-----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, BeNyhDq8v+jwWWhbtK6XQsIwf5NRneyfKYCXVobNraQ0WPxuKKGD0Pr4pD742shx d5n8LGMEBfmRekfeR59L2w== 0000898432-05-000726.txt : 20050823 0000898432-05-000726.hdr.sgml : 20050823 20050823104840 ACCESSION NUMBER: 0000898432-05-000726 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050630 FILED AS OF DATE: 20050823 DATE AS OF CHANGE: 20050823 EFFECTIVENESS DATE: 20050823 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE CAPITAL APPRECIATION TRUST CENTRAL INDEX KEY: 0000771809 IRS NUMBER: 000000000 FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-04338 FILM NUMBER: 051042700 BUSINESS ADDRESS: STREET 1: 880 CARILLON PKWY STREET 2: P O BOX 12749 CITY: ST PETERSBURG STATE: FL ZIP: 33733 BUSINESS PHONE: 8135738143 MAIL ADDRESS: STREET 1: 800 CARILLON PARKWAY CITY: ST PETERSBURG STATE: FL ZIP: 33733-8022 N-PX 1 form_n-px.txt As filed with the Securities and Exchange Commission on August 23, 2005 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: 811-04338 HERITAGE CAPITAL APPRECIATION TRUST ----------------------------------- (Exact Name of the Registrant as Specified in Charter) 880 Carillon Parkway St. Petersburg, FL 33716 (Address of Principal Executive Offices - Zip Code) Registrant's telephone number, including area code: (727) 573-3800 RICHARD K. RIESS, PRESIDENT 880 Carillon Parkway St. Petersburg, FL 33716 (Name and Address of Agent for Service) Copy to: CLIFFORD J. ALEXANDER, ESQ. Kirkpatrick & Lockhart Nicholson Graham LLP 1800 Massachusetts Avenue, NW Washington, D.C. 20036 (Names and Addresses of agents for service) Date of fiscal year end: August 31, 2005 Date of Reporting Period: July 1, 2004 to June 30, 2005 ITEM 1. PROXY VOTING RECORD. Heritage Capital Appreciation Trust - --------------------------------------------------------------------------------
Share- holder Vote with Mgmt or or against How the Meeting Issuer Mgmt Fund cast Heritage Name Cusip Ticker Issuer Date Issue Proposal Rec its vote Voted? - ----------------------------------------------------------------------------------------------------------------------------------- Capital Appreciation 313400301 FRE Freddie Mac. 11/04/2004 Elect Directors M With For Yes Capital Appreciation 313400301 FRE Freddie Mac. 11/04/2004 Ratify Auditors M With For Yes Capital Appreciation 313400301 FRE Freddie Mac. 11/04/2004 Approve Omnibus M With For Yes Stock Plan Capital Appreciation 313400301 FRE Freddie Mac. 11/04/2004 Amend Employee M With For Yes Stock Purchase Plan Capital Appreciation 594918104 MSFT Microsoft Corp. 11/09/2004 Elect Directors M With For Yes Capital Appreciation 594918104 MSFT Microsoft Corp. 11/09/2004 Amend Bundles M With For Yes Compensation Plans Capital Appreciation 594918104 MSFT Microsoft Corp. 11/09/2004 Amend Bundles M With For Yes Compensation Plans Capital Appreciation 594918104 MSFT Microsoft Corp. 11/09/2004 Amend Stock M With For Yes Option Plan Capital Appreciation 594918104 MSFT Microsoft Corp. 11/09/2004 Ratify Auditors M With For Yes Capital Appreciation 747525103 QCOM Qualcomm Inc. 03/08/2005 Elect Directors M With For Yes Capital Appreciation 747525103 QCOM Qualcomm Inc. 03/08/2005 Declassify the M With For Yes Board of Directors and Eliminate Cumulative Voting Capital Appreciation 747525103 QCOM Qualcomm Inc. 03/08/2005 Increase M With For Yes Authorized Common Stock Capital Appreciation 747525103 QCOM Qualcomm Inc. 03/08/2005 Amend Articles M With For Yes Capital Appreciation 747525103 QCOM Qualcomm Inc. 03/08/2005 Ratify Auditors M With For Yes Capital Appreciation 982526105 WWY Wm. Wrigley 03/08/2005 Elect Directors M With For Yes Jr. Co. Capital Appreciation 982526105 WWY Wm. Wrigley 03/08/2005 Increase M Against For Yes Jr. Co. Authorized Common Stock Capital Appreciation 982526105 WWY Wm. Wrigley 03/08/2005 Ratify M With For Yes