N-PX 1 clm_npx-0611.txt CORNERSTONE STRATEGIC VALUE FUND - FORM N-PX -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: March 31, 2012 Estimated average burden hours per response 9.6 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-05150 --------------------------------------------- Cornerstone Strategic Value Fund, Inc. -------------------------------------------------------------------------------- (Exact name of registrant as specified in charter) 350 Jericho Turnpike, Suite 206 Jericho, New York 11753 -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip code) Frank J. Maresca Ultimus Fund Solutions, LLC 350 Jericho Turnpike, Suite 206 Jericho, NY 11753 -------------------------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: (513) 587-3400 ---------------------------- Date of fiscal year end: December 31 ---------------------------- Date of reporting period: July 1, 2010 - June 30, 2011 ----------------------------------------- Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507. ITEM 1. PROXY VOTING RECORD. Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote: (a) The name of the issuer of the portfolio security; (b) The exchange ticker symbol of the portfolio security; (c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security; (d) The shareholder meeting date; (e) A brief identification of the matter voted on; (f) Whether the matter was proposed by the issuer or by a security holder; (g) Whether the registrant cast its vote on the matter; (h) How the registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and (i) Whether the registrant cast its vote for or against management. SIGNATURES ---------- [See General Instruction F] 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) Cornerstone Strategic Value Fund, Inc. -------------------------------------------------------------------- By (Signature and Title)* /s/ Ralph W. Bradshaw ------------------------------------------------------- Ralph W. Bradshaw, President and Chairman (Principal Executive Officer) Date August 23, 2011 --------------------------------------------------------------------------- * Print the name and title of each signing officer under his or her signature. EXHIBIT A --------- Item 1: Proxy Voting Record Registrant : Cornerstone Strategic Value Fund, Inc. ======================================================================================================= 3M Company Ticker Security ID: Meeting Date Meeting Status MMM CUSIP 88579Y101 05/10/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Linda Alvarado Mgmt For For For 2 Elect George Buckley Mgmt For For For 3 Elect Vance Coffman Mgmt For For For 4 Elect Michael Eskew Mgmt For For For 5 Elect W. James Farrell Mgmt For For For 6 Elect Herbert Henkel Mgmt For For For 7 Elect Edward Liddy Mgmt For For For 8 Elect Robert Morrison Mgmt For For For 9 Elect Aulana Peters Mgmt For Against Against 10 Elect Robert Ulrich Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Advisory Vote on Executive Mgmt For For For Compensation 13 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 14 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report ======================================================================================================= Abbott Laboratories Ticker Security ID: Meeting Date Meeting Status ABT CUSIP 002824100 04/29/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Robert Alpern Mgmt For For For 1.2 Elect Roxanne Austin Mgmt For For For 1.3 Elect W. James Farrell Mgmt For For For 1.4 Elect H. Laurance Fuller Mgmt For For For 1.5 Elect Edward Liddy Mgmt For For For 1.6 Elect Phebe Novakovic Mgmt For For For 1.7 Elect William Osborn Mgmt For For For 1.8 Elect Samuel Scott III Mgmt For For For 1.9 Elect Glenn Tilton Mgmt For For For 1.10 Elect Miles White Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Advisory Vote on Executive Mgmt For Against Against Compensation 4 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 5 Shareholder Proposal Regarding ShrHldr Against Against For Pharmaceutical Price Restraints ======================================================================================================= Adam Express Company Ticker Security ID: Meeting Date Meeting Status ADX CUSIP 006212104 03/22/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Enrique Arzac Mgmt For Withhold Against 1.2 Elect Phyllis Bonanno Mgmt For For For 1.3 Elect Kenneth Dale Mgmt For For For 1.4 Elect Daniel Emerson Mgmt For For For 1.5 Elect Frederic Escherich Mgmt For For For 1.6 Elect Roger Gale Mgmt For For For 1.7 Elect Thomas Lenagh Mgmt For For For 1.8 Elect Kathleen McGahran Mgmt For For For 1.9 Elect Douglas Ober Mgmt For For For 1.10 Elect Craig Smith Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Shareholder Proposal Regarding ShrHldr Against Against For Self-Tender Offer ======================================================================================================= Aetna Inc. Ticker Security ID: Meeting Date Meeting Status AET CUSIP 00817Y108 05/20/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Mark Bertolini Mgmt For For For 2 Elect Frank Clark, Jr. Mgmt For Against Against 3 Elect Betsy Cohen Mgmt For Against Against 4 Elect Molly Coye Mgmt For Against Against 5 Elect Roger Farah Mgmt For Against Against 6 Elect Barbara Franklin Mgmt For Against Against 7 Elect Jeffrey Garten Mgmt For Against Against 8 Elect Gerald Greenwald Mgmt For For For 9 Elect Ellen Hancock Mgmt For For For 10 Elect Richard Harrington Mgmt For For For 11 Elect Edward Ludwig Mgmt For For For 12 Elect Joseph Newhouse Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Amendment to the 2010 Stock Mgmt For Against Against Incentive Plan 15 2011 Employee Stock Purchase Plan Mgmt For For For 16 Advisory Vote on Executive Mgmt For Against Against Compensation 17 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 18 Shareholder Proposal Regarding ShrHldr Against Against For Cumulative Voting 19 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman ======================================================================================================= AFLAC Incorporated Ticker Security ID: Meeting Date Meeting Status AFL CUSIP 001055102 05/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Daniel Amos Mgmt For For For 2 Elect John Shelby Amos II Mgmt For Against Against 3 Elect Paul Amos II Mgmt For For For 4 Elect Michael Armacost Mgmt For For For 5 Elect Kriss Cloninger III Mgmt For Against Against 6 Elect Elizabeth Hudson Mgmt For For For 7 Elect Douglas Johnson Mgmt For For For 8 Elect Robert Johnson Mgmt For For For 9 Elect Charles Knapp Mgmt For For For 10 Elect E. Stephen Purdom Mgmt For For For 11 Elect Barbara Rimer Mgmt For For For 12 Elect Marvin Schuster Mgmt For For For 13 Elect David Thompson Mgmt For For For 14 Elect Robert Wright Mgmt For For For 15 Elect Takuro Yoshida Mgmt For For For 16 Advisory Vote on Executive Mgmt For For For Compensation 17 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 18 Ratification of Auditor Mgmt For For For ======================================================================================================= Allergan Inc. Ticker Security ID: Meeting Date Meeting Status AGN CUSIP 018490102 05/03/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Deborah Dunsire Mgmt For For For 2 Elect Trevor Jones Mgmt For For For 3 Elect Louis Lavigne, Jr. Mgmt For For For 4 Ratification of Auditor Mgmt For For For 5 Advisory Vote on Executive Mgmt For For For Compensation 6 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 7 2011 Executive Bonus Plan Mgmt For For For 8 2011 Incentive Award Plan Mgmt For For For 9 Repeal of Classified Board Mgmt For For For ======================================================================================================= AllianceBernstein Income Fund Inc Ticker Security ID: Meeting Date Meeting Status ACG CUSIP 01881E101 03/30/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect William Foulk, Jr. Mgmt For For For 1.2 Elect D. James Guzy Mgmt For For For 1.3 Elect Robert Keith Mgmt For For For ======================================================================================================= AllianceBernstein Income Fund Inc Ticker Security ID: Meeting Date Meeting Status ACG CUSIP 01881E101 03/30/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect William Foulk, Jr. Mgmt For Withhold Against 1.2 Elect D. James Guzy Mgmt For Withhold Against 1.3 Elect Robert Keith Mgmt For Withhold Against ======================================================================================================= Allstate Corp. Ticker Security ID: Meeting Date Meeting Status ALL CUSIP 020002101 05/17/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect F. Duane Ackerman Mgmt For Against Against 2 Elect Robert Beyer Mgmt For For For 3 Elect W. James Farrell Mgmt For Against Against 4 Elect Jack Greenberg Mgmt For For For 5 Elect Ronald LeMay Mgmt For For For 6 Elect Andrea Redmond Mgmt For Against Against 7 Elect H. John Riley, Jr. Mgmt For Against Against 8 Elect Joshua Smith Mgmt For Against Against 9 Elect Judith Sprieser Mgmt For Against Against 10 Elect Mary Taylor Mgmt For Against Against 11 Elect Thomas Wilson Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 Right to Call a Special Meeting Mgmt For For For 14 Designation of Delaware Chancery Mgmt For Against Against Court as Forum for Derivative Actions 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act Written Consent 18 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report ======================================================================================================= Alpine Global Premier Properties Fund Ticker Security ID: Meeting Date Meeting Status AWP CUSIP 02083A103 05/09/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Jeffrey Wacksman Mgmt For For For ======================================================================================================= Alpine Global Premier Properties Fund Ticker Security ID: Meeting Date Meeting Status AWP CUSIP 02083A103 05/09/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Jeffrey Wacksman Mgmt For Abstain Against ======================================================================================================= Alpine Total Dynamic Dividend Fund Ticker Security ID: Meeting Date Meeting Status AOD CUSIP 021060108 05/09/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Jeffrey Wacksman Mgmt For For For ======================================================================================================= Alpine Total Dynamic Dividend Fund Ticker Security ID: Meeting Date Meeting Status AOD CUSIP 21060108 05/09/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Jeffrey Wacksman Mgmt For Abstain Against ======================================================================================================= Altria Group Inc. Ticker Security ID: Meeting Date Meeting Status MO CUSIP 02209S103 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Elizabeth Bailey Mgmt For For For 2 Elect Gerald Baliles Mgmt For Against Against 3 Elect John Casteen III Mgmt For Against Against 4 Elect Dinyar Devitre Mgmt For For For 5 Elect Thomas Farrell II Mgmt For For For 6 Elect Thomas Jones Mgmt For For For 7 Elect George Munoz Mgmt For For For 8 Elect Nabil Sakkab Mgmt For For For 9 Elect Michael Szymanczyk Mgmt For For For 10 Ratification of Auditor Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 13 Shareholder Proposal Regarding ShrHldr Against Against For Flavored Tobacco ======================================================================================================= Amazon.com Inc. Ticker Security ID: Meeting Date Meeting Status AMZN CUSIP 023135106 06/07/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Jeffrey Bezos Mgmt For For For 2 Elect Tom Alberg Mgmt For For For 3 Elect John Seely Brown Mgmt For Against Against 4 Elect William Gordon Mgmt For For For 5 Elect Alain Moniac Mgmt For For For 6 Elect Jonathan Rubinstein Mgmt For For For 7 Elect Thomas Ryder Mgmt For Against Against 8 Elect Patricia Stonesifer Mgmt For For For 9 Ratification of Auditor Mgmt For For For 10 Advisory Vote on Executive Mgmt For For For Compensation 11 Frequency of Advisory Vote on Mgmt 3 Years 3 Years For Executive Compensation 12 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 13 Shareholder Proposal Regarding ShrHldr Against Against For Report on Climate Change ======================================================================================================= American Express Co. Ticker Security ID: Meeting Date Meeting Status AXP CUSIP 025816109 05/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Daniel Akerson Mgmt For For For 1.2 Elect Charlene Barshefsky Mgmt For Withhold Against 1.3 Elect Ursula Burns Mgmt For For For 1.4 Elect Kenneth Chenault Mgmt For For For 1.5 Elect Peter Chernin Mgmt For For For 1.6 Elect Theodore Leonsis Mgmt For Withhold Against 1.7 Elect Jan Leschly Mgmt For For For 1.8 Elect Richard Levin Mgmt For For For 1.9 Elect Richard McGinn Mgmt For For For 1.10 Elect Edward Miller Mgmt For For For 1.11 Elect Steven Reinemund Mgmt For For For 1.12 Elect Robert Walter Mgmt For For For 1.13 Elect Ronald Williams Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Advisory Vote on Executive Mgmt For Against Against Compensation 4 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 5 Shareholder Proposal Regarding ShrHldr Against Against For Cumulative Voting 6 Sharehoholder Proposal Regarding ShrHldr Against For Against Right to Call a Special Meeting ======================================================================================================= AMGEN Inc. Ticker Security ID: Meeting Date Meeting Status AMGN CUSIP 031162100 05/20/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect David Baltimore Mgmt For Against Against 2 Elect Frank Biondi, Jr. Mgmt For For For 3 Elect Francois de Carbonnel Mgmt For Against Against 4 Elect Vance Coffman Mgmt For Against Against 5 Elect Rebecca Henderson Mgmt For Against Against 6 Elect Frank Herringer Mgmt For Against Against 7 Elect Gilbert Omenn Mgmt For For For 8 Elect Judith Pelham Mgmt For For For 9 Elect J. Paul Reason Mgmt For For For 10 Elect Leonard Schaeffer Mgmt For For For 11 Elect Kevin Sharer Mgmt For For For 12 Elect Ronald Sugar Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For Against Against Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= Apple Inc Ticker Security ID: Meeting Date Meeting Status AAPL CUSIP 037833100 02/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect William Campbell Mgmt For For For 1.2 Elect Millard Drexler Mgmt For For For 1.3 Elect Albert Gore, Jr. Mgmt For For For 1.4 Elect Steven Jobs Mgmt For For For 1.5 Elect Andrea Jung Mgmt For For For 1.6 Elect Arthur Levinson Mgmt For For For 1.7 Elect Ronald Sugar Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Advisory Vote on Executive Mgmt For For For Compensation 4 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 5 Shareholder Proposal Regarding ShrHldr Against Against For Adoption and Disclosure of a Written CEO Succession Planning Policy 6 Shareholder Proposal Regarding ShrHldr Against For Against Majority Vote for Election of Directors ======================================================================================================= Archer-Daniels-Mi dland Company Ticker Security ID: Meeting Date Meeting Status ADM CUSIP 039483102 11/04/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect George Buckley Mgmt For For For 2 Elect Mollie Carter Mgmt For For For 3 Elect Pierre Dufour Mgmt For For For 4 Elect Donald Felsinger Mgmt For For For 5 Elect Victoria Haynes Mgmt For For For 6 Elect Antonio Maciel Neto Mgmt For For For 7 Elect Patrick Moore Mgmt For For For 8 Elect Thomas O'Neill Mgmt For For For 9 Elect Kelvin Westbrook Mgmt For For For 10 Elect Patricia Woertz Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Shareholder Proposal Regarding ShrHldr Against Against For Prohibiting Corporate Political Spending 13 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report ======================================================================================================= AT&T, Inc. Ticker Security ID: Meeting Date Meeting Status T CUSIP 00206R102 04/29/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Randall Stephenson Mgmt For For For 2 Elect Gilbert Amelio Mgmt For For For 3 Elect Reuben Anderson Mgmt For For For 4 Elect James Blanchard Mgmt For For For 5 Elect Jaime Chico Pardo Mgmt For For For 6 Elect James Kelly Mgmt For For For 7 Elect Jon Madonna Mgmt For For For 8 Elect Lynn Martin Mgmt For For For 9 Elect John McCoy Mgmt For For For 10 Elect Joyce Roche Mgmt For For For 11 Elect Matthew Rose Mgmt For For For 12 Elect Laura Tyson Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 2011 Incentive Plan Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 17 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 18 Shareholder Proposal Regarding Right ShrHldr Against Against For to Call a Special Meeting 19 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= Bank Of New York Mellon Corp Ticker Security ID: Meeting Date Meeting Status BK CUSIP 064058100 04/12/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Ruth Bruch Mgmt For Against Against 2 Elect Nicholas Donofrio Mgmt For For For 3 Elect Gerald Hassell Mgmt For For For 4 Elect Edmund Kelly