-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, O1C9n+ZcC7WV0mJ3DUhr9Y+ReP7xq9Ollt5SP8JGufpIeHgq3DeJK1M7t1sBFAS2 ObSwdGCpeWEfHkmJCFCAow== 0001104659-04-026285.txt : 20040831 0001104659-04-026285.hdr.sgml : 20040831 20040831063442 ACCESSION NUMBER: 0001104659-04-026285 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040831 DATE AS OF CHANGE: 20040831 EFFECTIVENESS DATE: 20040831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PACIFIC GLOBAL FUND INC CENTRAL INDEX KEY: 0000890206 IRS NUMBER: 954393390 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-07062 FILM NUMBER: 041006633 BUSINESS ADDRESS: STREET 1: 206 N JACKSON STREET STREET 2: SUITE 301 CITY: GLENDALE STATE: CA ZIP: 91206 BUSINESS PHONE: 8182426693 MAIL ADDRESS: STREET 1: 206 NORTH JACKSON STREET SUITE 201 CITY: GLENDALE STATE: CA ZIP: 91206 N-PX 1 a04-9861_1npx.htm N-PX

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

 

 

 

 

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number              811-7062

 

PACIFIC GLOBAL FUND INC. D/B/A
PACIFIC ADVISORS FUND INC.

(Exact name of registrant as specified in charter)

 

 

 

206 NORTH JACKSON STREET, SUITE 301 GLENDALE, CALIFORNIA 91206

(Address of principal executive offices)

 

GEORGE A. HENNING 206 N. JACKSON ST., SUITE 301 GLENDALE , CA 91206

(Name and address of agent for service)

 

Registrant’s telephone number, including area code:

818-242-6693

 

 

Date of fiscal year end:

December 31

 

 

Date of reporting period:

June 30, 2004

 

 


 

PACIFIC ADVISORS FUNDS PROXY VOTING RECORD

JULY 1, 2003-JUNE 30, 2004

BALANCED FUND

 

COMPANY NAME

 

TICKER

 

CUSIP

 

MEETING
DATE

 

PROPOSED BY
CO (“C”) OR
INVESTOR (“SH”)

 

DID
PAF VOTE
Y OR N

 

DID PAF VOTE
FOR (“F”) OR
AGAINST (“A”)

 

VOTE FOR (“F”)
OR AGAINST
(“A”) MGT?

 

DESCRIPTION OF MATTER

The J.M. Smucker Company

 

SJM

 

832696405

 

8/14/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

The J.M. Smucker Company

 

SJM

 

832696405

 

8/14/2003

 

C

 

Y

 

F

 

F

 

Ratification of appointment of auditors

H&R BLOCK, INC.

 

HRB

 

093671105

 

9/10/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

H&R BLOCK, INC.

 

HRB

 

093671105

 

9/10/2003

 

C

 

Y

 

F

 

F

 

Amendment to executive compensation

H&R BLOCK, INC.

 

HRB

 

093671105

 

9/10/2003

 

C

 

Y

 

F

 

F

 

Appointment of auditors

Catellus Development Co.

 

CDX

 

149111106

 

9/26/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Catellus Development Co.

 

CDX

 

149111106

 

9/26/2003

 

C

 

Y

 

F

 

F

 

Merger plan

Catellus Development Co.

 

CDX

 

149111106

 

9/26/2003

 

C

 

Y

 

F

 

F

 

2000 Performance award plan

Catellus Development Co.

 

CDX

 

149111106

 

9/26/2003

 

C

 

Y

 

F

 

F

 

2003 oerfirnabce award plan

Catellus Development Co.

 

CDX

 

149111106

 

9/26/2003

 

SH

 

Y

 

F

 

A

 

Stockholder rights plan

Scholastic Corporation

 

SCHL

 

807066105

 

9/23/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Price Legacy Corporation

 

PRENA

 

74144P205

 

12/16/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Costco Wholesale Corporation

 

COST

 

22160K105

 

1/29/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Costco Wholesale Corporation

 

COST

 

22160K105

 

1/29/2004

 

SH

 

Y

 

A

 

F

 

Director election annually and not by class

Costco Wholesale Corporation

 

COST

 

22160K105

 

1/29/2004

 

SH

 

Y

 

A

 

F

 

Land procurement policy

Costco Wholesale Corporation

 

COST

 

22160K105

 

1/29/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Declassification of the board

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Approval of equity compensation plan for non-employee directors

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Reverse stock split

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

SH

 

Y

 

A

 

F

 

Requirement of shareowner approval of future severance agreements

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

SH

 

Y

 

A

 

F

 

Discontinue executive equity compensation

Cubic Corporation

 

CUB

 

229669106

 

2/10/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Cubic Corporation

 

CUB

 

229669106

 

2/10/2004

 

C

 

Y

 

F

 

F

 

Confirm the auditors

The Reynolds and Reynolds Company

 

REY

 

761695105

 

2/12/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Reynolds and Reynolds Company

 

REY

 

761695105

 

2/12/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 reyshare plus plan

The Reynolds and Reynolds Company

 

REY

 

761695105

 

2/12/2004

 

C

 

Y

 

F

 

F

 

Approve executive stock incentive plan

The Reynolds and Reynolds Company

 

REY

 

761695105

 

2/12/2004

 

C

 

Y

 

F

 

F

 

Retify the auditors

Cabot Microelectronics Corporation

 

CCMP

 

12709P103

 

3/9/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Cabot Microelectronics Corporation

 

CCMP

 

12709P103

 

3/9/2004

 

C

 

Y

 

F

 

F

 

Ratification of one of board of directors

Cabot Microelectronics Corporation

 

CCMP

 

12709P103

 

3/9/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Cabot Microelectronics Corporation

 

CCMP

 

12709P103

 

3/9/2004

 

C

 

Y

 

F

 

F

 

Amend 2000 equity incentive plan

The Walt Disney Company

 

DIS

 

254687106

 

3/3/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Walt Disney Company

 

DIS

 

254687106

 

3/3/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

The Walt Disney Company

 

DIS

 

254687106

 

3/3/2004

 

SH

 

Y

 

A

 

F

 

Propose labor standards

The Walt Disney Company

 

DIS

 

254687106

 

3/3/2004

 

SH

 

Y

 

A

 

F

 

Approve the New York City retirement system

The Walt Disney Company

 

DIS

 

254687106

 

3/3/2004

 

SH

 

Y

 

A

 

F

 

Approve theme park safety reporting

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Adopt the amended By-laws

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock and incentive plan

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

F

 

F

 

Propose regarding environmental reporting

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

A

 

F

 

Propose to change jurisdiction

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

A

 

F

 

Change executive compensation

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Approve financial statements

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Approve dividend rate

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Discharge of the chairman, directors & president from liability

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Cancel of Nokia shares held by the company

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Increase the share capital

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Repurchase Nokia shares

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Dispose Nokia shares hold by the company

 

1


 

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Increase the capital of the foundation

Nokia Corporation

 

NOKA

 

654902204

 

3/25/2004

 

C

 

N

 

N/A

 

N/A

 

Authorize legal counsels to vote proxy

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of stocks of two choises

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of common stock in exchange of preferred stock

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Effect stock split

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Designate and establish the exchange terms

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Eliminate the preferred stock following exhange for C/S

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Change election manner of directors

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Change the authorized capital stock

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Amend and restate Annex B of proxy statement

Federal Home Loan Mortgage Corp

 

FRE

 

313400301

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Federal Home Loan Mortgage Corp

 

FRE

 

313400301

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Allocation of unappropriated profit

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Ratification of board of mgmt actions

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Ratification of supervisory board actions

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Appointment of auditors

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Authorize the company to acquire its own shares

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Election of supervisory board

DaimlerChrysler

 

DCX

 

D1668R123

 

4/7/2004

 

C

 

Y

 

F

 

F

 

changes to remuneration of supervisory board and ariticle of incorporation.

