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: 811-8194
FINANCIAL INVESTORS TRUST
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
JoEllen L. Legg, Esq.
Financial Investors Trust
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: April 30
Date of reporting period: July 1, 2011 - June 30, 2012
Item 1 – Proxy Voting Record.
ALPS/RED ROCKS LISTED PRIVATE EQUITY FUND
Meeting A brief identification of the matter With or
Company Name Ticker CUSIP Date voted on Proposed By Voted Vote Cast Against
--------------------- ------- ---------- --------- ------------------------------------ ----------- ----- --------- --------
GIMV GIMB B4567G117 19-Jul-11 Discuss and Approve Merger Management No Do Not N/A
Proposal Re: VIM Vote
GIMV GIMB B4567G117 19-Jul-11 Discuss and Approve Merger Management No Do Not N/A
Proposal Re: VIM Vote
GIMV GIMB B4567G117 19-Jul-11 Receive Announcements on Management No
Potential Modifications of
Assets and Liabilities of
Company to Be Absorbed
Since Introduction of the
Merger Project
GIMV GIMB B4567G117 19-Jul-11 Receive Announcements on Management No
Potential Modifications of
Assets and Liabilities of
Company to Be Absorbed
Since Introduction of the
Merger Project
GIMV GIMB B4567G117 19-Jul-11 Approve Merger by Management No Do Not N/A
Absorption Re: VIM Vote
GIMV GIMB B4567G117 19-Jul-11 Approve Merger by Management No Do Not N/A
Absorption Re: VIM Vote
GIMV GIMB B4567G117 19-Jul-11 Authorize Implementation of Management No Do Not N/A
Approved Resolutions and Vote
Filing of Required
Documents/Formalities at
Trade Registry
GIMV GIMB B4567G117 19-Jul-11 Authorize Implementation of Management No Do Not N/A
Approved Resolutions and Vote
Filing of Required
Documents/Formalities at
Trade Registry
Intermediate Capital ICP G4807D101 19-Jul-11 Accept Financial Statements Management Yes For With
Group plc and Statutory Reports
Intermediate Capital ICP G4807D101 19-Jul-11 Approve Remuneration Management Yes For With
Group plc Report
Intermediate Capital ICP G4807D101 19-Jul-11 Approve Final Dividend Management Yes For With
Group plc
Intermediate Capital ICP G4807D101 19-Jul-11 Reappoint Deloitte LLP as Management Yes For With
Group plc Auditors
Intermediate Capital ICP G4807D101 19-Jul-11 Authorise Board to Fix Management Yes For With
Group plc Remuneration of Auditors
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect James Nelson as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Tom Attwood as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Justin Dowley as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Christophe Evain as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Jean-Daniel Camus Management Yes For With
Group plc as Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Philip Keller as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Peter Gibbs as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Francois de Mitry as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Re-elect Kevin Parry as Management Yes For With
Group plc Director
Intermediate Capital ICP G4807D101 19-Jul-11 Authorise Issue of Equity Management Yes For With
Group plc with Pre-emptive Rights
Intermediate Capital ICP G4807D101 19-Jul-11 Authorise Issue of Equity Management Yes For With
Group plc without Pre-emptive Rights
Intermediate Capital ICP G4807D101 19-Jul-11 Authorise Market Purchase Management Yes For With
Group plc
Intermediate Capital ICP G4807D101 19-Jul-11 Authorise the Company to Management Yes For With
Group plc Call EGM with Two Weeks'
Notice
GP Investments Ltd GPIV11 G4035L107 28-Jul-11 Elect Chairman of the Management Yes For With
Meeting
GP Investments Ltd GPIV11 G4035L107 28-Jul-11 Confirm Meeting Notice Management Yes For With
GP Investments Ltd GPIV11 G4035L107 28-Jul-11 Amend Bylaws Re: Dividend Management Yes Against Against
Policy
GP Investments Ltd GPIV11 G4035L107 28-Jul-11 Transact Other Business Management Yes Against Against
Marfin Investment MIG X5188E106 26-Sep-11 Approve Reverse Stock Split Management Yes For With
Group Holdings SA
Marfin Investment MIG X5188E106 26-Sep-11 Amend Articles: Board- Management Yes For With
Group Holdings SA Related
Marfin Investment MIG X5188E106 26-Sep-11 Authorize Board to Decide Share Yes Against Against
Group Holdings SA on the Listing of Convertible Holder
Bonds on Athens Stock
Exchange
Marfin Investment MIG X5188E106 24-Oct-11 Authorize Board to Decide Share Yes Against Against
Group Holdings SA on the Listing of Convertible Holder
Bonds on Athens Stock
Exchange
Orkla ASA R67787102 03-Nov-11 Approve Special Dividend of Management No Do Not N/A
NOK 5.00 per Share Vote
Pantheon PIN G6889N139 22-Nov-11 Accept Financial Statements Management Yes For With
International and Statutory Reports
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Approve Remuneration Management Yes For With
International Report
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Sanction the Passing and Management Yes For With
International Implementation of
Participations plc Resolution 12 Set Out in the
Notice Dated 4th October
2011 Convening an Annual
General Meeting of the
Company for 22nd
November 2011
Pantheon PIN G6889N139 22-Nov-11 Re-elect Richard Crowder as Management Yes For With
International Director
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Re-elect Peter Readman as Management Yes For With
International Director
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Re-elect Rhoddy Swire as Management Yes For With
International Director
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Reappoint Grant Thornton Management Yes For With
International UK LLP as Auditors
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Authorise Board to Fix Management Yes For With
International Remuneration of Auditors
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Authorise Issue of Equity Management Yes For With
International with Pre-emptive Rights
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Authorise Issue of Equity Management Yes For With
International without Pre-emptive Rights
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Authorise Market Purchase Management Yes For With
International
Participations plc
Pantheon PIN G6889N139 22-Nov-11 Authorise the Company to Management Yes For With
International Call EGM with Two Weeks'
Participations plc Notice
Pantheon PIN G6889N139 22-Nov-11 Amend Articles of Management Yes For With
International Association Re: Redeemable
Participations plc Shares
Remgro Ltd REM S6873K106 24-Nov-11 Accept Financial Statements Management Yes For With
and Statutory Reports for the
Year Ended 30 June 2011
Remgro Ltd REM S6873K106 24-Nov-11 Reappoint Management Yes For With
PricewaterhouseCoopers Inc
as Auditors of the Company
and C J Matthee as the
Individual Registered
Auditor
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect P E Beyers as Management Yes For With
Director
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect W E Buhrmann as Director Management Yes For With
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect L Crouse as Director Management Yes For With
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect E de la H Hertzog as Management Yes For With
Director
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect P K Harris as Director Management Yes For With
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect M M Morobe as Director Management Yes For With
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect N P Mageza as Member of Management Yes For With
the Audit and Risk Committee
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect P J Moleketi as Member of Management Yes For With
the Audit and Risk Committee
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect F Robertson as Member of Management Yes For With
the Audit and Risk Committee
Remgro Ltd REM S6873K106 24-Nov-11 Re-elect H Wessels as Member of Management Yes For With
the Audit and Risk Committee
Remgro Ltd REM S6873K106 24-Nov-11 Approve Remuneration of Directors Management Yes For With
Remgro Ltd REM S6873K106 24-Nov-11 Authorise Repurchase of Up to 20 Management Yes For With
Percent of Issued Share Capital
Remgro Ltd REM S6873K106 24-Nov-11 Authorise Company to Enter into Management Yes For With
Derivative Transactions
Remgro Ltd REM S6873K106 24-Nov-11 Approve Financial Assistance to Management Yes For With
Related or Inter-related Companies
or Corporations
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Receive Special Board Report Management No
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Receive Special Board Report Management No
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Authorize Board to Issue Shares in Management No Do Not N/A
the Event of a Public Tender Offer or Vote
Share Exchange Offer and Renew
Authorization to Increase Share
Capital within the Framework of
Authorized Capital
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Authorize Board to Issue Shares in Management No Do Not N/A
the Event of a Public Tender Offer or Vote
Share Exchange Offer and Renew
Authorization to Increase Share
Capital within the Framework of
Authorized Capital
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Authorize Board to Repurchase Management No Do Not N/A
Shares in the Event of a Serious and Vote
Imminent Harm and Under Normal
Conditions
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Authorize Board to Repurchase Management No Do Not N/A
Shares in the Event of a Serious and Vote
Imminent Harm and Under Normal
Conditions
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Amend Articles 11 and 20 Management No Do Not N/A
Vote
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Amend Articles 11 and 20 Management No Do Not N/A
Vote
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Amend Articles 30,31,32, and 36 Re: Management No Do Not N/A
Shareholder Rights Act Vote
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Amend Articles 30,31,32, and 36 Re: Management No Do Not N/A
Shareholder Rights Act Vote
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Amend Articles 23 and 25 Management No Do Not N/A
Vote
Ackermans & Van Haaren ACKB B01165156 25-Nov-11 Amend Articles 23 and 25 Management No Do Not N/A
Vote
LMS Capital plc LMS G5549E109 30-Nov-11 Approve Change of Company's Management Yes For With
Investment Policy
LMS Capital plc LMS G5549E109 30-Nov-11 Approve Managed Wind-down of Share Yes Against
the Company Holder
LMS Capital plc LMS G5549E109 30-Nov-11 Consider That Robert Rayne Should Share Yes Against With
