-----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, LXHepK7B6ufmj5+TI0F9HS9hVagnkkkc22OhzLPbL2+wVH3iNT/w7jehd8AJajP2 LQ+o++rW+7yrMYfqkTnV9Q== 0001104659-04-026366.txt : 20040831 0001104659-04-026366.hdr.sgml : 20040831 20040831102707 ACCESSION NUMBER: 0001104659-04-026366 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040831 DATE AS OF CHANGE: 20040831 EFFECTIVENESS DATE: 20040831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STATE STREET RESEARCH EXCHANGE TRUST CENTRAL INDEX KEY: 0000766768 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-04256 FILM NUMBER: 041006974 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CTR CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6174823920 FORMER COMPANY: FORMER CONFORMED NAME: STATE STREET EXCHANGE TRUST DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: STATE STREET EXCHANGE FUND INC DATE OF NAME CHANGE: 19890827 N-PX 1 a04-9760_7npx.htm N-PX

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB Number:  3235-0582

 

Expires:    March 31, 2006

 

Estimated average burden hours per response......14.4

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number              811-4256

 

State Street Research Exchange Trust

(Exact name of registrant as specified in charter)

 

 

 

One Financial Center, Boston, MA

02111-2690

(address of principal executive offices)

(zip code)

 

Richard S. Davis, President and Chief Executive Officer

 

State Street Research & Management Company

 

 

 

One Financial Center, Boston MA 02111-2690

(name and address of agent for service)

 

Registrant’s telephone number, including area code:

617-357-1200

 

 

Date of fiscal year end:

12/31

 

 

Date of reporting period:

7/1/03 - 6/30/04

 

 

 

 

Item 1.           Proxy Voting Record.

 

Vote Summary Report

Jul 01, 2003 - Jun 30, 2004

 

State Street Research Exchange Fund

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/02/04 - A

 

Agilent Technologies Inc. *A*

 

00846U101

 

 

 

 

 

01/05/04

 

 

 

29,749

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/29/04 - A

 

Altria Group, Inc. *MO*

 

02209S103

 

 

 

 

 

03/08/04

 

 

 

160,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Product Warnings for Pregnant Women

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Health Risks Associated with Cigarette Filters

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Cease Use of Light and Ultra Light in Cigarette Marketing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Place Canadian Style Warnings on Cigarette Packaging

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/26/04 - A

 

American Express Co. *AXP*

 

025816109

 

 

 

 

 

02/27/04

 

 

 

339,531

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

Anheuser-Busch Companies, Inc. *BUD*

 

035229103

 

 

 

 

 

03/01/04

 

 

 

225,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/16/03 - A

 

Applera Corp *ABI*

 

038020103

 

 

 

 

 

08/27/03

 

 

 

126,880

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Richard H. Ayers

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Jean-Luc Belingard

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Robert H. Hayes

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Arnold J. Levine

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director William H. Longfield

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Theodore E. Martin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Carolyn W. Slayman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Orin R. Smith

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director James R. Tobin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Tony L. White

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

Mgmt Rec - Company Management Recommended Vote

 

1

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/29/04 - A

 

Astrazeneca Plc (Formerly Zeneca Plc)

 

046353108

 

 

 

 

 

03/08/04

 

 

 

76,000

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

TO RECEIVE THE DIRECTORS REPORT AND ACCOUNTS FOR THE YEAR ENDED DECEMBER 31, 2003

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

TO CONFIRM DIVIDENDS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

TO AUTHORIZE THE DIRECTORS TO AGREE THE REMUNERATION OF THE AUDITOR

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

TO APPROVE THE DIRECTORS REMUNERATION REPORT FOR THE YEAR ENDED DECEMBER 31, 2003

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

TO ADOPT NEW ARTICLES OF ASSOCIATION

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

TO AUTHORIZE LIMITED EU POLITICAL DONATIONS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

TO AUTHORIZE THE DIRECTORS TO ALLOT UNISSUED SHARES

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

TO AUTHORIZE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

TO AUTHORIZE THE COMPANY TO PURCHASE ITS OWN SHARES

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

12

TO AUTHORIZE INCREASE OF CAP ON NON-EXECUTIVE DIRECTORS REMUNERATION

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/01/04 - A

 