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Elect a director

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Reappoint auditors

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Amend the articles of association

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Allot shares up to a specified amount

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Allot a limited number of shares for cash

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Give limited authority to purchase own shares

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Use treasury shares for employee share

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Approve the directors’ remuneration report

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Limit aggregate remuneration of non-executive directors

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Directors’ annual report

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

SH

 

Y

 

A

 

F

 

Disclose the control and risk in protected and sensitive areas

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Propose charitable contribution

Washington Mutual, Inc.

 

WAM

 

939322103

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Washington Mutual, Inc.

 

WAM

 

939322103

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Washington Mutual, Inc.

 

WAM

 

939322103

 

4/20/2004

 

SH

 

Y

 

A

 

F

 

Relating to a specific compensation program

Anglogold Limited

 

AU

 

035128206

 

4/8/2004

 

C

 

Y

 

F

 

F

 

Change Anglogold Ltd to Anglogold Ashanti Ltd

Banco Latinoamericano De Export. S.A.

 

BLX

 

P16994132

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Banco Latinoamericano De Export. S.A.

 

BLX

 

P16994132

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Approve financial statements

Banco Latinoamericano De Export. S.A.

 

BLX

 

P16994132

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Appoint auditor

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Allot securities

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Allot securities for cash

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Purchase shares by the company

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Approve the comparative plan and option plan

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Elect directors

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Re-appoint auditors

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Approve remuneration report

Rio Tinto Plc

 

RTP

 

767204100

 

4/7/2004

 

C

 

Y

 

F

 

F

 

Receive annual report

Wyeth

 

WYE

 

983024100

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Wyeth

 

WYE

 

983024100

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the independent public accountants

Wyeth

 

WYE

 

983024100

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Propose affordable prescription of drugs

Wyeth

 

WYE

 

983024100

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Propose animal testing

Cambrex Corporation

 

CBM

 

132011107

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Cambrex Corporation

 

CBM

 

132011107

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 incentive stock plan

Cambrex Corporation

 

CBM

 

132011107

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

 

2


 

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Adopt the incentive plan

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Adopt the incentive plan for non-employeee directors

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Gatx Corporation

 

GMT

 

361448103

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Gatx Corporation

 

GMT

 

361448103

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Approve auditors

Gatx Corporation

 

GMT

 

361448103

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 equity incentive compensation

Gatx Corporation

 

GMT

 

361448103

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Approve cash incentive compensation plan

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the auditors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock plan

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Review of the economic effects of the HIV,TB and malaria pandemics on the company’s strategy

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Relating to political contributions

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Annual report on corporate resources devoted to political matters

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Impose term limits on directors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Request a report on increasing access to products

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on stock options

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on in vitro testing

SPX Corporation

 

SPW

 

784635104

 

4/28/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Publication of political contributions

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Prohibition of political contributions

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Separation of chairman and CEO positions

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

HIV/AIDS-TB-Malaria

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Director vote threshold

Metlife,Inc.

 

MET

 

59156R108

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Metlife,Inc.

 

MET

 

59156R108

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Approve 2005 stock and incentive compensation plan

Metlife,Inc.

 

MET

 

59156R108

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Approve annual variable incentive plan

Metlife,Inc.

 

MET

 

59156R108

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Approve 2005 non-management director stock compensation plan

Metlife,Inc.

 

MET

 

59156R108

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Metlife,Inc.

 

MET

 

59156R108

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Proposal concerning CEO compensation

Berkshire Hathaway Inc.

 

BRKA

 

084670108

 

5/1/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Berkshire Hathaway Inc.

 

BRKA

 

084670108

 

5/1/2004

 

SH

 

Y

 

A

 

F

 

Proposal respect to political contributions

Duke Energy Corporation

 

DUK

 

264399106

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Duke Energy Corporation

 

DUK

 

264399106

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Duke Energy Corporation

 

DUK

 

264399106

 

5/13/2004

 

SH

 

Y

 

A

 

F

 

Proposal relating to declassification of directiors at annual meeting

R.H.Donnelley Corporation

 

RHD

 

74955W307

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

R.H.Donnelley Corporation

 

RHD

 

74955W307

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

R.H.Donnelley Corporation

 

RHD

 

74955W307

 

5/5/2004

 

SH

 

Y

 

A

 

F

 

Regarding redemption of rights

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Eliminate certain supermajority vote requirement

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Prepare a report on military contracts

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Adopt human rights policies

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Declassify the board of directors

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Adopt simple majority vote

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Require approval of severance agreements

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Adopt retention of stock policy

The Boeing Company

 

BA

 

097023105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Give employees choice of pension plans

Marsh & Mclennan Companies, Inc.

 

MMC

 

571748102

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Marsh & Mclennan Companies, Inc.

 

MMC

 

571748102

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Catellus Development Co.

 

CDX

 

149113102

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Allete, Inc.

 

ALE

 

018522102

 

5/11/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Allete, Inc.

 

ALE

 

018522102

 

5/11/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Perkin Elmer, Inc.

 

PKI

 

714046109

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Perkin Elmer, Inc.

 

PKI

 

714046109

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Perkin Elmer, Inc.

 

PKI

 

714046109

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Establish an expensing policy in annual income statement

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Financial statements

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Declaration of final dividend 2003

 

3


 

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Directors’ remuneration report

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Re-appint auditors

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Remuneration of auditors

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Authority to allot relevant securities

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Authority to disapply pre-emption rights

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Authority to purchase own ordinary shares

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Amend rules of the share option plan 1994

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Amend rules of the 1997 long-term incentive plan

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Approve the bonus share retention plan 2004

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Amend rules of eight named share schemes/plans

Cadbury Schweppes Plc

 

CSG

 

127209302

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Establish further employee share plan

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Declassify the board of directors

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Change certain voting requirement

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Approve executive deferred compensation plan

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Approve director deferred compensation plan

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Firstenergy Corp

 

FE

 

337932107

 

5/18/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Williams Companies, Inc.

 

WMB

 

969457100

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Williams Companies, Inc.

 

WMB

 

969457100

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Williams Companies, Inc.

 

WMB

 

969457100

 

5/20/2004

 

SH

 

Y

 

A

 

F

 

Performance and time based restricted shares

Rayonier Inc.

 

RYN

 

754907103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Rayonier Inc.

 

RYN

 

754907103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Amend the company’s articles of incorporation

Rayonier Inc.

 

RYN

 

754907103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Amend the 2004 incentive stock & management bonus plan

Pharmaceutical Resources, Inc.

 

PRX

 

717125108

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pharmaceutical Resources, Inc.

 

PRX

 

717125108

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Amend the certificate of incorporation to change the company’s name

Pharmaceutical Resources, Inc.

 

PRX

 

717125108

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 performance equity plan

Pharmaceutical Resources, Inc.

 

PRX

 

717125108

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Amend the 1997 directors’ stock option plan

Pharmaceutical Resources, Inc.

