-----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, Lx6ivFxsxQojpxIDJgwQhmP2BKdm3b8w0xFtqVFnT2E5jKS56IRimqwpPXab0gAO xswTVETzVc72K458hiRAOQ== 0000898432-07-000784.txt : 20070828 0000898432-07-000784.hdr.sgml : 20070828 20070828143914 ACCESSION NUMBER: 0000898432-07-000784 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070828 DATE AS OF CHANGE: 20070828 EFFECTIVENESS DATE: 20070828 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 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: 071083480 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 0000771809 S000008487 HERITAGE CAPITAL APPRECIATION TRUST C000023284 Class A HRCPX C000023285 Class B HRCBX C000023286 Class C HRCCX C000023287 Class I HRCIX C000023288 Class R3 HRCLX C000023289 Class R5 HRCMX N-PX 1 heritagetrust.txt 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: 811-4338 HERITAGE CAPITAL APPRECIATION TRUST ----------------------------------- (Exact name of Registrant as Specified in Charter) 880 Carillon Parkway St. Petersburg, FL 33716 (Address of Principal Executive Office) (Zip Code) Registrant's Telephone Number, including Area Code: (727) 567-8143 STEPHEN G. HILL, PRESIDENT 880 Carillon Parkway St. Petersburg, FL 33716 (Name and Address of Agent for Service) Copy to: CLIFFORD J. ALEXANDER, ESQ. Kirkpatrick & Lockhart Preston Gates Ellis LLP 1601 K Street, NW Washington, D.C. 20006 Date of fiscal year end: October 31 Date of Reporting Period: July 1, 2006 to June 30, 2007 ITEM 1. PROXY VOTING RECORD. Heritage Capital Appreciation Trust - --------------------------------------------------------------------------------
Shareholder, Voted With How the Management, or Against Fund Heritage Ticker Meeting or Issuer Management Cast Fund Name Cusip Symbol Issuer Name Date Issue Proposal Vote Voted? Capital 760975102 RIMM Research In 7/18/2006 Elect Directors M With For Y Appreciation Motion Ltd Capital 760975102 RIMM Research In 7/18/2006 Approve Ernst & Young LLP as M With For Y Appreciation Motion Ltd Auditors and Authorize Board to Fix Remuneration of Auditors Capital 285512109 ERTS Electronic 7/27/2006 Elect Directors M Split Split Y Appreciation Arts Inc Capital 285512109 ERTS Electronic 7/27/2006 Approve Repricing of Options M With For Y Appreciation Arts Inc Capital 285512109 ERTS Electronic 7/27/2006 Amend Omnibus Stock Plan M With For Y Appreciation Arts Inc Capital 285512109 ERTS Electronic 7/27/2006 Amend Qualified Employee Stock M With For Y Appreciation Arts Inc Purchase Plan Capital 285512109 ERTS Electronic 7/27/2006 Ratify Auditors M With For Y Appreciation Arts Inc Capital 585055106 MDT Medtronic Inc 8/24/2006 Elect Directors M Split Split Y Appreciation Capital 585055106 MDT Medtronic Inc 8/24/2006 Ratify Auditors M With For Y Appreciation Capital 585055106 MDT Medtronic Inc 8/24/2006 Require a Majority Vote for the S Against For Y Appreciation Election of Directors Capital 151313103 CAR Avis Budget 8/29/2006 Elect Directors M Split Split Y Appreciation Group Inc Capital 151313103 CAR Avis Budget 8/29/2006 Ratify Auditors M With For Y Appreciation Group Inc Capital 151313103 CAR Avis Budget 8/29/2006 Approve Reverse Stock Split M With For Y Appreciation Group Inc Capital 151313103 CAR Avis Budget 8/29/2006 Change Company Name M With For Y Appreciation Group Inc Capital 151313103 CAR Avis Budget 8/29/2006 Company Specific-Redesignation of M With For Y Appreciation Group Inc Common Stock Capital 151313103 CAR Avis Budget 8/29/2006 Reduce Authorized Common Stock M With For Y Appreciation Group Inc Capital 151313103 CAR Avis Budget 8/29/2006 Non-Employee Director Compensation S With Against Y Appreciation Group Inc Capital 151313103 CAR Avis Budget 8/29/2006 Submit Severance Agreement (Change S Against