For   

For

  
  2    APPOINT THE INDEPENDENT AUDITORS AND AUTHORIZE THE AUDIT COMMITTEE TO SET THE AUDITORS’ REMUNERATION.    Management    For   

For

  
  3    ADVISORY VOTE ON EXECUTIVE COMPENSATION.    Management    For   

For

  
  4    APPROVE THE AMENDED AND RESTATED COVIDIEN STOCK AND INCENTIVE PLAN.    Management    For   

For

  
  5    AUTHORIZE THE COMPANY AND/OR ANY SUBSIDIARY TO MAKE MARKET PURCHASES OF COMPANY SHARES.    Management    For   

For

  
  S6    AUTHORIZE THE PRICE RANGE AT WHICH THE COMPANY CAN REISSUE SHARES IT HOLDS AS TREASURY SHARES.    Management    For   

For

  
  S7    AMEND ARTICLES OF ASSOCIATION TO EXPAND THE AUTHORITY TO EXECUTE INSTRUMENTS OF TRANSFER.    Management    For   

For

  
  8    ADVISORY VOTE ON THE CREATION OF MALLINCKRODT DISTRIBUTABLE RESERVES.    Management    For   

For

  

 

   SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.)

 

   Security    806857108    Meeting Type    Annual
   Ticker Symbol    SLB    Meeting Date    10-Apr-2013
   ISIN    AN8068571086    Agenda    933739382 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: PETER L.S. CURRIE    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: TONY ISAAC    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: K. VAMAN KAMATH    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: PAAL KIBSGAARD    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: NIKOLAY KUDRYAVTSEV    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: ADRIAN LAJOUS    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: MICHAEL E. MARKS    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: LUBNA S. OLAYAN    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: L. RAFAEL REIF    Management    For   

For

  
  1J.    ELECTION OF DIRECTOR: TORE I. SANDVOLD    Management    For   

For

  
  1K.    ELECTION OF DIRECTOR: HENRI SEYDOUX    Management    For   

For

  
  2.    TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION.    Management    For   

For

  


   3.    TO APPROVE THE COMPANY’S 2012 FINANCIAL STATEMENTS AND DECLARATIONS OF DIVIDENDS.    Management   

For

  

For

  
   4.    TO APPROVE THE APPOINTMENT OF THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    Management   

For

  

For

  
   5.    TO APPROVE THE ADOPTION OF THE 2013 SCHLUMBERGER OMNIBUS INCENTIVE PLAN.    Management   

For

  

For

  
   6.    TO APPROVE THE ADOPTION OF AN AMENDMENT AND RESTATEMENT OF THE SCHLUMBERGER DISCOUNT STOCK PURCHASE PLAN.    Management   

For

  

For

  

 

  WEYERHAEUSER COMPANY

 

  Security    962166104    Meeting Type    Annual
  Ticker Symbol    WY    Meeting Date    11-Apr-2013
  ISIN    US9621661043    Agenda    933743773 - Management

 

      Item    Proposal    Type    Vote    For/Against
Management
    
   1A.    ELECTION OF DIRECTOR: DEBRA A. CAFARO    Management    For   

For

  
   1B.    ELECTION OF DIRECTOR: MARK A. EMMERT    Management    For   

For

  
   1C.    ELECTION OF DIRECTOR: DANIEL S. FULTON    Management    For   

For

  
   1D.    ELECTION OF DIRECTOR: JOHN I. KIECKHEFER    Management    For   

For

  
   1E.    ELECTION OF DIRECTOR: WAYNE W. MURDY    Management    For   

For

  
   1F.    ELECTION OF DIRECTOR: NICOLE W. PIASECKI    Management    For   

For

  
   1G.    ELECTION OF DIRECTOR: DOYLE R. SIMONS    Management    For   

For

  
   1H.    ELECTION OF DIRECTOR: RICHARD H. SINKFIELD    Management    For   

For

  
   1I.    ELECTION OF DIRECTOR: D. MICHAEL STEUERT    Management    For   

For

  
   1J.    ELECTION OF DIRECTOR: KIM WILLIAMS    Management    For   

For

  
   1K.    ELECTION OF DIRECTOR: CHARLES R. WILLIAMSON    Management    For   

For

  
   2.    PROPOSAL TO APPROVE THE WEYERHAEUSER COMPANY 2013 LONG- TERM INCENTIVE PLAN    Management    Against   

Against

  
   3.    APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION    Management    For   

For

  
   4.    APPROVAL, ON AN ADVISORY BASIS, OF THE APPOINTMENT OF AUDITORS    Management    For   

For

  

 

  NESTLE S.A.

 

   Security    641069406    Meeting Type    Annual
   Ticker Symbol    NSRGY    Meeting Date    11-Apr-2013
   ISIN    US6410694060    Agenda    933753154 - Management

 

      Item    Proposal    Type    Vote    For/Against
Management
    
   1A    APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS OF NESTLE S.A. AND THE CONSOLIDATED FINANCIAL STATEMENTS OF THE NESTLE GROUP FOR 2012    Management    For   

For

  
   1B    ACCEPTANCE OF THE COMPENSATION REPORT 2012 (ADVISORY VOTE)    Management    For   

For

  
   2    RELEASE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND OF THE MANAGEMENT    Management    For   

For

  
   3    APPROPRIATION OF PROFITS RESULTING FROM THE BALANCE SHEET OF NESTLE S.A. (PROPOSED DIVIDEND) FOR THE FINANCIAL YEAR 2012    Management    For   

For

  
   4A1    RE-ELECTION TO THE BOARD OF DIRECTOR: MR PETER BRABECK-LETMATHE    Management    For   

For

  
   4A2    RE-ELECTION TO THE BOARD OF DIRECTOR: MR STEVEN G. HOCH    Management    For   

For

  
   4A3    RE-ELECTION TO THE BOARD OF DIRECTOR: MS TITIA DE LANGE    Management    For   

For

  
   4A4    RE-ELECTION TO THE BOARD OF DIRECTOR: MR JEAN-PIERRE ROTH    Management    For   

For

  
   4B    ELECTION TO THE BOARD OF DIRECTORS: MS EVA CHENG    Management    For   

For

  
   4C    RE-ELECTION OF THE STATUTORY AUDITORS: KPMG SA, GENEVA BRANCH    Management    For   

For

  
   5    IN THE EVENT OF A NEW OR MODIFIED PROPOSAL BY A SHAREHOLDER DURING THE GENERAL MEETING, I INSTRUCT THE INDEPENDENT REPRESENTATIVE TO VOTE ACCORDING TO THE FOLLOWING INSTRUCTION: “FOR” = VOTE IN ACCORDANCE WITH THE PROPOSAL OF THE BOARD OF DIRECTORS “AGAINST” = VOTE AGAINST THE PROPOSAL OF THE BOARD OF DIRECTORS “ABSTAIN” = ABSTAIN    Management    For   

For

  
   6    MARK THE BOX AT THE RIGHT IF YOU WISH TO GIVE A PROXY TO THE INDEPENDENT REPRESENTATIVE, MR. JEAN-LUDOVIC HARTMANN (AS FURTHER DISCUSSED IN THE COMPANY’S INVITATION)    Management    For   

For

  

 

  HONEYWELL INTERNATIONAL INC.