Remain on the Board as a Director of Holder
the Company
ARC Capital Holdings Ltd. ARCH G0450H100 31-Jan-12 Amend Articles Re: Shareholder Management Yes For With
Requisition Threshold and Calling of
Annual General Meeting; Approve
Redesignation of Realisation Shares
to Implement Reorganisation; Adopt
the Amended Memorandum and
Articles of Association
Standard Life European SEP G8425X100 02-Feb-12 Accept Financial Statements and Management Yes For With
Private Equity Trust plc Statutory Reports
Standard Life European SEP G8425X100 02-Feb-12 Approve Remuneration Report Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Approve Final Dividend Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Elect Alastair Barbour as Director Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Re-elect Scott Dobbie as Director Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Re-elect Jonathan Taylor as Director Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Re-elect Edmond Warner as Director Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Re-elect David Warnock as Director Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Re-elect Donald Workman as Management Yes For With
Private Equity Trust plc Director
Standard Life European SEP G8425X100 02-Feb-12 Reappoint PricewaterhouseCoopers Management Yes For With
Private Equity Trust plc LLP as Auditors and Authorise Their
Remuneration
Standard Life European SEP G8425X100 02-Feb-12 Approve Scrip Dividend Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Authorise Issue of Equity with Pre- Management Yes For With
Private Equity Trust plc emptive Rights
Standard Life European SEP G8425X100 02-Feb-12 Authorise Issue of Equity without Management Yes For With
Private Equity Trust plc Pre-emptive Rights
Standard Life European SEP G8425X100 02-Feb-12 Authorise Market Purchase Management Yes For With
Private Equity Trust plc
Standard Life European SEP G8425X100 02-Feb-12 Adopt the Amended and Restated Management Yes For With
Private Equity Trust plc Investment Management Agreement
Electra Private Equity plc ELTA G29736108 23-Feb-12 Accept Financial Statements and Management Yes For With
Statutory Reports
Electra Private Equity plc ELTA G29736108 23-Feb-12 Approve Remuneration Report Management Yes For With
Electra Private Equity plc ELTA G29736108 23-Feb-12 Elect Geoffrey Cullinan as Director Management Yes For With
Electra Private Equity plc ELTA G29736108 23-Feb-12 Re-elect Roger Perkin as Director Management Yes For With
Electra Private Equity plc ELTA G29736108 23-Feb-12 Re-elect Michael Walton as Director Management Yes For With
Electra Private Equity plc ELTA G29736108 23-Feb-12 Reappoint PricewaterhouseCoopers Management Yes For With
LLP as Auditors
Electra Private Equity plc ELTA G29736108 23-Feb-12 Authorise Board to Fix Management Yes For With
Remuneration of Auditors
Electra Private Equity plc ELTA G29736108 23-Feb-12 Authorise Market Purchase Management Yes For With
SVG Capital plc SVI G8600D101 20-Mar-12 Adopt New Investment Objective Management Yes For With
and Policy
SVG Capital plc SVI G8600D101 20-Mar-12 Approve Tender Offer Management Yes For With
SVG Capital plc SVI G8600D101 23-Mar-12 Accept Financial Statements and Management Yes For With
Statutory Reports
SVG Capital plc SVI G8600D101 23-Mar-12 Approve Remuneration Report Management Yes For With
SVG Capital plc SVI G8600D101 23-Mar-12 Re-elect Nicholas Ferguson as Management Yes For With
Director
SVG Capital plc SVI G8600D101 23-Mar-12 Re-elect Edgar Koning as Director Management Yes For With
SVG Capital plc SVI G8600D101 23-Mar-12 Re-elect Denis Raeburn as Director Management Yes
SVG Capital plc SVI G8600D101 23-Mar-12 Re-elect Lynn Fordham as Director Management Yes For With
SVG Capital plc SVI G8600D101 23-Mar-12 Re-elect Charles Sinclair as Director Management Yes For With
SVG Capital plc SVI G8600D101 23-Mar-12 Reappoint Ernst & Young LLP as Management Yes For With
Auditors
SVG Capital plc SVI G8600D101 23-Mar-12 Authorise Board to Fix Management Yes For With
Remuneration of Auditors
SVG Capital plc SVI G8600D101 23-Mar-12 Authorise Issue of Equity with Pre- Management Yes For With
emptive Rights
SVG Capital plc SVI G8600D101 23-Mar-12 Authorise the Company to Call EGM Management Yes For With
with Two Weeks' Notice
SVG Capital plc SVI G8600D101 23-Mar-12 Authorise Issue of Equity without Management Yes For With
Pre-emptive Rights
SVG Capital plc SVI G8600D101 23-Mar-12 Authorise Market Purchase Management Yes For With
Altamir Amboise LTA F0261S106 29-Mar-12 Approve Financial Statements and Management Yes For With
Statutory Reports
Altamir Amboise LTA F0261S106 29-Mar-12 Approve Consolidated Financial Management Yes For With
Statements and Statutory Reports
Altamir Amboise LTA F0261S106 29-Mar-12 Approve Allocation of Income and Management Yes For With
Dividends of EUR 0.20 per Share
Altamir Amboise LTA F0261S106 29-Mar-12 Acknowledge Auditors' Special Management Yes For With
Report on Related-Party
Transactions Mentioning the
Absence of New Transactions
Altamir Amboise LTA F0261S106 29-Mar-12 Renew Appointment of Compagnie Management Yes For With
Francaise d Audit as Auditor
Altamir Amboise LTA F0261S106 29-Mar-12 Renew Appointment of Corevise as Management Yes For With
Alternate Auditor
Altamir Amboise LTA F0261S106 29-Mar-12 Reelect Gerard Hascoet as Management Yes For With
Supervisory Board Member
Altamir Amboise LTA F0261S106 29-Mar-12 Reelect Philippe Santini as Management Yes For With
Supervisory Board Member
Altamir Amboise LTA F0261S106 29-Mar-12 Approve Remuneration of Management Yes For With
Supervisory Board Members in the
Aggregate Amount of EUR 135,000
Altamir Amboise LTA F0261S106 29-Mar-12 Authorize Repurchase of Up to 5 Management Yes For With
Percent of Issued Share Capital
Altamir Amboise LTA F0261S106 29-Mar-12 Amend Articles 9,11, 20, 23 of Management Yes For With
Bylaws Re: Identification of
Company Holders, Shareholding
Disclosure Thresholds, Powers of
Supervisory Board, Attendance to
General Meeting
Altamir Amboise LTA F0261S106 29-Mar-12 Amend Article 18 of Bylaws Re: Management Yes For With
Directors Length of Term
Altamir Amboise LTA F0261S106 29-Mar-12 Amend Article 17 of Bylaws Re: Management Yes For With
Remuneration of General Manager
Altamir Amboise LTA F0261S106 29-Mar-12 Amend Article 25 of Bylaws Re: Management Yes For With
Allocation of Income for Company
Managed Funds
Altamir Amboise LTA F0261S106 29-Mar-12 Authorize Filing of Required Management Yes For With
Documents/Other Formalities
Altamir Amboise LTA F0261S106 29-Mar-12 Approve Allocation of Income and Share Yes Against With
Dividends of EUR 1 per Ordinary Holder
Share and EUR 152.73 per
Preference Share
Deutsche Beteiligungs AG DBA D18150116 29-Mar-12 Receive Financial Statements and Management Yes
Statutory Reports for Fiscal
2010/2011 (Non-Voting)
Deutsche Beteiligungs AG DBA D18150116 29-Mar-12 Approve Allocation of Income and Management Yes For With
Ordinary Dividends of EUR 0.40 per
Share, as well as Special Dividends
of EUR 0.40 per Share
Deutsche Beteiligungs AG DBA D18150116 29-Mar-12 Approve Discharge of Management Management Yes For With
Board for Fiscal 2010/2011
Deutsche Beteiligungs AG DBA D18150116 29-Mar-12 Approve Discharge of Supervisory Management Yes For With
Board for Fiscal 2010/2011
Deutsche Beteiligungs AG DBA D18150116 29-Mar-12 Ratify KPMG AG as Auditors for Management Yes For With
Fiscal 2011/2012
Schouw & Co. SCHO K86111166 11-Apr-12 Receive Report of Board Management Yes With
Schouw & Co. SCHO K86111166 11-Apr-12 Receive and Approve Financial Management Yes For With
Statements and Statutory Report;
Approve Discharge of Directors
Schouw & Co. SCHO K86111166 11-Apr-12 Approve Allocation of Income Management Yes For With
Schouw & Co. SCHO K86111166 11-Apr-12 Authorize Repurchase of up to 20 Management Yes For With
Percent of Share Capital
Schouw & Co. SCHO K86111166 11-Apr-12 Approve Creation of DKK 40.0 Management Yes For With
Million Pool of Capital without
Preemptive Rights
Schouw & Co. SCHO K86111166 11-Apr-12 Amend Articles Re: Editorial Management Yes For With
Amendments
Schouw & Co. SCHO K86111166 11-Apr-12 Reelect Erling Eskildsen and Erling Management Yes For With
Lindahl as Directors; Elect Agnete
Raaschou-Nielsen as New Director
Schouw & Co. SCHO K86111166 11-Apr-12 Ratify KPMG as Auditors Management Yes For With
Schouw & Co. SCHO K86111166 11-Apr-12 Authorize Chairman of Meeting to Management Yes For With
Make Editorial Changes to Adopted
Resolutions in Connection with
Registration
Schouw & Co. SCHO K86111166 11-Apr-12 Other Business Management Yes
Castle Private Equity AG CPEN H12925139 12-Apr-12 Accept Financial Statements and Management Yes For With
Statutory Reports
Castle Private Equity AG CPEN H12925139 12-Apr-12 Approve Allocation of Income and Management Yes For With
Omission of Dividends
Castle Private Equity AG CPEN H12925139 12-Apr-12 Approve Discharge of Board and Management Yes For With
Senior Management
Castle Private Equity AG CPEN H12925139 12-Apr-12 Approve CHF 7.5 Million Reduction Management Yes For With
in Share Capital via Cancellation of
Repurchased Shares
Castle Private Equity AG CPEN H12925139 12-Apr-12 Authorize Repurchase of up to Ten Management Yes For With
Percent of Issued Share Capital
Castle Private Equity AG CPEN H12925139 12-Apr-12 Amend Articles Re: Investment Management Yes For With
Objective and Policy
Castle Private Equity AG CPEN H12925139 12-Apr-12 Reduce Maximum Allowable Size of Share Yes Against With
Board from Nine Members to Five Holder
Members
Castle Private Equity AG CPEN H12925139 12-Apr-12 Reelect Gilbert Chalk as Director Management Yes For With
Castle Private Equity AG CPEN H12925139 12-Apr-12 Reelect Konrad Baechinger as Management Yes For With
Director
Castle Private Equity AG CPEN H12925139 12-Apr-12 Reelect Marcel Erni as Director Management Yes For With
Castle Private Equity AG CPEN H12925139 12-Apr-12 Reelect Joerg-Peter Luehmann as Management Yes For With
Director
Castle Private Equity AG CPEN H12925139 12-Apr-12 Reelect Heinz Nipp as Director Management Yes For With
Castle Private Equity AG CPEN H12925139 12-Apr-12 Elect Thomas Amstutz as Director Share Yes Against With
Holder
Castle Private Equity AG CPEN H12925139 12-Apr-12 Elect Roland Mueller-Ineichen as Share Yes Against With
Director Holder
Castle Private Equity AG CPEN H12925139 12-Apr-12 Elect James Pluhar as Director Share Yes Against With
Holder