For Y Appreciation Group Inc in Control) to shareholder Vote Capital 313400301 FRE Freddie Mac 9/8/2006 Elect Directors M With For Y Appreciation Capital 313400301 FRE Freddie Mac 9/8/2006 Ratify Auditors M With For Y Appreciation Capital 313400301 FRE Freddie Mac 9/8/2006 Report on Charitable Contributions S With Against Y Appreciation Capital 535678106 LLTC Linear 11/1/2006 Elect Directors M Split Split Y Appreciation Technology Corp Capital 535678106 LLTC Linear 11/1/2006 Ratify Auditors M With For Y Appreciation Technology Corp Capital 594918104 MSFT Microsoft Corp 11/14/2006 Elect Directors M With For Y Appreciation Capital 594918104 MSFT Microsoft Corp 11/14/2006 Ratify Auditors M With For Y Appreciation Capital 594918104 MSFT Microsoft Corp 11/14/2006 Cease Product Sales that Can Be S With For Y Appreciation Used to Violate Human Rights Capital 594918104 MSFT Microsoft Corp 11/14/2006 Amend EEO Statement to Not S With For Y Appreciation Reference Sexual Orientation Capital 594918104 MSFT Microsoft Corp 11/14/2006 Establish Shareholder Advisory S With For Y Appreciation Committee Capital 228227104 CCI Crown Castle 1/11/2007 Approve Merger Agreement M With F Y Appreciation International Corp Capital 747525103 QCOM QUALCOMM Inc 3/13/2007 Elect Directors M With F Y Appreciation Capital 747525103 QCOM QUALCOMM Inc 3/13/2007 Ratify Auditors M With F Y Appreciation Capital 413619107 HET Harrah's 4/5/2007 Approve Merger Agreement M With For Y Appreciation Entertainment Inc Capital 413619107 HET Harrah's 4/5/2007 Adjourn Meeting M With For Y Appreciation Entertainment Inc Capital 64057102 BK The Bank of 4/10/2007 Elect Directors M With For Y Appreciation New York Capital 64057102 BK The Bank of 4/10/2007 Ratify Auditors M With For Y Appreciation New York Capital 64057102 BK The Bank of 4/10/2007 Amend Vote Requirements to Amend S Against For Y Appreciation New York Articles/Bylaws/Charter Capital 64057102 BK The Bank of 4/10/2007 Restore or Provide for Cumulative S Against For Y Appreciation New York Voting Capital 64057102 BK The Bank of 4/10/2007 Advisory Vote to Ratify Named S Against For Y Appreciation New York Executive Officers Compensation Capital 806857108 SLB Schlumberger 4/11/2007 Elect Directors M With For Y Appreciation Ltd
Capital 806857108 SLB Schlumberger 4/11/2007 Adoption and approval of M With For Y Appreciation Ltd financials and dividends Capital 806857108 SLB Schlumberger 4/11/2007 Approval of Independent Registered M With For Y Appreciation Ltd Public accounting firm Capital 867914103 STI Sun Trust 4/17/2007 Elect Directors M Split Split Y Appreciation Banks Inc Capital 867914103 STI Sun Trust 4/17/2007 Amend Rights and Preferences of M With For Y Appreciation Banks Inc Preferred Stock Capital 867914103 STI Sun Trust 4/17/2007 Declassify the Board of Directors M With For Y Appreciation Banks Inc Capital 867914103 STI Sun Trust 4/17/2007 Require a Majority Vote for the S Against For Y Appreciation Banks Inc Election of Directors Capital 867914103 STI Sun Trust 4/17/2007 Ratify Auditors M With For Y Appreciation Banks Inc Capital 368710406 DNA Genentech Inc 4/20/2007 Elect Directors M Split Split Y Appreciation Capital 368710406 DNA Genentech Inc 4/20/2007 Ratify Auditors M With For Y Appreciation Capital 25816109 AXP American 4/23/2007 Elect Directors M With For Y Appreciation Express Co Capital 25816109 AXP American 4/23/2007 Ratify Auditors M With For Y Appreciation Express Co Capital 25816109 AXP American 4/23/2007 Approve Omnibus Stock Plan M With For Y Appreciation Express Co Capital 25816109 AXP American 4/23/2007 Provide for Cumulative Voting S Against For Y Appreciation Express Co Capital 369604103 GE General 4/25/2007 Elect Directors M Split Split Y Appreciation Electric