Mgmt For Against Against 5 Elect Robert Kelly Mgmt For For For 6 Elect Richard Kogan Mgmt For Against Against 7 Elect Michael Kowalski Mgmt For For For 8 Elect John Luke, Jr. Mgmt For For For 9 Elect Mark Nordenberg Mgmt For For For 10 Elect Catherine Rein Mgmt For For For 11 Elect William Richardson Mgmt For For For 12 Elect Samuel Scott III Mgmt For Against Against 13 Elect John Surma Mgmt For For For 14 Elect Wesley von Schack Mgmt For Against Against 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 17 Amendment to the Long-Term Incentive Mgmt For For For Plan 18 Amendment to the Executive Incentive Mgmt For Against Against Compensation Plan 19 Ratification of Auditor Mgmt For For For 20 Shareholder Proposal Regarding ShrHldr Against Against For Cumulative Voting ======================================================================================================= BB&T Corp. Ticker Security ID: Meeting Date Meeting Status BBT CUSIP 054937107 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect John Allison, IV Mgmt For For For 1.2 Elect Jennifer Banner Mgmt For For For 1.3 Elect K. David Boyer, Jr. Mgmt For For For 1.4 Elect Anna Cablik Mgmt For For For 1.5 Elect Ronald Deal Mgmt For Withhold Against 1.6 Elect J. Littleton Glover, Jr. Mgmt For Withhold Against 1.7 Elect Jane Helm Mgmt For For For 1.8 Elect John Howe, III Mgmt For For For 1.9 Elect Kelly King Mgmt For For For 1.10 Elect Valeria Lynch Lee Mgmt For For For 1.11 Elect J. Holmes Morrison Mgmt For For For 1.12 Elect Nido Qubein Mgmt For Withhold Against 1.13 Elect Thomas Skains Mgmt For For For 1.14 Elect Thomas Thompson Mgmt For For For 1.15 Elect Stephen Williams Mgmt For Withhold Against 2 Amendment to the short-term Mgmt For For For incentive plan 3 Ratification of Auditor Mgmt For For For 4 Advisory Vote on Executive Mgmt For For For Compensation 5 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 6 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report 7 Shareholder Proposal Regarding ShrHldr Against For Against Majority Vote for Election of Directors ======================================================================================================= Becton, Dickinson And Co. Ticker Security ID: Meeting Date Meeting Status BDX CUSIP 075887109 02/01/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Basil Anderson Mgmt For For For 1.2 Elect Henry Becton, Jr. Mgmt For For For 1.3 Elect Edward DeGraan Mgmt For For For 1.4 Elect Claire Fraser-Liggett Mgmt For For For 1.5 Elect Christopher Jones Mgmt For For For 1.6 Elect Marshall Larsen Mgmt For For For 1.7 Elect Edward Ludwig Mgmt For For For 1.8 Elect Adel Mahmoud Mgmt For For For 1.9 Elect Gary Mecklenburg Mgmt For For For 1.10 Elect Cathy Minehan Mgmt For Withhold Against 1.11 Elect James Orr Mgmt For For For 1.12 Elect Willard Overlock, Jr. Mgmt For For For 1.13 Elect Bertram Scott Mgmt For For For 1.14 Elect Alfred Sommer Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Advisory Vote on Executive Mgmt For For For Compensation 4 Frequency of Advisory Vote on Mgmt N/A 1 Year N/A Executive Compensation 5 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 6 Shareholder Proposal Regarding ShrHldr Against For Against Cumulative Voting ======================================================================================================= Best Buy Co. Inc. Ticker Security ID: Meeting Date Meeting Status BBY CUSIP 086516101 06/21/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Ronald James Mgmt For For For 1.2 Elect Sanjay Khosla Mgmt For For For 1.3 Elect George Mikan III Mgmt For For For 1.4 Elect Matthew Paull Mgmt For For For 1.5 Elect Richard Schulze Mgmt For For For 1.6 Elect Hatim Tyabji Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Authorization of Board to Set Board Mgmt For Against Against Size 4 Amendment to the 2004 Omnibus Stock Mgmt For For For and Incentive Plan 5 Executive Short-term Incentive Plan Mgmt For For For 6 Advisory Vote on Executive Mgmt For For For Compensation 7 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 8 Shareholder Proposal Regarding ShrHldr Against For Against Declassification of the Board ======================================================================================================= Biogen Idec inc Ticker Security ID: Meeting Date Meeting Status BIIB CUSIP 09062X103 06/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Caroline Dorsa Mgmt For For For 2 Elect Stelios Papadopoulos Mgmt For For For 3 Elect George Scangos Mgmt For For For 4 Elect Lynn Schenk Mgmt For For For 5 Elect Alexander Denner Mgmt For For For 6 Elect Nancy Leaming Mgmt For For For 7 Elect Richard Mulligan Mgmt For For For 8 Elect Robert Pangia Mgmt For For For 9 Elect Brian Posner Mgmt For For For 10 Elect Eric Rowinsky Mgmt For For For 11 Elect Stephen Sherwin Mgmt For For For 12 Elect William Young Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Repeal of Classified Board Mgmt For For For ======================================================================================================= Boeing Co. Ticker Security ID: Meeting Date Meeting Status BA CUSIP 097023105 05/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect John Bryson Mgmt For For For 2 Elect David Calhoun Mgmt For For For 3 Elect Arthur Collins, Jr. Mgmt For For For 4 Elect Linda Cook Mgmt For For For 5 Elect Kenneth Duberstein Mgmt For For For 6 Elect Edmund Giambastiani, Jr. Mgmt For For For 7 Elect Edward Liddy Mgmt For For For 8 Elect John McDonnell Mgmt For For For 9 Elect W. James McNerney, Jr. Mgmt For For For 10 Elect Susan Schwab Mgmt For For For 11 Elect Ronald Williams Mgmt For For For 12 Elect Mike Zafirovski Mgmt For For For 13 Advisory Vote on Executive Mgmt For For For Compensation 14 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 15 Ratification of Auditor Mgmt For For For 16 Shareholder Proposal Regarding ShrHldr Against Against For Independent Verification of Compliance with Labor and Human Rights Standards 17 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 18 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent 19 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 20 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman ======================================================================================================= Bristol-Myers Squibb Co. Ticker Security ID: Meeting Date Meeting Status BMY CUSIP 110122108 05/03/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Lamberto Andreotti Mgmt For For For 2 Elect Lewis Campbell Mgmt For For For 3 Elect James Cornelius Mgmt For For For 4 Elect Louis Freeh Mgmt For Against Against 5 Elect Laurie Glimcher Mgmt For For For 6 Elect Michael Grobstein Mgmt For For For 7 Elect Leif Johansson Mgmt For For For 8 Elect Alan Lacy Mgmt For For For 9 Elect Vicki Sato Mgmt For For For 10 Elect Elliott Sigal Mgmt For For For 11 Elect Togo West, Jr. Mgmt For For For 12 Elect R. Sanders Williams Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against Against For Disclosure of Executive Compensation 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent 18 Shareholder Proposal Regarding ShrHldr Against Against For Pharmaceutical Price Restraints ======================================================================================================= Capital One Financial Corp. Ticker Security ID: Meeting Date Meeting Status COF CUSIP 14040H105 05/11/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Patrick Gross Mgmt For Against Against 2 Elect Ann Hackett Mgmt For For For 3 Elect Pierre Leroy Mgmt For For For 4 Ratification of Auditor Mgmt For For For 5 Repeal of Classified Board Mgmt For For For 6 Advisory Vote on Executive Mgmt For Against Against Compensation 7 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Cardinal Health Inc Ticker Security ID: Meeting Date Meeting Status CAH CUSIP 14149Y108 11/03/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Colleen Arnold Mgmt For For For 2 Elect George Barrett Mgmt For For For 3 Elect Glenn Britt Mgmt For For For 4 Elect Carrie Cox Mgmt For For For 5 Elect Calvin Darden Mgmt For For For 6 Elect Bruce Downey Mgmt For For For 7 Elect John Finn Mgmt For For For 8 Elect Gregory Kenny Mgmt For For For 9 Elect James Mongan Mgmt For For For 10 Elect Richard Notebaert Mgmt For For For 11 Elect David Raisbeck Mgmt For Against Against 12 Elect Jean Spaulding Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Amendment to Code of Regulations Mgmt For Against Against 15 Shareholder Proposal Regarding ShrHldr Against For Against Performance-Based Equity Compensation 16 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting ======================================================================================================= Caterpillar Inc. Ticker Security ID: Meeting Date Meeting Status CAT CUSIP 149123101 06/08/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect David Calhoun Mgmt For Withhold Against 1.2 Elect Daniel Dickinson Mgmt For For For 1.3 Elect Eugene Fife Mgmt For For For 1.4 Elect Juan Gallardo Mgmt For For For 1.5 Elect David Goode Mgmt For For For 1.6 Elect Jesse Greene, Jr. Mgmt For For For 1.7 Elect Peter Magowan Mgmt For For For 1.8 Elect Dennis Muilenburg Mgmt For For For 1.9 Elect Douglas Oberhelman Mgmt For For For 1.10 Elect William Osborn Mgmt For For For 1.11 Elect Charles Powell Mgmt For For For 1.12 Elect Edward Rust, Jr. Mgmt For For For 1.13 Elect Susan Schwab Mgmt For For For 1.14 Elect Joshua Smith Mgmt For For For 1.15 Elect Miles White Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Amendment to the Executive Mgmt For For For Short-Term Incentive Plan 4 Advisory Vote on Executive Mgmt For Against Against Compensation 5 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 6 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report 7 Shareholder Proposal Regarding ShrHldr Against Against For Retention of Shares After Retirement 8 Shareholder Proposal Regarding ShrHldr Against For Against Majority Vote for Election of Directors 9 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 10 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman 11 Shareholder Proposal Regarding ShrHldr Against Against For Review of Human Rights Policies 12 Shareholder Proposal Regarding ShrHldr Against For Against Approval of Survivor Benefits (Golden Coffins) ======================================================================================================= Chevron Corp. Ticker Security ID: Meeting Date Meeting Status CVX CUSIP 166764100 05/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Linnet Deily Mgmt For For For 2 Elect Robert Denham Mgmt For For For 3 Elect Robert Eaton Mgmt For For For 4 Elect Chuck Hagel Mgmt For For For 5 Elect Enrique Hernandez, Jr. Mgmt For For For 6 Elect George Kirkland Mgmt For For For 7 Elect Donald Rice Mgmt For For For 8 Elect Kevin Sharer Mgmt For For For 9 Elect Charles Shoemate Mgmt For For For 10 Elect John Stumpf Mgmt For For For 11 Elect Ronald Sugar Mgmt For For For 12 Elect Carl Ware Mgmt For Against Against 13 Elect John Watson Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 17 Shareholder Proposal Regarding ShrHldr Against Against For Environmental Expertise on Board 18 Shareholder Proposal Regarding ShrHldr Against Against For Establishment of Human Rights Committee 19 Shareholder Proposal Regarding ShrHldr Against Against For Linking Executive Pay to Sustainability 20 Shareholder Proposal Regarding ShrHldr Against Against For Country Selection Guidelines 21 Shareholder Proposal Regarding ShrHldr Against Against For Financial Risks of Climate Change 22 Shareholder Proposal Regarding ShrHldr Against For Against Report on Hydraulic Fracturing 23 Shareholder Proposal Regarding ShrHldr Against Against For Offshore Drilling Report ======================================================================================================= Chubb Corp. Ticker Security ID: Meeting Date Meeting Status CB CUSIP 171232101 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Zoe Baird Mgmt For For For 2 Elect Sheila Burke Mgmt For For For 3 Elect James Cash, Jr. Mgmt For For For 4 Elect John Finnegan Mgmt For For For 5 Elect Lawrence Kellner Mgmt For For For 6 Elect Martin McGuinn Mgmt For For For 7 Elect Lawrence Small Mgmt For For For 8 Elect Jess Soderberg Mgmt For For For 9 Elect Daniel Somers Mgmt For For For 10 Elect James Zimmerman Mgmt For For For 11 Elect Alfred Zollar Mgmt For For For 12 2011 Annual Incentive Plan Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation ======================================================================================================= Cisco Systems Inc Ticker Security ID: Meeting Date Meeting Status CSCO CUSIP 17275R102 11/18/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Carol Bartz Mgmt For For For 2 Elect M. Michele Burns Mgmt For For For 3 Elect Michael Capellas Mgmt For For For 4 Elect Larry Carter Mgmt For For For 5 Elect John Chambers Mgmt For For For 6 Elect Brian Halla Mgmt For For For 7 Elect John Hennessy Mgmt For Against Against 8 Elect Richard Kovacevich Mgmt For For For 9 Elect Roderick McGeary Mgmt For For For 10 Elect Michael Powell Mgmt For For For 11 Elect Arun Sarin Mgmt For For For 12 Elect Steven West Mgmt For For For 13 Elect Jerry Yang Mgmt For For For 14 Advisory Vote on Executive Mgmt For Against Against Compensation 15 Ratification of Auditor Mgmt For For For 16 Shareholder Proposal Regarding ShrHldr Against Against For Formation of Environmental Sustainability Committee 17 Shareholder Proposal Regarding ShrHldr Against Against For Report on Internet Fragmentation 18 Shareholder Proposal Regarding ShrHldr Against Against For Restricting Sales to China ======================================================================================================= Citigroup Inc Ticker Security ID: Meeting Date Meeting Status C CUSIP 172967101 04/21/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Alain Belda Mgmt For Against Against 2 Elect Timothy Collins Mgmt For For For 3 Elect Jerry Grundhofer Mgmt For For For 4 Elect Robert Joss Mgmt For Against Against 5 Elect Michael O'Neill Mgmt For For For 6 Elect Vikram Pandit Mgmt For For For 7 Elect Richard Parsons Mgmt For Against Against 8 Elect Lawrence Ricciardi Mgmt For For For 9 Elect Judith Rodin Mgmt For Against Against 10 Elect Robert Ryan Mgmt For For For 11 Elect Anthony Santomero Mgmt For For For 12 Elect Diana Taylor Mgmt For For For 13 Elect William Thompson, Jr. Mgmt For For For 14 Elect Ernesto Zedillo Mgmt For For For 15 Ratification of Auditor Mgmt For For For 16 Amendment to the 2009 Stock Mgmt For For For Incentive Plan 17 2011 Executive Performance Plan Mgmt For For For 18 Advisory Vote on Executive Mgmt For For For Compensation 19 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 20 Reverse Stock Split Extension Mgmt For For For 21 Shareholder Proposal Regarding ShrHldr Against Against For Affirmation of Political Nonpartisanship 22 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 23 Shareholder Proposal Regarding Risk ShrHldr Against Against For Management Report 24 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 25 Shareholder Proposal Regarding ShrHldr Against Against For Independent Review of Controls Related to Loans, Foreclosures and Securitizations ======================================================================================================= Coca Cola Company Ticker Security ID: Meeting Date Meeting Status KO CUSIP 191216100 04/27/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Herbert Allen Mgmt For Against Against 2 Elect Ronald Allen Mgmt For For For 3 Elect Howard Buffett Mgmt For For For 4 Elect Barry Diller Mgmt For Against Against 5 Elect Evan Greenberg Mgmt For For For 6 Elect Alexis Herman Mgmt For For For 7 Elect Muhtar Kent Mgmt For For For 8 Elect Donald Keough Mgmt For For For 9 Elect Maria Lagomasino Mgmt For For For 10 Elect Donald McHenry Mgmt For For For 11 Elect Sam Nunn Mgmt For For For 12 Elect James Robinson III Mgmt For For For 13 Elect Peter Ueberroth Mgmt For For For 14 Elect Jacob Wallenberg Mgmt For For For 15 Elect James Williams Mgmt For Against Against 16 Ratification of Auditor Mgmt For For For 17 Amendment to the Performance Mgmt For For For Incentive Plan 18 Amendment to the 1989 Restricted Mgmt For For For Stock Award Plan 19 Advisory Vote on Executive Mgmt For For For Compensation 20 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 21 Shareholder Proposal Regarding ShrHldr Against Against For Report on Bisphenol-A ======================================================================================================= Cognizant Technology Solutions Corp. Ticker Security ID: Meeting Date Meeting Status CTSH CUSIP 192446102 06/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Robert Howe Mgmt For For For 2 Elect Robert Weissman Mgmt For For For 3 Advisory Vote on Executive Mgmt For For For Compensation 4 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 5 Increase of Authorized Common Stock Mgmt For For For 6 Amendment to the Certificate of Mgmt For For For Incorporation to Reduce Supermajority Requirement 7 Amendment to the Bylaws to Reduce Mgmt For For For Supermajority Requirement 8 Ratification of Auditor Mgmt For For For ======================================================================================================= Colgate-Palmolive Co. Ticker Security ID: Meeting Date Meeting Status