N-PX 1 a04-9760_6npx.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              811-4911

 

State Street Research Financial 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:

2/28

 

 

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 Health Sciences Fund

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/23/04 - A

 

Abbott Laboratories *ABT*

 

002824100

 

 

 

 

 

02/25/04

 

 

 

32,030

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Drug Pricing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

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

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/07/04 - A

 

Abgenix, Inc. *ABGX*

 

00339B107

 

 

 

 

 

04/12/04

 

 

 

72,450

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/20/04 - A

 

ADVANCED MEDICAL OPTICS INC *AVO*

 

00763M108

 

 

 

 

 

03/26/04

 

 

 

1,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/30/04 - A

 

Aetna Inc. *AET*

 

00817Y108

 

 

 

 

 

02/27/04

 

 

 

11,250

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

Allergan, Inc. *AGN*

 

018490102

 

 

 

 

 

03/08/04

 

 

 

6,100

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Handel E. Evans

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Michael R. Gallagher

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gavin S. Herbert

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Stephen J. Ryan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

Amgen, Inc. *AMGN*

 

031162100

 

 

 

 

 

03/19/04

 

 

 

40,300

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Frank J. Biondi, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Jerry D. Choate

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Frank C. Herringer

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Gilbert S. Omenn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Prepare Glass Ceiling Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

Mgmt Rec - Company Management Recommended Vote

 

1

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/17/04 - A

 

Anthem Inc. *ATH*

 

03674B104

 

 

 

 

 

03/19/04

 

 

 

10,168

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/28/04 - S

 

Anthem Inc. *ATH*

 

03674B104

 

 

 

 

 

05/10/04

 

 

 

11,478

 

 

 

1

Issue Shares in Connection with an Acquisition

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Change Company Name

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Aspect Medical Systems *ASPM*

 

045235108

 

 

 

 

 

04/12/04

 

 

 

122,121

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Approve Issuance of Shares for a Private Placement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Other Business

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/02/04 - A

 

Atrix Laboratories, Inc. *ATRX*

 

04962L101

 

 

 

 

 

03/26/04

 

 

 

16,668

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/11/04 - A

 

Aventis SA (Formerly Rhone-Poulenc)

 

053561106

 

 

 

 

 

05/18/04

 

 

 

24,730

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

APPROVAL OF THE 2003 PARENT-COMPANY FINANCIAL STATEMENTS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS 2003

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

APPROVAL OF THE APPROPRIATION OF EARNINGS AND APPROVAL OF A DIVIDEND OF EURO 0.82 FOR DISTRIBUTION

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

APPROVAL OF REGULATED AGREEMENTS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

APPROVAL OF THE INSTITUTION OF A SHARE REPURCHASE PROGRAM

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

APPROVAL TO AMEND ARTICLE 7 OF THE ARTICLES OF ASSOCIATION AND BY-LAWS

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

8

APPROVAL TO AMEND ARTICLE 11 OF THE ARTICLES OF ASSOCIATION AND BY-LAWS-MANAGEMENT BOARD

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

2

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

9

APPROVAL TO AMEND ARTICLE 13 OF THE ARTICLES OF ASSOCIATION AND BY-LAWS-SUPERVISORY BOARD

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. JEAN-MARC BRUEL

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. MARTIN FRUEHAUF

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

12

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. SERGE KAMPF

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

13

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. HUBERT MARKL

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

14

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. GUNTER METZ

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

15

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. DIDIER PINEAU-VALENCIENNE

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

16

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MS. SEHAM RAZZOUQI

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

17

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. MICHEL RENAULT

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

18

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. HANS-JUERGEN SCHINZLER

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

19

APPROVAL OF THE RENEWAL OF THE MANDATE OF A SUPERVISORY BOARD MEMBER, MR. MARC VIENOT

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

20

APPROVAL OF THE GRANTING OF POWER-OF-ATTORNEY FOR ALL FORMALITIES IN CONNECTION WITH THE ANNUAL GENERAL MEETING

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

3

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/01/03 - A

 

Axonyx, Inc. *AXYX*

 

05461R101

 

 

 

 

 

05/23/03

 

 

 

160

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Gosse B. Bruinsma, M    .D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Louis G. Cornacchia