Castle Private Equity AG CPEN H12925139 12-Apr-12 Elect William Wall as Director Share Yes Against With
Holder
Castle Private Equity AG CPEN H12925139 12-Apr-12 Elect Robert Knapp as Director Share Yes Against With
Holder
Castle Private Equity AG CPEN H12925139 12-Apr-12 Ratify PricewaterhouseCoopers AG Management Yes For With
as Auditors
Ratos AB RATO B W72177111 18-Apr-12 Open Meeting; Elect Olof Management Yes For With
Stenhammar as Chairman of
Meeting
Ratos AB RATO B W72177111 18-Apr-12 Prepare and Approve List of Management Yes For With
Shareholders
Ratos AB RATO B W72177111 18-Apr-12 Designate Inspector(s) of Minutes of Management Yes For With
Meeting
Ratos AB RATO B W72177111 18-Apr-12 Acknowledge Proper Convening of Management Yes For With
Meeting
Ratos AB RATO B W72177111 18-Apr-12 Approve Agenda of Meeting Management Yes For With
Ratos AB RATO B W72177111 18-Apr-12 Receive President's Report Management Yes
Ratos AB RATO B W72177111 18-Apr-12 Receive Financial Statements and Management Yes
Statutory Reports; Receive Auditor's
Report; Receive Auditor's Report on
Guidelines for Remuneration of
Executive Management
Ratos AB RATO B W72177111 18-Apr-12 Allow Questions Management Yes
Ratos AB RATO B W72177111 18-Apr-12 Approve Financial Statements and Management Yes For With
Statutory Reports
Ratos AB RATO B W72177111 18-Apr-12 Approve Discharge of Board and Management Yes For With
CEO
Ratos AB RATO B W72177111 18-Apr-12 Approve Allocation of Income and Management Yes For With
Dividends of SEK 5.50 per Share;
Approve April 23, 2012, as Record
Date for Dividend Payment
Ratos AB RATO B W72177111 18-Apr-12 Determine Number of Members (7) Management Yes For With
and Deputy Members (0) of Board
Ratos AB RATO B W72177111 18-Apr-12 Approve Remuneration of Directors Management Yes For With
in the Amount of SEK 1.0 Million
for Chairman and SEK 450,000 for
Other Directors; Approve
Remuneration for Committee Work;
Approve Remuneration of Auditors
Ratos AB RATO B W72177111 18-Apr-12 Reelect Lars Berg, Staffan Bohman, Management Yes For With
Arne Karlsson (Chairman), Annette
Sadolin, Jan Soderberg, Per-Olof
Soderberg and Margareth Ovrum as
Directors; Ratify
PricewaterhouseCoopers as Auditors
Ratos AB RATO B W72177111 18-Apr-12 Authorize Chairman of Board and Management Yes For With
Representatives of Four of
Company's Largest Shareholders to
Serve on Nominating Committee
Ratos AB RATO B W72177111 18-Apr-12 Approve Remuneration Policy And Management Yes For With
Other Terms of Employment For
Executive Management
Ratos AB RATO B W72177111 18-Apr-12 Approve Stock Option Plan for Key Management Yes For With
Employees
Ratos AB RATO B W72177111 18-Apr-12 Approve Phantom Stock Option Plan Management Yes For With
for Key Employees
Ratos AB RATO B W72177111 18-Apr-12 Approve Transfer of up to 16,000 Management Yes For With
Class B Shares in Connection with
Variable Pay
Ratos AB RATO B W72177111 18-Apr-12 Authorize Share Repurchase Management Yes For With
Program
Ratos AB RATO B W72177111 18-Apr-12 Approve Issuance of up to 35 Management Yes For With
Million Class B Shares without
Preemptive Rights
Ratos AB RATO B W72177111 18-Apr-12 Other Business Management Yes
Ratos AB RATO B W72177111 18-Apr-12 Close Meeting Management Yes
Bure Equity AB BURE W72479103 25-Apr-12 Open Meeting Management No
Bure Equity AB BURE W72479103 25-Apr-12 Elect Chairman of Meeting Management No For With
Bure Equity AB BURE W72479103 25-Apr-12 Prepare and Approve List of Management No For With
Shareholders
Bure Equity AB BURE W72479103 25-Apr-12 Approve Agenda of Meeting Management No For With
Bure Equity AB BURE W72479103 25-Apr-12 Designate Inspector(s) of Minutes of Management No For With
Meeting
Bure Equity AB BURE W72479103 25-Apr-12 Acknowledge Proper Convening of Management No For With
Meeting
Bure Equity AB BURE W72479103 25-Apr-12 Receive President's Report Management No
Bure Equity AB BURE W72479103 25-Apr-12 Receive Financial Statements and Management No
Statutory Reports
Bure Equity AB BURE W72479103 25-Apr-12 Approve Financial Statements and Management No For With
Statutory Reports
Bure Equity AB BURE W72479103 25-Apr-12 Approve Allocation of Income and Management No For With
Dividends of SEK 0.30 per Share
Bure Equity AB BURE W72479103 25-Apr-12 Approve Discharge of Board and Management No For With
President
Bure Equity AB BURE W72479103 25-Apr-12 Determine Number of Members (6) Management No For With
and Deputy Members (0) of Board
Bure Equity AB BURE W72479103 25-Apr-12 Approve Remuneration of Directors Management No For With
in the Amount of SEK 575,000 for
Chairman, and SEK 225,000 for
Other Directors
Bure Equity AB BURE W72479103 25-Apr-12 Reelect Bjorn Bjornsson (Chairman), Management No For With
Hakan Larsson, Carl Bjorkman, Eva
Gidlof, and Mathias Uhlen as
Directors; Elect Hans Biorck as New
Director
Bure Equity AB BURE W72479103 25-Apr-12 Ratify PricewaterhouseCoopers as Management No For With
Auditors
Bure Equity AB BURE W72479103 25-Apr-12 Approve Remuneration of Auditors Management No For With
Bure Equity AB BURE W72479103 25-Apr-12 Authorize Chairman of Board and Management No For With
Representatives of Three of
Company's Largest Shareholders to
Serve on Nominating Committee
Bure Equity AB BURE W72479103 25-Apr-12 Approve Remuneration Policy And Management No For With
Other Terms of Employment For
Executive Management
Bure Equity AB BURE W72479103 25-Apr-12 Approve Stock Option Plan for Key Management No Against Against
Employees; Approve Creation of
SEK 9.9 Million Pool of Capital to
Guarantee Conversion Rights
Bure Equity AB BURE W72479103 25-Apr-12 Authorize Share Repurchase Management No For With
Program
Bure Equity AB BURE W72479103 25-Apr-12 Approve SEK 24.9 Million Management No For With
Reduction In Share Capital via Share
Cancellation; Approve Capitalization
of Reserves of SEK 24.9 Million for
a Bonus Issue
Bure Equity AB BURE W72479103 25-Apr-12 Close Meeting Management No
IP Group plc IPO G49348116 02-May-12 Accept Financial Statements and Management Yes For With
Statutory Reports
IP Group plc IPO G49348116 02-May-12 Approve Remuneration Report Management Yes For With
IP Group plc IPO G49348116 02-May-12 Reappoint BDO LLP as Auditors Management Yes For With
IP Group plc IPO G49348116 02-May-12 Authorise Board to Fix Management Yes For With
Remuneration of Auditors
IP Group plc IPO G49348116 02-May-12 Re-elect Alan Aubrey as Director Management Yes For With
IP Group plc IPO G49348116 02-May-12 Re-elect Dr Bruce Smith as Director Management Yes For With
IP Group plc IPO G49348116 02-May-12 Re-elect Francis Carpenter as Management Yes For With
Director
IP Group plc IPO G49348116 02-May-12 Re-elect Graham Richards as Management Yes For With
Director
IP Group plc IPO G49348116 02-May-12 Re-elect Dr Alison Fielding as Management Yes For With
Director
IP Group plc IPO G49348116 02-May-12 Re-elect Michael Townend as Management Yes For With
Director
IP Group plc IPO G49348116 02-May-12 Elect Jonathan Brooks as Director Management Yes For With
IP Group plc IPO G49348116 02-May-12 Elect Michael Humphrey as Director Management Yes For With
IP Group plc IPO G49348116 02-May-12 Elect Gregory Smith as Director Management Yes For With
IP Group plc IPO G49348116 02-May-12 Elect Charles Winward as Director Management Yes For With
IP Group plc IPO G49348116 02-May-12 Authorise Issue of Equity with Pre- Management Yes For With
emptive Rights
IP Group plc IPO G49348116 02-May-12 Authorise Issue of Equity without Management Yes For With
Pre-emptive Rights
IP Group plc IPO G49348116 02-May-12 Approve EU Political Donations and Management Yes For With
Expenditure
IP Group plc IPO G49348116 02-May-12 Authorise Market Purchase Management Yes For With
IP Group plc IPO G49348116 02-May-12 Authorise the Company to Call EGM Management Yes For With
with Two Weeks' Notice
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Marcel R. Coutu Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Maureen Kempston Management Yes For With
Management Inc. Darkes
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Lance Liebman Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Frank J. McKenna Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Jack M. Mintz Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Youssef A. Nasr Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director James A. Pattison Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Elect Director Diana L. Taylor Management Yes For With
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Approve Deloitte & Touche LLP as Management Yes For With
Management Inc. Auditors and Authorize Board to Fix
Their Remuneration
Brookfield Asset BAM.A 112585104 10-May-12 Approve Share Option Plan Management Yes Against Against
Management Inc.
Brookfield Asset BAM.A 112585104 10-May-12 Advisory Vote on Executive Management Yes For With
Management Inc. Compensation Approach
HgCapital Trust plc HGT G4441G106 10-May-12 Accept Financial Statements and Management Yes For With
Statutory Reports
HgCapital Trust plc HGT G4441G106 10-May-12 Approve Remuneration Report Management Yes For With
HgCapital Trust plc HGT G4441G106 10-May-12 Approve Final Dividend Management Yes For With
HgCapital Trust plc HGT G4441G106 10-May-12 Re-elect Roger Mountford as Management Yes For With
Director
HgCapital Trust plc HGT G4441G106 10-May-12 Re-elect Peter Gale as Director Management Yes For With
HgCapital Trust plc HGT G4441G106 10-May-12 Re-elect Piers Brooke as Director Management Yes For With
HgCapital Trust plc HGT G4441G106 10-May-12 Reappoint Deloitte LLP as Auditors Management Yes For With
HgCapital Trust plc HGT G4441G106 10-May-12 Authorise Board to Fix Management Yes For With
Remuneration of Auditors
HgCapital Trust plc HGT G4441G106 10-May-12 Authorise Market Purchase Management Yes For With
HgCapital Trust plc HGT G4441G106 10-May-12 Authorise Issue of Equity with Pre- Management Yes For With
emptive Rights
HgCapital Trust plc HGT G4441G106 10-May-12 Authorise Issue of Equity without Management Yes For With
Pre-emptive Rights
HgCapital Trust plc HGT G4441G106 10-May-12 Authorise the Company to Call EGM Management Yes For With
with Two Weeks' Notice
Onex Corporation OCX 68272K103 10-May-12 Ratify PricewaterhouseCoopers LLP Management Yes For With
as Auditors
Onex Corporation OCX 68272K103 10-May-12 Authorize Board to Fix Management Yes For With
Remuneration of Auditors
Onex Corporation OCX 68272K103 10-May-12 Elect William A. Etherington, Peter Management Yes Withhold Against