Berkshire Hathaway Inc. *BRK.A*

 

084670207

 

 

 

 

 

03/03/04

 

 

 

3,687

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Warren E. Buffett

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Charles T. Munger

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Susan T. Buffett

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Howard G. Buffett

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Malcolm G. Chace

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director David S. Gottesman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Charlotte Guyman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Donald R. Keough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Thomas S. Murphy

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Ronald L. Olson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Walter Scott, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

2

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/15/04 - A

 

BP PLC (Form. Bp Amoco Plc)

 

055622104

 

 

 

 

 

02/23/04

 

 

 

179,496

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

TO ELECT MR A BURGMANS AS A DIRECTOR

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

TO GIVE AUTHORITY TO ALLOT SHARES UP TO A SPECIFIED AMOUNT

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING AN OFFER TO SHAREHOLDERS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

TO AUTHORISE THE USE OF TREASURY SHARES FOR EMPLOYEE SHARE SCHEMES

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

TO APPROVE THE DIRECTORS REMUNERATION REPORT

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

TO DETERMINE THE LIMIT FOR THE AGGREGATE REMUNERATION OF THE NON-EXECUTIVE DIRECTORS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE ACCOUNTS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

12

SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES ON MATTERS OF CONTROL AND RISK IN PROTECTED AND SENSITIVE AREAS

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/14/04 - A

 

Caterpillar Inc. *CAT*

 

149123101

 

 

 

 

 

02/17/04

 

 

 

116,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Equipment Sales to Israel

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Operational Imact of HIV/AIDS, TB, and Malaria Pandemic

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

3

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

Exxon Mobil Corp. *XOM*

 

30231G102

 

 

 

 

 

04/05/04

 

 

 

390,065

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Restricted Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Affirm Political Nonpartisanship

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Equatorial Guinea

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

8

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Amend EEO Statement to Include Reference to Sexual Orientation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Report on Climate Change Research

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Fannie Mae *FNM*

 

313586109

 

 

 

 

 

04/06/04

 

 

 

110,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/28/03 - S

 

First Data Corp. *FDC*

 

319963104

 

 

 

 

 

09/08/03

 

 

 

266,480

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

First Data Corp. *FDC*

 

319963104

 

 

 

 

 

03/22/04

 

 

 

266,480

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

General Electric Co. *GE*

 

369604103

 

 

 

 

 

03/01/04

 

 

 

344,970

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Eliminate Animal Testing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Nuclear Fuel Storage Risks

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on PCB Clean-up

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Foreign Outsourcing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Prepare Sustainability Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Limit Composition of Management Development and Compensation Committee to Independent Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

12

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

13

Limit Board Service for Other Companies

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

14

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

15

Hire Advisor/Maximize Shareholder Value

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

16

Adopt a Retention Ratio for Executives and Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

17

Require 70% to 80% Independent Board

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

18

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

4

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

09/22/03 - A

 

General Mills, Inc. *GIS*

 

370334104

 

 

 

 

 

07/24/03

 

 

 

138,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/03/03 - A

 

General Motors Corp. *GM*

 

370442105

 

 

 

 

 

04/04/03

 

 

 

112,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

Prohibit the Independent Accountant’s Spin-Off from Providing Consulting Services

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Greenhouse Gas Emissions and Future Reductions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Amend the Bylaws to Require that the Chairman be Independent

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Restore or Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Limit Composition of Committee(s) to Independent Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

9

Performance- Based/Indexed Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Prohibit Auditor from Providing Non-Audit Services

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/03/03 - WC

 

General Motors Corp. *GM*

 

370442105

 

 

 

 

 

08/01/03

 

 

 

112,800

 

 

 

1

Amend Articles

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Articles

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Hughes Split-Off

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve GM/News Stock Sale

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Approve News Stock Acquisition

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Amend Articles

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

5

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/02/04 - A

 

General Motors Corp. *GM*

 

370442105

 

 

 

 

 

04/05/04

 

 

 