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Michael R. Espey

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Steven H. Ferris, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Marvin S. Hausman, M.D.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Gerard J. Vlak, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Other Business

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/22/04 - A

 

Axonyx, Inc. *AXYX*

 

05461R101

 

 

 

 

 

05/06/04

 

 

 

46,182

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

Baxter International Inc. *BAX*

 

071813109

 

 

 

 

 

03/05/04

 

 

 

56,390

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

02/11/04 - A

 

Becton, Dickinson and Company *BDX*

 

075887109

 

 

 

 

 

12/15/03

 

 

 

27,980

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposal

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/16/04 - A

 

BIOGEN IDEC INC *BIIB*

 

09062X103

 

 

 

 

 

04/20/04

 

 

 

29,010

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/06/03 - A

 

Biogen, Inc.

 

090597105

 

 

 

 

 

04/11/03

 

 

 

4,707

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

4

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/12/03 - S

 

Biogen, Inc.

 

090597105

 

 

 

 

 

09/25/03

 

 

 

17,495

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Adjourn Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

BioLase Technology, Inc. *BLTI*

 

090911108

 

 

 

 

 

04/05/04

 

 

 

2,313

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Other Business

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/12/03 - A

 

BioMarin Pharmaceutical Inc. *BMRN*

 

09061G101

 

 

 

 

 

04/28/03

 

 

 

15,769

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Fredric D. Price

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Franz L. Cristiani

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Elaine J. Heron, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Erich Sager

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Vijay B. Samant

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Gwynn R. Williams

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Increase Authorized Preferred Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/05/04 - A

 

BioMarin Pharmaceutical Inc. *BMRN*

 

09061G101

 

 

 

 

 

03/19/04

 

 

 

93,555

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/25/04 - A/S

 

Biovail Corporation (Formerly Biovail Corp. International) *BVF.*

 

09067J109

 

 

 

 

 

04/30/04

 

 

 

175,020

 

 

 

1

Elect Eugene N. Melnyk, Rolf K. Reininghaus, Wilfred G. Bristow, Roger Rowan, Paul W. Haddy, Laurence E. Paul, Sheldon Plener and Michael Van Every as Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Ernst & Young LLP as Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Stock Option Plan up to Ten Million Common Shares

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

5

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/25/04 - A/S

 

Biovail Corporation (Formerly Biovail Corp. International) *BVF.*

 

09067JPPH

 

 

 

 

 

04/30/04

 

 

 

24,100

 

 

 

1

Elect Eugene N. Melnyk, Rolf K. Reininghaus, Wilfred G. Bristow, Roger Rowan, Paul W. Haddy, Laurence E. Paul, Sheldon Plener and Michael Van Every as Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Ernst & Young LLP as Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Stock Option Plan up to Ten Million Common Shares

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

Bristol-Myers Squibb Co. *BMY*

 

110122108

 

 

 

 

 

03/08/04

 

 

 

84,420

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Cease Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

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

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Require Affirmative Vote of a Majority of the Shares to Elect Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/22/04 - S

 

Caremark Rx, Inc. *CMX*

 

141705103

 

 

 

 

 

02/05/04

 

 

 

28,680

 

 

 

1

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Issuance of Stock in Connection with Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Preferred Stock

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

4

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Allow Postponement or Adjournment of Special Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

Caremark Rx, Inc. *CMX*

 

141705103

 

 

 

 

 

04/01/04

 

 

 

33,970

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/04/03 - A

 

Cellegy Pharmaceuticals Inc. *CLGY*

 

15115L103

 

 

 

 

 

04/10/03

 

 

 

50,847

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

6

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/28/04 - A

 

Cerner Corp. *CERN*

 

156782104

 

 

 

 

 

04/02/04

 

 

 

14,020

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

Charles River Laboratories International, Inc. *CRL*

 

159864107

 

 

 

 

 

03/15/04

 

 

 

23,590

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director James C. Foster

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert Cawthorn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Stephen D. Chubb

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director George E. Massaro

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director George M. Milne

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Douglas E. Rogers

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Samuel O. Thier

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director William H. Waltrip

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/27/04 - A

 

Chiron Corp. *CHIR*

 

170040109

 

 

 

 

 

03/29/04

 

 

 