C. Godsoe, Serge Gouin, and Arni C.
Thorsteinson as Directors
Eurazeo RF F3296A108 11-May-12 Approve Financial Statements and Management No For With
Statutory Reports
Eurazeo RF F3296A108 11-May-12 Approve Financial Statements and Management Yes For With
Statutory Reports
Eurazeo RF F3296A108 11-May-12 Approve Financial Statements and Management Yes For With
Statutory Reports
Eurazeo RF F3296A108 11-May-12 Approve Allocation of Income and Management Yes For With
Dividends of EUR 1.20 per Share
Eurazeo RF F3296A108 11-May-12 Approve Allocation of Income and Management No For With
Dividends of EUR 1.20 per Share
Eurazeo RF F3296A108 11-May-12 Approve Allocation of Income and Management Yes For With
Dividends of EUR 1.20 per Share
Eurazeo RF F3296A108 11-May-12 Approve Consolidated Financial Management Yes For With
Statements and Statutory Reports
Eurazeo RF F3296A108 11-May-12 Approve Consolidated Financial Management No For With
Statements and Statutory Reports
Eurazeo RF F3296A108 11-May-12 Approve Consolidated Financial Management Yes For With
Statements and Statutory Reports
Eurazeo RF F3296A108 11-May-12 Approve Auditors' Special Report Management No Against Against
on Related-Party Transactions
Eurazeo RF F3296A108 11-May-12 Approve Auditors' Special Report Management Yes Against Against
on Related-Party Transactions
Eurazeo RF F3296A108 11-May-12 Approve Auditors' Special Report Management Yes Against Against
on Related-Party Transactions
Eurazeo RF F3296A108 11-May-12 Reelect Richard Goblet d Alviella as Management No Against Against
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Richard Goblet d Alviella as Management Yes Against Against
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Richard Goblet d Alviella as Management Yes Against Against
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Roland du Luart as Management No For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Roland du Luart as Management Yes For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Roland du Luart as Management Yes For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Georges Pauget as Management Yes For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Georges Pauget as Management No For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Reelect Georges Pauget as Management Yes For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Ratify Appointment of Michel Management No For With
Mathieu as Supervisory Board
Member
Eurazeo RF F3296A108 11-May-12 Ratify Appointment of Michel Management Yes For With
Mathieu as Supervisory Board
Member
Eurazeo RF F3296A108 11-May-12 Ratify Appointment of Michel Management Yes For With
Mathieu as Supervisory Board
Member
Eurazeo RF F3296A108 11-May-12 Elect Victoire de Margerie as Management No For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Elect Victoire de Margerie as Management Yes For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Elect Victoire de Margerie as Management Yes For With
Supervisory Board Member
Eurazeo RF F3296A108 11-May-12 Authorize Repurchase of Up to 10 Management No Against Against
Percent of Issued Share Capital
Eurazeo RF F3296A108 11-May-12 Authorize Repurchase of Up to 10 Management Yes Against Against
Percent of Issued Share Capital
Eurazeo RF F3296A108 11-May-12 Authorize Repurchase of Up to 10 Management Yes Against Against
Percent of Issued Share Capital
Eurazeo RF F3296A108 11-May-12 Approve Reduction in Share Capital Management Yes For With
via Cancellation of Repurchased
Shares
Eurazeo RF F3296A108 11-May-12 Approve Reduction in Share Capital Management Yes For With
via Cancellation of Repurchased
Shares
Eurazeo RF F3296A108 11-May-12 Approve Reduction in Share Capital Management No For With
via Cancellation of Repurchased
Shares
Eurazeo RF F3296A108 11-May-12 Authorize Capitalization of Reserves Management Yes For With
of Up to EUR 1.7 Billion for Bonus
Issue or Increase in Par Value
Eurazeo RF F3296A108 11-May-12 Authorize Capitalization of Reserves Management Yes For With
of Up to EUR 1.7 Billion for Bonus
Issue or Increase in Par Value
Eurazeo RF F3296A108 11-May-12 Authorize Capitalization of Reserves Management No For With
of Up to EUR 1.7 Billion for Bonus
Issue or Increase in Par Value
Eurazeo RF F3296A108 11-May-12 Authorize Issuance of Equity or Management No Against Against
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 150
Million
Eurazeo RF F3296A108 11-May-12 Authorize Issuance of Equity or Management Yes Against Against
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 150
Million
Eurazeo RF F3296A108 11-May-12 Authorize Issuance of Equity or Management Yes Against Against
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 150
Million
Eurazeo RF F3296A108 11-May-12 Authorize Issuance of Equity or Management No Against Against
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100
Million
Eurazeo RF F3296A108 11-May-12 Authorize Issuance of Equity or Management Yes Against Against
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100
Million
Eurazeo RF F3296A108 11-May-12 Authorize Issuance of Equity or Management Yes Against Against
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100
Million
Eurazeo RF F3296A108 11-May-12 Approve Issuance of Shares up to 20 Management No Against Against
Percent of Issued Capital Per Year
for a Private Placement
Eurazeo RF F3296A108 11-May-12 Approve Issuance of Shares up to 20 Management Yes Against Against
Percent of Issued Capital Per Year
for a Private Placement
Eurazeo RF F3296A108 11-May-12 Approve Issuance of Shares up to 20 Management Yes Against Against
Percent of Issued Capital Per Year
for a Private Placement
Eurazeo RF F3296A108 11-May-12 Authorize Board to Set Issue Price Management No Against Against
for 10 Percent Per Year of Issued
Capital Pursuant to Issue Authority
without Preemptive Rights
Eurazeo RF F3296A108 11-May-12 Authorize Board to Set Issue Price Management Yes Against Against
for 10 Percent Per Year of Issued
Capital Pursuant to Issue Authority
without Preemptive Rights
Eurazeo RF F3296A108 11-May-12 Authorize Board to Set Issue Price Management Yes Against Against
for 10 Percent Per Year of Issued
Capital Pursuant to Issue Authority
without Preemptive Rights
Eurazeo RF F3296A108 11-May-12 Authorize Board to Increase Capital Management Yes Against Against
in the Event of Additional Demand
Related to Delegation Submitted to
Shareholder Vote Above
Eurazeo RF F3296A108 11-May-12 Authorize Board to Increase Capital Management No Against Against
in the Event of Additional Demand
Related to Delegation Submitted to
Shareholder Vote Above
Eurazeo RF F3296A108 11-May-12 Authorize Board to Increase Capital Management Yes Against Against
in the Event of Additional Demand
Related to Delegation Submitted to
Shareholder Vote Above
Eurazeo RF F3296A108 11-May-12 Authorize Capital Increase of up to Management No Against Against
10 Percent of Issued Capital for
Future Acquisitions
Eurazeo RF F3296A108 11-May-12 Authorize Capital Increase of up to Management Yes Against Against
10 Percent of Issued Capital for
Future Acquisitions
Eurazeo RF F3296A108 11-May-12 Authorize Capital Increase of up to Management Yes Against Against
10 Percent of Issued Capital for
Future Acquisitions
Eurazeo RF F3296A108 11-May-12 Set Total Limit for Capital Increase Management No Against Against
to Result from All Issuance Requests
under Items 13 to 18 at EUR 150
Million
Eurazeo RF F3296A108 11-May-12 Set Total Limit for Capital Increase Management Yes Against Against
to Result from All Issuance Requests
under Items 13 to 18 at EUR 150
Million
Eurazeo RF F3296A108 11-May-12 Set Total Limit for Capital Increase Management Yes Against Against
to Result from All Issuance Requests
under Items 13 to 18 at EUR 150
Million
Eurazeo RF F3296A108 11-May-12 Approve Employee Stock Purchase Management No For With
Plan
Eurazeo RF F3296A108 11-May-12 Approve Employee Stock Purchase Management Yes For With
Plan
Eurazeo RF F3296A108 11-May-12 Approve Employee Stock Purchase Management Yes For With
Plan
Eurazeo RF F3296A108 11-May-12 Authorize Board to Issue Free Management Yes Against Against
Warrants with Preemptive Rights
During a Public Tender Offer
Eurazeo RF F3296A108 11-May-12 Authorize Board to Issue Free Management No Against Against
Warrants with Preemptive Rights
During a Public Tender Offer
Eurazeo RF F3296A108 11-May-12 Authorize Board to Issue Free Management Yes Against Against
Warrants with Preemptive Rights
During a Public Tender Offer
Eurazeo RF F3296A108 11-May-12 Authorize up to 1 Percent of Issued Management No Against Against
Capital for Use in Restricted Stock
Plan
Eurazeo RF F3296A108 11-May-12 Authorize up to 1 Percent of Issued Management Yes Against Against
Capital for Use in Restricted Stock
Plan
Eurazeo RF F3296A108 11-May-12 Authorize up to 1 Percent of Issued Management Yes Against Against
Capital for Use in Restricted Stock
Plan
Eurazeo RF F3296A108 11-May-12 Authorize Filing of Required Management Yes For With
Documents/Other Formalities
Eurazeo RF F3296A108 11-May-12 Authorize Filing of Required Management No For With
Documents/Other Formalities
Eurazeo RF F3296A108 11-May-12 Authorize Filing of Required Management Yes For With
Documents/Other Formalities
Leucadia National LUK 527288104 15-May-12 Elect Director Ian M. Cumming Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Elect Director Paul M. Dougan Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Elect Director Alan J. Hirschfield Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Elect Director James E. Jordan Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Elect Director Jeffrey C. Keil Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Elect Director Jesse Clyde Nichols, Management Yes For With
Corporation III
Leucadia National LUK 527288104 15-May-12 Elect Director Michael Sorkin Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Elect Director Joseph S. Steinberg Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Advisory Vote to Ratify Named Management Yes Against Against
Corporation Executive Officers' Compensation
Leucadia National LUK 527288104 15-May-12 Ratify Auditors Management Yes For With
Corporation
Leucadia National LUK 527288104 15-May-12 Other Business Management Yes Against Against
Corporation
Candover Investments plc CDI G18200108 16-May-12 Accept Financial Statements and Management Yes For With
Statutory Reports
Candover Investments plc CDI G18200108 16-May-12 Approve Remuneration Report Management Yes For With
Candover Investments plc CDI G18200108 16-May-12 Re-elect Richard Stone as Director Management Yes For With
Candover Investments plc CDI G18200108 16-May-12 Re-elect Jan Oosterveld as Director Management Yes For With
Candover Investments plc CDI G18200108 16-May-12 Elect Scott Longhurst as Director Management Yes For With
Candover Investments plc CDI G18200108 16-May-12 Reappoint Grant Thornton UK LLP Management Yes For With
as Auditors
Candover Investments plc CDI G18200108 16-May-12 Authorise Board to Fix Management Yes For With
Remuneration of Auditors
Candover Investments plc CDI G18200108 16-May-12 Authorise Issue of Equity with Pre- Management Yes For With
emptive Rights
Candover Investments plc CDI G18200108 16-May-12 Authorise Issue of Equity without Management Yes For With
Pre-emptive Rights
Candover Investments plc CDI G18200108 16-May-12 Authorise Market Purchase Management Yes For With
Candover Investments plc CDI G18200108 16-May-12 Authorise the Company to Call EGM Management Yes For With
with Two Weeks' Notice
Candover Investments plc CDI G18200108 16-May-12 Amend Articles of Association Management Yes For With
Princess Private Equity PEY1 G72442117 16-May-12 Accept Financial Statements and Management Yes For With
Holding Ltd Statutory Reports
Princess Private Equity PEY1 G72442117 16-May-12 Approve PricewaterhouseCoopers CI Management Yes For With
Holding Ltd LLP as Auditors and Authorize
Board to Fix Their Remuneration
Princess Private Equity PEY1 G72442117 16-May-12 Reelect Urs Wietlisbach as a Management Yes Against Against
Holding Ltd Director
Princess Private Equity PEY1 G72442117 16-May-12 Reelect Andreas Billmaier as a Management Yes Against Against
Holding Ltd Director
Princess Private Equity PEY1 G72442117 16-May-12 Reelect Richard Battey as a Director Management Yes For With
Holding Ltd
Princess Private Equity PEY1 G72442117 16-May-12 Authorize Issuance of Equity or Management Yes Against Against
Holding Ltd Equity-Linked Securities with
Preemptive Rights
Princess Private Equity PEY1 G72442117 16-May-12 Approve Issuance of Equity or Management Yes For With
Holding Ltd Equity-Linked Securities without
Preemptive Rights
Princess Private Equity PEY1 G72442117 16-May-12 Approve Share Repurchase Program Management Yes For With
Holding Ltd
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director Peter J. Boni Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director Julie A. Dobson Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director Andrew E. Lietz Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director George MacKenzie Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director George D. Management Yes For With
Inc. McClelland
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director Jack L. Messman Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director John J. Roberts Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Elect Director Robert J. Rosenthal Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Ratify Auditors Management Yes For With
Inc.