Jr. Co. Auditors Capital Appreciation 982526105 WWY Wm. Wrigley 03/08/2005 Proposal S With For Yes Jr. Co. Regarding a Change to Proxy Card Features Capital Appreciation 902124106 TYC Tyco 03/10/2005 Elect M With For Yes International Directors Ltd. Capital Appreciation 902124106 TYC Tyco 03/10/2005 Ratify M With For Yes International Auditors Ltd. Capital Appreciation 413619107 HET Harrah's 03/11/2005 Issue Shares M With For Yes Entertainment in Connection Inc. with an Acquisition Capital Appreciation 413619107 HET Harrah's 03/11/2005 Increase M With For Yes Entertainment Authorized Inc. Common Stock Capital Appreciation 184502102 CCU Clear Channel 04/26/2005 Elect M With For Yes Communications Directors Inc. Capital Appreciation 184502102 CCU Clear Channel 04/26/2005 Approve M With For Yes Communications Executive Inc. Incentive Bonus Plan Capital Appreciation 184502102 CCU Clear Channel 04/26/2005 Ratify M With For Yes Communications Auditors Inc. Capital Appreciation 151313103 CD Cendant 04/26/2005 Elect M Split Split Yes Corporation Directors Capital Appreciation 151313103 CD Cendant 04/26/2005 Ratify Auditors M With For Yes Corporation
Capital Appreciation 151313103 CD Cendant 04/26/2005 Approve Outside M With For Yes Director Stock Awards/Options Corporation in Lieu of Cash Capital Appreciation 151313103 CD Cendant 04/26/2005 Approve S With For Yes Corporation Qualified Employee Stock Purchase Plan Capital Appreciation 151313103 CD Cendant 04/26/2005 Report on Pay S With Against Yes Corporation Disparity Capital Appreciation 151313103 CD Cendant 04/26/2005 Eliminate or M Against For Yes Corporation Restrict Severance Agreements (Change-in- Control) Capital Appreciation 381317106 GDW Golden West 04/26/2005 Elect Directors M With For Yes Financial Corp. Capital Appreciation 381317106 GDW Golden West 04/26/2005 Approve Omnibus M With For Yes Financial Corp. Stock Plan Capital Appreciation 381317106 GDW Golden West 04/26/2005 Ratify Auditors M With For Yes Financial Corp. Capital Appreciation 615369105 MCO Moody's 04/26/2005 Elect Directors M With For Yes Corporation Capital Appreciation 615369105 MCO Moody's 04/26/2005 Increase M With For Yes Corporation Authorized Common Stock Capital Appreciation 615369105 MCO Moody's 04/26/2005 Ratify Auditors M With For Yes Corporation Capital Appreciation 580645109 MHP The McGraw-Hill 04/27/2005 Elect Directors M With For Yes Companies Inc. Capital Appreciation 580645109 MHP The McGraw-Hill 04/27/2005 Approve M With For Yes Companies Inc. Executive Incentive Bonus Plan Capital Appreciation 580645109 MHP The McGraw-Hill 04/27/2005 Increase M With For Yes Companies Inc. Authorized Common Stock Capital Appreciation 580645109 MHP The McGraw-Hill 04/27/2005 Ratify Auditors M With For Yes Companies Inc. Capital Appreciation 580645109 MHP The McGraw-Hill 04/27/2005 Submit S Against For Yes Companies Inc. Shareholder Rights Plan (Poison Pill) to Shareholder Vote Capital Appreciation 413619107 HET Harrah's 04/28/2005 Elect Directors M With For Yes Entertainment Inc. Capital Appreciation 413619107 HET Harrah's 04/28/2005 Ratify Auditors M With For Yes Entertainment Inc. Capital Appreciation 713448108 PEP PepsiCo Inc. 05/04/2005 Elect Directors M With For Yes Capital Appreciation 713448108 PEP PepsiCo Inc. 05/04/2005 Ratify Auditors M With For Yes Capital Appreciation 713448108 PEP PepsiCo Inc. 05/04/2005 Report on S With Against Yes Corporate Political Contributions Capital Appreciation 136385101 CNQ. Canadian 05/05/2005 Elect Directors M With For Yes Natural Resources Ltd. Capital Appreciation 136385101 CNQ. Canadian 05/05/2005 Approve M With For Yes Natural Pricewaterhouse- Resources Coopers LLP as Ltd. Auditors and Authorize Board to Fix Remuneration Auditors Capital Appreciation 136385101 CNQ. Canadian 05/05/2005 Approve 2:1 M With For Yes Natural Stock Split Resources Ltd.