17,470

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

CIGNA Corp. *CI*

 

125509109

 

 

 

 

 

03/01/04

 

 

 

9,940

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/10/03 - A

 

Conceptus, Inc. *CPTS*

 

206016107

 

 

 

 

 

04/16/03

 

 

 

11,015

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Florence Comite, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Sanford Fitch

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Kathryn A. Tunstall

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

Corgentech Inc. *CGTK*

 

21872P105

 

 

 

 

 

04/08/04

 

 

 

470

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

7

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

Cytyc Corporation *CYTC*

 

232946103

 

 

 

 

 

04/05/04

 

 

 

78,490

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/15/03 - A

 

Discovery Laboratories, Inc. *DSCO*

 

254668106

 

 

 

 

 

06/09/03

 

 

 

36,438

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Robert J. Capetola, Ph.D.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Antonio Esteve, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Max E. Link, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Herbert H. McDade, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Marvin E. Rosenthale, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/24/04 - A

 

Dov Pharmaceutical, Inc. *DOVP*

 

259858108

 

 

 

 

 

04/23/04

 

 

 

970

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/20/04 - A

 

Dyax Corporation *DYAX*

 

26746E103

 

 

 

 

 

03/26/04

 

 

 

16,228

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/17/04 - A

 

Elan Corporation Plc

 

284131208

 

 

 

 

 

05/11/04

 

 

 

24,919

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

TO RECEIVE AND CONSIDER THE FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2003 TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITORS THEREON.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

TO RE-ELECT MR. BRENDAN BOUSHEL WHO RETIRES FROM THE BOARD BY ROTATION AS A DIRECTOR OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

TO RE-ELECT MR. JOHN GROOM WHO RETIRES FROM THE BOARD BY ROTATION AS A DIRECTOR OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

8

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

TO RE-ELECT MR. KYRAN MCLAUGHLIN WHO RETIRES FROM THE BOARD BY ROTATION AS A DIRECTOR OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

TO RE-ELECT DR. DENNIS SELKOE WHO RETIRES FROM THE BOARD BY ROTATION AS A DIRECTOR OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

TO RE-ELECT MR. DANIEL TULLY WHO RETIRES FROM THE BOARD BY ROTATION AS A DIRECTOR OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

TO AUTHORISE THE DIRECTORS TO FIX THE REMUNERATION OF THE AUDITORS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

THAT THE BOARD OF DIRECTORS BE AUTHORISED TO ISSUE SHARE OPTIONS TO NON-EXECUTIVE DIRECTORS IN ACCORDANCE WITH THE TERMS OF THE ELAN CORPORATION, PLC 1996 CONSULTANT OPTION PLAN.

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

9

THAT THE ELAN CORPORATION, PLC 2004 RESTRICTED STOCK PLAN (THE RSU PLAN) BE APPROVED AND ADOPTED.

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

10

THAT THE ELAN CORPORATION, PLC EMPLOYEE EQUITY PURCHASE PLAN (THE ESPP) BE APPROVED AND ADOPTED.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

THAT THE DIRECTORS BE AND ARE HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED TO ALLOT AND ISSUE ALL RELEVANT SECURITIES OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

12

THAT THE AUTHORISED SHARE CAPITAL OF THE COMPANY BE INCREASED FROM 30,002,500 TO 33,502,500.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

13

THAT, SUBJECT TO THE PASSING OF RESOLUTION 12 IN THE NOTICE OF THIS MEETING, THE ARTICLES OF ASSOCIATION BE AMENDED.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

14

THAT, SUBJECT TO THE PASSING OF RESOLUTION 11 IN THE NOTICE OF THE MEETING, THE DIRECTORS BE AND ARE HEREBY EMPOWERED TO ALLOT SECURITIES FOR CASH.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

15

THAT THE COMPANY AND/OR ANY SUBSIDIARY OF THE COMPANY BE AND IS HEREBY GENERALLY AUTHORIZED TO MAKE MARKET PURCHASES OF SHARES OF ANY CLASS OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