112,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Limit Composition of Committees to Independent Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on Greenhouse Gas Emissions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Submit Severance Agreement (Change-in-Control) to Shareholder Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Establish Executive and Director Stock Ownership Guidelines

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/17/04 - A

 

Hewlett-Packard Co. *HPQ*

 

428236103

 

 

 

 

 

01/20/04

 

 

 

698,540

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director L.T. Babbio, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director P.C. Dunn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director C.S. Fiorina

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director R.A. Hackborn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director G.A. Keyworth II

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director R.E. Knowling, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director S.M. Litvack

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director R.L. Ryan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director L.S. Salhany

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

Intel Corp. *INTC*

 

458140100

 

 

 

 

 

03/22/04

 

 

 

200,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Limit/Prohibit Awards to Executives

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Performance- Based/Indexed Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

International Business Machines Corp. *IBM*

 

459200101

 

 

 

 

 

02/27/04

 

 

 

92,371

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors for the Company’s Business Consulting Services Unit

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Amend Pension and Retirement Medical Insurance Plans

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

8

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

China Principles

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

12

Report on Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

6

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Johnson & Johnson *JNJ*

 

478160104

 

 

 

 

 

02/24/04

 

 

 

192,799

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Cease Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

JP Morgan Chase & Co. *JPM*

 

46625H100

 

 

 

 

 

04/02/04

 

 

 

124,728

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Adjourn Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

6

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Political Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

10

Provide Adequate Disclosure for over the counter Derivatives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Auditor Independence

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

12

Submit Non-Employee Director Compensation to Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

13

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

MEDCO Health Solutions Inc *MHS*

 

58405U102

 

 

 

 

 

03/10/04

 

 

 

11,124

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/28/03 - A

 

Medtronic, Inc. *MDT*

 

585055106

 

 

 

 

 

07/03/03

 

 

 

60,000

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Richard H. Anderson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Michael R. Bonsignore

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gordon M. Sprenger

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

7

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

Merck & Co., Inc. *MRK*

 

589331107

 

 

 

 

 

02/24/04

 

 

 

83,999

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Declassify the Board of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Develop Ethical Criteria for Patent Extension

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Link Executive Compensation to Social Issues

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on Political Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/11/03 - A

 

Microsoft Corp. *MSFT*

 

594918104

 

 

 

 

 

09/12/03

 

 

 

399,890

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director William H. Gates, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Steven A. Ballmer

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director James I. Cash, Jr., Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Raymond V. Gilmartin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Ann McLaughlin Korologos

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director David F. Marquardt

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Charles H. Noski

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Dr. Helmut Panke

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Wm. G. Reed, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Jon A. Shirley

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Non-Employee Director Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposal

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Refrain from Giving Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

Millipore Corp. *MIL*

 

601073109

 

 

 

 

 

03/05/04

 

 

 

150,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

8

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

02/24/04 - A

 

Novartis AG

 

66987V109

 

 

 

 

 

01/30/04

 

 

 

185,384

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR 2003.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

APPROVAL OF THE ACTIVITIES OF THE BOARD OF DIRECTORS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

CONVERSION OF GENERAL RESERVES INTO FREE RESERVES.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

REDUCTION OF SHARE CAPITAL.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

FURTHER SHARE REPURCHASE PROGRAM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

AMENDMENT TO THE ARTICLES OF INCORPORATION.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Pfizer Inc. *PFE*

 

717081103

 

 

 

 

 

02/27/04

 

 

 

476,342

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Report on Operational Impact of HIV/AIDS, TB, and Malaria Pandemic

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Cease Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Drug Pricing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Amend Animal Testing Policy

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

9

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/14/04 - A

 

Schlumberger Ltd. *SLB*

 

806857108

 

 

 

 

 

02/25/04

 

 

 

109,238

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

ADOPTION AND APPROVAL OF FINANCIALS AND DIVIDENDS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

APPROVAL OF ADOPTION OF THE 2004 STOCK AND DEFERRAL PLAN FOR NON-EMPLOYEE DIRECTORS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

APPROVAL OF AUDITORS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

SLM Corp. *SLM*

 

78442P106

 

 

 

 

 

03/15/04

 

 

 

233,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

Target Corporation *TGT*

 

87612E106

 

 

 

 

 