Safeguard Scientifics, SFE 786449207 24-May-12 Advisory Vote to Ratify Named Management Yes For With
Inc. Executive Officers' Compensation
AURELIUS AG AR4 D04986101 25-May-12 Receive Financial Statements and Management Yes
Statutory Reports for Fiscal 2011
(Non-Voting)
AURELIUS AG AR4 D04986101 25-May-12 Approve Allocation of Income and Management Yes For With
Dividends of EUR 2 per Share
AURELIUS AG AR4 D04986101 25-May-12 Approve Discharge of Chairman of Management Yes For With
the Management Board Dirk Markus
for Fiscal 2011
AURELIUS AG AR4 D04986101 25-May-12 Approve Discharge of Management Management Yes For With
Board Member Gert Purkert for
Fiscal 2011
AURELIUS AG AR4 D04986101 25-May-12 Approve Discharge of Management Management Yes For With
Board Member Donatus Albrecht for
Fiscal 2011
AURELIUS AG AR4 D04986101 25-May-12 Approve Discharge of Management Management Yes For With
Board Member Ulrich Radlmayrfor
Fiscal 2011
AURELIUS AG AR4 D04986101 25-May-12 Approve Discharge of Supervisory Management Yes For With
Board for Fiscal 2011
AURELIUS AG AR4 D04986101 25-May-12 Ratify Warth & Klein Grant Management Yes For With
Thornton AG as Auditors for Fiscal
2012
Ackermans & Van Haaren B01165156 29-May-12 Receive Directors' Report Management Yes
Ackermans & Van Haaren B01165156 29-May-12 Receive Directors' Report Management Yes
Ackermans & Van Haaren B01165156 29-May-12 Receive Auditors' Report Management Yes
Ackermans & Van Haaren B01165156 29-May-12 Receive Auditors' Report Management Yes
Ackermans & Van Haaren B01165156 29-May-12 Approve Financial Statements, Management Yes For With
Allocation of Income, and Dividends
of EUR 1.64 per Share
Ackermans & Van Haaren B01165156 29-May-12 Approve Financial Statements, Management Yes For With
Allocation of Income, and Dividends
of EUR 1.64 per Share
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Luc Bertrand Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Luc Bertrand Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Jacques Delen Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Jacques Delen Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Teun Jurgens Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Teun Jurgens Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Pierre Management Yes For With
Macharis
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Pierre Management Yes For With
Macharis
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Julien Management Yes For With
Pestiaux
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Julien Management Yes For With
Pestiaux
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Thierry van Management Yes For With
Baren
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Thierry van Management Yes For With
Baren
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Frederic van Management Yes For With
Haaren
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Frederic van Management Yes For With
Haaren
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Pierre Management Yes For With
Willaert
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Pierre Management Yes For With
Willaert
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Auditors Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Approve Discharge of Auditors Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Reelect Jacques Delen as Director Management Yes Against Against
Ackermans & Van Haaren B01165156 29-May-12 Reelect Jacques Delen as Director Management Yes Against Against
Ackermans & Van Haaren B01165156 29-May-12 Reelect Pierre Macharis as Director Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Reelect Pierre Macharis as Director Management Yes For With
Ackermans & Van Haaren B01165156 29-May-12 Reelect Pierre Willaert as Director Management Yes Against Against
Ackermans & Van Haaren B01165156 29-May-12 Reelect Pierre Willaert as Director Management Yes Against Against
Ackermans & Van Haaren B01165156 29-May-12 Approve Remuneration Report Management Yes Against Against
Ackermans & Van Haaren B01165156 29-May-12 Approve Remuneration Report Management Yes Against Against
Ackermans & Van Haaren B01165156 29-May-12 Allow Questions Management Yes
Ackermans & Van Haaren B01165156 29-May-12 Allow Questions Management Yes
Wendel MF F98370103 04-Jun-12 Approve Financial Statements and Management No For With
Statutory Reports
Wendel MF F98370103 04-Jun-12 Approve Financial Statements and Management Yes For With
Statutory Reports
Wendel MF F98370103 04-Jun-12 Approve Financial Statements and Management Yes For With
Statutory Reports
Wendel MF F98370103 04-Jun-12 Approve Consolidated Financial Management Yes For With
Statements and Statutory Reports
Wendel MF F98370103 04-Jun-12 Approve Consolidated Financial Management Yes For With
Statements and Statutory Reports
Wendel MF F98370103 04-Jun-12 Approve Consolidated Financial Management No For With
Statements and Statutory Reports
Wendel MF F98370103 04-Jun-12 Approve Allocation of Income and Management Yes For With
Dividends of EUR 1.30 per Share
Wendel MF F98370103 04-Jun-12 Approve Allocation of Income and Management Yes For With
Dividends of EUR 1.30 per Share
Wendel MF F98370103 04-Jun-12 Approve Allocation of Income and Management No For With
Dividends of EUR 1.30 per Share
Wendel MF F98370103 04-Jun-12 Subject to Approval of Item 9, Management Yes For With
Approve Special Dividends in Kind
of 1 Legrand Share per 50 Wendel
Shares
Wendel MF F98370103 04-Jun-12 Subject to Approval of Item 9, Management No For With
Approve Special Dividends in Kind
of 1 Legrand Share per 50 Wendel
Shares
Wendel MF F98370103 04-Jun-12 Subject to Approval of Item 9, Management Yes For With
Approve Special Dividends in Kind
of 1 Legrand Share per 50 Wendel
Shares
Wendel MF F98370103 04-Jun-12 Approve Auditors' Special Report Management Yes Against Against
Regarding New Related Party
Transactions
Wendel MF F98370103 04-Jun-12 Approve Auditors' Special Report Management Yes Against Against
Regarding New Related Party
Transactions
Wendel MF F98370103 04-Jun-12 Approve Auditors' Special Report Management No Against Against
Regarding New Related Party
Transactions
Wendel MF F98370103 04-Jun-12 Reelect Francois de Wendel as Management Yes Against Against
Supervisory Board Member
Wendel MF F98370103 04-Jun-12 Reelect Francois de Wendel as Management No Against Against
Supervisory Board Member
Wendel MF F98370103 04-Jun-12 Reelect Francois de Wendel as Management Yes Against Against
Supervisory Board Member
Wendel MF F98370103 04-Jun-12 Reelect Francois de Mitry as Management Yes Against Against
Supervisory Board Member
Wendel MF F98370103 04-Jun-12 Reelect Francois de Mitry as Management No Against Against
Supervisory Board Member
Wendel MF F98370103 04-Jun-12 Reelect Francois de Mitry as Management Yes Against Against
Supervisory Board Member
Wendel MF F98370103 04-Jun-12 Authorize Repurchase of Up to 10 Management Yes For With
Percent of Issued Share Capital
Wendel MF F98370103 04-Jun-12 Authorize Repurchase of Up to 10 Management Yes For With
Percent of Issued Share Capital
Wendel MF F98370103 04-Jun-12 Authorize Repurchase of Up to 10 Management No For With
Percent of Issued Share Capital
Wendel MF F98370103 04-Jun-12 Amend Article 27 of Bylaws Re: Management Yes For With
Allocation of Income
Wendel MF F98370103 04-Jun-12 Amend Article 27 of Bylaws Re: Management Yes For With
Allocation of Income
Wendel MF F98370103 04-Jun-12 Amend Article 27 of Bylaws Re: Management No For With
Allocation of Income
Wendel MF F98370103 04-Jun-12 Authorize Issuance of Equity or Management Yes For With
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100
Million
Wendel MF F98370103 04-Jun-12 Authorize Issuance of Equity or Management Yes For With
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100
Million
Wendel MF F98370103 04-Jun-12 Authorize Issuance of Equity or Management No For With
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100
Million
Wendel MF F98370103 04-Jun-12 Authorize Issuance of Equity or Management Yes Against Against
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 75 Million
and with the Possibility Not to Offer
to the Public
Wendel MF F98370103 04-Jun-12 Authorize Issuance of Equity or Management No Against Against
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 75 Million
and with the Possibility Not to Offer
to the Public
Wendel MF F98370103 04-Jun-12 Authorize Issuance of Equity or Management Yes Against Against
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 75 Million
and with the Possibility Not to Offer
to the Public
Wendel MF F98370103 04-Jun-12 Authorize Board to Increase Capital Management Yes Against Against
in the Event of Additional Demand
Related to Delegation Submitted to
Shareholder Vote
Wendel MF F98370103 04-Jun-12 Authorize Board to Increase Capital Management No Against Against
in the Event of Additional Demand
Related to Delegation Submitted to
Shareholder Vote
Wendel MF F98370103 04-Jun-12 Authorize Board to Increase Capital Management Yes Against Against
in the Event of Additional Demand
Related to Delegation Submitted to
Shareholder Vote
Wendel MF F98370103 04-Jun-12 Authorize Capital Increase of up to Management Yes Against Against
10 Percent of Issued Capital for
Future Acquisitions
Wendel MF F98370103 04-Jun-12 Authorize Capital Increase of up to Management No Against Against
10 Percent of Issued Capital for
Future Acquisitions
Wendel MF F98370103 04-Jun-12 Authorize Capital Increase of up to Management Yes Against Against
10 Percent of Issued Capital for
Future Acquisitions
Wendel MF F98370103 04-Jun-12 Authorize Capitalization of Reserves Management Yes For With
of Up to EUR 100 Million for Bonus
Issue or Increase in Par Value
Wendel MF F98370103 04-Jun-12 Authorize Capitalization of Reserves Management Yes For With
of Up to EUR 100 Million for Bonus
Issue or Increase in Par Value
Wendel MF F98370103 04-Jun-12 Authorize Capitalization of Reserves Management No For With
of Up to EUR 100 Million for Bonus
Issue or Increase in Par Value
Wendel MF F98370103 04-Jun-12 Set Total Limit for Capital Increase Management Yes Against Against
to Result from All Issuance Requests
under Items 10 to 14 at EUR 400
Million
Wendel MF F98370103 04-Jun-12 Set Total Limit for Capital Increase Management No Against Against
to Result from All Issuance Requests
under Items 10 to 14 at EUR 400
Million
Wendel MF F98370103 04-Jun-12 Set Total Limit for Capital Increase Management Yes Against Against
to Result from All Issuance Requests
under Items 10 to 14 at EUR 400
Million
Wendel MF F98370103 04-Jun-12 Approve Employee Stock Purchase Management Yes For With
Plan
Wendel MF F98370103 04-Jun-12 Approve Employee Stock Purchase Management No For With
Plan
Wendel MF F98370103 04-Jun-12 Approve Employee Stock Purchase Management Yes For With
Plan
Wendel MF F98370103 04-Jun-12 Authorize up to 0.9 Percent of Issued Management Yes Against Against
Capital for Use in Stock Option Plan
Wendel MF F98370103 04-Jun-12 Authorize up to 0.9 Percent of Issued Management Yes Against Against
Capital for Use in Stock Option Plan
Wendel MF F98370103 04-Jun-12 Authorize up to 0.9 Percent of Issued Management No Against Against
Capital for Use in Stock Option Plan
Wendel MF F98370103 04-Jun-12 Authorize up to 0.3 Percent of Issued Management Yes Against Against
Capital for Use in Restricted Stock
Plan
Wendel MF F98370103 04-Jun-12 Authorize up to 0.3 Percent of Issued Management Yes Against Against
Capital for Use in Restricted Stock
Plan
Wendel MF F98370103 04-Jun-12 Authorize up to 0.3 Percent of Issued Management No Against Against
Capital for Use in Restricted Stock
Plan
Wendel MF F98370103 04-Jun-12 Authorize Filing of Required Management Yes For With
Documents/Other Formalities
Wendel MF F98370103 04-Jun-12 Authorize Filing of Required Management Yes For With
Documents/Other Formalities
Wendel MF F98370103 04-Jun-12 Authorize Filing of Required Management No For With
Documents/Other Formalities
Graphite Enterprise GPE G4065P101 11-Jun-12 Accept Financial Statements and Management Yes For With
Trust plc Statutory Reports
Graphite Enterprise GPE G4065P101 11-Jun-12 Approve Final Dividend Management Yes For With
Trust plc
Graphite Enterprise GPE G4065P101 11-Jun-12 Elect Lucinda Riches as Director Management Yes For With
Trust plc
Graphite Enterprise GPE G4065P101 11-Jun-12 Re-elect Peter Dicks as Director Management Yes For With
Trust plc
Graphite Enterprise GPE G4065P101 11-Jun-12 Re-elect Michael Cumming as Management Yes For With
Trust plc Director
Graphite Enterprise GPE G4065P101 11-Jun-12 Re-elect Mark Fane as Director Management Yes For With
Trust plc
Graphite Enterprise GPE G4065P101 11-Jun-12 Reappoint PricewaterhouseCoopers Management Yes For With
Trust plc LLP as Auditors and Authorise Their
Remuneration
Graphite Enterprise GPE G4065P101 11-Jun-12 Approve Remuneration Report Management Yes For With