 

PRX

 

717125108

 

5/26/2004

 

C

 

Y

 

F

 

F

 

2004 executive plan

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

SH

 

Y

 

A

 

F

 

China business principles

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

SH

 

Y

 

A

 

F

 

Pay disparity report

Reliance Steel & Aluminum

 

RS

 

759509102

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Reliance Steel & Aluminum

 

RS

 

759509102

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Amend bylaws

Reliance Steel & Aluminum

 

RS

 

759509102

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Amend the directors stock option

Reliance Steel & Aluminum

 

RS

 

759509102

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Amend the stock option plan

Reliance Steel & Aluminum

 

RS

 

759509102

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Reliance Steel & Aluminum

 

RS

 

759509102

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Discretion on the other matters

Liberty Media Corporation

 

LMGA

 

530718105

 

6/9/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Liberty Media Corporation

 

LMGA

 

530718105

 

6/9/2004

 

C

 

Y

 

F

 

F

 

Approve the 2000 incentive plan

Liberty Media Corporation

 

LMGA

 

530718105

 

6/9/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Inverness Medical Innovations, Inc.

 

IMA

 

46126P106

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Interpublic Group of Companies, Inc.

 

IPG

 

460690100

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Interpublic Group of Companies, Inc.

 

IPG

 

460690100

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 performance incentive plan

The Interpublic Group of Companies, Inc.

 

IPG

 

460690100

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Approve the directors stock incentive plan

The Interpublic Group of Companies, Inc.

 

IPG

 

460690100

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Confirm the auditors

The Interpublic Group of Companies, Inc.

 

IPG

 

460690100

 

5/18/2004

 

SH

 

Y

 

A

 

F

 

Approve the resolution on northern ireland

The J.M. Smucker Company

 

SJM

 

832696405

 

6/17/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of common stocks in the merger

The J.M. Smucker Company

 

SJM

 

832696405

 

6/17/2004

 

C

 

Y

 

F

 

F

 

Approve the adjournments or postponements of special meeting if necessary

Michaels Stores, Inc.

 

MIKE

 

594087108

 

6/17/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Michaels Stores, Inc.

 

MIKE

 

594087108

 

6/17/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Michaels Stores, Inc.

 

MIKE

 

594087108

 

6/17/2004

 

C

 

Y

 

F

 

F

 

Adopt the amendment to the certificate of incorporation

 

4


 

PACIFIC ADVISORS FUNDS PROXY VOTING RECORD

JULY 1, 2003-JUNE 30, 2004

GOVERNMENT SECURITIES FUND

 

COMPANY NAME

 

TICKER

 

CUSIP

 

MEETING
DATE

 

PROPOSED BY
CO (“C”) OR
INVESTOR (“SH”)

 

DID
PAF VOTE
Y OR N

 

DID PAF VOTE
FOR (“F”) OR
AGAINST (“A”)

 

VOTE FOR (“F”)
OR AGAINST
(“A”) MGT?

 

DESCRIPTION OF MATTER

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of stocks of two choices

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of common stock in exchange of preferred stock

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Effect stock split

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Designate and establish the exchange terms

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Eliminate the preferred stock following exhange for C/S

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Change election manner of directors

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Change the authorized capital stock

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Amend and restate Annex B of proxy statement

PPL Corporation

 

PPL

 

69351T106

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Election of the nominees

PPL Corporation

 

PPL

 

69351T106

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Aqua America, Inc.

 

PSC

 

03836W103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Aqua America, Inc.

 

PSC

 

03836W103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Amend the articles of incorportation

Aqua America, Inc.

 

PSC

 

03836W103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 equity compensation plan

 

5


 

PACIFIC ADVISORS FUNDS PROXY VOTING RECORD

JULY 1, 2003-JUNE 30, 2004

GROWTH FUND

 

COMPANY NAME

 

TICKER

 

CUSIP

 

MEETING
DATE

 

PROPOSED BY
CO (“C”) OR
INVESTOR (“SH”)

 

DID
PAF VOTE
Y OR N

 

DID PAF VOTE
FOR (“F”) OR
AGAINST (“A”)

 

VOTE FOR (“F”)
OR AGAINST
(“A”) MGT?

 

DESCRIPTION OF MATTER

Oracle Corporation

 

ORCL

 

68389X105

 

10/13/2003

 

C

 

Y

 

F

 

F

 

Election of the nominees

Oracle Corporation

 

ORCL

 

68389X105

 

10/13/2003

 

C

 

Y

 

F

 

F

 

FYE 2004 Executive bonus plan

Oracle Corporation

 

ORCL

 

68389X105

 

10/13/2003

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Oracle Corporation

 

ORCL

 

68389X105

 

10/13/2003

 

C

 

Y

 

F

 

F

 

1993 directors’ stock plan

Oracle Corporation

 

ORCL

 

68389X105

 

10/13/2003

 

SH

 

Y

 

A

 

F

 

Rights of worker in China

Apache Corporation

 

APA

 

037411105

 

12/18/2003

 

C

 

Y

 

F

 

F

 

Restated certificate of incorporation

Zimmer Holdings, Inc.

 

ZMH

 

98956P102

 

7/22/2003

 

C

 

Y

 

F

 

F

 

Issurance of shares

Mckesson Corporation

 

MCK

 

58155Q103

 

7/30/2003

 

C

 

Y

 

F

 

F

 

Vote for election of nominees

Mckesson Corporation

 

MCK

 

58155Q103

 

7/30/2003

 

C

 

Y

 

F

 

F

 

Appointment of auditor

Mckesson Corporation

 

MCK

 

58155Q103

 

7/30/2003

 

SH

 

Y

 

Abstain

 

Abstain

 

Severance payments

Becton, Dickinson and Company

 

BDX

 

075887109

 

2/11/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Becton, Dickinson and Company

 

BDX

 

075887109

 

2/11/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Becton, Dickinson and Company

 

BDX

 

075887109

 

2/11/2004

 

C

 

Y

 

F

 

F

 

Adoption of employee & director equity-based compensation plan

Becton, Dickinson and Company

 

BDX

 

075887109

 

2/11/2004

 

SH

 

Y

 

A

 

F

 

Cumulative voting

Andrew Corporation

 

ANDW

 

034425108

 

2/10/2004

 

C

 

Y

 

F

 

F

 

Vote for election of nominees

Andrew Corporation

 

ANDW

 

034425108

 

2/10/2004

 

C

 

Y

 

F

 

F

 

Increase the number of common stocks

Andrew Corporation

 

ANDW

 

034425108

 

2/10/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Qualcomm, Incorporation

 

QCOM

 

747525103

 

3/2/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Qualcomm, Incorporation

 

QCOM

 

747525103

 

3/2/2004

 

C

 

Y

 

F

 

F

 

Amend 2001 stock option plan

Qualcomm, Incorporation

 

QCOM

 

747525103

 

3/2/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Qualcomm, Incorporation

 

QCOM

 

747525103

 

3/2/2004

 

SH

 

Y

 

A

 

F

 

Eliminate the classified board

Tetra Tech, Inc.

 

TTEK

 

88162G103

 

2/26/2004

 

C

 

Y

 

F

 

F

 

Vote for election of nominees

Tetra Tech, Inc.

 

TTEK

 

88162G103

 

2/26/2004

 

C

 

Y

 

F

 

F

 

Amend employee stock purchase plan

Tetra Tech, Inc.