CL CUSIP 194162103 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect John Cahill Mgmt For For For 2 Elect Ian Cook Mgmt For For For 3 Elect Helene Gayle Mgmt For For For 4 Elect Ellen Hancock Mgmt For For For 5 Elect Joseph Jimenez Mgmt For For For 6 Elect Richard Kogan Mgmt For For For 7 Elect Delano Lewis Mgmt For For For 8 Elect J. Pedro Reinhard Mgmt For For For 9 Elect Stephen Sadove Mgmt For For For 10 Ratification of Auditor Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 2 Years 1 Year Against Executive Compensation 13 Shareholder Proposal Regarding the ShrHldr Against Against For Right to Call a Special Meeting ======================================================================================================= Comcast Corp. Ticker Security ID: Meeting Date Meeting Status CMCSA CUSIP 20030N101 05/11/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect S. Decker Anstrom Mgmt For For For 1.2 Elect Kenneth Bacon Mgmt For Withhold Against 1.3 Elect Sheldon Bonovitz Mgmt For For For 1.4 Elect Edward Breen Mgmt For For For 1.5 Elect Joseph Collins Mgmt For For For 1.6 Elect J. Michael Cook Mgmt For For For 1.7 Elect Gerald Hassell Mgmt For For For 1.8 Elect Jeffrey Honickman Mgmt For For For 1.9 Elect Eduardo Mestre Mgmt For For For 1.10 Elect Brian Roberts Mgmt For For For 1.11 Elect Ralph Roberts Mgmt For For For 1.12 Elect Judith Rodin Mgmt For Withhold Against 2 Ratification of Auditor Mgmt For For For 3 2011 Employee Stock Purchase Plan Mgmt For For For 4 Amendment to the 2002 Restricted Mgmt For For For Stock Plan 5 Amendment to the 2003 Stock Option Mgmt For For For Plan 6 Advisory Vote on Executive Mgmt For Against Against Compensation 7 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 8 Shareholder Proposal Regarding ShrHldr Against For Against Cumulative Voting 9 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman ======================================================================================================= Conoco Phillips Ticker Security ID: Meeting Date Meeting Status COP CUSIP 20825C104 05/11/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Richard Armitage Mgmt For For For 2 Elect Richard Auchinleck Mgmt For For For 3 Elect James Copeland, Jr. Mgmt For For For 4 Elect Kenneth Duberstein Mgmt For For For 5 Elect Ruth Harkin Mgmt For For For 6 Elect Harold McGraw III Mgmt For For For 7 Elect James Mulva Mgmt For For For 8 Elect Robert Niblock Mgmt For For For 9 Elect Harald Norvik Mgmt For For For 10 Elect William Reilly Mgmt For For For 11 Elect Victoria Tschinkel Mgmt For For For 12 Elect Kathryn Turner Mgmt For For For 13 Elect William Wade, Jr. Mgmt For For For 14 Ratification of Auditor Mgmt For Against Against 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 17 2011 Omnibus Stock and Performance Mgmt For For For Incentive Plan 18 Shareholder Proposal Regarding ShrHldr Against Against For Adopting Gender Identity and Expression Anti-Bias Policy 19 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 20 Shareholder Proposal Regarding ShrHldr Against Against For Lobbying Report 21 Shareholder Proposal Regarding ShrHldr Against Against For Safety Report 22 Shareholder Proposal Regarding ShrHldr Against Against For Louisiana Wetlands 23 Shareholder Proposal Regarding ShrHldr Against Against For Reporting and Reducing Greenhouse Gas Emissions 24 Shareholder Proposal Regarding the ShrHldr Against Against For Financial Risks of Climate Change 25 Shareholder Proposal Regarding ShrHldr Against Against For Report on Oil Sands Operations ======================================================================================================= Corning, Inc. Ticker Security ID: Meeting Date Meeting Status GLW CUSIP 219350105 04/28/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect John Seely Brown Mgmt For Against Against 2 Elect John Canning Jr. Mgmt For For For 3 Elect Gordon Gund Mgmt For Against Against 4 Elect Kurt Landgraf Mgmt For For For 5 Elect H. Onno Ruding Mgmt For For For 6 Elect Glenn Tilton Mgmt For For For 7 Advisory Vote on Executive Mgmt For For For Compensation 8 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 9 Ratification of Auditor Mgmt For For For 10 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting ======================================================================================================= Costco Wholesale Corp Ticker Security ID: Meeting Date Meeting Status COST CUSIP 22160K105 01/27/2011 Unvoted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Susan Decker Mgmt For N/A N/A 1.2 Elect Richard Libenson Mgmt For N/A N/A 1.3 Elect John Meisenbach Mgmt For N/A N/A 1.4 Elect Charles Munger Mgmt For N/A N/A 2 Ratification of Auditor Mgmt For N/A N/A 3 Advisory Vote on Executive Mgmt For N/A N/A Compensation 4 Say When on Pay Mgmt 3 Years N/A Against ======================================================================================================= Covidien Plc Ticker Security ID: Meeting Date Meeting Status COV CUSIP G2554F105 03/15/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Craig Arnold Mgmt For For For 2 Elect Robert Brust Mgmt For For For 3 Elect John Connors, Jr. Mgmt For For For 4 Elect Christopher Coughlin Mgmt For For For 5 Elect Timothy Donahue Mgmt For For For 6 Elect Kathy Herbert Mgmt For For For 7 Elect Randall Hogan, III Mgmt For For For 8 Elect Richard Meelia Mgmt For For For 9 Elect Dennis Reilley Mgmt For For For 10 Elect Tadataka Yamada Mgmt For For For 11 Elect Joseph Zaccagnino Mgmt For For For 12 Appointment of Auditor and Authority Mgmt For For For to Set Fees 13 Reverse Stock Split Followed by a Mgmt For For For Forward Stock Split 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation ======================================================================================================= CSX Corp. Ticker Security ID: Meeting Date Meeting Status CSX CUSIP 126408103 05/04/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Donna Alvarado Mgmt For For For 2 Elect John Breaux Mgmt For For For 3 Elect Pamela Carter Mgmt For For For 4 Elect Steven Halverson Mgmt For For For 5 Elect Edward Kelly, III Mgmt For For For 6 Elect Gilbert Lamphere Mgmt For For For 7 Elect John McPherson Mgmt For For For 8 Elect Timothy O'Toole Mgmt For For For 9 Elect David Ratcliffe Mgmt For For For 10 Elect Donald Shepard Mgmt For For For 11 Elect Michael Ward Mgmt For For For 12 Elect J.C. Watts, Jr. Mgmt For For For 13 Elect J. Steven Whisler Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation ======================================================================================================= Cvs Caremark Corp Ticker Security ID: Meeting Date Meeting Status CVS CUSIP 126650100 05/11/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Edwin Banks Mgmt For For For 2 Elect C. David Brown II Mgmt For For For 3 Elect David Dorman Mgmt For For For 4 Elect Anne Finucane Mgmt For For For 5 Elect Kristen Gibney Williams Mgmt For For For 6 Elect Marian Heard Mgmt For For For 7 Elect Larry Merlo Mgmt For For For 8 Elect Jean-Pierre Millon Mgmt For For For 9 Elect Terrence Murray Mgmt For For For 10 Elect C.A. Lance Piccolo Mgmt For For For 11 Elect Richard Swift Mgmt For For For 12 Elect Tony White Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions or Expenditure 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= Deere & Co. Ticker Security ID: Meeting Date Meeting Status DE CUSIP 244199105 02/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Charles Holliday, Jr. Mgmt For For For 2 Elect Dipak Jain Mgmt For For For 3 Elect Joachim Milberg Mgmt For For For 4 Elect Richard Myers Mgmt For For For 5 Advisory Vote on Executive Mgmt For For For Compensation 6 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 7 Ratification of Auditor Mgmt For For For ======================================================================================================= Dell Inc Ticker Security ID: Meeting Date Meeting Status DELL CUSIP 24702R101 07/15/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect James Breyer Mgmt For Withhold Against 1.2 Elect Donald Carty Mgmt For For For 1.3 Elect Michael Dell Mgmt For For For 1.4 Elect William Gray, III Mgmt For For For 1.5 Elect Gerard J. Kleistrelee Mgmt For For For 1.6 Elect Thomas Luce, III Mgmt For For For 1.7 Elect Klaus Luft Mgmt For For For 1.8 Elect Alex Mandl Mgmt For For For 1.9 Elect Shantanu Narayen Mgmt For For For 1.10 Elect H. Ross Perot, Jr. Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Advisory Vote on Executive Mgmt For For For Compensation 4 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 5 Shareholder Proposal Regarding Mgmt Against For Against Independent Board Chairman 6 Shareholder Proposal Regarding Mgmt Against For Against Right to Act by Written Consent 7 Shareholder Proposal Regarding Mgmt Against Against For Declaration of Dividends ======================================================================================================= Dell Inc. Ticker Security ID: Meeting Date Meeting Status DELL CUSIP 24702R101 08/12/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect James Breyer Mgmt For For For 1.2 Elect Donald Carty Mgmt For For For 1.3 Elect Michael Dell Mgmt For For For 1.4 Elect William Gray, III Mgmt For For For 1.5 Elect Judy Lewent Mgmt For For For 1.6 Elect Thomas Luce, III Mgmt For For For 1.7 Elect Klaus Luft Mgmt For For For 1.9 Elect Alex Mandl Mgmt For For For 1.10 Elect Shantanu Narayen Mgmt For For For 1.11 Elect Sam Nunn Mgmt For Withhold Against 2 Ratification of Auditor Mgmt For For For 3 Elimination of Supermajority Mgmt For For For Requirement 4 Shareholder Proposal Regarding ShrHldr Against For Against Reimbursement of Solicitation Expenses 5 Shareholder Proposal Regarding ShrHldr Against For Against Advisory Vote on Compensation (Say on Pay) ======================================================================================================= DIRECTV Ticker Security ID: Meeting Date Meeting Status DTV CUSIP 25490A101 04/28/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect David Dillon Mgmt For For For 1.2 Elect Samuel DiPiazza, Jr. Mgmt For For For 1.3 Elect Lorrie Norrington Mgmt For For For 2 Ratification of Auditor Mgmt For Against Against 3 Amendment to Dual Class Stock Mgmt For For For 4 Repeal of Classified Board Mgmt For For For 5 Adoption of Majority Vote for Mgmt For For For Election of Directors 6 Limitation of Right to Call a Mgmt For Against Against Special Meeting 7 Adoption of Delaware as the Mgmt For Against Against Exclusive Forum for Certain Disputes 8 Advisory Vote on Executive Mgmt For For For Compensation 9 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Dominion Resources Inc Ticker Security ID: Meeting Date Meeting Status D CUSIP 25746U109 05/12/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect William Barr Mgmt For For For 2 Elect Peter Brown Mgmt For Against Against 3 Elect George Davidson, Jr. Mgmt For For For 4 Elect Helen Dragas Mgmt For For For 5 Elect Thomas Farrell II Mgmt For For For 6 Elect John Harris Mgmt For Against Against 7 Elect Robert Jepson, Jr. Mgmt For For For 8 Elect Mark Kington Mgmt For For For 9 Elect Margaret McKenna Mgmt For For For 10 Elect Frank Royal Mgmt For Against Against 11 Elect Robert Spilman, Jr. Mgmt For For For 12 Elect David Wollard Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against Against For Mountaintop Removal Coal Mining 17 Shareholder Proposal Regarding ShrHldr Against Against For Establishment of 20% Renewable Energy Goal 18 Shareholder Proposal Regarding ShrHldr Against Against For Report on Coal Risk 19 Shareholder Proposal Regarding ShrHldr Against Against For Nuclear Power Plant Construction 20 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman 21 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent 22 Shareholder Proposal Regarding ShrHldr Against Against For Supplemental Executive Retirement Benefits ======================================================================================================= Dow 30 Enhanced Premium & Income Fund Inc Ticker Security ID: Meeting Date Meeting Status DPO CUSIP 260537105 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect John Amboian Mgmt For For For 1.2 Elect Robert Bremner Mgmt For For For 1.3 Elect Jack Evans Mgmt For For For 1.4 Elect David Kundert Mgmt For For For 1.5 Elect Judith Stockdale Mgmt For For For 1.6 Elect Carole Stone Mgmt For For For 1.7 Elect Terence Toth Mgmt For For For 1.8 Elect Virginia Stringer Mgmt For For For 1.9 Elect William Hunter Mgmt For For For 1.10 Elect William Schneider Mgmt For For For ======================================================================================================= Dow 30 Enhanced Premium & Income Fund Inc Ticker Security ID: Meeting Date Meeting Status DPO CUSIP 260537105 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect John Amboian ShrHldr For Withhold Against 1.2 Elect Robert Bremner ShrHldr For Withhold Against 1.3 Elect Jack Evans ShrHldr For Withhold Against 1.4 Elect David Kundert ShrHldr For Withhold Against 1.5 Elect Judith Stockdale ShrHldr For Withhold Against 1.6 Elect Carole Stone ShrHldr For Withhold Against 1.7 Elect Terence Toth ShrHldr For Withhold Against 1.8 Elect Virginia Stringer ShrHldr For Withhold Against 1.9 Elect William Hunter ShrHldr For Withhold Against 1.10 Elect William Schneider ShrHldr For Withhold Against ======================================================================================================= Dow Chemical Company Ticker Security ID: Meeting Date Meeting Status DOW CUSIP 260543103 05/12/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Arnold Allemang Mgmt For For For 2 Elect Jacqueline Barton Mgmt For For For 3 Elect James Bell Mgmt For For For 4 Elect Jeff Fettig Mgmt For For For 5 Elect Barbara Franklin Mgmt For For For 6 Elect Jennifer Granholm Mgmt For For For 7 Elect John Hess Mgmt For For For 8 Elect Andrew Liveris Mgmt For For For 9 Elect Paul Polman Mgmt For For For 10 Elect Dennis Reilley Mgmt For Against Against 11 Elect James Ringler Mgmt For For For 12 Elect Ruth Shaw Mgmt For Against Against 13 Elect Paul Stern Mgmt For Against Against 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= Duke Energy Corp. Ticker Security ID: Meeting Date Meeting Status DUK CUSIP 26441C105 05/05/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect William Barnet III Mgmt For For For 1.2 Elect G. Alex Bernhardt, Sr. Mgmt For For For 1.3 Elect Michael Browning Mgmt For For For 1.4 Elect Daniel DiMicco Mgmt For For For 1.5 Elect John Forsgren Mgmt For For For 1.6 Elect Ann Maynard Gray Mgmt For For For 1.7 Elect James Hance, Jr. Mgmt For For For 1.8 Elect E. James Reinsch Mgmt For For For 1.9 Elect James Rhodes Mgmt For For For 1.10 Elect James Rogers Mgmt For For For 1.11 Elect Philip Sharp Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 4 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 5 Shareholder Proposal Regarding ShrHldr Against Against For Lobbying Report 6 Shareholder Proposal Regarding ShrHldr Against Against For Report on Coal Risk 7 Shareholder Proposal Regarding ShrHldr Against For Against Majority Vote for Election of Directors ======================================================================================================= Eaton Vance Risk-Managed Diversified Equity Income Fund Ticker Security ID: Meeting Date Meeting Status ETJ CUSIP 27829G106 04/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Benjamin Esty Mgmt For For For 1.2 Elect Thomas Faust, Jr. Mgmt For For For 1.3 Elect Allen Freedman Mgmt For For For ======================================================================================================= Eaton Vance Risk-Managed Diversified Equity Income Fund Ticker Security ID: Meeting Date Meeting Status ETJ CUSIP 27829G106 04/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Benjamin Esty Mgmt For Withhold Against 1.2 Elect Thomas Faust, Jr. Mgmt For Withhold Against 1.3 Elect Allen Freedman Mgmt For Withhold Against ======================================================================================================= Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund Ticker Security ID: Meeting Date Meeting Status ETW CUSIP 27829C105 04/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Helen Peters Mgmt For For For 1.2 Elect Lynn Stout Mgmt For For For 1.3 Elect Ralph Verni Mgmt For For For ======================================================================================================= Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund Ticker Security ID: Meeting Date Meeting Status ETW CUSIP 27829C105 04/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Helen Peters Mgmt For Withhold Against 1.2 Elect Lynn Stout Mgmt For Withhold Against 1.3 Elect Ralph Verni Mgmt For Withhold Against ======================================================================================================= EBay Inc. Ticker Security ID: Meeting Date Meeting Status EBAY CUSIP 278642103 04/28/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Fred Anderson Mgmt For For For 2 Elect Edward Barnholt Mgmt For For For 3 Elect Scott Cook Mgmt For For For 4 Elect John Donahoe Mgmt For For For 5 Advisory Vote on Executive Mgmt For Against Against Compensation 6 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 7 Ratification of Auditor Mgmt For For For 8 Shareholder Proposal Regarding ShrHldr Against