Trust plc
Graphite Enterprise GPE G4065P101 11-Jun-12 Authorise Issue of Equity with Pre- Management Yes For With
Trust plc emptive Rights
Graphite Enterprise GPE G4065P101 11-Jun-12 Authorise Issue of Equity without Management Yes For With
Trust plc Pre-emptive Rights
Graphite Enterprise GPE G4065P101 11-Jun-12 Authorise Market Purchase of Management Yes For With
Trust plc Ordinary Share
Graphite Enterprise GPE G4065P101 11-Jun-12 Authorise the Company to Call EGM Management Yes For With
Trust plc with Two Weeks' Notice
Graphite Enterprise GPE G4065P101 11-Jun-12 Adopt New Articles of Association Management Yes For With
Trust plc
ICG Group, Inc. ICGE 44928D108 15-Jun-12 Elect Director David J. Adelman Management Yes For With
ICG Group, Inc. ICGE 44928D108 15-Jun-12 Elect Director David J. Berkman Management Yes For With
ICG Group, Inc. ICGE 44928D108 15-Jun-12 Elect Director David K. Downes Management Yes For With
ICG Group, Inc. ICGE 44928D108 15-Jun-12 Ratify Auditors Management Yes For With
ICG Group, Inc. ICGE 44928D108 15-Jun-12 Advisory Vote to Ratify Named Management Yes Against Against
Executive Officers' Compensation
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Accept Financial Statements and Management Yes For With
Statutory Reports
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Declare Final Dividend Management Yes For With
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Reelect Liang Xinjun as Executive Management Yes For With
Director
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Reelect Wang Qunbin as Executive Management Yes For With
Director
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Reelect Qin Xuetang as Executive Management Yes For With
Director
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Reelect Zhang Huaqiao as Management Yes For With
Independent Non-Executive Director
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Elect David T. Zhang as Independent Management Yes For With
Non-Executive Director
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Authorize Board to Fix Management Yes For With
Remuneration of Directors
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Reappoint Ernst & Young as Management Yes For With
Auditors and Authorize Board to Fix
Their Remuneration
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Authorize Repurchase of Up to 10 Management Yes For With
Percent of Issued Share Capital
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Approve Issuance of Equity or Management Yes Against Against
Equity-Linked Securities without
Preemptive Rights
Fosun International Ltd 00656 Y2618Y108 21-Jun-12 Authorize Reissuance of Management Yes Against Against
Repurchased Shares
HBM Healthcare HBMN H3553X112 22-Jun-12 Accept Financial Statements and Management Yes For With
Investments AG Statutory Reports
HBM Healthcare HBMN H3553X112 22-Jun-12 Approve Discharge of Board and Management Yes For With
Investments AG Senior Management
HBM Healthcare HBMN H3553X112 22-Jun-12 Approve Carrying Forward of Net Management Yes For With
Investments AG Loss
HBM Healthcare HBMN H3553X112 22-Jun-12 Reelect Robert Ingram as Director Management Yes For With
Investments AG
HBM Healthcare HBMN H3553X112 22-Jun-12 Reelect Rudolf Lanz as Director Management Yes For With
Investments AG
HBM Healthcare HBMN H3553X112 22-Jun-12 Reelect Hans Hasler as Director Management Yes For With
Investments AG
HBM Healthcare HBMN H3553X112 22-Jun-12 Elect Mario Giuliani as Director Management Yes For With
Investments AG
HBM Healthcare HBMN H3553X112 22-Jun-12 Ratify Ernst & Young AG as Management Yes For With
Investments AG Auditors
HBM Healthcare HBMN H3553X112 22-Jun-12 Approve CHF 42 Million Reduction Management Yes For With
Investments AG in Share Capital via the Cancellation
of Repurchased Shares
HBM Healthcare HBMN H3553X112 22-Jun-12 Authorize Share Repurchase Management Yes For With
Investments AG Program and Cancellation of
Repurchased Shares
HBM Healthcare HBMN H3553X112 22-Jun-12 Change Company Name to HBM Management Yes For With
Investments AG Healthcare Investments AG
HBM Healthcare HBMN H3553X112 22-Jun-12 Transact Other Business (Non- Management Yes
Investments AG Voting)
GIMV GIMB B4567G117 27-Jun-12 Receive Directors' Report Management Yes
GIMV GIMB B4567G117 27-Jun-12 Receive Directors' Report Management Yes
GIMV GIMB B4567G117 27-Jun-12 Receive Auditors' Report Management Yes
GIMV GIMB B4567G117 27-Jun-12 Receive Auditors' Report Management Yes
GIMV GIMB B4567G117 27-Jun-12 Receive Consolidated Financial Management Yes
Statements
GIMV GIMB B4567G117 27-Jun-12 Receive Consolidated Financial Management Yes
Statements
GIMV GIMB B4567G117 27-Jun-12 Approve Remuneration Report Management Yes Against Against
GIMV GIMB B4567G117 27-Jun-12 Approve Remuneration Report Management Yes Against Against
GIMV GIMB B4567G117 27-Jun-12 Approve Financial Statements, Management Yes For With
Allocation of Income, and Dividends
of EUR 2.45 per Share
GIMV GIMB B4567G117 27-Jun-12 Approve Financial Statements, Management Yes For With
Allocation of Income, and Dividends
of EUR 2.45 per Share
GIMV GIMB B4567G117 27-Jun-12 Approve Discharge of Directors Management Yes For With
GIMV GIMB B4567G117 27-Jun-12 Approve Discharge of Directors Management Yes For With
GIMV GIMB B4567G117 27-Jun-12 Approve Discharge of Auditors Management Yes For With
GIMV GIMB B4567G117 27-Jun-12 Approve Discharge of Auditors Management Yes For With
GIMV GIMB B4567G117 27-Jun-12 Approve Remuneration of Directors Management Yes For With
GIMV GIMB B4567G117 27-Jun-12 Approve Remuneration of Directors Management Yes For With
3i Group plc III G88473148 29-Jun-12 Accept Financial Statements and Management Yes For With
Statutory Reports
3i Group plc III G88473148 29-Jun-12 Approve Remuneration Report Management Yes For With
3i Group plc III G88473148 29-Jun-12 Approve Final Dividend Management Yes For With
3i Group plc III G88473148 29-Jun-12 Re-elect Jonathan Asquith as Management Yes For With
Director
3i Group plc III G88473148 29-Jun-12 Elect Simon Borrows as Director Management Yes For With
3i Group plc III G88473148 29-Jun-12 Re-elect Alistair Cox as Director Management Yes For With
3i Group plc III G88473148 29-Jun-12 Re-elect Richard Meddings as Management Yes For With
Director
3i Group plc III G88473148 29-Jun-12 Re-elect Willem Mesdag as Director Management Yes For With
3i Group plc III G88473148 29-Jun-12 Re-elect Sir Adrian Montague as Management Yes For With
Director
3i Group plc III G88473148 29-Jun-12 Elect Martine Verluyten as Director Management Yes For With
3i Group plc III G88473148 29-Jun-12 Re-elect Julia Wilson as Director Management Yes For With
3i Group plc III G88473148 29-Jun-12 Reappoint Ernst & Young LLP as Management Yes For With
Auditors
3i Group plc III G88473148 29-Jun-12 Authorise Board to Fix Management Yes For With
Remuneration of Auditors
3i Group plc III G88473148 29-Jun-12 Authorise EU Political Donations Management Yes For With
and Expenditure
3i Group plc III G88473148 29-Jun-12 Authorise Issue of Equity with Pre- Management Yes For With
emptive Rights
3i Group plc III G88473148 29-Jun-12 Amend Articles of Association Management Yes For With
3i Group plc III G88473148 29-Jun-12 Authorise Issue of Equity without Management Yes For With
Pre-emptive Rights
3i Group plc III G88473148 29-Jun-12 Authorise Market Purchase of Management Yes For With
Ordinary Shares
3i Group plc III G88473148 29-Jun-12 Authorise Market Purchase of B Management Yes For With
Shares
3i Group plc III G88473148 29-Jun-12 Authorise the Company to Call EGM Management Yes For With
with Two Weeks' Notice
3i Group plc III G88473148 29-Jun-12 Approve Change of Company's Share Holder Yes Against With
Investment Policy
3i Group plc III G88473148 29-Jun-12 Authorise the Company to Bring Share Holder Yes Against With
Forward Proposals for Management
Incentivisation and Reduction of
Total Expense Ratio
ALPS/WMC VALUE INTERSECTION FUND
Item 1: Proxy Voting Record - Item1 Proxy Voting Record -
Registrant :
Fund Name : ALPS/WMC Value Intersection Fund
Date of fiscal year end: 06/30/2012
________________________________________________________________________________
Abercrombie & Fitch Co.
Ticker Security ID: Meeting Date Meeting Status
ANF CUSIP 002896207 06/14/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James Bachmann Mgmt For For For
2 Elect Michael Jeffries Mgmt For For For
3 Elect John Kessler Mgmt For For For
4 Advisory Vote on Mgmt For Against Against
Executive
Compensation
5 Ratification of Auditor Mgmt For For For
6 Re-Approval of the Mgmt For For For
Incentive Compensation
Performance
Plan
________________________________________________________________________________
Accenture PLC
Ticker Security ID: Meeting Date Meeting Status
ACN CUSIP G1151C101 02/09/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Elect Dina Dublon Mgmt For For For
3 Elect William Green Mgmt For For For
4 Elect Nobuyuki Idei Mgmt For For For
5 Elect Marjorie Magner Mgmt For For For
6 Ratification of Auditor Mgmt For For For
7 Advisory Vote on Mgmt For For For
Executive
Compensation
8 Repeal of Classified Mgmt For For For
Board
9 Authorization to Hold Mgmt For For For
the 2013 Annual
Meeting Outside of
Ireland
10 Authority to Repurchase Mgmt For For For
Shares
11 Authority to Set Price Mgmt For For For
of Reissued Treasury
Shares
________________________________________________________________________________
Ace Limited
Ticker Security ID: Meeting Date Meeting Status
ACE CUSIP H0023R105 01/09/2012 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Approval of an Mgmt For For For
Amendment to Increase
Dividends from Legal
Reserves
________________________________________________________________________________
Ace Limited
Ticker Security ID: Meeting Date Meeting Status
ACE CUSIP H0023R105 05/16/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Michael Atieh Mgmt For For For
2 Elect Mary Cirillo Mgmt For For For
3 Elect Thomas Neff Mgmt For For For
4 Accounts and Reports Mgmt For For For
5 Approval of Statutory Mgmt For For For
Financial
Statements
6 Approval of Mgmt For For For
Consolidated Financial
Statements
7 Allocation of Mgmt For For For
Disposable
Profits
8 DISCHARGE OF THE BOARD Mgmt For For For
OF
DIRECTORS
9 Increase in Authorized Mgmt For For For
Capital
10 Appointment of Mgmt For For For
Statutory Auditor
(Zurich)
11 Appointment of Mgmt For For For
Independent Auditor
(US)
12 Appointment of Special Mgmt For For For
Auditor
(Zurich)
13 Distribution Through Mgmt For For For
Par Value
Reduction
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Amendment to the Mgmt For For For
Employee Stock
Purchase
Plan
________________________________________________________________________________
Activision Blizzard, Inc.
Ticker Security ID: Meeting Date Meeting Status
ATVI CUSIP 00507V109 06/07/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Philippe Capron Mgmt For For For
2 Elect Robert Corti Mgmt For For For
3 Elect Frederic Crepin Mgmt For For For
4 Elect Lucian Grainge Mgmt For For For
5 Elect Brian Kelly Mgmt For For For
6 Elect Robert Kotick Mgmt For For For
7 Elect Jean-Bernard Levy Mgmt For For For
8 Elect Robert Morgado Mgmt For For For
9 Elect Stephane Roussel Mgmt For For For
10 Elect Richard Sarnoff Mgmt For For For
11 Elect Regis Turrini Mgmt For For For
12 Amendment to the 2008 Mgmt For For For
Incentive
Plan
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Aetna Inc.
Ticker Security ID: Meeting Date Meeting Status
AET CUSIP 00817Y108 05/18/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Fernando Aguirre Mgmt For For For
2 Elect Mark Bertolini Mgmt For For For
3 Elect Frank Clark, Jr. Mgmt For For For
4 Elect Betsy Cohen Mgmt For For For
5 Elect Molly Coye Mgmt For For For
6 Elect Roger Farah Mgmt For For For
7 Elect Barbara Franklin Mgmt For For For
8 Elect Jeffrey Garten Mgmt For For For
9 Elect Ellen Hancock Mgmt For For For
10 Elect Richard Harrington Mgmt For For For
11 Elect Edward Ludwig Mgmt For For For
12 Elect Joseph Newhouse Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Cumulative
Voting
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
________________________________________________________________________________
Altria Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
MO CUSIP 02209S103 05/17/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Elizabeth Bailey Mgmt For For For
2 Elect Gerald Baliles Mgmt For For For
3 Elect Martin Barrington Mgmt For For For
4 Elect John Casteen III Mgmt For Against Against
5 Elect Dinyar Devitre Mgmt For For For
6 Elect Thomas Farrell II Mgmt For For For
7 Elect Thomas Jones Mgmt For For For
8 Elect W. Leo Kiely III Mgmt For For For
9 Elect Kathryn McQuade Mgmt For For For
10 Elect George Munoz Mgmt For For For
11 Elect Nabil Sakkab Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
American Electric Power Company, Inc.