Capital Appreciation 918866104 VCI Valassis 05/10/2005 Elect Directors M Split Split Yes Communications Inc. Capital Appreciation 918866104 VCI Valassis 05/10/2005 Approve M With For Yes Communications Restricted Inc. Stock Plan Capital Appreciation 918866104 VCI Valassis 05/10/2005 Approve M With For Yes Communications Restricted Inc. Stock Plan Capital Appreciation 918866104 VCI Valassis 05/10/2005 Ratify Auditors M With For Yes Communications Inc. Capital Appreciation 141705103 CMX Caremark Rx 05/11/2005 Elect Directors M With For Yes Inc. Capital Appreciation 141705103 CMX Caremark Rx 05/11/2005 Report on S With Against Yes Inc. Political Contributions Capital Appreciation 319963104 FDC First Data 05/11/2005 Elect Directors M With For Yes Corp. Capital Appreciation 319963104 FDC First Data 05/11/2005 Amend Qualified M With For Yes Corp. Employee Stock Purchase Plan Capital Appreciation 319963104 FDC First Data 05/11/2005 Amend Executive M With For Yes Corp. Incentive Bonus Plan Capital Appreciation 319963104 FDC First Data 05/11/2005 Ratify Auditors M With For Yes Corp. Capital Appreciation 319963104 FDC First Data 05/11/2005 Report on S With Against Yes Corp. Outsourcing Capital Appreciation 319963104 FDC First Data 05/11/2005 Amend S With Against Yes Corp. Director/Officer Liability/ Indemnifications Provisions Capital Appreciation 914906102 UVN Univision 05/11/2005 Elect Directors M Split Split Yes Communications Inc. Capital Appreciation 914906102 UVN Univision 05/11/2005 Ratify Auditors M With For Yes Communications Inc. Capital Appreciation 914906102 UVN Univision 05/11/2005 Adopt S Against For Yes Communications Recapitalization Inc. Plan Regarding Votes Per Share Capital Appreciation 38259P508 GOOG Google Inc. 05/12/2005 Elect Directors M With For Yes Capital Appreciation 38259P508 GOOG Google Inc. 05/12/2005 Ratify Auditors M With For Yes Capital Appreciation 38259P508 GOOG Google Inc. 05/12/2005 Amend Omnibus M Against Against Yes Stock Plan Capital Appreciation 12686C109 CVC Cablevision 05/19/2005 Elect Directors M Split Split Yes Systems Corp. Capital Appreciation 12686C109 CVC Cablevision 05/19/2005 Ratify Auditors M With For Yes Systems Corp. Capital Appreciation 808513105 SCH The Charles 05/19/2005 Elect Directors M Split Split Yes Schwab Corp. Capital Appreciation 808513105 SCH The Charles 05/19/2005 Amend Omnibus M With For Yes Schwab Corp. Stock Plan Capital Appreciation 808513105 SCH The Charles 05/19/2005 Approve M With For Yes Schwab Corp. Executive Incentive Bonus Plan Capital Appreciation 808513105 SCH The Charles 05/19/2005 Declassify the S Against For Yes Schwab Corp. Board of Directors Capital Appreciation 961815107 WON Westwood One 05/19/2005 Elect Directors M With For Yes Inc. Capital Appreciation 961815107 WON Westwood One 05/19/2005 Ratify Auditors M With For Yes Inc. Capital Appreciation 961815107 WON Westwood One 05/19/2005 Approve Omnibus M With For Yes Inc. Stock Plan Capital Appreciation 984332106 YHOO Yahoo Inc. 05/19/2005 Elect Directors M Split Split Yes Capital Appreciation 984332106 YHOO Yahoo Inc. 05/19/2005 Amend Omnibus M With For Yes Stock Plan
Capital Appreciation 984332106 YHOO Yahoo Inc. 05/19/2005 Amend Non- M With For Yes Employee Director Stock Option Plan Capital Appreciation 984332106 YHOO Yahoo Inc. 05/19/2005 Ratify Auditors M With For Yes Capital Appreciation 887317105 TWX Time Warner Inc. 05/20/2005 Elect Directors M With For Yes Capital Appreciation 887317105 TWX Time Warner Inc. 05/20/2005 Ratify Auditors M With For Yes Capital Appreciation 887317105 TWX Time Warner Inc. 05/20/2005 Report on Pay S With Against Yes Disparity Capital Appreciation 029912201 AMT American Tower 05/26/2005 Elect Directors M With For Yes Corp. Capital Appreciation 029912201 AMT American Tower 05/26/2005 Ratify Auditors M With For Yes Corp. Capital Appreciation 