 

TTEK

 

88162G103

 

2/26/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Adopt the amended By-laws

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock and incentive plan

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

F

 

F

 

Propose regarding environmental reporting

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

A

 

F

 

Propose to change jurisdiction

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

A

 

F

 

Change executive compensation

Advancepcs

 

ADVP

 

00790K109

 

3/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Advancepcs

 

ADVP

 

00790K109

 

3/22/2004

 

C

 

Y

 

F

 

F

 

Approve the plan of merger

Advancepcs

 

ADVP

 

00790K109

 

3/22/2004

 

C

 

Y

 

F

 

F

 

Propose the 2003 incentive compensation plan

Advancepcs

 

ADVP

 

00790K109

 

3/22/2004

 

C

 

Y

 

F

 

F

 

Restate certificate of incorporation

Advancepcs

 

ADVP

 

00790K109

 

3/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Advancepcs

 

ADVP

 

00790K109

 

3/22/2004

 

C

 

Y

 

F

 

F

 

Adjourn annual meeting to solicit proxies

Cambrex Corporation

 

CBM

 

132011107

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Cambrex Corporation

 

CBM

 

132011107

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 incentive stock plan

Cambrex Corporation

 

CBM

 

132011107

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the consulting services

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Approve long-term incentive performances

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Cumulative voting

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Pension and retirement medical

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Executive compensation

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Expensing stock options

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Disclosure of executive compensation

 

6


 

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

China business principles

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Political contributionss

International Business Machines Co.

 

IBM

 

459200101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Review executive compensation

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Amend 1997 incentive stock award plan

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Amend 2000 non-employee director restricted stock plan

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Amend 1992 non-employee director stock option plan

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Approve performane goals

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Relating to separation of offices of chairman and CEO

Lousiana-pacific Corporation

 

LPX

 

546347105

 

5/3/2004

 

SH

 

Y

 

A

 

F

 

Relating to environmental matters

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Adopt of financial statements

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Placement of unissued shares under the director’s control

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Issue shares for cash

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Increase in directors’ remuneration

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Acquire the company’s own shares

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Propose charitable contribution

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the auditors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock plan

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Economic effects of the HIV,TB & malaria pandemics on the firm’s strategy

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Relating to political contributions

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Annual report on corporate resources devoted to political matters

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Impose term limits on directors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Request a report on increasing access to products

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on stock options

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on in vitro testing

Zimmer Holdings, Inc.

 

ZMH

 

98956P102

 

5/10/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Zimmer Holdings, Inc.

 

ZMH

 

98956P102

 

5/10/2004

 

SH

 

Y

 

A

 

F

 

Relating to poison pills

Zimmer Holdings, Inc.

 

ZMH

 

98956P102

 

5/10/2004

 

SH

 

Y

 

A

 

F

 

Relating to auditor ratification

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 director compensation plan

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

SH

 

Y

 

A

 

F

 

Regarding Financial support of Indonesian government security personnel

COX Communications, Inc.

 

COX

 

224044107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

COX Communications, Inc.

 

COX

 

224044107

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Adopt the 2004 employee stock purchase plan

Georgia-Pacific Corporation

 

GP

 

373298108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Georgia-Pacific Corporation

 

GP

 

373298108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Amend long-term incentive plan

Georgia-Pacific Corporation

 

GP

 

373298108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Approve short-term incentive plan

Georgia-Pacific Corporation

 

GP

 

373298108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Furniture Brands International, Inc.

 

FBN

 

360921100

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pactiv Corp

 

PTV

 

695257105

 

5/14/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pactiv Corp

 

PTV

 

695257105

 

5/14/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Apache Corporation

 

APA

 

037411105

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Apache Corporation

 

APA

 

037411105

 

5/6/2004

 

SH

 

Y

 

A

 

F

 

Relating to climate change

Caremark Rx, Inc.

 

CMX

 

141705103

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Quest Diagnostics Incorporated

 

DGX

 

74834L100

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Quest Diagnostics Incorporated

 

DGX

 

74834L100

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

ST. Jude Medical, Inc.

 

STJ

 

790849103

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

ST. Jude Medical, Inc.

 

STJ

 

790849103

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

ST. Jude Medical, Inc.

 

STJ

 

790849103

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Approve management incentive compensation plan

 

7


 

ST. Jude Medical, Inc.

 

STJ

 

790849103

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Increase the number of common stocks

ST. Jude Medical, Inc.

 

STJ

 

790849103

 

5/12/2004

 

SH

 

Y

 

A

 

F

 

Adopt the executive compensation proposal

Phelps Dodge Corporation

 

PD

 

717265102

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Phelps Dodge Corporation

 

PD

 

717265102

 

5/28/2004

 

SH

 

Y

 

A

 

F

 

Charitable Contributions

Apache Corporation

 

APA

 

37411105

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Apache Corporation

 

APA

 

37411105

 

5/6/2004

 

SH

 

Y

 

A

 

F

 

Climate Change

Williams Company

 

WMB

 

969457100

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Williams Company

 

WMB

 

969457100

 

5/20/2004

 

C

 

Y

 

F

 

F

 

E&Y as Auditors

Williams Company

 

WMB

 

969457100

 

5/20/2004

 

SH

 

Y

 

A

 

F

 

Performance and Time based restricted Shares

Hercules Incorporated

 

HPC

 

427056106

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Hercules Incorporated

 

HPC

 

427056106

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Amendment to by-laws concerning voting

Hercules Incorporated

 

HPC

 

427056106

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Hercules Incorporated

 

HPC

 

427056106

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Amendment to By-laws concerning SH priveleges

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

2003 reports

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Reappoint the auditors

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Approve the directors’ remuneration report

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Purchase its own ordinary shares

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Authorize the directors to allot shares

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Disapply pre-emption rights

HSBC Holdings Plc

 

HBC

 

404280406

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Increase the fees payable to each director

Linen’n Things, Inc.

 

LIN

 

535679104

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Linen’n Things, Inc.

 

LIN

 

535679104

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Adopt the 2004 stock award and incentive plan

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Approve the restricted stock plan

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Political contributions

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Political contributions report

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Media response on equatorial guinea

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Board chairman and CEO

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Executive compensation

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Equity compensation

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Equity compensation report

Exxon Mobil Corporation

 

XOM

 

30231G102

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Amendment of EEO policy

Applebee’s International, Inc.

 

APPB

 

037899101

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Applebee’s International, Inc.

 

APPB

 

037899101

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Approve the 1995 equity incentive plan

Applebee’s International, Inc.

 

APPB

 

037899101

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Approve the executive nonqualified stock purchase plan

Applebee’s International, Inc.

 

APPB

 

037899101

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Applebee’s International, Inc.

 

APPB

 

037899101

 

5/13/2004

 

SH

 

Y

 

A

 

F

 

Genetically engineered food report

Career Education Corporation

 

CECO

 

141665109

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Career Education Corporation

 

CECO

 

141665109

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Amend the 1998 employee incentive compensation plan

Career Education Corporation

 

CECO

 

141665109

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Amend the certificate of incorporation

Career Education Corporation

 

CECO

 

141665109

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

America Service Group Inc.

 

ASGR

 

02364L109

 

6/16/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

America Service Group Inc.

 

ASGR

 

02364L109

 

6/16/2004

 

C

 

Y

 

F

 

F

 

Approve the amended and restated 1999 incentive stock plan

America Service Group Inc.

 

ASGR

 

02364L109

 

6/16/2004

 

C

 

Y

 

F

 

F

 

Approve the amendment to the certificate of incorporation

Siebel Systems, Inc.

 

SEBL

 

826170102

 

6/23/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Siebel Systems, Inc.

 

SEBL

 

826170102

 

6/23/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Siebel Systems, Inc.