Ticker Security ID: Meeting Date Meeting Status
AEP CUSIP 025537101 04/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Nicholas Atkins Mgmt For For For
2 Elect David Anderson Mgmt For For For
3 Elect James Cordes Mgmt For For For
4 Elect Ralph Crosby, Jr. Mgmt For For For
5 Elect Linda Goodspeed Mgmt For For For
6 Elect Thomas Hoaglin Mgmt For For For
7 Elect Michael Morris Mgmt For For For
8 Elect Richard Notebaert Mgmt For For For
9 Elect Lionel Nowell III Mgmt For For For
10 Elect Richard Sandor Mgmt For For For
11 Elect Sara Tucker Mgmt For For For
12 Elect John Turner Mgmt For For For
13 Senior Officer Mgmt For For For
Incentive
Plan
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Ameriprise Financial, Inc.
Ticker Security ID: Meeting Date Meeting Status
AMP CUSIP 03076C106 04/25/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Lon Greenberg Mgmt For For For
2 Elect Warren Knowlton Mgmt For For For
3 Elect Jeffrey Noddle Mgmt For For For
4 Elect Robert Sharpe, Jr. Mgmt For For For
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
AMGEN Inc.
Ticker Security ID: Meeting Date Meeting Status
AMGN CUSIP 031162100 05/23/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David Baltimore Mgmt For For For
2 Elect Frank Biondi, Jr. Mgmt For For For
3 Elect Robert Bradway Mgmt For For For
4 Elect Francois de Mgmt For For For
Carbonnel
5 Elect Vance Coffman Mgmt For For For
6 Elect Rebecca Henderson Mgmt For For For
7 Elect Frank Herringer Mgmt For For For
8 Elect Tyler Jacks Mgmt For For For
9 Elect Gilbert Omenn Mgmt For For For
10 Elect Judith Pelham Mgmt For For For
11 Elect J. Paul Reason Mgmt For For For
12 Elect Leonard Schaeffer Mgmt For For For
13 Elect Kevin Sharer Mgmt For For For
14 Elect Ronald Sugar Mgmt For For For
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Authorize Shareholder Mgmt For For For
Action by Written
Consent
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Animal
Welfare
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
21 Shareholder Proposal ShrHoldr Against Against For
Regarding CEO to Serve
on a Maximum of One
Other
Board
________________________________________________________________________________
Apple Inc.
Ticker Security ID: Meeting Date Meeting Status
AAPL CUSIP 037833100 02/23/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect William Campbell Mgmt For For For
1.2 Elect Timothy Cook Mgmt For For For
1.3 Elect Millard Drexler Mgmt For Withhold Against
1.4 Elect Albert Gore, Jr. Mgmt For Withhold Against
1.5 Elect Robert Iger Mgmt For For For
1.6 Elect Andrea Jung Mgmt For For For
1.7 Elect Arthur Levinson Mgmt For Withhold Against
1.8 Elect Ronald Sugar Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Conflict of
Interest
Report
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Advisory
Vote on Director
Compensation
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
7 Shareholder Proposal ShrHoldr Against For Against
Regarding Majority
Vote for Election of
Directors
________________________________________________________________________________
AT&T Inc.
Ticker Security ID: Meeting Date Meeting Status
T CUSIP 00206R102 04/27/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Randall Stephenson Mgmt For For For
2 Elect Gilbert Amelio Mgmt For For For
3 Elect Reuben Anderson Mgmt For For For
4 Elect James Blanchard Mgmt For For For
5 Elect Jaime Chico Pardo Mgmt For For For
6 Elect James Kelly Mgmt For For For
7 Elect Jon Madonna Mgmt For For For
8 Elect John McCoy Mgmt For For For
9 Elect Joyce Roche Mgmt For For For
10 Elect Matthew Rose Mgmt For For For
11 Elect Laura Tyson Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Restoration of Written Mgmt For For For
Consent
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Network
Neutrality
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman/Separation of
Chair and
CEO
________________________________________________________________________________
Baker Hughes Incorporated
Ticker Security ID: Meeting Date Meeting Status
BHI CUSIP 057224107 04/26/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Larry Brady Mgmt For For For
1.2 Elect Clarence Cazalot, Mgmt For For For
Jr.
1.3 Elect Martin Craighead Mgmt For For For
1.4 Elect Chad Deaton Mgmt For For For
1.5 Elect Anthony Fernandes Mgmt For For For
1.6 Elect Claire Gargalli Mgmt For For For
1.7 Elect Pierre Jungels Mgmt For For For
1.8 Elect James Lash Mgmt For For For
1.9 Elect J. Larry Nichols Mgmt For For For
1.10 Elect H. John Riley, Jr. Mgmt For For For
1.11 Elect James Stewart Mgmt For For For
1.12 Elect Charles Watson Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Majority
Vote for Election of
Directors
________________________________________________________________________________
Bank of America Corporation
Ticker Security ID: Meeting Date Meeting Status
BAC CUSIP 060505559 05/09/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Mukesh Ambani Mgmt For For For
2 Elect Susan Bies Mgmt For For For
3 Elect Frank Bramble, Sr. Mgmt For For For
4 Elect Virgis Colbert Mgmt For For For
5 Elect Charles Gifford Mgmt For For For
6 Elect Charles Holliday, Mgmt For For For
Jr.
7 Elect Monica Lozano Mgmt For For For
8 Elect Thomas May Mgmt For For For
9 Elect Brian Moynihan Mgmt For For For
10 Elect Donald Powell Mgmt For For For
11 Elect Charles Rossotti Mgmt For For For
12 Elect Robert Scully Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Ratification of Auditor Mgmt For For For
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Disclosure
of Prior Government
Service
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Review of Controls
Related to Loans,
Foreclosures and
Securitizations
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Prohibition
on Political
Spending
________________________________________________________________________________
BB&T Corporation
Ticker Security ID: Meeting Date Meeting Status
BBT CUSIP 054937107 04/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John Allison IV Mgmt For For For
1.2 Elect Jennifer Banner Mgmt For For For
1.3 Elect K. David Boyer, Mgmt For For For
Jr.
1.4 Elect Anna Cablik Mgmt For For For
1.5 Elect Ronald Deal Mgmt For For For
1.6 Elect J. Littleton Mgmt For For For
Glover,
Jr.
1.7 Elect Jane Helm Mgmt For For For
1.8 Elect John Howe III Mgmt For For For
1.9 Elect Kelly King Mgmt For For For
1.10 Elect Valeria Lynch Lee Mgmt For For For
1.11 Elect Nido Qubein Mgmt For For For
1.12 Elect Thomas Skains Mgmt For For For
1.13 Elect Thomas Thompson Mgmt For For For
1.14 Elect Edwin Welch Ph.D. Mgmt For For For
1.15 Elect Stephen Williams Mgmt For For For
2 2012 Incentive Plan Mgmt For For For
3 Ratification of Auditor Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Majority
Vote for Election of
Directors
________________________________________________________________________________
BlackRock, Inc.
Ticker Security ID: Meeting Date Meeting Status
BLK CUSIP 09247X101 05/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect William Demchak Mgmt For For For
2 Elect Laurence Fink Mgmt For For For
3 Elect Robert Kapito Mgmt For For For
4 Elect Thomas O'Brien Mgmt For For For
5 Elect Ivan Seidenberg Mgmt For For For
6 Amendment to Mgmt For For For
Certificate of
Incorporation to
Declassify
Board
7 Advisory Vote on Mgmt For For For
Executive
Compensation
8 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Caterpillar Inc.
Ticker Security ID: Meeting Date Meeting Status
CAT CUSIP 149123101 06/13/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect David Calhoun Mgmt For For For
1.2 Elect Daniel Dickinson Mgmt For For For
1.3 Elect Eugene Fife Mgmt For For For
1.4 Elect Juan Gallardo Mgmt For For For
1.5 Elect David Goode Mgmt For For For
1.6 Elect Jesse Greene, Jr. Mgmt For For For
1.7 Elect Jon Huntsman, Jr. Mgmt For For For
1.8 Elect Peter Magowan Mgmt For For For
1.9 Elect Dennis Muilenburg Mgmt For For For
1.10 Elect Douglas Oberhelman Mgmt For For For
1.11 Elect William Osborn Mgmt For For For
1.12 Elect Charles Powell Mgmt For For For
1.13 Elect Edward Rust, Jr. Mgmt For For For
1.14 Elect Susan Schwab Mgmt For For For
1.15 Elect Joshua Smith Mgmt For For For
1.16 Elect Miles White Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Right to Call a Special Mgmt For For For
Meeting
5 Amendment to Advance Mgmt For For For
Notice
Requirement
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Majority
Vote for Election of
Directors
8 Shareholder Proposal ShrHoldr Against Against For
Regarding Review of
Human Rights
Policies
9 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
________________________________________________________________________________
Chesapeake Energy Corporation
Ticker Security ID: Meeting Date Meeting Status
CHK CUSIP 165167107 06/08/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Richard Davidson Mgmt For Withhold Against
1.2 Elect V. Burns Hargis Mgmt For Withhold Against
2 Adoption of Majority Mgmt For For For
Vote for Election of
Directors
3 Advisory Vote on Mgmt For Against Against
Executive
Compensation
4 Amendment to the Long Mgmt For For For
Term Incentive
Plan
5 2012 Annual Incentive Mgmt For Against Against
Plan
6 Ratification of Auditor Mgmt For For For
7 Shareholder Proposal ShrHoldr Against Against For
Regarding
Reincorporation
8 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
9 Shareholder Proposal ShrHoldr Against For Against
Regarding Simple
Majority
Vote
10 Shareholder Proposal ShrHoldr Against Against For
Regarding Proxy
Access
________________________________________________________________________________
Chevron Corporation
Ticker Security ID: Meeting Date Meeting Status
CVX CUSIP 166764100 05/30/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Linnet Deily Mgmt For For For
2 Elect Robert Denham Mgmt For For For
3 Elect Chuck Hagel Mgmt For For For
4 Elect Enrique Mgmt For For For
Hernandez,
Jr.
5 Elect George Kirkland Mgmt For For For
6 Elect Charles Moorman, Mgmt For For For
IV
7 Elect Kevin Sharer Mgmt For For For
8 Elect John Stumpf Mgmt For For For
9 Elect Ronald Sugar Mgmt For For For
10 Elect Carl Ware Mgmt For For For
11 Elect John Watson Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Exclusive
Forum
Provisions
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Country
Selection
Guidelines
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Hydraulic
Fracturing
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Safety
Report
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
21 Shareholder Proposal ShrHoldr Against Against For
Regarding
Environmental
Expertise on
Board
________________________________________________________________________________
Citigroup Inc.
Ticker Security ID: Meeting Date Meeting Status
C CUSIP 172967424 04/17/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Franz Humer Mgmt For For For
2 Elect Robert Joss Mgmt For For For
3 Elect Michael O'Neill Mgmt For For For
4 Elect Vikram Pandit Mgmt For For For
5 Elect Lawrence Ricciardi Mgmt For For For
6 Elect Judith Rodin Mgmt For For For
7 Elect Robert Ryan Mgmt For For For
8 Elect Anthony Santomero Mgmt For For For
9 Elect Joan Spero Mgmt For For For
10 Elect Diana Taylor Mgmt For For For
11 Elect William Thompson, Mgmt For For For
Jr.
12 Elect Ernesto Zedillo Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Amendment to the 2009 Mgmt For For For
Stock Incentive
Plan
15 Advisory Vote on Mgmt For Against Against
Executive
Compensation
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Disclosure
of Prior Government
Service
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Review of Controls
Related to Loans,
Foreclosures and
Securitizations
________________________________________________________________________________
ConocoPhillips
Ticker Security ID: Meeting Date Meeting Status
COP CUSIP 20825C104 05/09/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard Armitage Mgmt For For For
2 Elect Richard Auchinleck Mgmt For For For
3 Elect James Copeland, Mgmt For For For
Jr.