 

  Security    438516106    Meeting Type    Annual
  Ticker Symbol    HON    Meeting Date    22-Apr-2013
  ISIN    US4385161066    Agenda    933739368 - Management

 

      Item    Proposal    Type    Vote    For/Against
Management
    
   1A.    ELECTION OF DIRECTOR: GORDON M. BETHUNE    Management    For   

For

  
   1B.    ELECTION OF DIRECTOR: KEVIN BURKE    Management    For   

For

  
   1C.    ELECTION OF DIRECTOR: JAIME CHICO PARDO    Management    For   

For

  
   1D.    ELECTION OF DIRECTOR: DAVID M. COTE    Management    For   

For

  
   1E.    ELECTION OF DIRECTOR: D. SCOTT DAVIS    Management    For   

For

  
   1F.    ELECTION OF DIRECTOR: LINNET F. DEILY    Management    For   

For

  
   1G.    ELECTION OF DIRECTOR: JUDD GREGG    Management    For   

For

  
   1H.    ELECTION OF DIRECTOR: CLIVE HOLLICK    Management    For   

For

  
   1I.    ELECTION OF DIRECTOR: GRACE D. LIEBLEIN    Management    For   

For

  
   1J.    ELECTION OF DIRECTOR: GEORGE PAZ    Management    For   

For

  
   1K.    ELECTION OF DIRECTOR: BRADLEY T. SHEARES    Management    For   

For

  
   1L.    ELECTION OF DIRECTOR: ROBIN L. WASHINGTON    Management    For   

For

  
   2.    APPROVAL OF INDEPENDENT ACCOUNTANTS.    Management    For   

For

  
   3.    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.    Management    For   

For

  
   4.    INDEPENDENT BOARD CHAIRMAN.    Shareholder    Against   

For

  
   5.    RIGHT TO ACT BY WRITTEN CONSENT.    Shareholder    Against   

For

  
   6.    ELIMINATE ACCELERATED VESTING IN A CHANGE IN CONTROL.    Shareholder    Against   

For

  

 

  WELLS FARGO & COMPANY

 

  Security    949746101    Meeting Type    Annual
  Ticker Symbol    WFC    Meeting Date    23-Apr-2013
  ISIN    US9497461015    Agenda    933743696 - Management

 

      Item    Proposal    Type    Vote    For/Against
Management
    
   1A)    ELECTION OF DIRECTOR: JOHN D. BAKER II    Management    For   

For

  
   1B)    ELECTION OF DIRECTOR: ELAINE L. CHAO    Management    For   

For

  
   1C)    ELECTION OF DIRECTOR: JOHN S. CHEN    Management    For   

For

  
   1D)    ELECTION OF DIRECTOR: LLOYD H. DEAN    Management    For   

For

  
   1E)    ELECTION OF DIRECTOR: SUSAN E. ENGEL    Management    For   

For

  
   1F)    ELECTION OF DIRECTOR: ENRIQUE HERNANDEZ, JR.    Management    For   

For

  
   1G)    ELECTION OF DIRECTOR: DONALD M. JAMES    Management    For   

For

  
   1H)    ELECTION OF DIRECTOR: CYNTHIA H. MILLIGAN    Management    For   

For

  
   1I)    ELECTION OF DIRECTOR: FEDERICO F. PENA    Management    For   

For

  


  1J)    ELECTION OF DIRECTOR: HOWARD V. RICHARDSON    Management   

For

  

For

  
  1K)    ELECTION OF DIRECTOR: JUDITH M. RUNSTAD    Management   

For

  

For

  
  1L)    ELECTION OF DIRECTOR: STEPHEN W. SANGER    Management   

For

  

For

  
  1M)    ELECTION OF DIRECTOR: JOHN G. STUMPF    Management   

For

  

For

  
  1N)    ELECTION OF DIRECTOR: SUSAN G. SWENSON    Management   

For

  

For

  
  2.    ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION.    Management   

For

  

For

  
  3.    PROPOSAL TO APPROVE THE COMPANY’S AMENDED AND RESTATED LONG-TERM INCENTIVE COMPENSATION PLAN.    Management   

For

  

For

  
  4.    PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.    Management   

For

  

For

  
  5.    STOCKHOLDER PROPOSAL TO ADOPT A POLICY REQUIRING AN INDEPENDENT CHAIRMAN.    Shareholder   

Against

  

For

  
  6.    STOCKHOLDER PROPOSAL TO PROVIDE A REPORT ON THE COMPANY’S LOBBYING POLICIES AND PRACTICES.    Shareholder   

Against

  

For

  
  7.    STOCKHOLDER PROPOSAL TO REVIEW AND REPORT ON INTERNAL CONTROLS OVER THE COMPANY’S MORTGAGE SERVICING AND FORECLOSURE PRACTICES.    Shareholder   

Against

  

For

  

 

  T. ROWE PRICE GROUP, INC.
  Security    74144T108    Meeting Type    Annual
  Ticker Symbol    TROW    Meeting Date    23-Apr-2013
  ISIN    US74144T1088    Agenda    933743761 - Management

 

     Item    Proposal    Type    Vote   

For/Against

Management

    
  1A.    ELECTION OF DIRECTOR: EDWARD C. BERNARD    Management    Did not vote on loan      
  1B.    ELECTION OF DIRECTOR: JAMES T. BRADY    Management    Did not vote on loan      
  1C.    ELECTION OF DIRECTOR: MARY K. BUSH    Management    Did not vote on loan      
  1D.    ELECTION OF DIRECTOR: DONALD B. HEBB, JR.    Management    Did not vote on loan      
  1E.    ELECTION OF DIRECTOR: DR. FREEMAN A. HRABOWSKI, III    Management    Did not vote on loan      
  1F.    ELECTION OF DIRECTOR: JAMES A.C. KENNEDY    Management    Did not vote on loan      
  1G.    ELECTION OF DIRECTOR: ROBERT F. MACLELLAN    Management    Did not vote on loan      
  1H.    ELECTION OF DIRECTOR: BRIAN C. ROGERS    Management    Did not vote on loan      
  1I.    ELECTION OF DIRECTOR: DR. ALFRED SOMMER    Management    Did not vote on loan      
  1J.    ELECTION OF DIRECTOR: DWIGHT S. TAYLOR    Management    Did not vote on loan      
  1K.    ELECTION OF DIRECTOR: ANNE MARIE WHITTEMORE    Management    Did not vote on loan      
  2.    TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE COMPENSATION PAID BY THE COMPANY TO ITS NAMED EXECUTIVE OFFICERS.    Management    Did not vote on loan      
  3.    TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.    Management    Did not vote on loan      

 

  VF CORPORATION
  Security    918204108    Meeting Type    Annual
  Ticker Symbol    VFC    Meeting Date    23-Apr-2013
  ISIN    US9182041080    Agenda    933758813 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      RICHARD T. CARUCCI

      Did not vote on loan      
    

2      JULIANA L. CHUGG

      Did not vote on loan      
    

3      GEORGE FELLOWS

      Did not vote on loan      
    

4      CLARENCE OTIS, JR.

      Did not vote on loan      
    

5      MATTHEW J. SHATTOCK

      Did not vote on loan      
  2.    ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.    Management    Did not vote on loan      
  3.    APPROVAL OF VF’S AMENDED AND RESTATED EXECUTIVE INCENTIVE COMPENSATION PLAN (THE “EIC PLAN PROPOSAL”).    Management    Did not vote on loan      
  4.    RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS VF’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2013 FISCAL YEAR.    Management    Did not vote on loan      

 

  CITIGROUP INC.
  Security    172967424    Meeting Type    Annual
  Ticker Symbol    C    Meeting Date    24-Apr-2013
  ISIN    US1729674242    Agenda    933746375 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: MICHAEL L. CORBAT    Management   

For

  

For

  
  1B.    ELECTION OF DIRECTOR: FRANZ B. HUMER    Management   

For

  

For

  
  1C.    ELECTION OF DIRECTOR: ROBERT L. JOSS    Management   

For

  

For

  
  1D.    ELECTION OF DIRECTOR: MICHAEL E. O’NEILL    Management   

For

  

For

  
  1E.    ELECTION OF DIRECTOR: JUDITH RODIN    Management   

For

  

For

  
  1F.    ELECTION OF DIRECTOR: ROBERT L. RYAN    Management   

For

  

For

  
  1G.    ELECTION OF DIRECTOR: ANTHONY M. SANTOMERO    Management   

For

  

For

  
  1H.    ELECTION OF DIRECTOR: JOAN E. SPERO    Management   

For

  

For

  
  1I.    ELECTION OF DIRECTOR: DIANA L. TAYLOR    Management   

For

  