228227104 CCI Crown Castle 05/26/2005 Elect Directors M With For Yes International Corp. Capital Appreciation 228227104 CCI Crown Castle 05/26/2005 Ratify Auditors M With For Yes International Corp. Capital Appreciation 29382R107 EVC Entravision 05/26/2005 Elect Directors M Split Split Yes Communication Capital Appreciation 29382R107 EVC Entravision 05/26/2005 Ratify Auditors M With For Yes Communication Capital Appreciation 512815101 LAMR Lamar 05/26/2005 Elect Directors M With For Yes Advertising Company Capital Appreciation 548661107 LOW Lowe's 05/27/2005 Elect Directors M With For Yes Companies Inc. Capital Appreciation 548661107 LOW Lowe's 05/27/2005 Amend Non- M With For Yes Companies Inc. Employee Director Stock Option Plan Capital Appreciation 548661107 LOW Lowe's 05/27/2005 Ratify Auditors M With For Yes Companies Inc. Capital Appreciation 58405U102 MHS MEDCO Health 05/31/2005 Elect Directors M With For Yes Solutions Inc Capital Appreciation 58405U102 MHS MEDCO Health 05/31/2005 Ratify Auditors M With For Yes Solutions Inc Capital Appreciation 58405U102 MHS MEDCO Health 05/31/2005 Approve Omnibus M With Solutions Inc Stock Plan Capital Appreciation 58405U102 MHS MEDCO Health 05/31/2005 Approve Qualified M With For Yes Solutions Inc Employee Stock Purchase Plan Capital Appreciation 58405U102 MHS MEDCO Health 05/31/2005 Approve M With For Yes Solutions Inc Executive Incentive Bonus Plan Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Elect Directors M With For Yes Stores Inc. Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Amend Omnibus M With For Yes Stores Inc. Stock Plan Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Ratify Auditors M With For Yes Stores Inc. Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Report on M Against For Yes Stores Inc. Executive Compensation Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Prepare S Against For Yes Stores Inc. Sustainability Report Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Report on Stock S Against For Yes Stores Inc. Option Distribution by Race and Gender Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Report on S With Against Yes Stores Inc. Political Contributions Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Prepare Equal S Against For Yes Stores Inc. Opportunity Report
Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Require a S Against For Yes Stores Inc. Majority Vote for the Election of Directors Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Require Majority S With Against Yes Stores Inc. of Independent Directors on Board Capital Appreciation 931142103 WMT Wal-Mart 06/03/2005 Performance- S With Against Yes Stores Inc. Based/Indexed Options Capital Appreciation 517834107 LVS Las Vegas 06/09/2005 Elect Directors M Split Split Yes Sands Corp. Capital Appreciation 517834107 LVS Las Vegas 06/09/2005 Ratify Auditors M With For Yes Sands Corp. Capital Appreciation 278642103 EBAY eBay Inc. 06/23/2005 Elect Directors M With For Yes Capital Appreciation 278642103 EBAY eBay Inc. 06/23/2005 Approve M With For Yes Executive Incentive Bonus Plan Capital Appreciation 278642103 EBAY eBay Inc. 06/23/2005 Increase M With For Yes Authorized Common Stock Capital Appreciation 278642103 EBAY eBay Inc. 06/23/2005 Ratify Auditors M With For Yes Capital Appreciation 278642103 EBAY eBay Inc. 06/23/2005 Performance- S Against For Yes Based/Indexed Options Capital Appreciation 278642103 EBAY eBay Inc. 06/23/2005 Require a S Against For Yes Majority Vote for the Election of Directors
- -------------------------------------------------------------------------------- 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. Heritage Capital Appreciation Trust By: /s/ K.C. Clark -------------- K.C. Clark Executive Vice President Principal Executive Officer Date: August 19, 2005 -----END PRIVACY-ENHANCED MESSAGE-----