16

THAT THE RE-ISSUE PRICE RANGE AT WHICH ANY TREASURY SHARES FOR THE TIME BEING HELD BY THE COMPANY MAY BE RE-ISSUED OFF-MARKET SHALL BE THE MAXIMUM PRICE EQUAL TO 120 PER CENT OF THE RELEVANT PRICE; AND THE MINIMUM PRICE EQUAL TO 95 PER CENT OF THE RELEVA

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

9

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/07/04 - A

 

First Horizon Pharmaceutical *FHRX*

 

32051K106

 

 

 

 

 

04/02/04

 

 

 

136,550

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/11/03 - A

 

Forest Laboratories, Inc. *FRX*

 

345838106

 

 

 

 

 

06/20/03

 

 

 

17,230

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Howard Solomon

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director William J. Candee, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director George S. Cohan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Dan L. Goldwasser

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Lester B. Salans, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Kenneth E. Goodman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Phillip M. Satow

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/27/04 - A

 

Genzyme Corp. *GENZ*

 

372917104

 

 

 

 

 

03/31/04

 

 

 

8,420

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Non-Employee Director Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Increase Authorized Preferred Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

10

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Gilead Sciences, Inc. *GILD*

 

375558103

 

 

 

 

 

04/05/04

 

 

 

25,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

Guidant Corp. *GDT*

 

401698105

 

 

 

 

 

03/11/04

 

 

 

25,840

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/27/04 - A

 

HCA, Inc. *HCA*

 

404119109

 

 

 

 

 

04/01/04

 

 

 

17,295

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Management Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/19/03 - A

 

IVAX Corp. *IVX*

 

465823102

 

 

 

 

 

05/05/03

 

 

 

8,829

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Betty G. Amos

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Mark Andrews

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Ernst Biekert, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Jack Fishman, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Neil Flanzraich

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Phillip Frost, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Jane Hsiao, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director David A. Lieberman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Modesto A. Maidique, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Richard C. Pfenniger, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Bertram Pitt, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Johnson & Johnson *JNJ*

 

478160104

 

 

 

 

 

02/24/04

 

 

 

55,310

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Cease Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/11/04 - A

 

Ligand Pharmaceuticals Incorporated *LGND*

 

53220K207

 

 

 

 

 

04/30/04

 

 

 

1,010

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

11

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

MEDCO Health Solutions Inc *MHS*

 

58405U102

 

 

 

 

 

03/10/04

 

 

 

39,910

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/20/04 - A

 

MedImmune, Inc. *MEDI*

 

584699102

 

 

 

 

 

03/31/04

 

 

 

41,820

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/28/03 - A

 

Medtronic, Inc. *MDT*

 

585055106

 

 

 

 

 

07/03/03

 

 

 

6,700

 

 

 

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

Merck & Co., Inc. *MRK*

 

589331107

 

 

 

 

 

02/24/04

 

 

 

37,670

 

 

 

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/07/04 - A

 

Millennium Pharmaceuticals, Inc. *MLNM*

 

599902103

 

 

 

 

 

03/10/04

 

 

 

89,780

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

12

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/25/03 - A

 

Mylan Laboratories Inc. *MYL*

 

628530107

 

 

 

 

 

05/23/03

 

 

 

10,360

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Milan Puskar

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert J. Coury

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Wendy Cameron

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Laurence S. DeLynn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director John C. Gaisford, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Douglas J. Leech

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Joseph C. Maroon, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Patricia A. Sunseri

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director C.B. Todd

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Randall L. Vanderveen, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Stuart A. Williams, Esq.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

02/24/04 - A

 

Novartis AG

 

66987V109

 

 

 

 

 

01/30/04

 

 

 

63,140

 

 

 

 

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

 

 

 

 

13

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/13/04 - A

 

OSCIENT PHARMACEUTICALS CORP *GENE*

 

372430108

 

 

 

 

 

03/04/04

 

 

 

4,590

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Change Company Name

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

5

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/17/04 - A

 

OSI Pharmaceuticals, Inc. *OSIP*

 

671040103

 

 

 

 

 

01/21/04

 

 

 

700

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Robert A. Ingram

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Colin Goddard, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Edwin A. Gee, Ph.D.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Michael Atieh

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director G. Morgan Browne

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Daryl K. Granner, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Walter M Lovenberg, Phd

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Viren Mehta

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Sir Mark Richmond, Phd

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director John P. White

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/04/03 - A

 