For

  
  1J.    ELECTION OF DIRECTOR: WILLIAM S. THOMPSON, JR.    Management   

For

  

For

  
  1K.    ELECTION OF DIRECTOR: ERNESTO ZEDILLO PONCE DE LEON    Management   

For

  

For

  
  2.    PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP AS CITI’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.    Management   

For

  

For

  
  3.    ADVISORY APPROVAL OF CITI’S 2012 EXECUTIVE COMPENSATION.    Management   

For

  

For

  
  4.    AMENDMENT TO THE CITIGROUP 2009 STOCK INCENTIVE PLAN (RELATING TO DIVIDEND EQUIVALENTS).    Management   

For

  

For

  
  5.    STOCKHOLDER PROPOSAL REQUESTING THAT EXECUTIVES RETAIN A SIGNIFICANT PORTION OF THEIR STOCK UNTIL REACHING NORMAL RETIREMENT AGE.    Shareholder   

Against

  

For

  
  6.    STOCKHOLDER PROPOSAL REQUESTING A REPORT ON LOBBYING AND GRASSROOTS LOBBYING CONTRIBUTIONS.    Shareholder   

Against

  

For

  
  7.    STOCKHOLDER PROPOSAL REQUESTING THAT THE BOARD INSTITUTE A POLICY TO MAKE IT MORE PRACTICAL TO DENY INDEMNIFICATION FOR DIRECTORS.    Shareholder   

Against

  

For

  


  GENERAL ELECTRIC COMPANY
  Security    369604103    Meeting Type    Annual
  Ticker Symbol    GE    Meeting Date    24-Apr-2013
  ISIN    US3696041033    Agenda    933750196 - Management

 

     Item    Proposal    Type    Vote   

For/Against

Management

    
  A1    ELECTION OF DIRECTOR: W. GEOFFREY BEATTIE    Management    For   

For

  
  A2    ELECTION OF DIRECTOR: JOHN J. BRENNAN    Management    For   

For

  
  A3    ELECTION OF DIRECTOR: JAMES I. CASH, JR.    Management    For   

For

  
  A4    ELECTION OF DIRECTOR: FRANCISCO D’SOUZA    Management    For   

For

  
  A5    ELECTION OF DIRECTOR: MARIJN E. DEKKERS    Management    For   

For

  
  A6    ELECTION OF DIRECTOR: ANN M. FUDGE    Management    For   

For

  
  A7    ELECTION OF DIRECTOR: SUSAN HOCKFIELD    Management    For   

For

  
  A8    ELECTION OF DIRECTOR: JEFFREY R. IMMELT    Management    For   

For

  
  A9    ELECTION OF DIRECTOR: ANDREA JUNG    Management    For   

For

  
  A10    ELECTION OF DIRECTOR: ROBERT W. LANE    Management    For   

For

  
  A11    ELECTION OF DIRECTOR: RALPH S. LARSEN    Management    For   

For

  
  A12    ELECTION OF DIRECTOR: ROCHELLE B. LAZARUS    Management    For   

For

  
  A13    ELECTION OF DIRECTOR: JAMES J. MULVA    Management    For   

For

  
  A14    ELECTION OF DIRECTOR: MARY L. SCHAPIRO    Management    For   

For

  
  A15    ELECTION OF DIRECTOR: ROBERT J. SWIERINGA    Management    For   

For

  
  A16    ELECTION OF DIRECTOR: JAMES S. TISCH    Management    For   

For

  
  A17    ELECTION OF DIRECTOR: DOUGLAS A. WARNER III    Management    For   

For

  
  B1    ADVISORY APPROVAL OF OUR NAMED EXECUTIVES’ COMPENSATION    Management    For   

For

  
  B2    RATIFICATION OF SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM    Management    For   

For

  
  C1    CESSATION OF ALL STOCK OPTIONS AND BONUSES    Shareholder    Against   

For

  
  C2    DIRECTOR TERM LIMITS    Shareholder    Against   

For

  
  C3    INDEPENDENT CHAIRMAN    Shareholder    Against   

For

  
  C4    RIGHT TO ACT BY WRITTEN CONSENT    Shareholder    Against   

For

  
  C5    EXECUTIVES TO RETAIN SIGNIFICANT STOCK    Shareholder    Against   

For

  
  C6    MULTIPLE CANDIDATE ELECTIONS    Shareholder    Against   

For

  

 

  ASML HOLDINGS N.V.
  Security    N07059210    Meeting Type    Annual
  Ticker Symbol    ASML    Meeting Date    24-Apr-2013
  ISIN    USN070592100    Agenda    933751504 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  3    DISCUSSION OF THE 2012 ANNUAL REPORT, INCL. ASML’S CORPORATE GOVERNANCE CHAPTER, AND THE 2012 REMUNERATION REPORT, AND PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR (“FY”) 2012, AS PREPARED IN ACCORDANCE WITH DUTCH LAW.    Management    For   

For

  
  4    PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012.    Management    For   

For

  
  5    PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012.    Management    For   

For

  
  7    PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.53 PER ORDINARY SHARE OF EUR 0.09.    Management    For   

For

  
  8    PROPOSAL TO ADOPT THE REVISED REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2014).    Management    For   

For

  
  9A    PROPOSAL TO APPROVE THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2010) OVER THE FINANCIAL YEAR 2013 AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THESE PERFORMANCE SHARES.    Management    For   

For

  
  9B    PROPOSAL TO APPROVE THE PERFORMANCE SHARE ARRANGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT OF ASML HOLDING N.V. (VERSION 2014) (THE “POLICY”), INCLUDING THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT TO BE DETERMINED BY THE CALCULATION METHOD AS DESCRIBED IN THE POLICY, AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE PERFORMANCE SHARES FOR THE FINANCIAL YEAR 2014 AND SUBSEQUENT YEARS. (THE BOARD OF MANAGEMENT WILL ONLY PROPOSE ITEM 9B IF ITEM 8 IS ADOPTED.).    Management    For   

For

  
  10    PROPOSAL TO APPROVE THE NUMBER OF STOCK OPTIONS, RESPECTIVELY SHARES, FOR EMPLOYEES AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE STOCK OPTIONS, RESPECTIVELY SHARES.    Management    For   

For

  
  12A    PROPOSAL TO REAPPOINT MS. H.C.J. VAN DEN BURG AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12B    PROPOSAL TO REAPPOINT MS. P.F.M. VAN DER MEER MOHR AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12C    PROPOSAL TO REAPPOINT MR. W.H. ZIEBART AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12D    PROPOSAL TO APPOINT MR. D.A. GROSE AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12E    PROPOSAL TO APPOINT MS. C.M.S. SMITS- NUSTELING AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  14    PROPOSAL TO REAPPOINT THE EXTERNAL AUDITOR FOR THE REPORTING YEAR 2014.    Management    For   

For

  
  15A    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, WHICH AUTHORIZATION IS LIMITED TO 5% OF THE ISSUED CAPITAL.    Management    For   

For

  
  15B    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15A.    Management    For   

For

  
  15C    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, FOR AN ADDITIONAL 5% OF THE ISSUED CAPITAL, ONLY TO BE USED IN CONNECTION WITH MERGERS, ACQUISITIONS AND / OR (STRATEGIC) ALLIANCES.    Management    For   

For

  
  15D    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15C.    Management    For   

For

  
  16A    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE SHARES IN THE COMPANY’S CAPITAL.    Management    For   

For

  
  16B    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE ADDITIONAL SHARES IN THE COMPANY’S CAPITAL.    Management    For   

For

  
  17    PROPOSAL TO CANCEL ORDINARY SHARES (TO BE) REPURCHASED BY THE COMPANY.    Management    For   

For

  

 

   ASML HOLDINGS N.V.
   Security    N07059210    Meeting Type    Annual
   Ticker Symbol    ASML    Meeting Date    24-Apr-2013
   ISIN    USN070592100    Agenda    933771885 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  3    DISCUSSION OF THE 2012 ANNUAL REPORT, INCL. ASML’S CORPORATE GOVERNANCE CHAPTER, AND THE 2012 REMUNERATION REPORT, AND PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR (“FY”) 2012, AS PREPARED IN ACCORDANCE WITH DUTCH LAW.    Management    For   