 

SEBL

 

826170102

 

6/23/2004

 

SH

 

Y

 

A

 

F

 

Expense the cost of future stock option in the annual income statement

Anglogold Ashanti Limited

 

AU

 

035128206

 

6/29/2004

 

C

 

Y

 

F

 

F

 

Authorize to issue shares of the converstion of the convertible bonds

Anglogold Ashanti Limited

 

AU

 

035128206

 

6/29/2004

 

C

 

Y

 

F

 

F

 

Authorize to issue shares

Anglogold Ashanti Limited

 

AU

 

035128206

 

6/29/2004

 

C

 

Y

 

F

 

F

 

Authorize to issue shares for cash

 

8


 

PACIFIC ADVISORS FUNDS PROXY VOTING RECORD

JULY 1, 2003-JUNE 30, 2004

INCOME AND EQUITY FUND

 

COMPANY NAME

 

TICKER

 

CUSIP

 

MEETING
DATE

 

PROPOSED BY
CO (“C”) OR
INVESTOR (“SH”)

 

DID
PAF VOTE
Y OR N

 

DID PAF VOTE
FOR (“F”) OR
AGAINST (“A”)

 

VOTE FOR (“F”)
OR AGAINST
(“A”) MGT?

 

DESCRIPTION OF MATTER

Price Legacy Corporation

 

PRENA

 

74144P205

 

12/16/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Adopt the amended By-laws

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock and incentive plan

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

F

 

F

 

Propose regarding environmental reporting

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

A

 

F

 

Propose to change jurisdiction

Tyco International Ltd

 

TYC

 

902124106

 

3/25/2004

 

SH

 

Y

 

A

 

F

 

Change executive compensation

Bank of America Corporation

 

BAC

 

060505104

 

3/17/2004

 

C

 

Y

 

F

 

F

 

Adopt merger agreement

Bank of America Corporation

 

BAC

 

060505104

 

3/17/2004

 

C

 

Y

 

F

 

F

 

Adopt amended stock plan

Bank of America Corporation

 

BAC

 

060505104

 

3/17/2004

 

C

 

Y

 

F

 

F

 

Amend to increase common stock authorized of shares

Bank of America Corporation

 

BAC

 

060505104

 

3/17/2004

 

C

 

Y

 

F

 

F

 

Adjourn the special meeting to solicit additional proxies

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of stocks of two choises

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Approve the issuance of common stock in exchange of preferred stock

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Effect stock split

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Designate and establish the exchange terms

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Eliminate the preferred stock following exhange for C/S

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Change election manner of directors

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Change the authorized capital stock

Price Legacy Corporation

 

PRENA

 

74144P205

 

3/11/2004

 

C

 

Y

 

F

 

F

 

Amend and restate Annex B of proxy statement

Genuine Parts Company

 

GPC

 

372460105

 

4/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Genuine Parts Company

 

GPC

 

372460105

 

4/19/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 incentive bonus plan

Genuine Parts Company

 

GPC

 

372460105

 

4/19/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Genuine Parts Company

 

GPC

 

372460105

 

4/19/2004

 

SH

 

Y

 

A

 

F

 

Propose regarding poison pill

Genuine Parts Company

 

GPC

 

372460105

 

4/19/2004

 

SH

 

Y

 

A

 

F

 

Restrict stock options in executive compensation

Federal Home Loan Mortgage Corp

 

FRE

 

313400301

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Federal Home Loan Mortgage Corp

 

FRE

 

313400301

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Public Service Enterprise Group Inc

 

PSEG

 

744573106

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Public Service Enterprise Group Inc

 

PSEG

 

744573106

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Approve long-term incentive plan

Public Service Enterprise Group Inc

 

PSEG

 

744573106

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Public Service Enterprise Group Inc

 

PSEG

 

744573106

 

4/20/2004

 

SH

 

Y

 

A

 

F

 

Nominate at least two candidates for each board position

Alcoa Inc.

 

AA

 

013817101

 

4/30/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Alcoa Inc.

 

AA

 

013817101

 

4/30/2004

 

C

 

Y

 

F

 

F

 

Approve stock inentive plan

Alcoa Inc.

 

AA

 

013817101

 

4/30/2004

 

SH

 

Y

 

A

 

F

 

Proposal relating to pay disparity

Alcoa Inc.

 

AA

 

013817101

 

4/30/2004

 

SH

 

Y

 

A

 

F

 

Change control severance plan

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Johnson & Johnson

 

JNJ

 

478160104

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Propose charitable contribution

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Elect a director

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Reappoint auditors

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Amend the articles of association

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Allot shares up to a specified amount

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Allot a limited number of shares for cash

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Give limited authority to purchase own shares

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Use treasury shares for employee share

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Approve the directors’ remuneration report

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Limit aggregate remuneration of non-executive directors

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Directors’ annual report

BP P.L.C.

 

BP

 

055622104

 

4/15/2004

 

SH

 

Y

 

A

 

F

 

Disclose the control and risk in protected and sensitive areas

Dominion Resources, Inc.

 

D

 

25746U109

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Dominion Resources, Inc.

 

D

 

25746U109

 

4/23/2004

 

C

 

Y

 

F

 

F

 

Retention of auditors

Dominion Resources, Inc.

 

D

 

25746U109

 

4/23/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

 

9


 

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the auditors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock plan

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Review of the economic effects of the HIV,TB and malaria pandemics on the company’s strategy

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Relating to political contributions

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Annual report on corporate resources devoted to political matters

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Impose term limits on directors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Request a report on increasing access to products

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on stock options

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on in vitro testing

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 director compensation plan

Freeport-Mcmoran Copper & Gold Inc.

 

FCX

 

35671D857

 

5/6/2004

 

SH

 

Y

 

A

 

F

 

Regarding Financial support of Indonesian government security personnel

International Flavors & Fragrances Inc.

 

IFF

 

459506101

 

5/11/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

International Flavors & Fragrances Inc.

 

IFF

 

459506101

 

5/11/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

International Flavors & Fragrances Inc.

 

IFF

 

459506101

 

5/11/2004

 

SH

 

Y

 

A

 

F

 

Relating to auditor independence

American Electric Power Company, Inc

 

AEP

 

025537101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

American Electric Power Company, Inc

 

AEP

 

025537101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

American Electric Power Company, Inc

 

AEP

 

025537101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Regarding severence agreement for executives

American Electric Power Company, Inc

 

AEP

 

025537101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Regarding supplemental executive retirement plans

American Electric Power Company, Inc

 

AEP

 

025537101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Allow auditors to perform only audit and audit related work

American Electric Power Company, Inc

 

AEP

 

025537101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Regarding term limits for directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Adopt of financial statements

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Re-elect directors

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Placement of unissued shares under the director’s control

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Issue shares for cash

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Increase in directors’ remuneration

Anglogold Limited

 

AU

 

035128206

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Acquire the company’s own shares

Wilmington Trust Corporation

 

WL

 

971807102

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Wilmington Trust Corporation

 

WL

 

971807102

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 employee stock purchase plan

Wilmington Trust Corporation

 

WL

 

971807102

 

4/15/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 executive incentive plan

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Adopt the incentive plan

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Adopt the incentive plan for non-employeee directors

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Chubb Corporation

 

CB

 

171232101

 

4/27/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Phelps Dodge Corporation

 

PD

 

717265102

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Phelps Dodge Corporation

 

PD

 

717265102

 

5/28/2004

 

SH

 

Y

 

A

 

F

 

Charitable Contributions

HCA Inc.

 

HCA

 

404119109

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

HCA Inc.

 

HCA

 

404119109

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Ratify E&Y as Auditors

HCA Inc.