For Against Simple Majority Vote ======================================================================================================= EI Du Pont De Nemours Ticker Security ID: Meeting Date Meeting Status DD CUSIP 263534109 04/27/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Richard Brown Mgmt For For For 2 Elect Robert Brown Mgmt For For For 3 Elect Bertrand Collomb Mgmt For For For 4 Elect Curtis Crawford Mgmt For For For 5 Elect Alexander Cutler Mgmt For For For 6 Elect Eleuthere Du Pont Mgmt For For For 7 Elect Marillyn Hewson Mgmt For For For 8 Elect Lois Juliber Mgmt For For For 9 Elect Ellen Kullman Mgmt For For For 10 Elect William Reilly Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Amendment to the Equity and Mgmt For For For Incentive Plan 13 Advisory Vote on Executive Mgmt For For For Compensation 14 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 15 Shareholder Proposal Regarding Right ShrHldr Against Against For to Call a Special Meeting 16 Shareholder Proposal Regarding ShrHldr Against Against For Genetically Engineered Organisms 17 Shareholder Proposal Regarding ShrHldr Against Against For Comparison Between Executive and Employee Pay ======================================================================================================= ELI Lilly & Company Ticker Security ID: Meeting Date Meeting Status LLY CUSIP 532457108 04/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Michael Eskew Mgmt For For For 2 Elect Alfred Gilman Mgmt For For For 3 Elect Karen Horn Mgmt For Against Against 4 Elect John Lechleiter Mgmt For For For 5 Ratification of Auditor Mgmt For For For 6 Advisory Vote on Executive Mgmt For Against Against Compensation 7 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 8 Repeal of Classified Board Mgmt For For For 9 Elimination of Supermajority Mgmt For For For Requirements 10 Executive Officer Incentive Plan Mgmt For For For ======================================================================================================= EMC Corp. Ticker Security ID: Meeting Date Meeting Status EMC CUSIP 268648102 05/04/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Michael Brown Mgmt For For For 2 Elect Randolph Cowen Mgmt For For For 3 Elect Michael Cronin Mgmt For For For 4 Elect Gail Deegan Mgmt For For For 5 Elect James DiStasio Mgmt For For For 6 Elect John Egan Mgmt For For For 7 Elect Edmund Kelly Mgmt For For For 8 Elect Windle Priem Mgmt For For For 9 Elect Paul Sagan Mgmt For For For 10 Elect David Strohm Mgmt For For For 11 Elect Joseph Tucci Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 Amendment to the 2003 Stock Plan Mgmt For For For 14 Amendment to Right to Call a Special Mgmt For For For Meeting 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Emerson Electric Co. Ticker Security ID: Meeting Date Meeting Status EMR CUSIP 291011104 02/01/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect David Farr Mgmt For N/A N/A 1.2 Elect Harriet Green Mgmt For N/A N/A 1.3 Elect Charles Peters Mgmt For N/A N/A 1.4 Elect Joseph Prueher Mgmt For N/A N/A 1.5 Elect Rozanne Ridgway Mgmt For N/A N/A 2 Re-approval of the Performance Mgmt For N/A N/A Measures under the 2006 Incentive Shares Plan 3 2011 Stock Option Plan Mgmt For N/A N/A 4 Ratification of Auditor Mgmt For N/A N/A 5 Advisory Vote on Executive Mgmt For N/A N/A Compensation 6 Frequency of Advisory Vote on Mgmt 3 Years N/A Against Executive Compensation 7 Shareholder Proposal Regarding ShrHldr Against N/A N/A Sustainability Report ======================================================================================================= Exelon Corp. Ticker Security ID: Meeting Date Meeting Status EXC CUSIP 30161N101 05/03/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect John Canning Jr. Mgmt For For For 2 Elect M. Walter D'Alessio Mgmt For For For 3 Elect Nicholas DeBenedictis Mgmt For For For 4 Elect Nelson Diaz Mgmt For Against Against 5 Elect Sue Ling Gin Mgmt For For For 6 Elect Rosemarie Greco Mgmt For For For 7 Elect Paul Joskow Mgmt For For For 8 Elect Richard Mies Mgmt For For For 9 Elect John Palms Mgmt For For For 10 Elect William Richardson Mgmt For For For 11 Elect Thomas Ridge Mgmt For For For 12 Elect John Rogers, Jr. Mgmt For For For 13 Elect John Rowe Mgmt For For For 14 Elect Stephen Steinour Mgmt For For For 15 Elect Donald Thompson Mgmt For For For 16 Ratification of Auditor Mgmt For For For 17 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 18 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Express Scripts, Inc. Ticker Security ID: Meeting Date Meeting Status ESRX CUSIP 302182100 05/04/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Gary Benanav Mgmt For For For 2 Elect Maura Breen Mgmt For For For 3 Elect Nicholas LaHowchic Mgmt For For For 4 Elect Thomas Mac Mahon Mgmt For For For 5 Elect Frank Mergenthaler Mgmt For For For 6 Elect Woodrow Myers, Jr. Mgmt For For For 7 Elect John Parker, Jr. Mgmt For For For 8 Elect George Paz Mgmt For For For 9 Elect Samuel Skinner Mgmt For For For 10 Elect Seymour Sternberg Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Amendment to Bylaws to Permit Mgmt For For For Shareholders to Call a Special Meeting 13 Advisory Vote on Executive Mgmt For For For Compensation 14 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 15 2011 Long-Term Incentive Plan Mgmt For For For 16 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report ======================================================================================================= Exxon Mobil Corp. Ticker Security ID: Meeting Date Meeting Status XOM CUSIP 30231G102 05/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Michael Boskin Mgmt For For For 1.2 Elect Peter Brabeck-Letmathe Mgmt For For For 1.3 Elect Larry Faulkner Mgmt For For For 1.4 Elect Jay Fishman Mgmt For For For 1.5 Elect Kenneth Frazier Mgmt For For For 1.6 Elect William George Mgmt For For For 1.7 Elect Marilyn Nelson Mgmt For For For 1.8 Elect Samuel Palmisano Mgmt For For For 1.9 Elect Steven Reinemund Mgmt For For For 1.10 Elect Rex Tillerson Mgmt For For For 1.11 Elect Edward Whitacre, Jr. Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Advisory Vote on Executive Mgmt For Against Against Compensation 4 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 5 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman 6 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 7 Shareholder Proposal Regarding ShrHldr Against For Against Sexual Orientation and Gender identity Anti-Bias Policy 8 Shareholder Proposal Regarding Human ShrHldr Against Against For Right to Water 9 Shareholder Proposal Regarding ShrHldr Against Against For Report on Oil Sands Operations 10 Shareholder Proposal Regarding ShrHldr Against Against For Report on Hydraulic Fracturing 11 Shareholder Proposal Regarding ShrHldr Against Against For Report on Technology and Products to Become Environmentally Sustainable 12 Shareholder Proposal Regarding ShrHldr Against Against For Greenhouse Gas Emission Goals ======================================================================================================= Family Dollar Stores, Inc. Ticker Security ID: Meeting Date Meeting Status FDO CUSIP 307000109 01/20/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Mark Bernstein Mgmt For For For 1.2 Elect Pamela Davies Mgmt For For For 1.3 Elect Sharon Decker Mgmt For For For 1.4 Elect Edward Dolby Mgmt For For For 1.5 Elect Glenn Eisenberg Mgmt For For For 1.6 Elect Howard Levine Mgmt For For For 1.7 Elect George Mahoney, Jr. Mgmt For For For 1.8 Elect James Martin Mgmt For For For 1.9 Elect Harvey Morgan Mgmt For For For 1.10 Elect Dale Pond Mgmt For For For 2 Approval of Performance Measures Mgmt For For For under the 2006 Incentive Plan 3 Ratification of Auditor Mgmt For For For ======================================================================================================= First Trust Strategic High Income Fund II Ticker Security ID: Meeting Date Meeting Status FHY CUSIP 337353106 04/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Robert Keith Mgmt For For For ======================================================================================================= First Trust Strategic High Income Fund II Ticker Security ID: Meeting Date Meeting Status FHY CUSIP 337353106 04/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Robert Keith Mgmt For Against Against ======================================================================================================= First Trust Strategic High Income Fund III Ticker Security ID: Meeting Date Meeting Status FHO CUSIP 33735C106 04/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Robert Keith Mgmt For For For ======================================================================================================= First Trust Strategic High Income Fund III Ticker Security ID: Meeting Date Meeting Status FHO CUSIP 33735C106 04/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Robert Keith Mgmt For Against Against ======================================================================================================= First Trust Strategic High Income Fund III Ticker Security ID: Meeting Date Meeting Status FHO CUSIP 33735C106 12/06/2010 Voted Meeting Type Country of Trade Special United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Approval of a New Investment Mgmt For For For Management Agreement 2 Approval of a New Sub-Advisory Mgmt For For For Agreement ======================================================================================================= First Trust Strategic High Income Fund III Ticker Security ID: Meeting Date Meeting Status FHO CUSIP 33735C106 12/06/2010 Voted Meeting Type Country of Trade Special United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Approval of a New Investment Mgmt For Against Against Management Agreement 2 Approval of a New Sub-Advisory Mgmt For Against Against Agreement ======================================================================================================= First Trust Strategic High Income Fund III Ticker Security ID: Meeting Date Meeting Status FHO CUSIP 33735C106 12/06/2010 Voted Meeting Type Country of Trade Special United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Approval of a New Investment Mgmt For Abstain Against Management Agreement 2 Approval of a New Sub-Advisory Mgmt For Abstain Against Agreement ======================================================================================================= Firstenergy Corp. Ticker Security ID: Meeting Date Meeting Status FE CUSIP 337932107 05/17/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Paul Addison Mgmt For Withhold Against 1.2 Elect Anthony Alexander Mgmt For Withhold Against 1.3 Elect Michael Anderson Mgmt For Withhold Against 1.4 Elect Carol Cartwright Mgmt For Withhold Against 1.5 Elect William Cottle Mgmt For Withhold Against 1.6 Elect Robert Heisler, Jr. Mgmt For Withhold Against 1.7 Elect Julia Johnson Mgmt For For For 1.8 Elect Ted Kleisner Mgmt For For For 1.9 Elect Ernest Novak, Jr. Mgmt For Withhold Against 1.10 Elect Catherine Rein Mgmt For Withhold Against 1.11 Elect George Smart Mgmt For Withhold Against 1.12 Elect Wesley Taylor Mgmt For Withhold Against 1.13 Elect Jesse Williams, Sr. Mgmt For Withhold Against 2 Ratification of Auditor Mgmt For For For 3 Amendment to Right to Call a Special Mgmt For For For Meeting 4 Advisory Vote on Executive Mgmt For For For Compensation 5 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 6 Shareholder Proposal Regarding ShrHldr Against For Against Report on Coal Combustion Waste 7 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent 8 Shareholder Proposal Regarding ShrHldr Against For Against Majority Vote for Election of Directors 9 Shareholder Proposal Regarding ShrHldr Against For Against Report on Coal Risk ======================================================================================================= Ford Motor Co. Ticker Security ID: Meeting Date Meeting Status F CUSIP 345370860 05/12/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Stephen Butler Mgmt For For For 2 Elect Kimberly Casiano Mgmt For For For 3 Elect Anthony Earley, Jr. Mgmt For Against Against 4 Elect Edsel Ford II Mgmt For Against Against 5 Elect William Ford, Jr. Mgmt For For For 6 Elect Richard Gephardt Mgmt For For For 7 Elect James Hance, Jr. Mgmt For For For 8 Elect Irvine Hockaday, Jr. Mgmt For For For 9 Elect Richard Manoogian Mgmt For Against Against 10 Elect Ellen Marram Mgmt For For For 11 Elect Alan Mulally Mgmt For For For 12 Elect Homer Neal Mgmt For For For 13 Elect Gerald Shaheen Mgmt For For For 14 Elect John Thornton Mgmt For For For 15 Ratification of Auditor Mgmt For For For 16 Advisory Vote on Executive Mgmt For Against Against Compensation 17 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 18 Shareholder Proposal Regarding ShrHldr Against Against For Publishing Political Contributions and Expenditure in Newspapers 19 Shareholder Proposal Regarding ShrHldr Against For Against Recapitalization Plan 20 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting ======================================================================================================= Franklin Resources, Inc. Ticker Security ID: Meeting Date Meeting Status BEN CUSIP 354613101 03/15/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Samuel Armacost Mgmt For For For 2 Elect Charles Crocker Mgmt For For For 3 Elect Joseph Hardiman Mgmt For For For 4 Elect Charles Johnson Mgmt For For For 5 Elect Gregory Johnson Mgmt For For For 6 Elect Rupert Johnson, Jr. Mgmt For For For 7 Elect Mark Pigott Mgmt For For For 8 Elect Chutta Ratnathicam Mgmt For For For 9 Elect Peter Sacerdote Mgmt For For For 10 Elect Laura Stein Mgmt For For For 11 Elect Anne Tatlock Mgmt For Against Against 12 Elect Geoffrey Yang Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Amendment to the 2002 Universal Mgmt For For For Stock Incentive Plan 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation ======================================================================================================= Freeport-McMoran Copper & Gold Inc. Ticker Security ID: Meeting Date Meeting Status FCX CUSIP 35671D857 06/15/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Richard Adkerson Mgmt For For For 1.2 Elect Robert Allison, Jr. Mgmt For Withhold Against 1.3 Elect Robert Day Mgmt For For For 1.4 Elect Gerald Ford Mgmt For For For 1.5 Elect H. Devon Graham, Jr. Mgmt For For For 1.6 Elect Charles Krulak Mgmt For For For 1.7 Elect Bobby Lackey Mgmt For For For 1.8 Elect Jon Madonna Mgmt For For For 1.9 Elect Dustan McCoy Mgmt For For For 1.10 Elect James Moffett Mgmt For For For 1.11 Elect B. M. Rankin, Jr. Mgmt For Withhold Against 1.12 Elect Stephen Siegele Mgmt For For For 2 Advisory Vote on Executive Mgmt For Against Against Compensation 3 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 4 Ratification of Auditor Mgmt For For For 5 Shareholder Proposal Regarding ShrHldr Against Against For Environmental Expertise on Board ======================================================================================================= Gap, Inc. Ticker Security ID: Meeting Date Meeting Status GPS CUSIP 364760108 05/17/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Adrian Bellamy Mgmt For For For 1.2 Elect Domenico De Sole Mgmt For For For 1.3 Elect Robert Fisher Mgmt For For For 1.4 Elect William Fisher Mgmt For For For 1.5 Elect Bob Martin Mgmt For For For 1.6 Elect Jorge Montoya Mgmt For For For 1.7 Elect Glenn Murphy Mgmt For For For 1.8 Elect Mayo Shattuck III Mgmt For For For 1.9 Elect Katherine Tsang Mgmt For For For 1.10 Elect Kneeland Youngblood Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Amendment to the 2006 Long-Term Mgmt For For For Incentive Plan 4 Advisory Vote on Executive Mgmt For For For Compensation 5 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= General American Investors Co., Inc. Ticker Security ID: Meeting Date Meeting Status GAM CUSIP 368802104 04/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Rodney Berens Mgmt For For For 1.2 Elect Lewis Cullman Mgmt For For For 1.3 Elect Spencer Davidson Mgmt For For For 1.4 Elect Gerald Edelman Mgmt For For For 1.5 Elect John Gordan, III Mgmt For For For 1.6 Elect Betsy Gotbaum Mgmt For For For 1.7 Elect Sidney Knafel Mgmt For For For 1.8 Elect Daniel Neidich Mgmt For For For 1.9 Elect D. Ellen Shuman Mgmt For For For 2 Ratification of Auditor Mgmt For For For ======================================================================================================= General American Investors Co., Inc. Ticker Security ID: Meeting Date Meeting Status GAM CUSIP 368802104 04/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Rodney Berens Mgmt For Withhold Against 1.2 Elect Lewis Cullman Mgmt For Withhold Against 1.3 Elect Spencer Davidson Mgmt For Withhold Against 1.4 Elect Gerald Edelman Mgmt For Withhold Against 1.5 Elect John Gordan, III Mgmt For Withhold Against 1.6 Elect Betsy Gotbaum Mgmt For Withhold Against 1.7 Elect Sidney Knafel Mgmt For Withhold Against 1.8 Elect Daniel Neidich Mgmt For Withhold Against 1.9 Elect D. Ellen Shuman Mgmt For Withhold Against 2 Ratification of Auditor Mgmt For Abstain Against ======================================================================================================= General American Investors Co., Inc. Ticker