For

  
  4    PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012.    Management    For   

For

  
  5    PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FY 2012.    Management    For   

For

  
  7    PROPOSAL TO ADOPT A DIVIDEND OF EUR 0.53 PER ORDINARY SHARE OF EUR 0.09.    Management    For   

For

  
  8    PROPOSAL TO ADOPT THE REVISED REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2014).    Management    For   

For

  
  9A    PROPOSAL TO APPROVE THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT ASML HOLDING N.V. (VERSION 2010) OVER THE FINANCIAL YEAR 2013 AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THESE PERFORMANCE SHARES.    Management    For   

For

  
  9B    PROPOSAL TO APPROVE THE PERFORMANCE SHARE ARRANGEMENT, IN ACCORDANCE WITH THE REMUNERATION POLICY FOR THE BOARD OF MANAGEMENT OF ASML HOLDING N.V. (VERSION 2014) (THE “POLICY”), INCLUDING THE NUMBER OF PERFORMANCE SHARES FOR THE BOARD OF MANAGEMENT TO BE DETERMINED BY THE CALCULATION METHOD AS DESCRIBED IN THE POLICY, AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE PERFORMANCE SHARES FOR THE FINANCIAL YEAR 2014 AND SUBSEQUENT YEARS. (THE BOARD OF MANAGEMENT WILL ONLY PROPOSE ITEM 9B IF ITEM 8 IS ADOPTED.).    Management    For   

For

  
  10    PROPOSAL TO APPROVE THE NUMBER OF STOCK OPTIONS, RESPECTIVELY SHARES, FOR EMPLOYEES AND AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ISSUE THE STOCK OPTIONS, RESPECTIVELY SHARES.    Management    For   

For

  
  12A    PROPOSAL TO REAPPOINT MS. H.C.J. VAN DEN BURG AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12B    PROPOSAL TO REAPPOINT MS. P.F.M. VAN DER MEER MOHR AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12C    PROPOSAL TO REAPPOINT MR. W.H. ZIEBART AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12D    PROPOSAL TO APPOINT MR. D.A. GROSE AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  12E    PROPOSAL TO APPOINT MS. C.M.S. SMITS- NUSTELING AS MEMBER OF THE SUPERVISORY BOARD, EFFECTIVE APRIL 24, 2013.    Management    For   

For

  
  14    PROPOSAL TO REAPPOINT THE EXTERNAL AUDITOR FOR THE REPORTING YEAR 2014.    Management    For   

For

  
  15A    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, WHICH AUTHORIZATION IS LIMITED TO 5% OF THE ISSUED CAPITAL.    Management    For   

For

  
  15B    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15A.    Management    For   

For

  


  15C    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ISSUE (RIGHTS TO SUBSCRIBE FOR) SHARES, FOR AN ADDITIONAL 5% OF THE ISSUED CAPITAL, ONLY TO BE USED IN CONNECTION WITH MERGERS, ACQUISITIONS AND / OR (STRATEGIC) ALLIANCES.    Management    For   

For

  
  15D    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESTRICT OR EXCLUDE THE PRE-EMPTION RIGHTS ACCRUING TO SHAREHOLDERS IN CONNECTION WITH AGENDA ITEM 15C.    Management    For   

For

  
  16A    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE SHARES IN THE COMPANY’S CAPITAL.    Management    For   

For

  
  16B    PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO ACQUIRE ADDITIONAL SHARES IN THE COMPANY’S CAPITAL.    Management    For   

For

  
  17    PROPOSAL TO CANCEL ORDINARY SHARES (TO BE) REPURCHASED BY THE COMPANY.    Management    For   

For

  

 

   INTUITIVE SURGICAL, INC.
   Security    46120E602    Meeting Type    Annual
   Ticker Symbol    ISRG    Meeting Date    25-Apr-2013
   ISIN    US46120E6023    Agenda    933742125 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.1    ELECTION OF DIRECTOR: AMAL M. JOHNSON    Management    For   

For

  
  1.2    ELECTION OF DIRECTOR: ERIC H. HALVORSON    Management    For   

For

  
  1.3    ELECTION OF DIRECTOR: ALAN J. LEVY, PH.D.    Management    For   

For

  
  2.    TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE COMPANY’S 2010 INCENTIVE AWARD PLAN    Management    For   

For

  
  3.    TO APPROVE, BY ADVISORY VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS    Management    For   

For

  
  4.    THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013    Management    For   

For

  

 

  ABBOTT LABORATORIES
  Security    002824100    Meeting Type    Annual
  Ticker Symbol    ABT    Meeting Date    26-Apr-2013
  ISIN    US0028241000    Agenda    933743672 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      R.J. ALPERN

      For   

For

  
    

2      R.S. AUSTIN

      For   

For

  
    

3      S.E. BLOUNT

      For   

For

  
    

4      W.J. FARRELL

      For   

For

  
    

5      E.M. LIDDY

      For   

For

  
    

6      N. MCKINSTRY

      For   

For

  
    

7      P.N. NOVAKOVIC

      For   

For

  
    

8      W.A. OSBORN

      For   

For

  
    

9      S.C. SCOTT III

      For   

For

  
    

10    G.F. TILTON

      For   

For

  
    

11    M.D. WHITE

      For   

For

  
  2.    RATIFICATION OF DELOITTE & TOUCHE LLP AS AUDITORS    Management    For   

For

  
  3.    SAY ON PAY - AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION    Management    For   

For

  
  4.    SHAREHOLDER PROPOSAL - GENETICALLY MODIFIED INGREDIENTS    Shareholder    Against   

For

  
  5.    SHAREHOLDER PROPOSAL - LOBBYING DISCLOSURE    Shareholder    Against   

For

  
  6.    SHAREHOLDER PROPOSAL - INDEPENDENT BOARD CHAIR    Shareholder    Against   

For

  
  7.    SHAREHOLDER PROPOSAL - EQUITY RETENTION AND HEDGING    Shareholder    Against   

For

  
  8.    SHAREHOLDER PROPOSAL - INCENTIVE COMPENSATION    Shareholder    Against   

For

  
  9.    SHAREHOLDER PROPOSAL - ACCELERATED VESTING OF AWARDS UPON CHANGE IN CONTROL    Shareholder    Against   

For

  

 

  NOBLE CORPORATION
  Security    H5833N103    Meeting Type    Annual
  Ticker Symbol    NE    Meeting Date    26-Apr-2013
  ISIN    CH0033347318    Agenda    933745246 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      MICHAEL A. CAWLEY

      For   

For

  
    

2      GORDON T. HALL

      For   

For

  
    

3      ASHLEY ALMANZA

      For   

For

  
  2.    APPROVAL OF THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012    Management    For   

For

  
  3.    APPROVAL OF DIVIDEND PAYMENT FUNDED FROM CAPITAL CONTRIBUTION RESERVE IN THE AMOUNT OF USD $1.00 PER SHARE    Management    For   

For

  
  4.    RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND THE ELECTION OF PRICEWATERHOUSECOOPERS AG AS STATUTORY AUDITOR FOR A ONE-YEAR TERM    Management    For   

For

  
  5.    APPROVAL OF THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE OFFICERS OF THE COMPANY UNDER SWISS LAW FOR FISCAL YEAR 2012    Management    For   

For

  
  6.    APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS    Management    For   

For

  
  7.    APPROVAL OF AN EXTENSION OF BOARD AUTHORITY TO ISSUE AUTHORIZED SHARE CAPITAL UNTIL APRIL 25, 2015    Management    For   

For

  

 

  NOBLE CORPORATION
  Security    H5833N103    Meeting Type    Annual
  Ticker Symbol    NE    Meeting Date    26-Apr-2013
  ISIN    CH0033347318    Agenda    933789250 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      MICHAEL A. CAWLEY