Co Capital 369604103 GE General 4/25/2007 Ratify Auditors M With For Y Appreciation Electric Co Capital 369604103 GE General 4/25/2007 Adopt Majority Vote Standard in M With For Y Appreciation Electric Co Director Elections Capital 369604103 GE General 4/25/2007 Approve Omnibus Stock Plan M With For Y Appreciation Electric Co Capital 369604103 GE General 4/25/2007 Company-Specific-Approve Material M With For Y Appreciation Electric Co Terms of Senior Officer Performance Goals Capital 369604103 GE General 4/25/2007 Provide for Cumulative Voting S Against For Y Appreciation Electric Co Capital 369604103 GE General 4/25/2007 Company-Specific -- Adopt Policy S Against For Y Appreciation Electric Co on Overboarded Directors Capital 369604103 GE General 4/25/2007 Company-Specific -- One Director S With Against Y Appreciation Electric Co from the Ranks of Retirees Capital 369604103 GE General 4/25/2007 Separate Chairman and CEO S Against For Y Appreciation Electric Co Positions Capital 369604103 GE General 4/25/2007 Limit Dividend and Dividend S Against For Y Appreciation Electric Co Equivalent Payments to Executives Capital 369604103 GE General 4/25/2007 Report on Charitable Contributions S With Against Y Appreciation Electric Co Capital 369604103 GE General 4/25/2007 Report on Global Warming S With Against Y Appreciation Electric Co Capital 369604103 GE General 4/25/2007 Adopt Ethical Criteria for S With Against Y Appreciation Electric Co Military Contracts Capital 369604103 GE General 4/25/2007 Report on Pay Disparity S With Against Y Appreciation Electric Co Capital 580645109 MHP The McGraw- 4/25/2007 Elect Directors M With For Y Appreciation Hill Companies Capital 580645109 MHP The McGraw- 4/25/2007 Ratify Auditors M With For Y Appreciation Hill Companies Capital 580645109 MHP The McGraw- 4/25/2007 Declassify the Board of Directors S Against For Y Appreciation Hill Companies Capital 580645109 MHP The McGraw- 4/25/2007 Amend Vote Requirements to Amend S Against For Y Appreciation Hill Companies Articles/Bylaws/Charter Capital 580645109 MHP The McGraw- 4/25/2007 Political Contributions/Activities S Against For Y Appreciation Hill Companies Capital 57224107 BHI Baker Hughes 4/26/2007 Elect Directors M With For Y Appreciation Corp Capital 57224107 BHI Baker Hughes 4/26/2007 Ratify Auditors M With For Y Appreciation Corp Capital 57224107 BHI Baker Hughes 4/26/2007 Reduce Supermajority Vote M With For Y Appreciation Corp Requirement Capital 413619107 HET Harah's 4/26/2007 Elect Directors M With For Y Appreciation Entertainment Inc Capital 413619107 HET Harah's 4/26/2007 Ratify Auditors M With For Y Appreciation Entertainment Inc Capital 713448108 PEP PepsiCo Inc 5/2/2007 Elect Directors M With For Y Appreciation Capital 713448108 PEP PepsiCo Inc 5/2/2007 Ratify Auditors M With For Y Appreciation Capital 713448108 PEP PepsiCo Inc 5/2/2007 Approve Omnibus Stock Plan M With For Y Appreciation Capital 713448108 PEP PepsiCo Inc 5/2/2007 Report on Charitable Contributions S Against For Y Appreciation Capital 29912201 AMT American Tower 5/7/2007 Elect Directors M With For Y Appreciation Corp Capital 29912201 AMT American Tower 5/7/2007 Approve Omnibus Stock Plan M With For Y Appreciation Corp