Security ID: Meeting Date Meeting Status GAM CUSIP 368802104 04/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Rodney Berens Mgmt For Withhold Against 1.2 Elect Lewis Cullman Mgmt For Withhold Against 1.3 Elect Spencer Davidson Mgmt For Withhold Against 1.4 Elect Gerald Edelman Mgmt For Withhold Against 1.5 Elect John Gordan, III Mgmt For Withhold Against 1.6 Elect Betsy Gotbaum Mgmt For Withhold Against 1.7 Elect Sidney Knafel Mgmt For Withhold Against 1.8 Elect Daniel Neidich Mgmt For Withhold Against 1.9 Elect D. Ellen Shuman Mgmt For Withhold Against 2 Ratification of Auditor Mgmt For Against Against ======================================================================================================= General Dynamics Corp. Ticker Security ID: Meeting Date Meeting Status GD CUSIP 369550108 05/04/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Mary Barra Mgmt For For For 2 Elect Nicholas Chabraja Mgmt For For For 3 Elect James Crown Mgmt For Against Against 4 Elect William Fricks Mgmt For For For 5 Elect Jay Johnson Mgmt For For For 6 Elect George Joulwan Mgmt For For For 7 Elect Paul Kaminski Mgmt For For For 8 Elect John Keane Mgmt For For For 9 Elect Lester Lyles Mgmt For For For 10 Elect William Osborn Mgmt For For For 11 Elect Robert Walmsley Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 Advisory Vote on Executive Mgmt For Against Against Compensation 14 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 15 Shareholder Proposal Regarding ShrHldr Against Against For Review of Human Rights Policies 16 Shareholder Proposal Regarding Right ShrHldr Against Against For to Call a Special Meeting ======================================================================================================= General Electric Co. Ticker Security ID: Meeting Date Meeting Status GE CUSIP 369604103 04/27/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect W. Geoffrey Beattie Mgmt For For For 2 Elect James Cash, Jr. Mgmt For For For 3 Elect Ann Fudge Mgmt For For For 4 Elect Susan Hockfield Mgmt For For For 5 Elect Jeffrey Immelt Mgmt For For For 6 Elect Andrea Jung Mgmt For For For 7 Elect Alan Lafley Mgmt For For For 8 Elect Robert Lane Mgmt For For For 9 Elect Ralph Larsen Mgmt For For For 10 Elect Rochelle Lazarus Mgmt For For For 11 Elect James Mulva Mgmt For For For 12 Elect Sam Nunn Mgmt For For For 13 Elect Roger Penske Mgmt For Against Against 14 Elect Robert Swieringa Mgmt For For For 15 Elect James Tisch Mgmt For For For 16 Elect Douglas Warner III Mgmt For For For 17 Ratification of Auditor Mgmt For For For 18 Advisory Vote on Executive Mgmt For Against Against Compensation 19 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 20 Shareholder Proposal Cumulative ShrHldr Against Against For Voting 21 Shareholder Proposal Regarding ShrHldr Against Against For Performance-Based Equity Compensation 22 Shareholder Proposal Regarding ShrHldr Against Against For Restricting Executive Compensation 23 Shareholder Proposal Regarding ShrHldr Against Against For Report on Financial Risks of Climate Change 24 Shareholder Proposal Regarding ShrHldr Against Against For Transparency in Animal Research ======================================================================================================= Gilead Sciences, Inc. Ticker Security ID: Meeting Date Meeting Status GILD CUSIP 375558103 05/12/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect John Cogan Mgmt For For For 1.2 Elect Etienne Davignon Mgmt For For For 1.3 Elect James Denny Mgmt For For For 1.4 Elect Carla Hills Mgmt For For For 1.5 Elect Kevin Lofton Mgmt For For For 1.6 Elect John Madigan Mgmt For For For 1.7 Elect John Martin Mgmt For For For 1.8 Elect Gordon Moore Mgmt For For For 1.9 Elect Nicholas Moore Mgmt For For For 1.10 Elect Richard Whitley Mgmt For Withhold Against 1.11 Elect Gayle Wilson Mgmt For For For 1.12 Elect Per Wold-Olsen Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Amendment to the 162(m) Bonus Plan Mgmt For For For 4 Elimination of Supermajority Mgmt For For For Requirement 5 Right to Call a Special Meeting Mgmt For For For 6 Advisory Vote on Executive Mgmt For For For Compensation 7 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Goldman Sachs Group, Inc. Ticker Security ID: Meeting Date Meeting Status GS CUSIP 38141G104 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Lloyd Blankfein Mgmt For For For 2 Elect John Bryan Mgmt For For For 3 Elect Gary Cohn Mgmt For For For 4 Elect Claes Dahlback Mgmt For For For 5 Elect Stephen Friedman Mgmt For For For 6 Elect William George Mgmt For For For 7 Elect James Johnson Mgmt For For For 8 Elect Lois Juliber Mgmt For For For 9 Elect Lakshmi Mittal Mgmt For For For 10 Elect James Schiro Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 13 Ratification of Auditor Mgmt For For For 14 Shareholder Proposal Regarding ShrHldr Against Against For Cumulative Voting 15 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 16 Shareholder Proposal Regarding ShrHldr Against Against For Retention of Shares After Retirement 17 Shareholder Proposal Regarding ShrHldr Against Against For Report on Compensation 18 Shareholder Proposal Regarding ShrHldr Against Against For Report on Climate Change 19 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report ======================================================================================================= Google Inc Ticker Security ID: Meeting Date Meeting Status GOOG CUSIP 38259P508 06/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Larry Page Mgmt For For For 1.2 Elect Sergey Brin Mgmt For For For 1.3 Elect Eric Schmidt Mgmt For For For 1.4 Elect L. John Doerr Mgmt For For For 1.5 Elect John Hennessy Mgmt For Withhold Against 1.6 Elect Ann Mather Mgmt For For For 1.7 Elect Paul Otellini Mgmt For For For 1.8 Elect K. Ram Shriram Mgmt For For For 1.9 Elect Shirley Tilghman Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Amendment to the 2004 Stock Plan Mgmt For Against Against 4 Advisory Vote on Executive Mgmt For For For Compensation 5 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 6 Shareholder Proposal Regarding ShrHldr Against Against For Formation of Sustainability Committee 7 Shareholder Proposal Regarding ShrHldr Against For Against Simple Majority Vote 8 Shareholder Proposal Regarding ShrHldr Against Against For Conflict of Interest Report ======================================================================================================= Halliburton Co. Ticker Security ID: Meeting Date Meeting Status HAL CUSIP 406216101 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Alan Bennett Mgmt For For For 2 Elect James Boyd Mgmt For For For 3 Elect Milton Carroll Mgmt For For For 4 Elect Nance Dicciani Mgmt For For For 5 Elect S. Malcolm Gillis Mgmt For Against Against 6 Elect Abdallah Jum'ah Mgmt For For For 7 Elect David Lesar Mgmt For For For 8 Elect Robert Malone Mgmt For For For 9 Elect J. Landis Martin Mgmt For Against Against 10 Elect Debra Reed Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Advisory Vote on Executive Mgmt For Against Against Compensation 13 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 14 Shareholder Proposal Regarding ShrHldr Against Against For Review of Human Rights Policies 15 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report ======================================================================================================= Hewlett-Packard Co. (de) Ticker Security ID: Meeting Date Meeting Status HPQ CUSIP 428236103 03/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Marc Andreessen Mgmt For For For 2 Elect Leo Apotheker Mgmt For For For 3 Elect Lawrence Babbio Jr. Mgmt For Against Against 4 Elect Sari Baldauf Mgmt For For For 5 Elect Shumeet Banerji Mgmt For For For 6 Elect Rajiv Gupta Mgmt For For For 7 Elect John Hammergren Mgmt For For For 8 Elect Raymond Lane Mgmt For For For 9 Elect Gary Reiner Mgmt For For For 10 Elect Patricia Russo Mgmt For For For 11 Elect Dominique Senequier Mgmt For For For 12 Elect G. Kennedy Thompson Mgmt For For For 13 Elect Margaret Whitman Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 17 2011 Employee Stock Purchase Plan Mgmt For For For 18 Amendment to the 2005 Mgmt For Against Against Pay-for-Results Plan ======================================================================================================= Home Depot, Inc. Ticker Security ID: Meeting Date Meeting Status HD CUSIP 437076102 06/02/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect F. Duane Ackerman Mgmt For For For 2 Elect Francis Blake Mgmt For For For 3 Elect Ari Bousbib Mgmt For For For 4 Elect Gregory Brenneman Mgmt For For For 5 Elect J. Frank Brown Mgmt For For For 6 Elect Albert Carey Mgmt For For For 7 Elect Armando Codina Mgmt For Against Against 8 Elect Bonnie Hill Mgmt For For For 9 Elect Karen Katen Mgmt For For For 10 Elect Ronald Sargent Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 13 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 14 Restoration of Written Consent Mgmt For For For 15 SHAREHOLDER PROPOSAL REGARDING ShrHldr Against Against For CUMULATIVE VOTING 16 Shareholder Proposal Regarding Right ShrHldr Against Against For to Call a Special Meeting 17 SHAREHOLDER PROPOSAL REGARDING ShrHldr Against Against For EMPLOYMENT DIVERSITY REPORT 18 Shareholder Proposal Regarding ShrHldr Against Against For Advisory Vote on Electioneering Expenditure ======================================================================================================= Hudson City Bancorp, Inc. Ticker Security ID: Meeting Date Meeting Status HCBK CUSIP 443683107 04/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Ronald Hermance, Jr. Mgmt For For For 2 Elect William Bardel Mgmt For For For 3 Elect Scott Belair Mgmt For For For 4 Elect Cornelius Golding Mgmt For For For 5 Ratification of Auditor Mgmt For For For 6 2011 Stock Incentive Plan Mgmt For Against Against 7 Advisory Vote on Executive Mgmt For For For Compensation 8 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 9 Shareholder Proposal Regarding ShrHldr Against For Against Declassification of the Board ======================================================================================================= Illinois Tool Works, Inc. Ticker Security ID: Meeting Date Meeting Status ITW CUSIP 452308109 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Susan Crown Mgmt For For For 2 Elect Don Davis, Jr. Mgmt For For For 3 Elect Robert McCormack Mgmt For Against Against 4 Elect Robert Morrison Mgmt For For For 5 Elect James Skinner Mgmt For For For 6 Elect David Smith, Jr. Mgmt For For For 7 Elect David Speer Mgmt For For For 8 Elect Pamela Strobel Mgmt For For For 9 Elect Kevin Warren Mgmt For For For 10 Elect Anre Williams Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Advisory Vote on Executive Mgmt For For For Compensation 13 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 14 2011 Cash Incentive Plan Mgmt For For For 15 Amendment to the 2011 Long-Term Mgmt For For For Incentive Plan ======================================================================================================= Intel Corp. Ticker Security ID: Meeting Date Meeting Status INTC CUSIP 458140100 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Charlene Barshefsky Mgmt For Against Against 2 Elect Susan Decker Mgmt For For For 3 Elect John Donahoe Mgmt For For For 4 Elect Reed Hundt Mgmt For For For 5 Elect Paul Otellini Mgmt For For For 6 Elect James Plummer Mgmt For For For 7 Elect David Pottruck Mgmt For For For 8 Elect Jane Shaw Mgmt For For For 9 Elect Frank Yeary Mgmt For For For 10 Elect David Yoffie Mgmt For Against Against 11 Ratification of Auditor Mgmt For For For 12 Amendment to the 2006 Equity Mgmt For For For Incentive Plan 13 Amendment to the 2006 Stock Purchase Mgmt For For For Plan 14 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= International Business Machines Corp. Ticker Security ID: Meeting Date Meeting Status IBM CUSIP 459200101 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Alain Belda Mgmt For Against Against 2 Elect William Brody Mgmt For For For 3 Elect Kenneth Chenault Mgmt For For For 4 Elect Michael Eskew Mgmt For Against Against 5 Elect Shirley Jackson Mgmt For For For 6 Elect Andrew Liveris Mgmt For Against Against 7 Elect W. James McNerney, Jr. Mgmt For For For 8 Elect James Owens Mgmt For For For 9 Elect Samuel Palmisano Mgmt For For For 10 Elect Joan Spero Mgmt For For For 11 Elect Sidney Taurel Mgmt For For For 12 Elect Lorenzo Hector Zambrano Trevino Mgmt For Against Against 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against Against For Cumulative Voting 17 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 18 Shareholder Proposal Regarding ShrHldr Against Against For Lobbying Report ======================================================================================================= Invesco Van Kampen Bond Fund Ticker Security ID: Meeting Date Meeting Status VBF CUSIP 46132L107 06/17/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect David Arch Mgmt For For For 1.2 Elect Howard Kerr Mgmt For For For 1.3 Elect Jerry Choate Mgmt For For For 1.4 Elect Suzanne Woolsey Mgmt For For For ======================================================================================================= Johnson & Johnson Ticker Security ID: Meeting Date Meeting Status JNJ CUSIP 478160104 04/28/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Mary Coleman Mgmt For Against Against 2 Elect James Cullen Mgmt For For For 3 Elect Ian Davis Mgmt For For For 4 Elect Michael Johns Mgmt For Against Against 5 Elect Susan Lindquist Mgmt For For For 6 Elect Anne Mulcahy Mgmt For Against Against 7 Elect Leo Mullin Mgmt For For For 8 Elect William Perez Mgmt For Against Against 9 Elect Charles Prince Mgmt For Against Against 10 Elect David Satcher Mgmt For For For 11 Elect William Weldon Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 Advisory Vote on Executive Mgmt For For For Compensation 14 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 15 Shareholder Proposal Regarding ShrHldr Against Against For Pharmaceutical Price Restraints 16 Shareholder Proposal Regarding ShrHldr Against Against For Policy on Health Status Discrimination 17 Shareholder Proposal Regarding ShrHldr Against Against For Animal Welfare ======================================================================================================= JP Morgan Chase & Company Ticker Security ID: Meeting Date Meeting Status JPM CUSIP 46625H100 05/17/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Crandall Bowles Mgmt For For For 2 Elect Stephen Burke Mgmt For For For 3 Elect David Cote Mgmt For For For 4 Elect James Crown Mgmt For For For 5 Elect James Dimon Mgmt For For For 6 Elect Ellen Futter Mgmt For Against Against 7 Elect William Gray, III Mgmt For For For 8 Elect Laban Jackson, Jr. Mgmt For For For 9 Elect David Novak Mgmt For Against Against 10 Elect Lee Raymond Mgmt For For For 11 Elect William Weldon Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 14 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 15 Amendment to the Long-Term Incentive Mgmt For For For Plan 16 Shareholder Proposal Regarding ShrHldr Against Against For Affirmation of Political Nonpartisanship 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent 18 Shareholder Proposal Regarding ShrHldr Against Against For Mortgage Loan Servicing 19 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report 20 Shareholder Proposal Regarding ShrHldr Against Against For Genocide-Free Investing 21 Shareholder Proposal Regarding an ShrHldr Against Against For Independent Lead Director ======================================================================================================= Kraft Foods Inc. Ticker Security ID: Meeting Date Meeting Status KFT CUSIP 50075N104 05/24/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Ajay Banga Mgmt For For For 2 Elect Myra Hart Mgmt For Against Against 3 Elect Peter Henry Mgmt For For For 4 Elect Lois Juliber Mgmt For Against Against 5 Elect Mark Ketchum Mgmt For Against Against 6 Elect Richard Lerner Mgmt For Against Against 7 Elect Mackey McDonald Mgmt For Against Against 8 Elect John Pope Mgmt For For For 9 Elect Fedric Reynolds Mgmt For For For 10 Elect Irene Rosenfeld Mgmt For For For 11 Elect Jean-Francois van Boxmeer Mgmt For For For 12 Advisory Vote on Executive Mgmt For For For Compensation 13 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 14 Amendment to the 2006 Stock Mgmt For For For Compensation Plan for Non-Employee Directors 15 Ratification of Auditor Mgmt For For For ======================================================================================================= Liberty All-Star Equity Fund Ticker Security ID: Meeting Date Meeting Status USA CUSIP 530158104 04/14/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Thomas Brock Mgmt For For For 1.2 Elect George Gaspari Mgmt For For For ======================================================================================================= Lockheed Martin Corp. Ticker Security ID: Meeting Date Meeting Status LMT CUSIP 539830109 04/28/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Nolan Archibald Mgmt For For For 2 Elect Rosalind Brewer Mgmt For For For 3 Elect David Burritt Mgmt For Against Against 4 Elect James Ellis, Jr. Mgmt For For For 5 Elect Thomas Falk Mgmt For For For 6 Elect Gwendolyn