      For   

For

  
    

2      GORDON T. HALL

      For   

For

  
    

3      ASHLEY ALMANZA

      For   

For

  
  2.    APPROVAL OF THE 2012 ANNUAL REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012 AND THE STATUTORY FINANCIAL STATEMENTS OF THE COMPANY FOR FISCAL YEAR 2012    Management    For   

For

  
  3.    APPROVAL OF DIVIDEND PAYMENT FUNDED FROM CAPITAL CONTRIBUTION RESERVE IN THE AMOUNT OF USD $1.00 PER SHARE    Management    For   

For

  
  4.    RATIFICATION OF APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013 AND THE ELECTION OF PRICEWATERHOUSECOOPERS AG AS STATUTORY AUDITOR FOR A ONE-YEAR TERM    Management    For   

For

  
  5.    APPROVAL OF THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE OFFICERS OF THE COMPANY UNDER SWISS LAW FOR FISCAL YEAR 2012    Management    For   

For

  
  6.    APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS    Management    For   

For

  
  7.    APPROVAL OF AN EXTENSION OF BOARD AUTHORITY TO ISSUE AUTHORIZED SHARE CAPITAL UNTIL APRIL 25, 2015    Management    For   

For

  


   EMC CORPORATION
   Security    268648102    Meeting Type    Annual
   Ticker Symbol    EMC    Meeting Date    01-May-2013
   ISIN    US2686481027    Agenda    933748747 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: MICHAEL W. BROWN    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: RANDOLPH L. COWEN    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: GAIL DEEGAN    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: JAMES S. DISTASIO    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: JOHN R. EGAN    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: EDMUND F. KELLY    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: JAMI MISCIK    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: WINDLE B. PRIEM    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: PAUL SAGAN    Management    For   

For

  
  1J.    ELECTION OF DIRECTOR: DAVID N. STROHM    Management    For   

For

  
  1K.    ELECTION OF DIRECTOR: JOSEPH M. TUCCI    Management    For   

For

  
  2.    RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF PRICEWATERHOUSECOOPERS LLP AS EMC’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013, AS DESCRIBED IN EMC’S PROXY STATEMENT.    Management    For   

For

  
  3.    ADVISORY APPROVAL OF OUR EXECUTIVE COMPENSATION, AS DESCRIBED IN EMC’S PROXY STATEMENT.    Management    For   

For

  
  4.    APPROVAL OF THE EMC CORPORATION AMENDED AND RESTATED 2003 STOCK PLAN, AS DESCRIBED IN EMC’S PROXY STATEMENT.    Management    For   

For

  
  5.    APPROVAL OF THE EMC CORPORATION AMENDED AND RESTATED 1989 EMPLOYEE STOCK PURCHASE PLAN, AS DESCRIBED IN EMC’S PROXY STATEMENT.    Management    For   

For

  
  6.    APPROVAL OF AMENDMENTS TO EMC’S ARTICLES OF ORGANIZATION AND BYLAWS TO ALLOW SHAREHOLDERS TO ACT BY WRITTEN CONSENT BY LESS THAN UNANIMOUS APPROVAL, AS DESCRIBED IN EMC’S PROXY STATEMENT.    Management    For   

For

  
  7.    TO ACT UPON A SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS, AS DESCRIBED IN EMC’S PROXY STATEMENT.    Shareholder    Against   

For

  

 

  CVS CAREMARK CORPORATION
  Security    126650100    Meeting Type    Annual
  Ticker Symbol    CVS    Meeting Date    09-May-2013
  ISIN    US1266501006    Agenda    933763509 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: C. DAVID BROWN II    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: DAVID W. DORMAN    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: ANNE M. FINUCANE    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: KRISTEN GIBNEY WILLIAMS    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: LARRY J. MERLO    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: JEAN-PIERRE MILLON    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: RICHARD J. SWIFT    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: WILLIAM C. WELDON    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: TONY L. WHITE    Management    For   

For

  
  2.    PROPOSAL TO RATIFY INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2013.    Management    For   

For

  
  3.    SAY ON PAY - AN ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION.    Management    For   

For

  
  4.    AMEND THE COMPANY’S 2007 EMPLOYEE STOCK PURCHASE PLAN TO ADD SHARES TO THE PLAN.    Management    For   

For

  
  5.    AMEND THE COMPANY’S CHARTER TO REDUCE VOTING THRESHOLDS IN THE FAIR PRICE PROVISION.    Management    For   

For

  
  6.    STOCKHOLDER PROPOSAL REGARDING POLITICAL CONTRIBUTIONS AND EXPENDITURES.    Shareholder    Against   

For

  
  7.    STOCKHOLDER PROPOSAL REGARDING POLICY ON ACCELERATED VESTING OF EQUITY AWARDS UPON A CHANGE IN CONTROL.    Shareholder    Against   

For

  
  8.    STOCKHOLDER PROPOSAL REGARDING LOBBYING EXPENDITURES.    Shareholder    Against   

For

  

 

  AKAMAI TECHNOLOGIES, INC.
  Security    00971T101    Meeting Type    Annual
  Ticker Symbol    AKAM    Meeting Date    15-May-2013
  ISIN    US00971T1016    Agenda    933770706 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: PAMELA J. CRAIG    Management    Did not vote on loan      
  1B.    ELECTION OF DIRECTOR: F. THOMSON LEIGHTON    Management    Did not vote on loan      
  1C.    ELECTION OF DIRECTOR: PAUL SAGAN    Management    Did not vote on loan      
  1D.    ELECTION OF DIRECTOR: NAOMI O. SELIGMAN    Management    Did not vote on loan      
  2.    TO ADOPT THE AKAMAI TECHNOLOGIES, INC. 2013 STOCK INCENTIVE PLAN.    Management    Did not vote on loan      
  3A.    TO ADOPT AND APPROVE AMENDMENTS TO OUR CERTIFICATE OF INCORPORATION TO DECLASSIFY OUR BOARD OF DIRECTORS.    Management    Did not vote on loan      
  3B.    TO ADOPT AND APPROVE AMENDMENTS TO OUR CERTIFICATE OF INCORPORATION TO PROVIDE FOR DIRECTOR REMOVAL WITH OR WITHOUT CAUSE FOLLOWING DECLASSIFICATION OF OUR BOARD OF DIRECTORS.    Management    Did not vote on loan      
  3C.    TO ADOPT AND APPROVE AMENDMENTS TO OUR CERTIFICATE OF INCORPORATION TO ELIMINATE THE SUPERMAJORITY VOTING REQUIREMENT FOR AMENDING OR REPEALING ARTICLE TENTH OF OUR CERTIFICATE OF INCORPORATION.    Management    Did not vote on loan      
  4.    TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE OFFICER COMPENSATION.    Management    Did not vote on loan      
  5.    TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT AUDITORS OF AKAMAI TECHNOLOGIES, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31. 2013.    Management    Did not vote on loan      

 

  UNION PACIFIC CORPORATION
  Security    907818108    Meeting Type    Annual
  Ticker Symbol    UNP    Meeting Date    16-May-2013
  ISIN    US9078181081    Agenda    933779398 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: A.H. CARD, JR.    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: E.B. DAVIS, JR.    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: T.J. DONOHUE    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: A.W. DUNHAM    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: J.R. HOPE    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: J.J. KORALESKI    Management    For   

For

  


  1G.    ELECTION OF DIRECTOR: C.C. KRULAK    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: M.R. MCCARTHY    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: M.W. MCCONNELL    Management    For   

For

  
  1J.    ELECTION OF DIRECTOR: T.F. MCLARTY III    Management    For   

For

  
  1K.    ELECTION OF DIRECTOR: S.R. ROGEL    Management    For   

For

  
  1L.    ELECTION OF DIRECTOR: J.H. VILLARREAL    Management    For   

For

  
  1M.    ELECTION OF DIRECTOR: J.R. YOUNG    Management    For   

For

  
  2.    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    Management    For   

For

  
  3.    AN ADVISORY VOTE ON EXECUTIVE COMPENSATION (“SAY ON PAY”).    Management    For   

For

  
  4.    ADOPT THE UNION PACIFIC CORPORATION 2013 STOCK INCENTIVE PLAN.    Management    Against   

Against

  
  5.    SHAREHOLDER PROPOSAL REGARDING LOBBYING ACTIVITIES IF PROPERLY PRESENTED AT THE ANNUAL MEETING.    Shareholder    Against   