Capital 29912201 AMT American Tower 5/7/2007 Ratify Auditors M With For Y Appreciation Corp Capital 852061100 S Sprint Nextell 5/8/2007 Elect Directors M With For Y Appreciation Corp Capital 852061100 S Sprint Nextell 5/8/2007 Ratify Auditors M With For Y Appreciation Corp Capital 852061100 S Sprint Nextell 5/8/2007 Approve Omnibus Stock Plan M With For Y Appreciation Corp Capital 852061100 S Sprint Nextell 5/8/2007 Advisory Vote to Ratify Named S Against For Y Appreciation Corp Executive Officers Compensation Capital 126650100 CVS CVS Caremark 5/9/2007 Elect Directors M Split Split Y Appreciation Corp Capital 126650100 CVS CVS Caremark 5/9/2007 Ratify Auditors M With For Y Appreciation Corp Capital 126650100 CVS CVS Caremark 5/9/2007 Approve Qualified Employee Stock M With For Y Appreciation Corp Purchase Plan Capital 126650100 CVS CVS Caremark 5/9/2007 Approve Executive Incentive Bonus M With For Y Appreciation Corp Plan Capital 126650100 CVS CVS Caremark 5/9/2007 Limit Executive Compensation S With Against Y Appreciation Corp Capital 126650100 CVS CVS Caremark 5/9/2007 Separate Chairman and CEO S Against For Y Appreciation Corp Positions Capital 126650100 CVS CVS Caremark 5/9/2007 Prepare Sustainability Report S Against For Y Appreciation Corp Capital 126650100 CVS CVS Caremark 5/9/2007 Disclose Information on S Against For Y Appreciation Corp Compensation Consultant Capital 126650100 CVS CVS Caremark 5/9/2007 Compensation Specific- Policy on S Against For Y Appreciation Corp Stock Option Grants/Option Backdating Capital 38259P508 GOOG Google Inc 5/10/2007 Elect Directors M With For Y Appreciation Capital 38259P508 GOOG Google Inc 5/10/2007 Ratify Auditors M With For Y Appreciation Capital 38259P508 GOOG Google Inc 5/10/2007 Amend Omnibus Stock Plan M Against Against Y Appreciation Capital 38259P508 GOOG Google Inc 5/10/2007 Approve Executive Incentive Bonus M With For Y Appreciation Plan Capital 38259P508 GOOG Google Inc 5/10/2007 Adopt Policies to Protect Freedom S With Against Y Appreciation of Access to the Internet Capital 959802109 WU Western Union 5/10/2007 Elect Directors M With For Y Appreciation Co Capital 959802109 WU Western Union 5/10/2007 Approve Omnibus Stock Plan M With For Y Appreciation Co Capital 959802109 WU Western Union 5/10/2007 Approve Executive Incentive Bonus M With For Y Appreciation Co Plan Capital 959802109 WU Western Union 5/10/2007 Ratify Auditors M With For Y Appreciation Co Capital 808513105 SCHW The Charles 5/17/2007 Elect Directors M With For Y Appreciation Schwab Corp Capital 808513105 SCHW The Charles 5/17/2007 Approve Qualified Employee Stock M With For Y Appreciation Schwab Corp Purchase Plan Capital 808513105 SCHW The Charles 5/17/2007 Amend Omnibus Stock Plan M With For Y Appreciation Schwab Corp Capital 808513105 SCHW The Charles 5/17/2007 Report on Political Contributions S Against For Y Appreciation Schwab Corp Capital 808513105 SCHW The Charles 5/17/2007 Require a Majority Vote for the S Against For Y Appreciation Schwab Corp Election of Directors Capital 228227104 CCI Crown Castle 5/24/2007 Elect Directors M Split Split Y Appreciation International Corp Capital 228227104 CCI Crown Castle 5/24/2007 Amend Omnibus Stock Plan M With For Y Appreciation International Corp Capital 228227104 CCI Crown Castle 5/24/2007 Eliminate Class of Common Stock M With For Y Appreciation International Corp Capital 228227104 CCI Crown Castle 5/24/2007 Ratify Auditors M With For Y Appreciation International Corp Capital 432848109 HLT Hilton Hotels 5/24/2007 Elect Directors M With For Y Appreciation Corp Capital 432848109 HLT Hilton Hotels 5/24/2007 Ratify Auditors M With For Y Appreciation Corp Capital 432848109 HLT Hilton Hotels 5/24/2007 Separate Chairman and CEO S With Against Y Appreciation Corp Positions Capital 437076102 HD Home Depot Inc 5/24/2007 Elect Directors M Split Split Y Appreciation Capital 437076102 HD Home Depot Inc 5/24/2007 Ratify Auditors M With For Y Appreciation Capital 437076102 HD Home Depot Inc 5/24/2007 Submit Shareholder Rights Plan S With Against Y Appreciation (Poison Pill) to Shareholder Vote Capital 437076102 HD Home Depot Inc 5/24/2007 Prepare Employment Diversity S Against For Y Appreciation Report Capital 437076102 HD Home Depot Inc 5/24/2007 Advisory Vote to Ratify Named S Against For Y Appreciation Executive Officers Compensation Capital 437076102 HD Home Depot Inc 5/24/2007 Claw-back of Payments under S Against Against Y Appreciation Restatements