King Mgmt For For For 7 Elect James Loy Mgmt For Against Against 8 Elect Douglas McCorkindale Mgmt For Against Against 9 Elect Joseph Ralston Mgmt For Against Against 10 Elect Anne Stevens Mgmt For Against Against 11 Elect Robert Stevens Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 2011 Incentive Performance Award Plan Mgmt For For For 14 Advisory Vote on Executive Mgmt For Against Against Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= Loews Corp. Ticker Security ID: Meeting Date Meeting Status L CUSIP 540424108 05/10/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Ann Berman Mgmt For For For 2 Elect Joseph Bower Mgmt For Against Against 3 Elect Charles Diker Mgmt For For For 4 Elect Jacob Frenkel Mgmt For For For 5 Elect Paul Fribourg Mgmt For For For 6 Elect Walter Harris Mgmt For For For 7 Elect Philip Laskawy Mgmt For Against Against 8 Elect Ken Miller Mgmt For For For 9 Elect Gloria Scott Mgmt For For For 10 Elect Andrew Tisch Mgmt For For For 11 Elect James Tisch Mgmt For For For 12 Elect Jonathan Tisch Mgmt For For For 13 Advisory Vote on Executive Mgmt For For For Compensation 14 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 15 Ratification of Auditor Mgmt For For For 16 Shareholder Proposal Regarding ShrHldr Against Against For Cumulative Voting ======================================================================================================= Macquarie Global Infrastructure Total Return Fund Inc Ticker Security ID: Meeting Date Meeting Status MGU CUSIP 55608D101 06/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Brad Frishberg Mgmt For For For 1.2 Elect Chris Mahai Mgmt For For For ======================================================================================================= Macquarie Global Infrastructure Total Return Fund Inc Ticker Security ID: Meeting Date Meeting Status MGU CUSIP 55608D101 06/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Brad Frishberg Mgmt For Withhold Against 1.2 Elect Chris Mahai Mgmt For Withhold Against ======================================================================================================= Marathon Oil Corporation Ticker Security ID: Meeting Date Meeting Status MRO CUSIP 565849106 04/27/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Gregory Boyce Mgmt For For For 2 Elect Pierre Brondeau Mgmt For For For 3 Elect Clarence Cazalot, Jr. Mgmt For For For 4 Elect David Daberko Mgmt For Against Against 5 Elect William Davis, III Mgmt For Against Against 6 Elect Shirley Jackson Mgmt For For For 7 Elect Philip Lader Mgmt For Against Against 8 Elect Charles Lee Mgmt For For For 9 Elect Michael Phelps Mgmt For Against Against 10 Elect Dennis Reilley Mgmt For Against Against 11 Elect Seth Schofield Mgmt For Against Against 12 Elect John Snow Mgmt For Against Against 13 Elect Thomas Usher Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Amendment to the Right to Call a Mgmt For For For Special Meeting 16 Advisory Vote on Executive Mgmt For For For Compensation 17 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 18 Shareholder Proposal Regarding ShrHldr Against Against For Safety Report ======================================================================================================= Marsh & McLennan Cos., Inc. Ticker Security ID: Meeting Date Meeting Status MMC CUSIP 571748102 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Zachary Carter Mgmt For For For 2 Elect Brian Duperreault Mgmt For For For 3 Elect Oscar Fanjul Mgmt For Against Against 4 Elect H. Edward Hanway Mgmt For For For 5 Elect Lord Ian Lang Mgmt For Against Against 6 Elect Steven Mills Mgmt For For For 7 Elect Bruce Nolop Mgmt For For For 8 Elect Marc Oken Mgmt For For For 9 Elect Morton Schapiro Mgmt For Against Against 10 Elect Adele Simmons Mgmt For For For 11 Elect Lloyd Yates Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 2011 Incentive and Stock Award Plan Mgmt For For For 14 Advisory Vote on Executive Mgmt For Against Against Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= McDonald`s Corp Ticker Security ID: Meeting Date Meeting Status MCD CUSIP 580135101 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Susan Arnold Mgmt For For For 2 Elect Richard Lenny Mgmt For For For 3 Elect Cary McMillan Mgmt For For For 4 Elect Sheila Penrose Mgmt For For For 5 Elect James Skinner Mgmt For For For 6 Ratification of Auditor Mgmt For For For 7 Advisory Vote on Executive Mgmt For For For Compensation 8 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 9 Elimination of Super-majority Mgmt For For For Requirement in Article Regarding Transactions with Interested Shareholders 10 Elimination of Supermajority Mgmt For For For Requirement in Article Regarding the Removal of Directors 11 Elimination of Supermajority Mgmt For For For Requirement in Article Regarding Shareholder Action 12 Shareholder Proposal Regarding ShrHldr Against For Against Declassification of the Board 13 Shareholder Proposal Regarding ShrHldr Against Against For Controlled Atmosphere Killing 14 Shareholder Proposal Regarding ShrHldr Against Against For Report on Childhood Obesity 15 Shareholder Proposal Regarding ShrHldr Against Against For Beverage Containers ======================================================================================================= McKesson Corporation Ticker Security ID: Meeting Date Meeting Status MCK CUSIP 58155Q103 07/28/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Andy Bryant Mgmt For For For 2 Elect Wayne Budd Mgmt For For For 3 Elect John Hammergren Mgmt For For For 4 Elect Alton Irby III Mgmt For Abstain Against 5 Elect M. Christine Jacobs Mgmt For Abstain Against 6 Elect Marie Knowles Mgmt For For For 7 Elect David Lawrence Mgmt For Abstain Against 8 Elect Edward Mueller Mgmt For Abstain Against 9 Elect Jane Shaw Mgmt For For For 10 Reapproval of Performance Goals Mgmt For For For Under the 2005 Stock Plan 11 Reapproval of Performance Goals Mgmt For For For Under the 2005 Management Incentive Plan 12 Ratification of Auditor Mgmt For For For 13 Shareholder Proposal Regarding ShrHldr Against For Against Retention of Shares After Retirement 14 Shareholder Proposal Regarding ShrHldr Against Abstain Against Report of Ratio Between Executive and Employee Pay ======================================================================================================= Medtronic Inc Ticker Security ID: Meeting Date Meeting Status MDT CUSIP 585055106 08/25/2010 Unvoted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Richard Anderson Mgmt For N/A N/A 1.2 Elect David Calhoun Mgmt For N/A N/A 1.3 Elect Victor Dzau Mgmt For N/A N/A 1.4 Elect William Hawkins Mgmt For N/A N/A 1.5 Elect Shirley Jackson Mgmt For N/A N/A 1.6 Elect James Lenehan Mgmt For N/A N/A 1.7 Elect Denise O'Leary Mgmt For N/A N/A 1.8 Elect Kendall Powell Mgmt For N/A N/A 1.9 Elect Robert Pozen Mgmt For N/A N/A 1.10 Elect Jean-Pierre Rosso Mgmt For N/A N/A 1.11 Elect Jack Schuler Mgmt For N/A N/A 2 Ratification of Auditor Mgmt For N/A N/A ======================================================================================================= Merck & Co., Inc Ticker Security ID: Meeting Date Meeting Status MRK CUSIP 58933Y105 05/24/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Leslie Brun Mgmt For For For 2 Elect Thomas Cech Mgmt For For For 3 Elect Richard Clark Mgmt For For For 4 Elect Kenneth Frazier Mgmt For For For 5 Elect Thomas Glocer Mgmt For For For 6 Elect Steven Goldstone Mgmt For For For 7 Elect William Harrison, Jr. Mgmt For For For 8 Elect Harry Jacobson Mgmt For For For 9 Elect William Kelley Mgmt For For For 10 Elect C. Robert Kidder Mgmt For For For 11 Elect Rochelle Lazarus Mgmt For For For 12 Elect Carlos Represas Mgmt For For For 13 Elect Patricia Russo Mgmt For For For 14 Elect Thomas Shenk Mgmt For For For 15 Elect Anne Tatlock Mgmt For For For 16 Elect Craig Thompson Mgmt For For For 17 Elect Wendell Weeks Mgmt For For For 18 Elect Peter Wendell Mgmt For For For 19 Ratification of Auditor Mgmt For For For 20 Advisory Vote on Executive Mgmt For For For Compensation 21 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation ======================================================================================================= Metlife Inc Ticker Security ID: Meeting Date Meeting Status MET CUSIP 59156R108 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Steven Kandarian Mgmt For For For 1.2 Elect Sylvia Mathews Burwell Mgmt For For For 1.3 Elect Eduardo Castro-Wright Mgmt For For For 1.4 Elect Cheryl Gris Mgmt For For For 1.5 Elect Lulu Wang Mgmt For For For 2 Repeal of Classified Board Mgmt For For For 3 Ratification of Auditor Mgmt For For For 4 Advisory Vote on Executive Mgmt For For For Compensation 5 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Microsoft Corp. Ticker Security ID: Meeting Date Meeting Status MSFT CUSIP 594918104 11/16/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Steven Ballmer Mgmt For For For 2 Elect Dina Dublon Mgmt For For For 3 Elect William Gates III Mgmt For For For 4 Elect Raymond Gilmartin Mgmt For For For 5 Elect Reed Hastings Mgmt For For For 6 Elect Maria Klawe Mgmt For For For 7 Elect David Marquardt Mgmt For For For 8 Elect Charles Noski Mgmt For For For 9 Elect Helmut Panke Mgmt For For For 10 Ratification of Auditor Mgmt For For For 11 Shareholder Proposal Regarding ShrHldr Against Against For Formation of Environmental Sustainability Committee ======================================================================================================= Morgan Stanley Ticker Security ID: Meeting Date Meeting Status MPQ CUSIP 617446448 05/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Roy Bostock Mgmt For For For 2 Elect Erskine Bowles Mgmt For For For 3 Elect Howard Davies Mgmt For For For 4 Elect James Gorman Mgmt For For For 5 Elect James Hance, Jr. Mgmt For For For 6 Elect C. Robert Kidder Mgmt For For For 7 Elect John Mack Mgmt For For For 8 Elect Donald Nicolaisen Mgmt For For For 9 Elect Hutham Olayan Mgmt For For For 10 Elect James Owens Mgmt For For For 11 Elect O. Griffith Sexton Mgmt For For For 12 Elect Masaaki Tanaka Mgmt For For For 13 Elect Laura Tyson Mgmt For Against Against 14 Ratification of Auditor Mgmt For For For 15 Amendment to the 2007 Equity Mgmt For For For Incentive Compensation Plan 16 Advisory Vote on Executive Mgmt For For For Compensation 17 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= NextEra Energy Inc Ticker Security ID: Meeting Date Meeting Status NEE CUSIP 65339F101 05/20/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Sherry Barrat Mgmt For For For 1.2 Elect Robert Beall II Mgmt For For For 1.3 Elect J. Hyatt Brown Mgmt For For For 1.4 Elect James Camaren Mgmt For For For 1.5 Elect Kenneth Dunn Mgmt For For For 1.6 Elect J. Brian Ferguson Mgmt For For For 1.7 Elect Lewis Hay III Mgmt For For For 1.8 Elect Toni Jennings Mgmt For For For 1.9 Elect Oliver Kingsley, Jr. Mgmt For For For 1.10 Elect Rudy Schupp Mgmt For For For 1.11 Elect William Swanson Mgmt For For For 1.12 Elect Michael Thaman Mgmt For For For 1.13 Elect Hansel Tookes II Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 2011 Long Term Incentive Plan Mgmt For Against Against 4 Advisory Vote on Executive Mgmt For For For Compensation 5 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Northrop Grumman Corp. Ticker Security ID: Meeting Date Meeting Status NOC CUSIP 666807102 05/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Wesley Bush Mgmt For For For 2 Elect Lewis Coleman Mgmt For Against Against 3 Elect Victor Fazio Mgmt For Against Against 4 Elect Donald Felsinger Mgmt For Against Against 5 Elect Stephen Frank Mgmt For Against Against 6 Elect Bruce Gordon Mgmt For Against Against 7 Elect Madeleine Kleiner Mgmt For For For 8 Elect Karl Krapek Mgmt For Against Against 9 Elect Richard Myers Mgmt For Against Against 10 Elect Aulana Peters Mgmt For Against Against 11 Elect Kevin Sharer Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 2011 Long-Term Incentive Stock Plan Mgmt For For For 14 Advisory Vote on Executive Mgmt For Against Against Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against For Against Cumulative Voting 17 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report 18 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= Nuveen Multi-Currency Short-Term Government Income Fund Ticker Security ID: Meeting Date Meeting Status JGT CUSIP 67090N109 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect John Amboian Mgmt For For For 1.2 Elect David Kundert Mgmt For For For 1.3 Elect Terence Toth Mgmt For For For ======================================================================================================= Nuveen Multi-Currency Short-Term Government Income Fund Ticker Security ID: Meeting Date Meeting Status JGT CUSIP 67090N109 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect John Amboian Mgmt For Withhold Against 1.2 Elect David Kundert Mgmt For Withhold Against 1.3 Elect Terence Toth Mgmt For Withhold Against ======================================================================================================= Occidental Petroleum Corp. Ticker Security ID: Meeting Date Meeting Status OXY CUSIP 674599105 05/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Spencer Abraham Mgmt For For For 2 Elect Howard Atkins Mgmt For For For 3 Elect Stephen Chazen Mgmt For For For 4 Elect Edward Djerejian Mgmt For For For 5 Elect John Feick Mgmt For For For 6 Elect Margaret Foran Mgmt For For For 7 Elect Carlos Gutierrez Mgmt For For For 8 Elect Ray Irani Mgmt For For For 9 Elect Avedick Poladian Mgmt For For For 10 Elect Rodolfo Segovia Mgmt For For For 11 Elect Aziz Syriani Mgmt For For For 12 Elect Rosemary Tomich Mgmt For For For 13 Elect Walter Weisman Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt N/A 1 Year N/A Executive Compensation 17 Shareholder Proposal Regarding ShrHldr Against Against For Political Contributions and Expenditure Report 18 Shareholder Proposal Regarding ShrHldr Against Against For Environmental Expertise on Board ======================================================================================================= Pepsico Inc. Ticker Security ID: Meeting Date Meeting Status PEP CUSIP 713448108 05/04/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Shona Brown Mgmt For For For 2 Elect Ian Cook Mgmt For For For 3 Elect Dina Dublon Mgmt For For For 4 Elect Victor Dzau Mgmt For For For 5 Elect Ray Hunt Mgmt For For For 6 Elect Alberto Ibargen Mgmt For For For 7 Elect Arthur Martinez Mgmt For For For 8 Elect Indra Nooyi Mgmt For For For 9 Elect Sharon Rockefeller Mgmt For For For 10 Elect James Schiro Mgmt For For For 11 Elect Lloyd Trotter Mgmt For For For 12 Elect Daniel Vasella Mgmt For For For 13 Advisory Vote on Executive Mgmt For For For Compensation 14 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 15 Ratification of Auditor Mgmt For For For 16 Adoption of Majority Vote for Mgmt For For For Election of Directors 17 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 18 Shareholder Proposal Regarding ShrHldr Against Against For Reviewing Political Contributions and Expenditures ======================================================================================================= PG & E Corp. Ticker Security ID: Meeting Date Meeting Status PCG CUSIP 69331C108 05/11/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect David Andrews Mgmt For For For 2 Elect Lewis Chew Mgmt For For For 3 Elect C. Lee Cox Mgmt For For For 4 Elect Peter Darbee Mgmt For For For 5 Elect Maryellen Herringer Mgmt For Against Against 6 Elect Roger Kimmel Mgmt For For For 7 Elect Richard Meserve Mgmt For For For 8 Elect Forrest Miller Mgmt For For For 9 Elect Rosendo Parra Mgmt For For For 10 Elect Barbara Rambo Mgmt For For For 11 Elect Barry Williams Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 14 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 15 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman 16 Shareholder Proposal Regarding ShrHldr Against Against For Removing Sexual Orientation from Anti-Bias Policy ======================================================================================================= Philip Morris International Inc Ticker Security ID: Meeting Date Meeting Status PM CUSIP 718172109 05/11/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Harold Brown Mgmt For For For 2 Elect Mathis Cabiallavetta Mgmt For For For 3 Elect Louis Camilleri Mgmt For For For 4 Elect J. Dudley Fishburn Mgmt For For For 5 Elect Jennifer Li Mgmt For For For 6 Elect Graham Mackay Mgmt For For For 7 Elect Sergio Marchionne Mgmt For Against Against 8 Elect Lucio Noto Mgmt For For For 9 Elect Carlos Slim Helu Mgmt For For For 10 Elect Stephen Wolf Mgmt For For For 11 Ratification of Auditor Mgmt For For For 12 Advisory Vote on Executive Mgmt For For For Compensation 13 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 14 Shareholder proposal Regarding Food ShrHldr Against Against For Insecurity and Tobacco Use 15 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman ======================================================================================================= PNC Financial Services Group Ticker Security ID: Meeting Date Meeting Status PNC CUSIP 693475105 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Richard Berndt Mgmt For For For 2 Elect Charles Bunch Mgmt For For For 3 Elect Paul Chellgren Mgmt