For

  

 

  MONDELEZ INTL, INC
  Security    609207105    Meeting Type    Annual
  Ticker Symbol    MDLZ    Meeting Date    21-May-2013
  ISIN    US6092071058    Agenda    933759625 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: STEPHEN F. BOLLENBACH    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: LEWIS W.K. BOOTH    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: LOIS D. JULIBER    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: MARK D. KETCHUM    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: JORGE S. MESQUITA    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: FREDRIC G. REYNOLDS    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: IRENE B. ROSENFELD    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: PATRICK T. SIEWERT    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: RUTH J. SIMMONS    Management    For   

For

  
  1J    ELECTION OF DIRECTOR: RATAN N. TATA    Management    For   

For

  
  1K    ELECTION OF DIRECTOR: J.F. VAN BOXMEER    Management    For   

For

  
  2.    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION    Management    For   

For

  
  3.    RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITORS FOR 2013    Management    For   

For

  
  4.    SHAREHOLDER PROPOSAL: REPORT ON EXTENDED PRODUCER RESPONSIBILITY    Shareholder    Against   

For

  
  5    SHAREHOLDER PROPOSAL: SUSTAINABILITY REPORT ON GENDER EQUALITY IN THE COMPANY’S SUPPLY CHAIN    Shareholder    Against   

For

  

 

  AMERICAN TOWER CORPORATION
  Security    03027X100    Meeting Type    Annual
  Ticker Symbol    AMT    Meeting Date    21-May-2013
  ISIN    US03027X1000    Agenda    933777457 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: RAYMOND P. DOLAN    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: RONALD M. DYKES    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: CAROLYN F. KATZ    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: GUSTAVO LARA CANTU    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: JOANN A. REED    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: PAMELA D.A. REEVE    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: DAVID E. SHARBUTT    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: JAMES D. TAICLET, JR.    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: SAMME L. THOMPSON    Management    For   

For

  
  2.    TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.    Management    For   

For

  
  3.    TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY’S EXECUTIVE COMPENSATION.    Management    For   

For

  
  4.    TO APPROVE AN AMENDMENT TO THE COMPANY’S AMENDED AND RESTATED BY- LAWS TO REDUCE THE OWNERSHIP THRESHOLD REQUIRED TO CALL A SPECIAL MEETING.    Management    For   

For

  

 

  JPMORGAN CHASE & CO.
  Security    46625H100    Meeting Type    Annual
  Ticker Symbol    JPM    Meeting Date    21-May-2013
  ISIN    US46625H1005    Agenda    933779728 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: JAMES A. BELL    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: CRANDALL C. BOWLES    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: STEPHEN B. BURKE    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: DAVID M. COTE    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: JAMES S. CROWN    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: JAMES DIMON    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: TIMOTHY P. FLYNN    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: ELLEN V. FUTTER    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: LABAN P. JACKSON, JR.    Management    For   

For

  
  1J.    ELECTION OF DIRECTOR: LEE R. RAYMOND    Management    For   

For

  
  1K.    ELECTION OF DIRECTOR: WILLIAM C. WELDON    Management    For   

For

  
  2.    RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM    Management    For   

For

  
  3.    ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION    Management    For   

For

  
  4.    AMENDMENT TO THE FIRM’S RESTATED CERTIFICATE OF INCORPORATION TO AUTHORIZE SHAREHOLDER ACTION BY WRITTEN CONSENT    Management    For   

For

  
  5.    REAPPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN    Management    For   

For

  
  6.    REQUIRE SEPARATION OF CHAIRMAN AND CEO    Shareholder    Against   

For

  
  7.    REQUIRE EXECUTIVES TO RETAIN SIGNIFICANT STOCK UNTIL REACHING NORMAL RETIREMENT AGE    Shareholder    Against   

For

  
  8.    ADOPT PROCEDURES TO AVOID HOLDING OR RECOMMENDING INVESTMENTS THAT CONTRIBUTE TO HUMAN RIGHTS VIOLATIONS    Shareholder    Against   

For

  
  9.    DISCLOSE FIRM PAYMENTS USED DIRECTLY OR INDIRECTLY FOR LOBBYING, INCLUDING SPECIFIC AMOUNTS AND RECIPIENTS’ NAMES    Shareholder    Against   

For

  


  NATIONAL OILWELL VARCO, INC.
  Security    637071101    Meeting Type    Annual
  Ticker Symbol    NOV    Meeting Date    22-May-2013
  ISIN    US6370711011    Agenda    933784464 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: MERRILL A. MILLER, JR.    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: GREG L. ARMSTRONG    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: BEN A. GUILL    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: DAVID D. HARRISON    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: ROGER L. JARVIS    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: ERIC L. MATTSON    Management    For   

For

  
  2.    RATIFICATION OF INDEPENDENT AUDITORS.    Management    For   

For

  
  3.    APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.    Management    For   

For

  
  4.    APPROVE AMENDMENTS TO THE NATIONAL OILWELL VARCO, INC. LONG-TERM INCENTIVE PLAN.    Management    Against   

Against

  
  5.    APPROVE THE NATIONAL OILWELL VARCO, INC. ANNUAL CASH INCENTIVE PLAN FOR EXECUTIVE OFFICERS.    Management    Against   

Against

  

 

  THE GOLDMAN SACHS GROUP, INC.
  Security    38141G104    Meeting Type    Annual
  Ticker Symbol    GS    Meeting Date    23-May-2013
  ISIN    US38141G1040    Agenda    933779754 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A    ELECTION OF DIRECTOR: LLOYD C. BLANKFEIN    Management    For   

For

  
  1B    ELECTION OF DIRECTOR: M. MICHELE BURNS    Management    For   

For

  
  1C    ELECTION OF DIRECTOR: GARY D. COHN    Management    For   

For

  
  1D    ELECTION OF DIRECTOR: CLAES DAHLBACK    Management    For   

For

  
  1E    ELECTION OF DIRECTOR: WILLIAM W. GEORGE    Management    For   

For

  
  1F    ELECTION OF DIRECTOR: JAMES A. JOHNSON    Management    For   

For

  
  1G    ELECTION OF DIRECTOR: LAKSHMI N. MITTAL    Management    For   

For

  
  1H    ELECTION OF DIRECTOR: ADEBAYO O. OGUNLESI    Management    For   

For

  
  1I    ELECTION OF DIRECTOR: JAMES J. SCHIRO    Management    For   

For

  
  1J    ELECTION OF DIRECTOR: DEBORA L. SPAR    Management    For   

For

  
  1K    ELECTION OF DIRECTOR: MARK E. TUCKER    Management    For   

For

  
  1L    ELECTION OF DIRECTOR: DAVID A. VINIAR    Management    For   

For

  
  02    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION (SAY ON PAY)    Management    For   

For

  
  03    APPROVAL OF THE GOLDMAN SACHS AMENDED AND RESTATED STOCK INCENTIVE PLAN (2013)    Management    Against   

Against

  
  04    RATIFICATION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013    Management    For   

For

  
  05    SHAREHOLDER PROPOSAL REGARDING HUMAN RIGHTS COMMITTEE    Shareholder    Against   

For

  
  06    SHAREHOLDER PROPOSAL REGARDING GOLDMAN SACHS LOBBYING DISCLOSURE    Shareholder    Against   

For

  
  07    SHAREHOLDER PROPOSAL REGARDING PROXY ACCESS FOR SHAREHOLDERS    Shareholder    Against   

For

  
  08    SHAREHOLDER PROPOSAL REGARDING MAXIMIZATION OF VALUE FOR SHAREHOLDERS    Shareholder    Against   

For

  