Capital 437076102 HD Home Depot Inc 5/24/2007 Submit Supplemental Executive S Against For Y Appreciation Retirement Plans to Shareholder vote Capital 437076102 HD Home Depot Inc 5/24/2007 Performance-Based Equity Awards S Against For Y Appreciation Capital 437076102 HD Home Depot Inc 5/24/2007 Pay for Superior Performance S Against For Y Appreciation Capital 437076102 HD Home Depot Inc 5/24/2007 Affirm Political Non-partisanship S Against Against Y Appreciation Capital 437076102 HD Home Depot Inc 5/24/2007 Separate Chairman and CEO S Against For Y Appreciation Positions Capital 512815101 LAMR Lamar 5/24/2007 Elect Directors M With For Y Appreciation Advertising Co Capital 512815101 LAMR Lamar 5/24/2007 Ratify Auditors M With For Y Appreciation Advertising Co Capital 87612E106 TGT Target Corp 5/24/2007 Elect Directors M With For Y Appreciation Capital 87612E106 TGT Target Corp 5/24/2007 Ratify Auditors M With For Y Appreciation Capital 87612E106 TGT Target Corp 5/24/2007 Approve Executive Incentive Bonus M With For Y Appreciation Plan Capital 87612E106 TGT Target Corp 5/24/2007 Company Specific- Require Majority M With For Y Appreciation Vote for the Election of Directors Capital 87612E106 TGT Target Corp 5/24/2007 Report on Political Contributions S Against For Y Appreciation Capital 319963104 FDC First Data 5/30/2007 Elect Directors M With For Y Appreciation Corp Capital 319963104 FDC First Data 5/30/2007 Amend Qualified Employee Stock M With For Y Appreciation Corp Purchase Plan Capital 319963104 FDC First Data 5/30/2007 Approve Non-Employee Director M With For Y Appreciation Corp Omnibus Stock Plan Capital 319963104 FDC First Data 5/30/2007 Amend Omnibus Stock Plan M With For Y Appreciation Corp Capital 319963104 FDC First Data 5/30/2007 Ratify Auditors M With For Y Appreciation Corp Capital 29382R107 EVC Entravision 5/31/2007 Elect Directors M With For Y Appreciation Communication Capital 29382R107 EVC Entravision 5/31/2007 Ratify Auditors M With For Y Appreciation Communication Capital 313400301 FRE Freddie Mac 6/8/2007 Elect Directors M With For Y Appreciation Capital 313400301 FRE Freddie Mac 6/8/2007 Ratify Auditors M With For Y Appreciation Capital 313400301 FRE Freddie Mac 6/8/2007 Amend Omnibus Stock Plan M With For Y Appreciation Capital 151020104 CELG Celgene Corp 6/12/2007 Elect Directors M With For Y Appreciation Capital 151020104 CELG Celgene Corp 6/12/2007 Ratify Auditors M With For Y Appreciation Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Elect Directors M Split Split Y Appreciation Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Amend Omnibus Stock Plan M With For Y Appreciation Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Amend Qualified Employee Stock M With For Y Appreciation Purchase Plan Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Ratify Auditors M With For Y Appreciation Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Pay For Superior Performance M With Against Y Appreciation Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Adopt Policies to Protect Freedom M With Against Y Appreciation of Access to the Internet Capital 984332106 YHOO Yahoo! Inc 6/12/2007 Amend Bylaws to Establish a Board M With Against Y Appreciation Committee on Human Rights
- -------------------------------------------------------------------------------- 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/ Mathew J. Calabro --------------------- Mathew J. Calabro Principal Executive Officer Date: August 28, 2007 --------------------- -----END PRIVACY-ENHANCED MESSAGE-----