For For For 4 Elect Kay James Mgmt For For For 5 Elect Richard Kelson Mgmt For Against Against 6 Elect Bruce Lindsay Mgmt For For For 7 Elect Anthony Massaro Mgmt For For For 8 Elect Jane Pepper Mgmt For For For 9 Elect James Rohr Mgmt For Against Against 10 Elect Donald Shepard Mgmt For For For 11 Elect Lorene Steffes Mgmt For For For 12 Elect Dennis Strigl Mgmt For For For 13 Elect Thomas Usher Mgmt For For For 14 Elect George Walls, Jr. Mgmt For For For 15 Elect Helge Wehmeier Mgmt For For For 16 Ratification of Auditor Mgmt For For For 17 Amendment to the 2006 Incentive Mgmt For For For Award Plan 18 Advisory Vote on Executive Mgmt For For For Compensation 19 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Praxair, Inc. Ticker Security ID: Meeting Date Meeting Status PX CUSIP 74005P104 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Stephen Angel Mgmt For For For 1.2 Elect Oscar Bernardes Mgmt For For For 1.3 Elect Nance Dicciani Mgmt For For For 1.4 Elect Edward Galante Mgmt For For For 1.5 Elect Claire Gargalli Mgmt For For For 1.6 Elect Ira Hall Mgmt For For For 1.7 Elect Raymond LeBoeuf Mgmt For For For 1.8 Elect Larry McVay Mgmt For For For 1.9 Elect Wayne Smith Mgmt For For For 1.10 Elect Robert Wood Mgmt For For For 2 Advisory Vote on Executive Mgmt For For For Compensation 3 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 4 Approval of Performance Goals Under Mgmt For For For the 162(m) Plan 5 Amendment to the 2009 Long-Term Mgmt For For For Incentive Plan 6 Ratification of Auditor Mgmt For For For ======================================================================================================= Price T.Rowe Assoc Inc. Ticker Security ID: Meeting Date Meeting Status TROW CUSIP 74144T108 04/14/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Edward C. Bernard Mgmt For For For 2 Elect James T. Brady Mgmt For For For 3 Elect J. Alfred Broaddus, Jr. Mgmt For For For 4 Elect Donald B. Hebb, Jr. Mgmt For Against Against 5 Elect James A.C. Kennedy Mgmt For For For 6 Elect Robert F. MacLellan Mgmt For For For 7 Elect Brian C. Rogers Mgmt For For For 8 Elect Dr. Alfred Sommer Mgmt For For For 9 Elect Dwight S. Taylor Mgmt For For For 10 Elect Anne Marie Whittemore Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 13 Ratification of Auditor Mgmt For For For ======================================================================================================= Prudential Financial Inc. Ticker Security ID: Meeting Date Meeting Status PRU CUSIP 744320102 05/10/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Thomas Baltimore Jr. Mgmt For For For 2 Elect Gordon Bethune Mgmt For For For 3 Elect Gaston Caperton Mgmt For For For 4 Elect Gilbert Casellas Mgmt For For For 5 Elect James Cullen Mgmt For Against Against 6 Elect William Gray, III Mgmt For For For 7 Elect Mark Grier Mgmt For For For 8 Elect Constance Horner Mgmt For For For 9 Elect Martina Hund-Mejean Mgmt For For For 10 Elect Karl Krapek Mgmt For For For 11 Elect Christine Poon Mgmt For For For 12 Elect John Strangfeld Mgmt For For For 13 Elect James Unruh Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 17 Shareholder Proposal Regarding ShrHldr For For For Simple Majority Vote 18 Shareholder Proposal Regarding ShrHldr Against Against For Lobbying Report ======================================================================================================= Public Service Enterprise Group Inc. Ticker Security ID: Meeting Date Meeting Status PEG CUSIP 744573106 04/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Albert Gamper, Jr. Mgmt For For For 2 Elect Conrad Harper Mgmt For For For 3 Elect William Hickey Mgmt For For For 4 Elect Ralph Izzo Mgmt For For For 5 Elect Shirley Jackson Mgmt For For For 6 Elect David Lilley Mgmt For For For 7 Elect Thomas Renyi Mgmt For For For 8 Elect Hak Cheol Shin Mgmt For For For 9 Elect Richard Swift Mgmt For For For 10 Advisory Vote on Executive Mgmt For For For Compensation 11 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 12 Ratification of Auditor Mgmt For For For ======================================================================================================= Qualcomm, Inc. Ticker Security ID: Meeting Date Meeting Status QCOM CUSIP 747525103 03/08/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Barbara Alexander Mgmt For For For 1.2 Elect Stephen Bennett Mgmt For For For 1.3 Elect Donald Cruickshank Mgmt For For For 1.4 Elect Raymond Dittamore Mgmt For For For 1.5 Elect Thomas Horton Mgmt For For For 1.6 Elect Irwin Jacobs Mgmt For For For 1.7 Elect Paul Jacobs Mgmt For For For 1.8 Elect Robert Kahn Mgmt For For For 1.9 Elect Sherry Lansing Mgmt For For For 1.10 Elect Duane Nelles Mgmt For For For 1.11 Elect Francisco Ros Mgmt For For For 1.12 Elect Brent Scowcroft Mgmt For For For 1.13 Elect Marc Stern Mgmt For For For 2 Amendment to the 2006 Long-term Mgmt For Against Against Incentive Plan 3 Amendment to the 2001 Employee Stock Mgmt For For For Purchase Plan 4 Ratification of Auditor Mgmt For For For 5 Advisory Vote on Executive Mgmt For For For Compensation 6 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 7 Shareholder Proposal Regarding ShrHldr Against For Against Majority Vote for Election of Directors ======================================================================================================= Raytheon Co. Ticker Security ID: Meeting Date Meeting Status RTN CUSIP 755111507 05/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Vernon Clark Mgmt For For For 2 Elect John Deutch Mgmt For Against Against 3 Elect Stephen Hadley Mgmt For For For 4 Elect Frederic Poses Mgmt For For For 5 Elect Michael Ruettgers Mgmt For For For 6 Elect Ronald Skates Mgmt For Against Against 7 Elect William Spivey Mgmt For For For 8 Elect Linda Stuntz Mgmt For Against Against 9 Elect William Swanson Mgmt For For For 10 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 11 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 12 Ratification of Auditor Mgmt For For For 13 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent 14 Shareholder Proposal Regarding ShrHldr Against Against For Retention of Shares After Retirement 15 Shareholder Proposal Regarding ShrHldr Against Against For Lobbying Report 16 Shareholder Proposal Regarding ShrHldr Against Against For Supplemental Executive Retirement Plans ======================================================================================================= Schlumberger Ltd. (Netherlands Antilles) Ticker Security ID: Meeting Date Meeting Status SLB CUSIP 806857108 04/06/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Philippe Camus Mgmt For For For 2 Elect Peter Currie Mgmt For For For 3 Elect Andrew Gould Mgmt For For For 4 Elect Tony Isaac Mgmt For Against Against 5 Elect K.V. Kamath Mgmt For For For 6 Elect Nikolay Kudryavtsev Mgmt For For For 7 Elect Adrian Lajous Mgmt For For For 8 Elect Michael Marks Mgmt For For For 9 Elect Elizabeth Moler Mgmt For For For 10 Elect Leo Reif Mgmt For For For 11 Elect Tore Sandvold Mgmt For For For 12 Elect Henri Seydoux Mgmt For For For 13 Elect Paal Kibsgaard Mgmt For For For 14 Elect Lubna Olayan Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 2 Years 1 Year Against Executive Compensation 17 Increase of Authorized Common Stock Mgmt For For For 18 Amendements to Articles Mgmt For For For 19 Approval of Financial Statements and Mgmt For For For Dividends 20 Ratification of Auditor Mgmt For For For ======================================================================================================= Simon Property Group, Inc. Ticker Security ID: Meeting Date Meeting Status SPG CUSIP 828806109 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Melvyn Bergstein Mgmt For For For 2 Elect Linda Bynoe Mgmt For For For 3 Elect Larry Glasscock Mgmt For For For 4 Elect Karen Horn Mgmt For Against Against 5 Elect Allan Hubbard Mgmt For For For 6 Elect Reuben Leibowitz Mgmt For For For 7 Elect Daniel Smith Mgmt For For For 8 Elect J. Albert Smith, Jr. Mgmt For For For 9 Advisory Vote on Executive Mgmt For For For Compensation 10 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 11 Ratification of Auditor Mgmt For For For ======================================================================================================= Southern Company Ticker Security ID: Meeting Date Meeting Status SO CUSIP 842587107 05/25/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Juanita Baranco Mgmt For For For 1.2 Elect Jon Boscia Mgmt For For For 1.3 Elect Henry Clark III Mgmt For For For 1.4 Elect Thomas Fanning Mgmt For For For 1.5 Elect H. William Habermeyer, Jr. Mgmt For For For 1.6 Elect Veronica Hagen Mgmt For For For 1.7 Elect Warren Hood, Jr. Mgmt For For For 1.8 Elect Donald James Mgmt For Withhold Against 1.9 Elect Dale Klein Mgmt For For For 1.10 Elect J. Neal Purcell Mgmt For For For 1.11 Elect William Smith, Jr. Mgmt For For For 1.12 Elect Steven Specker Mgmt For For For 1.13 Elect Larry Thompson Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 4 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 5 2011 Omnibus Incentive Compensation Mgmt For For For Plan 6 Shareholder Proposal Regarding ShrHldr Against Against For Report on Coal Combustion Waste ======================================================================================================= Starbucks Corp. Ticker Security ID: Meeting Date Meeting Status SBUX CUSIP 855244109 03/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Howard Schultz Mgmt For For For 2 Elect William Bradley Mgmt For For For 3 Elect Mellody Hobson Mgmt For For For 4 Elect Kevin Johnson Mgmt For For For 5 Elect Olden Lee Mgmt For For For 6 Elect Sheryl Sandberg Mgmt For For For 7 Elect James Shennan, Jr. Mgmt For For For 8 Elect Javier Teruel Mgmt For For For 9 Elect Myron Ullman III Mgmt For For For 10 Elect Craig Weatherup Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 13 Approval of Revised Performance Mgmt For For For Criteria Under the 2005 Long-Term Equity Incentive Plan 14 Amendment to the 2005 Long-Term Mgmt For For For Equity Incentive Plan 15 Ratification of Auditor Mgmt For For For 16 SHAREHOLDER PROPOSAL REGARDING ShrHldr Against Against For RECYCLING STRATEGY FOR BEVERAGE CONTAINERS ======================================================================================================= State Street Corp. Ticker Security ID: Meeting Date Meeting Status STT CUSIP 857477103 05/18/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Kennett Burnes Mgmt For For For 2 Elect Peter Coym Mgmt For For For 3 Elect Patrick de Saint-Aignan Mgmt For For For 4 Elect Amelia Fawcett Mgmt For For For 5 Elect David Gruber Mgmt For For For 6 Elect Linda Hill Mgmt For For For 7 Elect Joseph Hooley Mgmt For For For 8 Elect Robert Kaplan Mgmt For For For 9 Elect Charles LaMantia Mgmt For For For 10 Elect Richard Sergel Mgmt For For For 11 Elect Ronald Skates Mgmt For For For 12 Elect Gregory Summe Mgmt For Against Against 13 Elect Robert Weissman Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 2011 Senior Executive Annual Mgmt For For For Incentive Plan 17 Ratification of Auditor Mgmt For For For 18 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report ======================================================================================================= Stryker Corp. Ticker Security ID: Meeting Date Meeting Status SYK CUSIP 863667101 04/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Howard Cox, Jr. Mgmt For For For 1.2 Elect Srikant Datar Mgmt For For For 1.3 Elect Roch Doliveux Mgmt For For For 1.4 Elect Louis Francesconi Mgmt For Withhold Against 1.5 Elect Allan Golston Mgmt For For For 1.6 Elect Howard Lance Mgmt For For For 1.7 Elect Stephen MacMillan Mgmt For For For 1.8 Elect William Parfet Mgmt For Withhold Against 1.9 Elect Ronda Stryker Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 2011 Long-Term Incentive Plan Mgmt For For For 4 2011 Performance Incentive Award Plan Mgmt For For For 5 Advisory Vote on Executive Mgmt For For For Compensation 6 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 7 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting ======================================================================================================= SunAmerica Focused Alpha Large-Cap Fund, Inc. Ticker Security ID: Meeting Date Meeting Status FGI CUSIP 867038101 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Richard Grant Mgmt For Withhold Against 1.2 Elect Stephen Gutman Mgmt For Withhold Against 1.3 Elect Peter Harbeck Mgmt For Withhold Against 2 Shareholder Proposal Regarding ShrHldr Against Against For Termination of Management and Advisory Agreements ======================================================================================================= SunAmerica Focused Alpha Large-Cap Fund, Inc. Ticker Security ID: Meeting Date Meeting Status FGI CUSIP 867038101 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Richard Grant Mgmt For For For 1.2 Elect Stephen Gutman Mgmt For For For 1.3 Elect Peter Harbeck Mgmt For For For 2 Shareholder Proposal Regarding ShrHldr Against For Against Termination of Management and Advisory Agreements ======================================================================================================= SunAmerica Focused Alpha Large-Cap Fund, Inc. Ticker Security ID: Meeting Date Meeting Status FGI CUSIP 8.67038e+008 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Richard Grant Mgmt For Withhold Against 1.2 Elect Stephen Gutman Mgmt For Withhold Against 1.3 Elect Peter Harbeck Mgmt For Withhold Against 2 Shareholder Proposal Regarding ShrHldr Against Abstain N/A Termination of Management and Advisory Agreements ======================================================================================================= Sysco Corp. Ticker Security ID: Meeting Date Meeting Status SYY CUSIP 871829107 11/12/2010 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect John Cassaday Mgmt For Against Against 2 Elect Manuel Fernandez Mgmt For Against Against 3 Elect Hans-Joachim Korber Mgmt For For For 4 Elect Jackie Ward Mgmt For Against Against 5 Amendment to the 1974 Employees' Mgmt For For For Stock Purchase Plan 6 Ratification of Auditor Mgmt For For For ======================================================================================================= Target Corp Ticker Security ID: Meeting Date Meeting Status TGT CUSIP 87612E106 06/08/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Roxanne Austin Mgmt For For For 2 Elect Calvin Darden Mgmt For For For 3 Elect Mary Dillon Mgmt For For For 4 Elect James Johnson Mgmt For For For 5 Elect Mary Minnick Mgmt For For For 6 Elect Anne Mulcahy Mgmt For Against Against 7 Elect Derica Rice Mgmt For For For 8 Elect Stephen Sanger Mgmt For For For 9 Elect Gregg Steinhafel Mgmt For For For 10 Elect John Stumpf Mgmt For For For 11 Elect Solomon Trujillo Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 2011 Long-Term Incentive Plan Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against Against For Compensation Benchmarking 17 Shareholder Proposal Regarding ShrHldr Against Against For Report on Electronic Waste ======================================================================================================= Texas Instruments Inc. Ticker Security ID: Meeting Date Meeting Status TXN CUSIP 882508104 04/21/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Ralph Babb, Jr. Mgmt For For For 2 Elect Daniel Carp Mgmt For For For 3 Elect Carrie Cox Mgmt For For For 4 Elect Stephen MacMillan Mgmt For For For 5 Elect Pamela Patsley Mgmt For For For 6 Elect Robert Sanchez Mgmt For For For 7 Elect Wayne Sanders Mgmt For For For 8 Elect Ruth Simmons Mgmt For Against Against 9 Elect Richard Templeton Mgmt For For For 10 Elect Christine Whitman Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 13 Ratification of Auditor Mgmt For For For ======================================================================================================= The Gabelli Healthcare & Wellness Trust Ticker Security ID: Meeting Date Meeting Status GRX CUSIP 36246K103 05/16/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Mario Gabelli Mgmt For For For 1.2 Elect Vincent Enright Mgmt For For For 1.3 Elect Anthonie van Ekris Mgmt For For For ======================================================================================================= The Gabelli Healthcare & Wellness Trust Ticker Security ID: Meeting Date Meeting Status GRX CUSIP 36246K103 05/16/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Mario Gabelli Mgmt For Withhold Against 1.2 Elect Vincent Enright Mgmt For Withhold Against 1.3 Elect Anthonie van Ekris Mgmt For Withhold Against ======================================================================================================= The Walt Disney Company Ticker Security ID: Meeting Date Meeting Status DIS CUSIP 254687106 03/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Susan Arnold Mgmt For Against Against 2 Elect John Bryson Mgmt For For For 3 Elect John Chen Mgmt For Against Against 4 Elect Judith Estrin Mgmt For For For 5 Elect Robert Iger Mgmt For For For 6 Elect Steven Jobs Mgmt For Against Against 7 Elect Fred Langhammer Mgmt For Against Against 8 Elect Aylwin Lewis Mgmt For Against Against 9 Elect Monica Lozano Mgmt For For For 10 Elect Robert Matschullat Mgmt For For For 11 Elect John Pepper, Jr. Mgmt For Against Against 12 Elect