 

  MCDONALD’S CORPORATION
  Security    580135101    Meeting Type    Annual
  Ticker Symbol    MCD    Meeting Date    23-May-2013
  ISIN    US5801351017    Agenda    933781999 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: WALTER E. MASSEY    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: JOHN W. ROGERS, JR.    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: ROGER W. STONE    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: MILES D. WHITE    Management    For   

For

  
  2.    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.    Management    For   

For

  
  3.    ADVISORY VOTE TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITOR FOR 2013.    Management    For   

For

  
  4.    ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL REPORT ON EXECUTIVE COMPENSATION, IF PRESENTED.    Shareholder    Against   

For

  
  5.    ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING AN EXECUTIVE STOCK RETENTION POLICY, IF PRESENTED.    Shareholder    Against   

For

  
  6.    ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING A HUMAN RIGHTS REPORT, IF PRESENTED.    Shareholder    Against   

For

  
  7.    ADVISORY VOTE ON A SHAREHOLDER PROPOSAL REQUESTING A NUTRITION REPORT, IF PRESENTED.    Shareholder    Against   

For

  

 

  AMAZON.COM, INC.
  Security    023135106    Meeting Type    Annual
  Ticker Symbol    AMZN    Meeting Date    23-May-2013
  ISIN    US0231351067    Agenda    933782612 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: JEFFREY P. BEZOS    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: TOM A. ALBERG    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: JOHN SEELY BROWN    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: WILLIAM B. GORDON    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: JAMIE S. GORELICK    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: ALAIN MONIE    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: JONATHAN J. RUBINSTEIN    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: THOMAS O. RYDER    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: PATRICIA Q. STONESIFER    Management    For   

For

  
  2.    RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS    Management    For   

For

  
  3.    SHAREHOLDER PROPOSAL REGARDING A REPORT CONCERNING CORPORATE POLITICAL CONTRIBUTIONS    Shareholder    Against   

For

  


  CHEVRON CORPORATION
  Security    166764100    Meeting Type    Annual
  Ticker Symbol    CVX    Meeting Date    29-May-2013
  ISIN    US1667641005    Agenda    933786874 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: L.F. DEILY    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: R.E. DENHAM    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: A.P. GAST    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: E. HERNANDEZ    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: G.L. KIRKLAND    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: C.W. MOORMAN    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: K.W. SHARER    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: J.G. STUMPF    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: R.D. SUGAR    Management    For   

For

  
  1J.    ELECTION OF DIRECTOR: C. WARE    Management    For   

For

  
  1K.    ELECTION OF DIRECTOR: J.S. WATSON    Management    For   

For

  
  2.    RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM    Management    For   

For

  
  3.    ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION    Management    For   

For

  
  4.    APPROVAL OF AMENDMENTS TO LONG- TERM INCENTIVE PLAN    Management    Against   

Against

  
  5.    SHALE ENERGY OPERATIONS    Shareholder    Against   

For

  
  6.    OFFSHORE OIL WELLS    Shareholder    Against   

For

  
  7.    CLIMATE RISK    Shareholder    Against   

For

  
  8.    LOBBYING DISCLOSURE    Shareholder    Against   

For

  
  9.    CESSATION OF USE OF CORPORATE FUNDS FOR POLITICAL PURPOSES    Shareholder    Against   

For

  
  10.    CUMULATIVE VOTING    Shareholder    Against   

For

  
  11.    SPECIAL MEETINGS    Shareholder    Against   

For

  
  12.    INDEPENDENT DIRECTOR WITH ENVIRONMENTAL EXPERTISE    Shareholder    Against   

For

  
  13.    COUNTRY SELECTION GUIDELINES    Shareholder    Against   

For

  

 

  EXXON MOBIL CORPORATION
  Security    30231G102    Meeting Type    Annual
  Ticker Symbol    XOM    Meeting Date    29-May-2013
  ISIN    US30231G1022    Agenda    933791243 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      M.J. BOSKIN

      For   

For

  
    

2      P. BRABECK-LETMATHE

      For   

For

  
    

3      U.M. BURNS

      For   

For

  
    

4      L.R. FAULKNER

      For   

For

  
    

5      J.S. FISHMAN

      For   

For

  
    

6      H.H. FORE

      For   

For

  
    

7      K.C. FRAZIER

      For   

For

  
    

8      W.W. GEORGE

      For   

For

  
    

9      S.J. PALMISANO

      For   

For

  
    

10    S.S REINEMUND

      For   

For

  
    

11    R.W. TILLERSON

      For   

For

  
    

12    W.C. WELDON

      For   

For

  
    

13    E.E. WHITACRE, JR.

      For   

For

  
  2.    RATIFICATION OF INDEPENDENT AUDITORS (PAGE 60)    Management    For   

For

  
  3.    ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION (PAGE 61)    Management    For   

For

  
  4.    INDEPENDENT CHAIRMAN (PAGE 63)    Shareholder    Against   

For

  
  5.    MAJORITY VOTE FOR DIRECTORS (PAGE 64)    Shareholder    Against   

For

  
  6.    LIMIT DIRECTORSHIPS (PAGE 65)    Shareholder    Against   

For

  
  7.    REPORT ON LOBBYING (PAGE 66)    Shareholder    Against   

For

  
  8.    POLITICAL CONTRIBUTIONS POLICY (PAGE 67)    Shareholder    Against   

For

  
  9.    AMENDMENT OF EEO POLICY (PAGE 69)    Shareholder    Against   

For

  
  10.    REPORT ON NATURAL GAS PRODUCTION
(PAGE 70)
   Shareholder    Against   

For

  
  11.    GREENHOUSE GAS EMISSIONS GOALS (PAGE 72)    Shareholder    Against   

For

  

 

  WILLIAMS-SONOMA, INC.
  Security    969904101    Meeting Type    Annual
  Ticker Symbol    WSM    Meeting Date    30-May-2013
  ISIN    US9699041011    Agenda    933791368 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: LAURA J. ALBER    Management    Did not vote on loan      
  1B.    ELECTION OF DIRECTOR: ADRIAN D.P. BELLAMY    Management    Did not vote on loan      
  1C.    ELECTION OF DIRECTOR: ROSE MARIE BRAVO    Management    Did not vote on loan      
  1D.    ELECTION OF DIRECTOR: MARY ANN CASATI    Management    Did not vote on loan      
  1E.    ELECTION OF DIRECTOR: PATRICK J. CONNOLLY    Management    Did not vote on loan      
  1F.    ELECTION OF DIRECTOR: ADRIAN T. DILLON    Management    Did not vote on loan      
  1G.    ELECTION OF DIRECTOR: ANTHONY A. GREENER    Management    Did not vote on loan      
  1H.    ELECTION OF DIRECTOR: TED W. HALL    Management    Did not vote on loan      
  1I.    ELECTION OF DIRECTOR: MICHAEL R. LYNCH    Management    Did not vote on loan      


  1J.    ELECTION OF DIRECTOR: LORRAINE TWOHILL    Management    Did not vote on loan      
  2.    AN ADVISORY VOTE ON EXECUTIVE COMPENSATION    Management    Did not vote on loan      
  3.    RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING FEBRUARY 2, 2014    Management    Did not vote on loan      

 

  LOWE’S COMPANIES, INC.
  Security    548661107    Meeting Type    Annual
  Ticker Symbol    LOW    Meeting Date    31-May-2013
  ISIN    US5486611073    Agenda    933791546 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      RAUL ALVAREZ