Penwest Pharmaceuticals Co. *PPCO*

 

709754105

 

 

 

 

 

04/09/03

 

 

 

25,957

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

14

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

PerkinElmer Inc. *PKI*

 

714046109

 

 

 

 

 

02/27/04

 

 

 

81,280

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Pfizer Inc. *PFE*

 

717081103

 

 

 

 

 

02/27/04

 

 

 

85,089

 

 

 

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/09/03 - A

 

Progenics Pharmaceuticals, Inc *PGNX*

 

743187106

 

 

 

 

 

04/25/03

 

 

 

13,997

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Other Business

 

 

 

For

 

Abstain

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/30/04 - A

 

Protein Design Labs, Inc. *PDLI*

 

74369L103

 

 

 

 

 

05/20/04

 

 

 

79,148

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

Schering-Plough Corp. *SGP*

 

806605101

 

 

 

 

 

03/05/04

 

 

 

53,230

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

Service Corporation International *SRV*

 

817565104

 

 

 

 

 

03/25/04

 

 

 

145,910

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

15

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/18/03 - A

 

Staar Surgical Co. *STAA*

 

852312305

 

 

 

 

 

05/19/03

 

 

 

22,277

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/13/04 - A

 

Stewart Enterprises, Inc. *STEI*

 

860370105

 

 

 

 

 

02/17/04

 

 

 

126,490

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/27/03 - S

 

Teva Pharmaceutical Industries

 

881624209

 

 

 

 

 

09/18/03

 

 

 

2,318

 

 

 

1

Elect G. Shalev as an External Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Increase in Remuneration of Directors other than the Chairman

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/20/04 - A

 

Teva Pharmaceutical Industries

 

881624209

 

 

 

 

 

04/15/04

 

 

 

19,790

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

TO RECEIVE AND DISCUSS THE COMPANY S CONSOLIDATED BALANCE SHEET AS OF DECEMBER 31, 2003 AND THE CONSOLIDATED STATEMENTS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

TO APPROVE THE BOARD OF DIRECTORS RECOMMENDATION THAT THE CASH DIVIDEND FOR THE YEAR ENDED DECEMBER 31, 2003, WHICH WAS PAID IN FOUR INSTALLMENTS AND AGGREGATED NIS 1.44 (APPROXIMATELY US$0.322) PER ORDINARY SHARE, BE DECLARED FINAL.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

TO ELECT ABRAHAM E. COHEN TO SERVE FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

TO ELECT LESLIE DAN TO SERVE FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

TO ELECT PROF. MEIR HETH TO SERVE FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

TO ELECT PROF. MOSHE MANY TO SERVE FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

TO ELECT DOV SHAFIR TO SERVE FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

TO APPROVE THE PURCHASE OF DIRECTOR S AND OFFICER S LIABILITY INSURANCE FOR THE DIRECTORS AND OFFICERS OF THE COMPANY.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

16

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

Thermo Electron Corp. *TMO*

 

883556102

 

 

 

 

 

03/26/04

 

 

 

33,320

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/10/03 - A

 

Transkaryotic Therapies, Inc. *TKTX*

 

893735100

 

 

 

 

 

04/16/03

 

 

 

9,318

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Michael J. Astrue

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Walter Gilbert, Ph.D.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Jonathan S. Leff

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director William R. Miller

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Rodman W. Moorhead, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director James E. Thomas

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Wayne P. Yetter

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/22/04 - A

 

Transkaryotic Therapies, Inc. *TKTX*

 

893735100

 

 

 

 

 

04/26/04

 

 

 

79,990

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/18/03 - A

 

WELLCHOICE INC *WC*

 

949475107

 

 

 

 

 

04/22/03

 

 

 

11,250

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

WELLCHOICE INC *WC*

 

949475107

 

 

 

 

 

04/02/04

 

 

 

16,230

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/28/04 - S

 

WellPoint Health Networks Inc. *WLP*

 

94973H108

 

 

 

 

 

05/10/04

 

 

 

6,930

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/10/04 - A

 

Zimmer Holdings Inc *ZMH*

 

98956P102

 

 

 

 

 

03/15/04

 

 

 

6,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

3

Ratify Auditors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

17

 

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 Financial 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.

 

18