Sheryl Sandberg Mgmt For For For 13 Elect Orin Smith Mgmt For Against Against 14 Ratification of Auditor Mgmt For For For 15 2011 Stock Incentive Plan Mgmt For Against Against 16 Advisory Vote on Executive Mgmt For Against Against Compensation 17 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 18 Shareholder Proposal Regarding One ShrHldr Against Against For Test Performance Assessment ======================================================================================================= Time Warner Cable Inc Ticker Security ID: Meeting Date Meeting Status TWC CUSIP 88732J207 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Carole Black Mgmt For For For 2 Elect Glenn Britt Mgmt For For For 3 Elect Thomas Castro Mgmt For For For 4 Elect David Chang Mgmt For For For 5 Elect James Copeland, Jr. Mgmt For For For 6 Elect Peter Haje Mgmt For Against Against 7 Elect Donna James Mgmt For For For 8 Elect Don Logan Mgmt For For For 9 Elect N.J. Nicholas, Jr. Mgmt For For For 10 Elect Wayne Pace Mgmt For For For 11 Elect Edward Shirley Mgmt For For For 12 Elect John Sununu Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 2011 Stock Incentive Plan Mgmt For For For 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Time Warner Inc Ticker Security ID: Meeting Date Meeting Status TWX CUSIP 887317303 05/20/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect James Barksdale Mgmt For For For 2 Elect William Barr Mgmt For For For 3 Elect Jeffrey Bewkes Mgmt For For For 4 Elect Stephen Bollenbach Mgmt For For For 5 Elect Frank Caufield Mgmt For For For 6 Elect Robert Clark Mgmt For Against Against 7 Elect Mathias Dopfner Mgmt For For For 8 Elect Jessica Einhorn Mgmt For For For 9 Elect Fred Hassan Mgmt For For For 10 Elect Michael Miles Mgmt For Against Against 11 Elect Kenneth Novack Mgmt For Against Against 12 Elect Paul Wachter Mgmt For For For 13 Elect Deborah Wright Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For Against Against Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 17 Elimination of Absolute Majority Mgmt For For For Voting Requirement 18 Shareholder Proposal Regarding Right ShrHldr Against For Against to Act by Written Consent ======================================================================================================= TJX Companies, Inc. Ticker Security ID: Meeting Date Meeting Status TJX CUSIP 872540109 06/14/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Jose Alvarez Mgmt For For For 2 Elect Alan Bennett Mgmt For For For 3 Elect Bernard Cammarata Mgmt For For For 4 Elect David Ching Mgmt For For For 5 Elect Michael Hines Mgmt For For For 6 Elect Amy Lane Mgmt For For For 7 Elect Carol Meyrowitz Mgmt For For For 8 Elect John O'Brien Mgmt For For For 9 Elect Willow Shire Mgmt For For For 10 Ratification of Auditor Mgmt For For For 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation ======================================================================================================= Travelers Companies Inc. Ticker Security ID: Meeting Date Meeting Status TRV CUSIP 89417E109 05/26/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Alan Beller Mgmt For For For 2 Elect John Dasburg Mgmt For For For 3 Elect Janet Dolan Mgmt For For For 4 Elect Kenneth Duberstein Mgmt For For For 5 Elect Jay Fishman Mgmt For For For 6 Elect Lawrence Graev Mgmt For For For 7 Elect Patricia Higgins Mgmt For For For 8 Elect Thomas Hodgson Mgmt For For For 9 Elect Cleve Killingsworth, Jr. Mgmt For For For 10 Elect Donald Shepard Mgmt For For For 11 Elect Laurie Thomsen Mgmt For For For 12 Ratification of Auditor Mgmt For For For 13 Advisory Vote on Executive Mgmt For Against Against Compensation 14 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation ======================================================================================================= Tri-Continental Corp. Ticker Security ID: Meeting Date Meeting Status TY CUSIP 895436103 04/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Patricia Flynn Mgmt For Against Against 1.2 Elect Stephen Lewis, Jr. Mgmt For Against Against 1.3 Elect Catherine James Paglia Mgmt For Against Against 2 Ratification of Auditor Mgmt For Against Against 3 Amendment to Investment Objective Mgmt For Against Against ======================================================================================================= Tri-Continental Corp. Ticker Security ID: Meeting Date Meeting Status TY CUSIP 895436103 04/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Patricia Flynn Mgmt For Against Against 1.2 Elect Stephen Lewis, Jr. Mgmt For Against Against 1.3 Elect Catherine James Paglia Mgmt For Against Against 2 Ratification of Auditor Mgmt For Abstain Against 3 Amendment to Investment Objective Mgmt For Abstain Against ======================================================================================================= Tri-Continental Corp. Ticker Security ID: Meeting Date Meeting Status TY CUSIP 895436103 04/14/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1.1 Elect Patricia Flynn Mgmt For For For 1.2 Elect Stephen Lewis, Jr. Mgmt For For For 1.3 Elect Catherine James Paglia Mgmt For For For 2 Ratification of Auditor Mgmt For For For 3 Amendment to Investment Objective Mgmt For For For ======================================================================================================= Union Pacific Corp. Ticker Security ID: Meeting Date Meeting Status UNP CUSIP 907818108 05/05/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Andrew Card, Jr. Mgmt For For For 2 Elect Erroll Davis, Jr. Mgmt For For For 3 Elect Thomas Donohue Mgmt For For For 4 Elect Archie Dunham Mgmt For For For 5 Elect Judith Richards Hope Mgmt For For For 6 Elect Charles Krulak Mgmt For For For 7 Elect Michael McCarthy Mgmt For For For 8 Elect Michael McConnell Mgmt For For For 9 Elect Thomas McLarty III Mgmt For For For 10 Elect Steven Rogel Mgmt For For For 11 Elect Jose Villarreal Mgmt For Against Against 12 Elect James Young Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Actions adversely affecting Mgmt For For For preferred stock 17 Removal of directors Mgmt For For For 18 Changing the authorized amount of Mgmt For For For capital stock. 19 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman ======================================================================================================= United Parcel Service, Inc. Ticker Security ID: Meeting Date Meeting Status UPS CUSIP 911312106 05/05/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect F. Duane Ackerman Mgmt For Against Against 2 Elect Michael Burns Mgmt For For For 3 Elect D. Scott Davis Mgmt For For For 4 Elect Stuart Eizenstat Mgmt For For For 5 Elect Michael Eskew Mgmt For For For 6 Elect William Johnson Mgmt For For For 7 Elect Ann Livermore Mgmt For For For 8 Elect Rudy Markham Mgmt For For For 9 Elect Clark Randt, Jr. Mgmt For For For 10 Elect John Thompson Mgmt For For For 11 Elect Carol Tome Mgmt For For For 12 Advisory Vote on Executive Mgmt For For For Compensation 13 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 14 Ratification of Auditor Mgmt For For For 15 Transaction of Other Business Mgmt For Against Against ======================================================================================================= United Technologies Corp. Ticker Security ID: Meeting Date Meeting Status UTX CUSIP 913017109 04/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Louis Chenevert Mgmt For For For 2 Elect John Faraci Mgmt For For For 3 Elect Jean-Pierre Garnier Mgmt For For For 4 Elect Jamie Gorelick Mgmt For For For 5 Elect Edward Kangas Mgmt For For For 6 Elect Ellen Kullman Mgmt For For For 7 Elect Charles Lee Mgmt For For For 8 Elect Richard McCormick Mgmt For For For 9 Elect Harold McGraw III Mgmt For For For 10 Elect Richard Myers Mgmt For For For 11 Elect H. Patrick Swygert Mgmt For For For 12 Elect Andre Villeneuve Mgmt For For For 13 Elect Christine Whitman Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Amendment to the 2005 Long-Term Mgmt For For For Incentive Plan 16 Advisory Vote on Executive Mgmt For For For Compensation 17 Frequency of Advisory Vote on Mgmt N/A 3 Years N/A Executive Compensation 18 Shareholder Proposal Regarding ShrHldr Against For Against Retention of Shares ======================================================================================================= Unitedhealth Group Inc Ticker Security ID: Meeting Date Meeting Status UNH CUSIP 91324P102 05/23/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect William Ballard, Jr. Mgmt For Against Against 2 Elect Richard Burke Mgmt For Against Against 3 Elect Robert Darretta Mgmt For For For 4 Elect Stephen Hemsley Mgmt For For For 5 Elect Michele Hooper Mgmt For For For 6 Elect Rodger Lawson Mgmt For For For 7 Elect Douglas Leatherdale Mgmt For Against Against 8 Elect Glenn Renwick Mgmt For For For 9 Elect Kenneth Shine Mgmt For For For 10 Elect Gail Wilensky Mgmt For Against Against 11 Advisory Vote on Executive Mgmt For For For Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 13 2011 Incentive Stock Plan Mgmt For For For 14 Amendment to the 1993 Employee Stock Mgmt For For For Purchase Plan 15 Ratification of Auditor Mgmt For For For ======================================================================================================= US Bancorp Ticker Security ID: Meeting Date Meeting Status USB CUSIP 902973304 04/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Douglas Baker, Jr. Mgmt For For For 2 Elect Y. Marc Belton Mgmt For For For 3 Elect Victoria Buyniski Gluckman Mgmt For For For 4 Elect Arthur Collins, Jr. Mgmt For For For 5 Elect Richard Davis Mgmt For For For 6 Elect Joel Johnson Mgmt For For For 7 Elect Olivia Kirtley Mgmt For For For 8 Elect Jerry Levin Mgmt For For For 9 Elect David O'Maley Mgmt For For For 10 Elect O'Dell Owens Mgmt For For For 11 Elect Richard Reiten Mgmt For For For 12 Elect Craig Schnuck Mgmt For For For 13 Elect Patrick Stokes Mgmt For For For 14 Ratification of Auditor Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 3 Years 1 Year Against Executive Compensation 17 Shareholder Proposal Regarding ShrHldr Against Against For Advisory Vote on Director Compensation ======================================================================================================= Verizon Communications Inc Ticker Security ID: Meeting Date Meeting Status VZ CUSIP 92343V104 05/05/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Richard Carrion Mgmt For For For 2 Elect M. Frances Keeth Mgmt For For For 3 Elect Robert Lane Mgmt For For For 4 Elect Lowell McAdam Mgmt For For For 5 Elect Sandra Moose Mgmt For For For 6 Elect Joseph Neubauer Mgmt For Against Against 7 Elect Donald Nicolaisen Mgmt For For For 8 Elect Clarence Otis, Jr. Mgmt For For For 9 Elect Hugh Price Mgmt For For For 10 Elect Ivan Seidenberg Mgmt For For For 11 Elect Rodney Slater Mgmt For Against Against 12 Elect John Snow Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Shareholder Proposal Regarding ShrHldr Against Against For Disclosure of Prior Government Service 17 Shareholder Proposal Regarding ShrHldr Against Against For Performance-Based Equity Compensation 18 Shareholder Proposal Regarding ShrHldr Against For Against Cumulative Voting 19 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting ======================================================================================================= Wal-Mart Stores, Inc. Ticker Security ID: Meeting Date Meeting Status WMT CUSIP 931142103 06/03/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Aida Alvarez Mgmt For For For 2 Elect James Breyer Mgmt For For For 3 Elect M. Michele Burns Mgmt For For For 4 Elect James Cash, Jr. Mgmt For For For 5 Elect Roger Corbett Mgmt For For For 6 Elect Douglas Daft Mgmt For For For 7 Elect Michael Duke Mgmt For For For 8 Elect Gregory Penner Mgmt For For For 9 Elect Steven Reinemund Mgmt For For For 10 Elect H. Lee Scott, Jr. Mgmt For For For 11 Elect Arne Sorenson Mgmt For For For 12 Elect Jim Walton Mgmt For For For 13 Elect S. Robson Walton Mgmt For For For 14 Elect Christopher Williams Mgmt For For For 15 Elect Linda Wolf Mgmt For For For 16 Ratification of Auditor Mgmt For For For 17 ADVISORY VOTE ON EXECUTIVE Mgmt For For For COMPENSATION 18 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 19 Shareholder Proposal Regarding ShrHldr Against Against For Adopting Gender Identity Anti-Bias Policy 20 Shareholder Proposal Regarding ShrHldr Against For Against Political Contributions and Expenditure Report 21 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 22 Shareholder Proposal Regarding ShrHldr Against Against For Supplier Sustainability Reports 23 Shareholder Proposal Regarding ShrHldr Against Against For Climate Change Risk Report ======================================================================================================= Waste Management, Inc. Ticker Security ID: Meeting Date Meeting Status WM CUSIP 94106L109 05/13/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Pastora Cafferty Mgmt For For For 2 Elect Frank Clark, Jr. Mgmt For For For 3 Elect Patrick Gross Mgmt For Against Against 4 Elect John Pope Mgmt For For For 5 Elect W. Robert Reum Mgmt For For For 6 Elect Steven Rothmeier Mgmt For For For 7 Elect David Steiner Mgmt For For For 8 Elect Thomas Weidemeyer Mgmt For For For 9 Ratification of Auditor Mgmt For For For 10 Advisory Vote on Executive Mgmt For For For Compensation 11 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 12 Right to Call a Special Meeting Mgmt For For For ======================================================================================================= Wellpoint Inc. Ticker Security ID: Meeting Date Meeting Status WLP CUSIP 94973V107 05/17/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect Angela Braly Mgmt For For For 2 Elect Warren Jobe Mgmt For For For 3 Elect William Mays Mgmt For For For 4 Elect William Ryan Mgmt For For For 5 Ratification of Auditor Mgmt For For For 6 Elimination of Supermajority Mgmt For For For Requirement for Restrictions on Ownership and Transfer of Stock, Voting Rights of Shares and Number of Directors 7 Elimination of Supermajority Mgmt For For For Requirement for Certain Business Combinations 8 Amendments Removing Certain Mgmt For For For Restrictions on Ownership of Shares 9 Amendments Deleting Certain Obsolete Mgmt For For For Provisions 10 Amendments Deleting Certain Obsolete Mgmt For For For Provisions and Making Conforming Changes 11 Advisory Vote on Executive Mgmt For Against Against Compensation 12 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 13 Shareholder Proposal Regarding ShrHldr Against Against For Conversion to Nonprofit Status 14 Shareholder Proposal Regarding ShrHldr Against Against For Reincorporation 15 Shareholder Proposal Regarding ShrHldr Against For Against Independent Board Chairman ======================================================================================================= Wells Fargo & Co. Ticker Security ID: Meeting Date Meeting Status WFC CUSIP 949746101 05/03/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect John Baker II Mgmt For Against Against 2 Elect John Chen Mgmt For For For 3 Elect Lloyd Dean Mgmt For For For 4 Elect Susan Engel Mgmt For For For 5 Elect Enrique Hernandez, Jr. Mgmt For For For 6 Elect Donald James Mgmt For Against Against 7 Elect Mackey McDonald Mgmt For Against Against 8 Elect Cynthia Milligan Mgmt For Against Against 9 Elect Nicholas Moore Mgmt For For For 10 Elect Philip Quigley Mgmt For Against Against 11 Elect Judith Runstad Mgmt For For For 12 Elect Stephen Sanger Mgmt For For For 13 Elect John Stumpf Mgmt For For For 14 Elect Susan Swenson Mgmt For For For 15 Advisory Vote on Executive Mgmt For For For Compensation 16 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 17 Ratification of Auditor Mgmt For For For 18 Shareholder Proposal Regarding Right ShrHldr Against For Against to Call a Special Meeting 19 Shareholder Proposal Regarding ShrHldr Against For Against Cumulative Voting 20 Shareholder Proposal Regarding ShrHldr Against Against For Independent Board Chairman 21 Shareholder Proposal Regarding ShrHldr Against Against For Advisory Vote on Director Compensation 22 Shareholder Proposal Regarding ShrHldr Against Against For Independent Review of Controls Related to Loans, Foreclosures and Securitizations ======================================================================================================= Yum Brands Inc. Ticker Security ID: Meeting Date Meeting Status YUM CUSIP 988498101 05/19/2011 Voted Meeting Type Country of Trade Annual United States Issue No. Description Proponent Mgmt Rec Vote Cast For/Agnst Mgmt 1 Elect David Dorman Mgmt For For For 2 Elect Massimo Ferragamo Mgmt For For For 3 Elect J. David Grissom Mgmt For For For 4 Elect Bonnie Hill Mgmt For For For 5 Elect Robert Holland, Jr. Mgmt For For For 6 Elect Kenneth Langone Mgmt For For For 7 Elect Jonathan Linen Mgmt For For For 8 Elect Thomas Nelson Mgmt For For For 9 Elect David Novak Mgmt For For For 10 Elect Thomas Ryan Mgmt For For For 11 Elect Jing-Shyh Su Mgmt For For For 12 Elect Robert Walter Mgmt For For For 13 Ratification of Auditor Mgmt For For For 14 Advisory Vote on Executive Mgmt For For For Compensation 15 Frequency of Advisory Vote on Mgmt 1 Year 1 Year For Executive Compensation 16 Right to Call a Special Meeting Mgmt For For For