      Did not vote on loan      
    

2      DAVID W. BERNAUER

      Did not vote on loan      
    

3      LEONARD L. BERRY

      Did not vote on loan      
    

4      PETER C. BROWNING

      Did not vote on loan      
    

5      RICHARD W. DREILING

      Did not vote on loan      
    

6      DAWN E. HUDSON

      Did not vote on loan      
    

7      ROBERT L. JOHNSON

      Did not vote on loan      
    

8      MARSHALL O. LARSEN

      Did not vote on loan      
    

9      RICHARD K. LOCHRIDGE

      Did not vote on loan      
    

10    ROBERT A. NIBLOCK

      Did not vote on loan      
    

11    ERIC C. WISEMAN

      Did not vote on loan      
  2.    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2013.    Management    Did not vote on loan      
  3.    ADVISORY APPROVAL OF THE COMPANY’S EXECUTIVE COMPENSATION.    Management    Did not vote on loan      
  4.    SHAREHOLDER PROPOSAL REGARDING EXECUTIVE STOCK RETENTION REQUIREMENTS.    Shareholder    Did not vote on loan      

 

  GOOGLE INC.
  Security    38259P508    Meeting Type    Annual
  Ticker Symbol    GOOG    Meeting Date    06-Jun-2013
  ISIN    US38259P5089    Agenda    933801905 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      LARRY PAGE

      For   

For

  
    

2      SERGEY BRIN

      For   

For

  
    

3      ERIC E. SCHMIDT

      For   

For

  
    

4      L. JOHN DOERR

      For   

For

  
    

5      DIANE B. GREENE

      For   

For

  
    

6      JOHN L. HENNESSY

      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

  
  2.    THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS GOOGLE’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.    Management    For   

For

  
  3.    A STOCKHOLDER PROPOSAL REGARDING A REPORT ON LEAD BATTERIES IN GOOGLE’S SUPPLY CHAIN, IF PROPERLY PRESENTED AT THE MEETING.    Shareholder    Against   

For

  
  4.    A STOCKHOLDER PROPOSAL REGARDING EQUAL SHAREHOLDER VOTING, IF PROPERLY PRESENTED AT THE MEETING.    Shareholder    Against   

For

  
  5.    A STOCKHOLDER PROPOSAL REGARDING EXECUTIVE STOCK RETENTION, IF PROPERLY PRESENTED AT THE MEETING.    Shareholder    Against   

For

  
  6.    A STOCKHOLDER PROPOSAL REGARDING SUCCESSION PLANNING, IF PROPERLY PRESENTED AT THE MEETING.    Shareholder    Against   

For

  

 

  FACEBOOK INC.
  Security    30303M102    Meeting Type    Annual
  Ticker Symbol    FB    Meeting Date    11-Jun-2013
  ISIN    US30303M1027    Agenda    933811538 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      MARC L. ANDREESSEN

      For   

For

  
    

2      ERSKINE B. BOWLES

      For   

For

  
    

3      S.D. DESMOND-HELLMANN

      For   

For

  
    

4      DONALD E. GRAHAM

      For   

For

  
    

5      REED HASTINGS

      For   

For

  
    

6      SHERYL K. SANDBERG

      For   

For

  
    

7      PETER A. THIEL

      For   

For

  
    

8      MARK ZUCKERBERG

      For   

For

  
  2.    TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF FACEBOOK, INC.‘S NAMED EXECUTIVE OFFICERS.    Management    For   

For

  
  3.    TO VOTE, ON A NON-BINDING ADVISORY BASIS, WHETHER A NON-BINDING ADVISORY VOTE ON THE COMPENSATION PROGRAM FOR FACEBOOK, INC.‘S NAMED EXECUTIVE OFFICERS SHOULD BE HELD EVERY ONE, TWO OR THREE YEARS.    Management    1 Year   

Against

  
  4.    TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS FACEBOOK, INC.‘S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.    Management    For   

For

  


  TARGET CORPORATION
  Security    87612E106    Meeting Type    Annual
  Ticker Symbol    TGT    Meeting Date    12-Jun-2013
  ISIN    US87612E1064    Agenda    933808163 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1A.    ELECTION OF DIRECTOR: ROXANNE S. AUSTIN    Management    For   

For

  
  1B.    ELECTION OF DIRECTOR: DOUGLAS M. BAKER, JR.    Management    For   

For

  
  1C.    ELECTION OF DIRECTOR: HENRIQUE DE CASTRO    Management    For   

For

  
  1D.    ELECTION OF DIRECTOR: CALVIN DARDEN    Management    For   

For

  
  1E.    ELECTION OF DIRECTOR: MARY N. DILLON    Management    For   

For

  
  1F.    ELECTION OF DIRECTOR: JAMES A. JOHNSON    Management    For   

For

  
  1G.    ELECTION OF DIRECTOR: MARY E. MINNICK    Management    For   

For

  
  1H.    ELECTION OF DIRECTOR: ANNE M. MULCAHY    Management    For   

For

  
  1I.    ELECTION OF DIRECTOR: DERICA W. RICE    Management    For   

For

  
  1J.    ELECTION OF DIRECTOR: GREGG W. STEINHAFEL    Management    For   

For

  
  1K.    ELECTION OF DIRECTOR: JOHN G. STUMPF    Management    For   

For

  
  1L.    ELECTION OF DIRECTOR: SOLOMON D. TRUJILLO    Management    For   

For

  
  2.    COMPANY PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    Management    For   

For

  
  3.    COMPANY PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, OUR EXECUTIVE COMPENSATION (“SAY-ON-PAY”).    Management    For   

For

  
  4.    SHAREHOLDER PROPOSAL TO ADOPT A POLICY FOR AN INDEPENDENT CHAIRMAN.    Shareholder    Against   

For

  
  5.    SHAREHOLDER PROPOSAL ON ELECTRONICS RECYCLING.    Shareholder    Against   

For

  

 

  CATERPILLAR INC.
  Security    149123101    Meeting Type    Annual
  Ticker Symbol    CAT    Meeting Date    12-Jun-2013
  ISIN    US1491231015    Agenda    933809937 - Management

 

     Item    Proposal    Type    Vote    For/Against
Management
    
  1.    DIRECTOR    Management         
    

1      DAVID L. CALHOUN

      For   

For

  
    

2      DANIEL M. DICKINSON

      For   

For

  
    

3      JUAN GALLARDO

      For   

For

  
    

4      DAVID R. GOODE

      For   

For

  
    

5      JESSE J. GREENE, JR.

      For   

For

  
    

6      JON M. HUNTSMAN, JR.

      For   

For

  
    

7      PETER A. MAGOWAN

      For   

For

  
    

8      DENNIS A. MUILENBURG

      For   

For

  
    

9      DOUGLAS R. OBERHELMAN

      For   

For

  
    

10    WILLIAM A. OSBORN

      For   

For

  
    

11    CHARLES D. POWELL

      For   

For

  
    

12    EDWARD B. RUST, JR.

      For   

For

  
    

13    SUSAN C. SCHWAB

      For   

For

  
    

14    JOSHUA I. SMITH

      For   

For

  
    

15    MILES D. WHITE

      For   

For

  
  2.    RATIFY THE APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.    Management    For   

For

  
  3.    ADVISORY VOTE ON EXECUTIVE COMPENSATION.    Management    For   

For

  
  4.    STOCKHOLDER PROPOSAL - DIRECTOR ELECTION MAJORITY VOTE STANDARD.    Shareholder    Against   

For

  
  5.    STOCKHOLDER PROPOSAL - STOCKHOLDER ACTION BY WRITTEN CONSENT.    Shareholder    Against   

For

  
  6.    STOCKHOLDER PROPOSAL - EXECUTIVE STOCK RETENTION.    Shareholder    Against   

For

  
  7.    STOCKHOLDER PROPOSAL - SUSTAINABILITY MEASURE IN EXECUTIVE COMPENSATION.    Shareholder    Against   

For

  
  8.    STOCKHOLDER PROPOSAL - REVIEW OF GLOBAL CORPORATE STANDARDS.    Shareholder    Against   

For

  
  9.    STOCKHOLDER PROPOSAL - SALES TO SUDAN.    Shareholder    Against   

For

  


SIGNATURE

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

 

(Registrant)          Northeast Investors Growth Fund
By:   

  /s/ William A. Oates, Jr.

     William A. Oates, Jr.
     President (Principal Executive Officer)
Date:      August 14, 2013