 

HCA

 

404119109

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Amend and Restate Managment Stock Plan

Hospitality Properties Trust

 

HPT

 

44106M102

 

5/11/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Annual meeting date

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Nomination of directors

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Charitable Contributions

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Mutual fund trading policies

Bank of America Corporation

 

BAC

 

060505104

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Privacy and informaiton security

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Adopt chief executive officer annual compensation plan

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Adopt a director stock plan

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Ratify the independent accountants

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

American International Group, Inc.

 

AIG

 

026874107

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Shareholder proposal

Anglogold Ashanti Limited

 

AU

 

035128206

 

6/29/2004

 

C

 

Y

 

F

 

F

 

Authorize to issue shares of the converstion of the convertible bonds

Anglogold Ashanti Limited

 

AU

 

035128206

 

6/29/2004

 

C

 

Y

 

F

 

F

 

Authorize to issue shares

Anglogold Ashanti Limited

 

AU

 

035128206

 

6/29/2004

 

C

 

Y

 

F

 

F

 

Authorize to issue shares for cash

 

10


 

PACIFIC ADVISORS FUNDS PROXY VOTING RECORD

JULY 1, 2003-JUNE 30, 2004

MULTI-CAP FUND

 

COMPANY NAME

 

TICKER

 

CUSIP

 

MEETING
DATE

 

PROPOSED BY
CO (“C”) OR
INVESTOR (“SH”)

 

DID
PAF VOTE
Y OR N

 

DID PAF VOTE
FOR (“F”) OR
AGAINST (“A”)

 

VOTE FOR (“F”)
OR AGAINST
(“A”) MGT?

 

DESCRIPTION OF MATTER

Sola International Inc.

 

SOL

 

834092108

 

7/24/2003

 

C

 

Y

 

F

 

F

 

Election of the nominees

Activision, Inc.

 

ATVI

 

004930202

 

9/18/2003

 

C

 

Y

 

F

 

F

 

Vote for election of nominees

Activision, Inc.

 

ATVI

 

004930202

 

9/18/2003

 

C

 

Y

 

F

 

F

 

Amendment of certificate of incorporation

Activision, Inc.

 

ATVI

 

004930202

 

9/18/2003

 

C

 

Y

 

F

 

F

 

Adoption of 2003 incentive plan

Activision, Inc.

 

ATVI

 

004930202

 

9/18/2003

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Cisco Systems, Inc

 

CSCO

 

17275R102

 

11/11/2003

 

C

 

Y

 

F

 

F

 

Election of the nominees

Cisco Systems, Inc

 

CSCO

 

17275R102

 

11/11/2003

 

C

 

Y

 

F

 

F

 

Employment stock purchase plan

Cisco Systems, Inc

 

CSCO

 

17275R102

 

11/11/2003

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Cisco Systems, Inc

 

CSCO

 

17275R102

 

11/11/2003

 

SH

 

Y

 

A

 

F

 

Report each fiscal year on Cisco hardware and software provided

Cisco Systems, Inc

 

CSCO

 

17275R102

 

11/11/2003

 

SH

 

Y

 

A

 

F

 

Comparation on compensation

Activision, Inc.

 

ATVI

 

004930202

 

12/29/2003

 

C

 

Y

 

F

 

F

 

Amendment of certificate of incorporation

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Declassification of the board

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Approval of equity compensation plan for non-employee directors

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

C

 

Y

 

F

 

F

 

Reverse stock split

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

SH

 

Y

 

A

 

F

 

Requirement of shareowner approval of future severance agreements

Lucent Technologies Inc.

 

LU

 

549463107

 

2/18/2004

 

SH

 

Y

 

A

 

F

 

Discontinue executive equity compensation

Qualcomm, Inc.

 

QCOM

 

747525103

 

3/2/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Qualcomm, Inc.

 

QCOM

 

747525103

 

3/2/2004

 

C

 

Y

 

F

 

F

 

Amend 2001 stock option plan

Qualcomm, Inc.

 

QCOM

 

747525103

 

3/2/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Qualcomm, Inc.

 

QCOM

 

747525103

 

3/2/2004

 

SH

 

Y

 

A

 

F

 

Eliminate the classified board

The Goldman Sachs Group, Inc.

 

GS

 

38141G104

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Goldman Sachs Group, Inc.

 

GS

 

38141G104

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

The Goldman Sachs Group, Inc.

 

GS

 

38141G104

 

3/31/2004

 

SH

 

Y

 

A

 

F

 

Relection of all directors annually

Fed HM Ln Mtg Co

 

FRE

 

313400301

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Fed HM Ln Mtg Co

 

FRE

 

313400301

 

3/31/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditors

Cendant Corporation

 

CD

 

151313103

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Cendant Corporation

 

CD

 

151313103

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Amend the articles of incorportation & by-laws of the company

Cendant Corporation

 

CD

 

151313103

 

4/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Cendant Corporation

 

CD

 

151313103

 

4/20/2004

 

SH

 

Y

 

A

 

F

 

Separate the officies of chief executive officer and chairman

Cendant Corporation

 

CD

 

151313103

 

4/20/2004

 

SH

 

Y

 

A

 

F

 

Propose chief executive officer compensation

Schlumberger Limited

 

SLB

 

806857108

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Schlumberger Limited

 

SLB

 

806857108

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Approve financials and dividends

Schlumberger Limited

 

SLB

 

806857108

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Approve stock and deferral plan for non-employee directors

Schlumberger Limited

 

SLB

 

806857108

 

4/14/2004

 

C

 

Y

 

F

 

F

 

Approve auditors

Unisys Corporation

 

UIS

 

909214108

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the auditors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 stock plan

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

The economic effects of the HIV,TB and malaria pandemics on the company’s strategy

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Relating to political contributions

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Annual report on corporate resources devoted to political matters

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Impose term limits on directors

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Request a report on increasing access to products

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on stock options

Pfizer Inc.

 

PFE

 

717081103

 

4/22/2004

 

SH

 

Y

 

A

 

F

 

Proposal on in vitro testing

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

C

 

Y

 

F

 

F

 

Show support for the stockholder rights plan policy

 

11


 

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

C

 

Y

 

F

 

F

 

Approval of the long-term incentive plan

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

SH

 

Y

 

A

 

F

 

HIV/AIDS-TB-Malaria

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

SH

 

Y

 

A

 

F

 

Political disclosure

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

SH

 

Y

 

A

 

F

 

Director election vote threshold

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

SH

 

Y

 

A

 

F

 

Report on ecuador

Chevrontexaco Corporation

 

CVX

 

166764100

 

4/28/2004

 

SH

 

Y

 

A

 

F

 

Renewal energy

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Publication of political contributions

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Prohibition of political contributions

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Separation of chairman and CEO positions

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

HIV/AIDS-TB-Malaria

Bristol-Myers Squibb Company

 

BMY

 

110122108

 

5/4/2004

 

SH

 

Y

 

A

 

F

 

Director vote threshold

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Approve 2004 long-term incentive program

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Term limits for outside directors

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Poison pill

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Separate the chair and CEO position

AT&T Corp

 

T

 

001957505

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Executive compensation

Serological Corporation

 

SERO

 

817523103

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Lincoln National Corporation

 

LNC

 

534187109

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Lincoln National Corporation

 

LNC

 

534187109

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Approve a differred compensation plan

Williams Companies, Inc.

 

WMB

 

969457100

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Williams Companies, Inc.

 

WMB

 

969457100

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Williams Companies, Inc.