03/22/04

 

 

 

273,222

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/03/04 - A

 

The Boeing Co. *BA*

 

097023105

 

 

 

 

 

03/05/04

 

 

 

131,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Reduce Supermajority Vote Requirement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Develop Ethical Criteria for Military Contracts

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Adopt Amended Workplace Code of Conduct

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Amend Vote Requirements to Amend Articles/Bylaws/Charter

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

8

Submit Severance Agreement (Change-in-Control) to Shareholder Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Adopt a Policy that will Commit Executive & Directors to Hold at least 75% of their Shares

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Provide Employees Choice of Pension Plans at Retirement or Termination

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

10

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

The Coca-Cola Company *KO*

 

191216100

 

 

 

 

 

02/23/04

 

 

 

87,735

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Herbert A. Allen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Ronald W. Allen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Cathleen P. Black

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Warren E. Buffett

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Douglas N. Daft

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Barry Diller

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Donald R. Keough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Susan Bennett King

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Maria Elena Lagomasino

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Donald F. Mchenry

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Robert L. Nardelli

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Sam Nunn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director J. Pedro Reinhard

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director James D. Robinson III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.15

Elect Director Peter V. Ueberroth

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.16

Elect Director James B. Williams

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Operational Impact of HIV/AIDS Pandemic

 

 

 

For

 

For

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Executive Compensation to Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Implement China Principles

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/14/03 - A

 

The Procter & Gamble Company *PG*

 

742718109

 

 

 

 

 

08/01/03

 

 

 

123,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Label Genetically Engineered Foods

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/19/04 - S

 

The St. Paul Travelers Companies, Inc. *STA*

 

792860108

 

 

 

 

 

02/06/04

 

 

 

154,500

 

 

 

1

Issue Shares in Connection with a Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Bylaws

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Articles

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Reduce Supermajority Vote Requirement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

11

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

Transocean Inc. *RIG*

 

G90078109

 

 

 

 

 

03/18/04

 

 

 

21,148

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

APPROVAL OF THE AMENDMENT OF OUR LONG-TERM INCENTIVE PLAN AS DESCRIBED IN THE PROXY STATEMENT.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/30/03 - A

 

Vodafone Group PLC

 

92857W100

 

 

 

 

 

None

 

 

 

309,500

 

 

 

1

Accept Financial Statements and Statutory Reports

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Remuneration Report

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Reelect Lord MacLaurin of Knebworth as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Reelect Kenneth Hydon as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Reelect Thomas Geitner as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Reelect Alec Broers as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

Reelect Juergen Schrempp as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

Elect John Buchanan as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

Approve Final Dividend of 0.8983 Pence Per Share

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

Ratify Deloitte and Touche as Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

Authorize Board to Fix Remuneration of Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

12

Authorize EU Political Donations up to GBP 100,000

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

13

Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of USD 900,000,000

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

14

Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of USD 340,000,000

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

15

Authorize 6,800,000,000 Shares for Share Repurchase Program

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/06/03 - A

 

Wal-Mart Stores, Inc. *WMT*

 

931142103

 

 

 

 

 

04/08/03

 

 

 

223,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Auditor from Providing Non-Audit Services

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Performance-Based/Indexed Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on Impact of Genetically Engineered Foods

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on EEOC-Related Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Implement and Monitor Code of Corporate Conduct - ILO Standards

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

12

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/04/04 - A

 

Wal-Mart Stores, Inc. *WMT*

 

931142103

 

 

 

 

 

04/05/04

 

 

 

223,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Prepare Sustainability Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Report on Genetically Modified Organisms (GMO)

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Prepare Diversity Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Wyeth *WYE*

 

983024100

 

 

 

 

 

03/12/04

 

 

 

145,544

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Drug Pricing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Amend Animal Testing Policy

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

13

 

SIGNATURES

 

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

 

 

(Registrant)

State Street Research Exchange Trust

 

By (signature and title)*

/s/  Richard S. Davis

 

 

 

Richard S. Davis, Principal Executive Officer

 

Date

August 31, 2004

 

*Print the name and title of each signing officer under his or her signature.

 

14

 -----END PRIVACY-ENHANCED MESSAGE-----