 

WMB

 

969457100

 

5/20/2004

 

SH

 

Y

 

A

 

F

 

Performance and time based restricted shares

Intel Corporation

 

INTC

 

458140100

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Intel Corporation

 

INTC

 

458140100

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Intel Corporation

 

INTC

 

458140100

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 equity incentive plan

Intel Corporation

 

INTC

 

458140100

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Requesting the expensing of stock plan

Intel Corporation

 

INTC

 

458140100

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Requesting the use of performance-vesting stock

Intel Corporation

 

INTC

 

458140100

 

5/19/2004

 

SH

 

Y

 

A

 

F

 

Requesting the use of performance-vesting stock options

Phelps Dodge Corporation

 

PD

 

717265102

 

5/28/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Phelps Dodge Corporation

 

PD

 

717265102

 

5/28/2004

 

SH

 

Y

 

A

 

F

 

Charitable Contributions

Nationwide Financial Services

 

NFS

 

638612101

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Nationwide Financial Services

 

NFS

 

638612101

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Appt. KPMG as Auditor

Nationwide Financial Services

 

NFS

 

638612101

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Amend and Approve Long Term Equity Plan

Nationwide Financial Services

 

NFS

 

638612101

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Amend and restate stock plan for non employee directors

Nationwide Financial Services

 

NFS

 

638612101

 

5/5/2004

 

C

 

Y

 

F

 

F

 

Receive shareholder communication

Watson Pharmaceuticals, Inc.

 

WPI

 

942683103

 

5/17/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Watson Pharmaceuticals, Inc.

 

WPI

 

942683103

 

5/17/2004

 

C

 

Y

 

F

 

F

 

Ratify PWC as Auditors

Watson Pharmaceuticals, Inc.

 

WPI

 

942683103

 

5/17/2004

 

SH

 

Y

 

A

 

F

 

Executive compensation

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

SH

 

Y

 

A

 

F

 

Outside director term limits

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

SH

 

Y

 

A

 

F

 

Poison pill implementation

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

SH

 

Y

 

A

 

F

 

Performance goals as prerequisite to vesting

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

SH

 

Y

 

A

 

F

 

Implementation of ilo human rights standards

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

SH

 

Y

 

A

 

F

 

Future serverance agreements

The Home Depot, Inc.

 

HD

 

437076102

 

5/27/2004

 

SH

 

Y

 

A

 

F

 

Method of voting for directors

Radioshack Corporation

 

RSH

 

750438103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Radioshack Corporation

 

RSH

 

750438103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 deferred stock unit plan

Radioshack Corporation

 

RSH

 

750438103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Aprrove the annual and long-term incentive compensation plan

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Merger proposal

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

 

12


 

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Re-approval of key executive performance plan

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Adjournment of meeting

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Director term limit

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Charitable Contributions

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Political contributions

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Separation of chairman and CEO

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Derivative disclosure

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Auditor independence

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Director compensation

J.P. Morgan Chase & Co.

 

JPM

 

46625H100

 

5/25/2004

 

SH

 

Y

 

A

 

F

 

Pay disparity

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Independent auditors

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

C

 

Y

 

F

 

F

 

2002 restricted stock plan

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Amend the articles of incorportation

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Establish a 2/3 independent board

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Disclose political contributions

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Open directorship

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Limit compensation for senior executives

Comcast Corporation

 

CMCSK

 

20030N101

 

5/26/2004

 

SH

 

Y

 

A

 

F

 

Adopt a recapitalization plan

Target Corporation

 

TGT

 

87612E106

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Target Corporation

 

TGT

 

87612E106

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Appoint the auditors

Target Corporation

 

TGT

 

87612E106

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Approve the long-term incentive plan

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

SH

 

Y

 

A

 

F

 

China business principles

Time Warner Inc.

 

AOL

 

887317105

 

5/21/2004

 

SH

 

Y

 

A

 

F

 

Pay disparity report

Arrow Electronics, Inc.

 

ARW

 

042735100

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Arrow Electronics, Inc.

 

ARW

 

042735100

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 omnibus incentive plan

Arrow Electronics, Inc.

 

ARW

 

042735100

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the aditors

Arrow Electronics, Inc.

 

ARW

 

042735100

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Regarding to the discretion matters

Metrologic Instruments, Inc.

 

MTLG

 

591676101

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Metrologic Instruments, Inc.

 

MTLG

 

591676101

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 equity incentive plan

Metrologic Instruments, Inc.

 

MTLG

 

591676101

 

5/27/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Pier 1 Imports, Inc.

 

PIR

 

720279108

 

6/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Pier 1 Imports, Inc.

 

PIR

 

720279108

 

6/25/2004

 

C

 

Y

 

F

 

F

 

Approve an amendment to the 1999 stock plan

Pier 1 Imports, Inc.

 

PIR

 

720279108

 

6/25/2004

 

C

 

Y

 

F

 

F

 

Approve amendments to the stock purchase plan

 

13


 

PACIFIC ADVISORS FUNDS PROXY VOTING RECORD

JULY 1, 2003-JUNE 30, 2004

SMALL CAP FUND

 

COMPANY NAME

 

TICKER

 

CUSIP

 

MEETING
DATE

 

PROPOSED BY
CO (“C”) OR
INVESTOR (“SH”)

 

DID
PAF VOTE
Y OR N

 

DID PAF VOTE
FOR (“F”) OR
AGAINST (“A”)

 

VOTE FOR (“F”)
OR AGAINST
(“A”) MGT?

 

DESCRIPTION OF MATTER

Camtek LTD

 

CAMT

 

M20791105

 

7/24/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Camtek LTD

 

CAMT

 

M20791105

 

7/24/2003

 

C

 

Y

 

F

 

F

 

Authorization for chairman of the board

Camtek LTD

 

CAMT

 

M20791105

 

7/24/2003

 

C

 

Y

 

F

 

F

 

Appointment of joint auditors

Modtech Holdings, Inc.

 

MODTD

 

60783C100

 

8/13/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Keystone Automotive Industries, Inc.

 

KEYS

 

49338N109

 

8/19/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Keystone Automotive Industries, Inc.

 

KEYS

 

49338N109

 

8/19/2003

 

C

 

Y

 

F

 

F

 

Ratification of auditor

Intervoice, Inc.

 

INTV

 

461142101

 

8/20/2003

 

C

 

Y

 

F

 

F

 

Vote for election of nominees

Intervoice, Inc.

 

INTV

 

461142101

 

8/20/2003

 

C

 

Y

 

F

 

F

 

Amendance of employee stock purchase plan

Intervoice, Inc.

 

INTV

 

461142101

 

8/20/2003

 

C

 

Y

 

F

 

F

 

Approval of stock option plan

Intervoice, Inc.

 

INTV

 

461142101

 

8/20/2003

 

C

 

Y

 

F

 

F

 

Authorization of the proxies

Warrantech Corporation

 

WTEC

 

934648304

 

9/8/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Warrantech Corporation

 

WTEC

 

934648304

 

9/8/2003

 

C

 

Y

 

F

 

F

 

Increase shares number

Team, Inc.

 

TMI

 

878155100

 

9/25/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Team, Inc.

 

TMI

 

878155100

 

9/25/2003

 

C

 

Y

 

F

 

F

 

Ratification of auditor

Elkcorp

 

ELK

 

287456107

 

10/28/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

Elkcorp

 

ELK

 

287456107

 

10/28/2003

 

C

 

Y

 

F

 

F

 

Approval of auditors

Camtek LTD

 

CAMT

 

M20791105

 

10/28/2003

 

C

 

Y

 

F

 

F

 

Employee ordinary shares purchase options

Camtek LTD

 

CAMT

 

M20791105

 

10/28/2003

 

C

 

Y

 

F

 

F

 

Officer ordinary shares purchase options

Camtek LTD

 

CAMT

 

M20791105

 

10/28/2003

 

C

 

Y

 

F

 

F

 

2003 Share option plan

United American Healthcare Corporation

 

UAHC

 

90934C105

 

11/14/2003

 

C

 

Y

 

F

 

F

 

Election of nominees

United American Healthcare Corporation

 

UAHC

 

90934C105

 

11/14/2003

 

C

 

Y

 

F

 

F

 

Ratification of auditor

United American Healthcare Corporation

 

UAHC

 

90934C105

 

11/14/2003

 

C

 

Y

 

F

 

F

 

Amendments to 1998 stock option plan

United American Healthcare Corporation

 

UAHC

 

90934C105

 

11/14/2003

 

C

 

Y

 

F

 

F

 

Proxies’s authorization

Ashworth, Inc.

 

ASHW

 

04516H101

 

3/24/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Grant options to directors

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Indicate whether shareholder have personal interest in voting

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Indicate whether shareholder have personal interest in voting

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Indicate whether shareholder have personal interest in voting

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Indicate whether shareholder have personal interest in voting

Camtek LTD

 

CAMT

 

M20791105

 

3/18/2004

 

C

 

Y

 

F

 

F

 

Approve joint auditors

SCS Transportation, Inc

 

SCST

 

81111T102

 

4/21/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

SCS Transportation, Inc

 

SCST

 

81111T102

 

4/21/2004

 

C

 

Y

 

F

 

F

 

Ratification of auditor

Titan International, Inc

 

TWI

 

88830M102

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Titan International, Inc

 

TWI

 

88830M102

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Tyler Technologies, Inc.

 

TYL

 

902252105

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Tyler Technologies, Inc.

 

TYL

 

902252105

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Amend the Tyler stock option plan

Tyler Technologies, Inc.

 

TYL

 

902252105

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Adopt the Tyler employee stock purchase plan

Tyler Technologies, Inc.

 

TYL

 

902252105

 

5/6/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Harvest Natural Resources, Inc.

 

HNR

 

41754V103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Harvest Natural Resources, Inc.

 

HNR

 

41754V103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Harvest Natural Resources, Inc.

 

HNR

 

41754V103

 

5/20/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 long-term incentive plan

Frozen Food Express Industries, Inc.

 

FFEX

 

359360104

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Frozen Food Express Industries, Inc.

 

FFEX

 

359360104

 

4/29/2004

 

C

 

Y

 

F

 

F

 

Amend the 2002 incentive and nonstatutory plan

Talk America Holdings, Inc.

 

TALK

 

87426R202

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Talk America Holdings, Inc.

 

TALK

 

87426R202

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Approve the auditor proposal

Service Corporation International

 

SRV

 

817565104

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Service Corporation International

 

SRV

 

817565104

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Approve the auditor

Service Corporation International

 

SRV

 

817565104

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Amend and reapprove 1996 incentive plan

 

14


 

Eastwest Bancorp, Inc.

 

EWBC

 

27579R104

 

5/17/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Eastwest Bancorp, Inc.

 

EWBC

 

27579R104

 

5/17/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

Bell Microproducts Inc.

 

BELM

 

078137106

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Bell Microproducts Inc.

 

BELM

 

078137106

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Amend the articles of incorporation

Bell Microproducts Inc.

 

BELM

 

078137106

 

5/26/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Talk America Holdings, Inc.

 

TALK

 

87426R202

 

5/19/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Talk America Holdings, Inc.

 

TALK

 

87426R202

 

5/19/2004

 

C

 

Y

 

F

 

F

 

To approve the auditors proposal

Callaway Golf Company

 

ELY

 

131193104

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Callaway Golf Company

 

ELY

 

131193104

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 equity incentive plan

Callaway Golf Company

 

ELY

 

131193104

 

5/25/2004

 

C

 

Y

 

F

 

F

 

Approve the employee stock purchase plan

Chesapeake Energy Corporation

 

CHK

 

165167107

 

6/4/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Chesapeake Energy Corporation

 

CHK

 

165167107

 

6/4/2004

 

C

 

Y

 

F

 

F

 

Amend the certificate of incorporation

Chesapeake Energy Corporation

 

CHK

 

165167107

 

6/4/2004

 

C

 

Y

 

F

 

F

 

Amend the certificate of incorporation

Nara Bancorp, Inc.

 

NARA

 

63080P105

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Nara Bancorp, Inc.

 

NARA

 

63080P105

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Amend the certificate of incorporation

Nara Bancorp, Inc.

 

NARA

 

63080P105

 

5/13/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditors

U.S. Xpress Enterprises, Inc.

 

XPRSA

 

90338N103

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

U.S. Xpress Enterprises, Inc.

 

XPRSA

 

90338N103

 

5/18/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Gainsco, Inc.

 

GNAC

 

363127101

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Denbury Resources Inc.

 

DNR

 

247916208

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Denbury Resources Inc.

 

DNR

 

247916208

 

5/12/2004

 

C

 

Y

 

F

 

F

 

Approve a new omnibus stock and incentive plan

Remington Oil and Gas Corporation

 

ROIL

 

759594302

 

5/24/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Remington Oil and Gas Corporation

 

ROIL

 

759594302

 

5/24/2004

 

C

 

Y

 

F

 

F

 

Adopt the corporation 2004 stock incentive plan

Railamerica, Inc.

 

RRA

 

750753105

 

6/10/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Carreker Corporation

 

CANI

 

144433109

 

6/15/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Carreker Corporation

 

CANI

 

144433109

 

6/15/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Mobile Mini, Inc.

 

MINI

 

60740F105

 

6/23/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Mobile Mini, Inc.

 

MINI

 

60740F105

 

6/23/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

Aviall, Inc.

 

AVL

 

05366B102

 

6/18/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

Aviall, Inc.

 

AVL

 

05366B102

 

6/18/2004

 

C

 

Y

 

F

 

F

 

Approve the amendment of the 1998 directors stock plan

Aviall, Inc.

 

AVL

 

05366B102

 

6/18/2004

 

C

 

Y

 

F

 

F

 

Approve the amendment of the 1998 stock incentive plan

First Cash Financial Services, Inc.

 

FCFS

 

31942D107

 

6/15/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

First Cash Financial Services, Inc.

 

FCFS

 

31942D107

 

6/15/2004

 

C

 

Y

 

F

 

F

 

Approve the amended certificate of incorporation to increase common stock

First Cash Financial Services, Inc.

 

FCFS

 

31942D107

 

6/15/2004

 

C

 

Y

 

F

 

F

 

Approve the 2004 long-term incentive plan

First Cash Financial Services, Inc.

 

FCFS

 

31942D107

 

6/15/2004

 

C

 

Y

 

F

 

F

 

Ratify the auditor

America Service Group Inc.

 

ASGR

 

02364L109

 

6/16/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

America Service Group Inc.

 

ASGR

 

02364L109

 

6/16/2004

 

C

 

Y

 

F

 

F

 

Approve the amended and restated 1999 incentive stock plan

America Service Group Inc.

 

ASGR

 

02364L109

 

6/16/2004

 

C

 

Y

 

F

 

F

 

Approve the amendment to the certificate of incorporation

Genesco Inc.

 

GCO

 

371532102

 

6/23/2004

 

C

 

Y

 

F

 

F

 

Election of nominees

 

15


SIGNATURES

 

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

 

Pacific Global Fund Inc. d/b/a Pacific Advisors Fund Inc.

 

By:

/s/ George A. Henning

 

George A. Henning

 

Chairman, Pacific Advisors Fund Inc.

 

Date:       August 31, 2004

 

 

 

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