4 Elect Kenneth Duberstein Mgmt For For For
5 Elect Ruth Harkin Mgmt For For For
6 Elect Ryan Lance Mgmt For For For
7 Elect Mohd Hassan Mgmt For For For
Marican
8 Elect Harold McGraw III Mgmt For For For
9 Elect James Mulva Mgmt For For For
10 Elect Robert Niblock Mgmt For For For
11 Elect Harald Norvik Mgmt For For For
12 Elect William Reilly Mgmt For For For
13 Elect Victoria Tschinkel Mgmt For For For
14 Elect Kathryn Turner Mgmt For For For
15 Elect William Wade, Jr. Mgmt For For For
16 Ratification of Auditor Mgmt For For For
17 Advisory Vote on Mgmt For For For
Executive
Compensation
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Louisiana
Wetlands
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Safety
Report
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Reporting
and Reducing
Greenhouse Gas
Emissions
22 Shareholder Proposal ShrHoldr Against Against For
Regarding Adopting
Gender Identity and
Expression Anti-Bias
Policy
________________________________________________________________________________
Constellation Brands, Inc.
Ticker Security ID: Meeting Date Meeting Status
STZ CUSIP 21036P108 07/21/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jerry Fowden Mgmt For For For
1.2 Elect Barry Fromberg Mgmt For For For
1.3 Elect Jeananne Hauswald Mgmt For For For
1.4 Elect James Locke III Mgmt For For For
1.5 Elect Richard Sands Mgmt For For For
1.6 Elect Robert Sands Mgmt For For For
1.7 Elect Paul Smith Mgmt For For For
1.8 Elect Mark Zupan Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For Against Against
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
5 Shareholder Proposal ShrHoldr Against For Against
Regarding
Recapitalization
________________________________________________________________________________
Covidien Public Limited Company
Ticker Security ID: Meeting Date Meeting Status
COV CUSIP G2554F113 03/13/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Jose Almeida Mgmt For For For
2 Elect Craig Arnold Mgmt For For For
3 Elect Robert Brust Mgmt For For For
4 Elect John Connors, Jr. Mgmt For For For
5 Elect Christopher Mgmt For For For
Coughlin
6 Elect Timothy Donahue Mgmt For For For
7 Elect Randall Hogan, III Mgmt For For For
8 Elect Martin Madaus Mgmt For For For
9 Elect Dennis Reilley Mgmt For For For
10 Elect Joseph Zaccagnino Mgmt For For For
11 Appointment of Auditor Mgmt For For For
and Authority to Set
Remuneration
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Authority to Repurchase Mgmt For For For
Shares
14 Authority to Reissue Mgmt For For For
Treasury
Shares
15 Amendments to Articles Mgmt For For For
to Provide for
Escheatment
16 Amendment to Articles Mgmt For For For
to Allow Non-Cash
Dividends
________________________________________________________________________________
CVS Caremark Corporation
Ticker Security ID: Meeting Date Meeting Status
CVS CUSIP 126650100 05/10/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect C. David Brown II Mgmt For For For
2 Elect David Dorman Mgmt For For For
3 Elect Anne Finucane Mgmt For For For
4 Elect Kristen Gibney Mgmt For For For
Williams
5 Elect Marian Heard Mgmt For For For
6 Elect Larry Merlo Mgmt For For For
7 Elect Jean-Pierre Millon Mgmt For For For
8 Elect C.A. Lance Piccolo Mgmt For For For
9 Elect Richard Swift Mgmt For For For
10 Elect Tony White Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Authorization of Mgmt For For For
Written Consent by
Less Than Unanimous
Approval
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
________________________________________________________________________________
Dover Corporation
Ticker Security ID: Meeting Date Meeting Status
DOV CUSIP 260003108 05/03/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David Benson Mgmt For For For
2 Elect Robert Cremin Mgmt For For For
3 Elect Jean-Pierre Ergas Mgmt For For For
4 Elect Peter Francis Mgmt For For For
5 Elect Kristiane Graham Mgmt For For For
6 Elect Robert Livingston Mgmt For For For
7 Elect Richard Lochridge Mgmt For For For
8 Elect Bernard Rethore Mgmt For For For
9 Elect Michael Stubbs Mgmt For For For
10 Elect Stephen Todd Mgmt For For For
11 Elect Stephen Wagner Mgmt For For For
12 Elect Mary Winston Mgmt For For For
13 2012 Equity and Cash Mgmt For For For
Incentive
Plan
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Dow Chemical Company
Ticker Security ID: Meeting Date Meeting Status
DOW CUSIP 260543103 05/10/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Arnold Allemang Mgmt For For For
2 Elect Jacqueline Barton Mgmt For For For
3 Elect James Bell Mgmt For For For
4 Elect Jeff Fettig Mgmt For For For
5 Elect John Hess Mgmt For For For
6 Elect Andrew Liveris Mgmt For For For
7 Elect Paul Polman Mgmt For For For
8 Elect Dennis Reilley Mgmt For For For
9 Elect James Ringler Mgmt For For For
10 Elect Ruth Shaw Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 2012 Stock Incentive Mgmt For For For
Plan
14 2012 Employee Stock Mgmt For For For
Purchase
Plan
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
________________________________________________________________________________
EBay Inc.
Ticker Security ID: Meeting Date Meeting Status
EBAY CUSIP 278642103 04/26/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Marc Andreessen Mgmt For For For
2 Elect William Ford, Jr. Mgmt For For For
3 Elect Dawn Lepore Mgmt For For For
4 Elect Kathleen Mitic Mgmt For For For
5 Elect Pierre Omidyar Mgmt For For For
6 Advisory Vote on Mgmt For For For
Executive
Compensation
7 Amendment to the 2008 Mgmt For For For
Equity Incentive Award
Plan
8 Employee Stock Purchase Mgmt For For For
Plan
9 Repeal of Classified Mgmt For For For
Board
10 Restoration of Right to Mgmt For For For
Call a Special
Meeting
11 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Eli Lilly and Company
Ticker Security ID: Meeting Date Meeting Status
LLY CUSIP 532457108 04/16/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Katherine Baicker Mgmt For For For
2 Elect J. Erik Fyrwald Mgmt For For For
3 Elect Ellen Marram Mgmt For For For
4 Elect Douglas Oberhelman Mgmt For For For
5 Ratification of Auditor Mgmt For For For
6 Advisory Vote on Mgmt For For For
Executive
Compensation
7 Repeal of Classified Mgmt For For For
Board
8 Elimination of Mgmt For For For
Supermajority
Requirements
9 Shareholder Proposal ShrHoldr Against Against For
Regarding Proponent
Engagement
Process
10 Shareholder Proposal ShrHoldr Against Against For
Regarding Animal
Welfare
________________________________________________________________________________
Energizer Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
ENR CUSIP 29266R108 01/30/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Bill Armstrong Mgmt For For For
2 Elect J. Patrick Mulcahy Mgmt For For For
3 Elect Pamela Nicholson Mgmt For For For
4 Ratification of Auditor Mgmt For For For
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Exxon Mobil Corporation
Ticker Security ID: Meeting Date Meeting Status
XOM CUSIP 30231G102 05/30/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Michael Boskin Mgmt For For For
1.2 Elect Peter Mgmt For For For
Brabeck-Letmathe
1.3 Elect Larry Faulkner Mgmt For For For
1.4 Elect Jay Fishman Mgmt For For For
1.5 Elect Henrietta Fore Mgmt For For For
1.6 Elect Kenneth Frazier Mgmt For For For
1.7 Elect William George Mgmt For For For
1.8 Elect Samuel Palmisano Mgmt For For For
1.9 Elect Steven Reinemund Mgmt For For For
1.10 Elect Rex Tillerson Mgmt For For For
1.11 Elect Edward Whitacre, Mgmt For For For
Jr.
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Majority
Vote for Election of
Directors
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Adopting
Sexual Orientation
Anti-Bias
Policy
8 Shareholder Proposal ShrHoldr Against Against For
Regarding Hydraulic
Fracturing
9 Shareholder Proposal ShrHoldr Against Against For
Regarding Reporting
and Reducing
Greenhouse Gas
Emissions
________________________________________________________________________________
Ford Motor Company
Ticker Security ID: Meeting Date Meeting Status
F CUSIP 345370860 05/10/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Stephen Butler Mgmt For For For
2 Elect Kimberly Casiano Mgmt For For For
3 Elect Anthony Earley, Mgmt For For For
Jr.
4 Elect Edsel Ford II Mgmt For For For
5 Elect William Ford, Jr. Mgmt For For For
6 Elect Richard Gephardt Mgmt For For For
7 Elect James Hance, Jr. Mgmt For For For
8 Elect William Helman IV Mgmt For For For
9 Elect Irvine Hockaday, Mgmt For For For
Jr.
10 Elect Jon Huntsman, Jr. Mgmt For For For
11 Elect Richard Manoogian Mgmt For For For
12 Elect Ellen Marram Mgmt For For For
13 Elect Alan Mulally Mgmt For For For
14 Elect Homer Neal Mgmt For For For
15 Elect Gerald Shaheen Mgmt For For For
16 Elect John Thornton Mgmt For For For
17 Ratification of Auditor Mgmt For For For
18 Advisory Vote on Mgmt For For For
Executive
Compensation
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Cumulative
Voting
20 Shareholder Proposal ShrHoldr Against Against For
Regarding
Recapitalization
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
________________________________________________________________________________
Forest City Enterprises, Inc.
Ticker Security ID: Meeting Date Meeting Status
FCE.A CUSIP 345550107 06/13/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Arthur Anton Mgmt For For For
1.2 Elect Scott Cowen Mgmt For For For
1.3 Elect Michael Esposito, Mgmt For For For
Jr.
1.4 Elect Stan Ross Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Forest Laboratories, Inc.
Ticker Security ID: Meeting Date Meeting Status
FRX CUSIP 345838106 08/18/2011 Take No Action
Meeting Type Country of Trade
Proxy Contest United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Dissident Nominee Mgmt N/A TNA N/A
Alexander
Denner
1.2 Elect Dissident Nominee Mgmt N/A TNA N/A
Richard
Mulligan
1.3 Elect Dissident Nominee Mgmt N/A TNA N/A
Lucian
Bebchuk
1.4 Elect Dissident Nominee Mgmt N/A TNA N/A
Eric
Ende
1.5 Elect Management Mgmt N/A TNA N/A
Nominee Nesli
Basgoz
1.6 Elect Management Mgmt N/A TNA N/A
Nominee Christopher
Coughlin
1.7 Elect Management Mgmt N/A TNA N/A
Nominee Gerald
Lieberman
1.8 Elect Management Mgmt N/A TNA N/A
Nominee Lawrence
Olanoff
1.9 Elect Management Mgmt N/A TNA N/A
Nominee Brenton
Saunders
1.10 Elect Management Mgmt N/A TNA N/A
Nominee Peter
Zimetbaum
2 Advisory Vote on Mgmt N/A TNA N/A
Executive
Compensation
3 Frequency of Advisory Mgmt N/A TNA N/A
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt N/A TNA N/A
________________________________________________________________________________
Forest Laboratories, Inc.
Ticker Security ID: Meeting Date Meeting Status
FRX CUSIP 345838106 08/18/2011 Voted
Meeting Type Country of Trade
Proxy Contest United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Howard Solomon Mgmt For For For
1.2 Elect Nesli Basgoz Mgmt For For For
1.3 Elect Christopher Mgmt For For For
Coughlin
1.4 Elect Dan Goldwasser Mgmt For For For
1.5 Elect Kenneth Goodman Mgmt For For For
1.6 Elect Gerald Lieberman Mgmt For For For
1.7 Elect Lawrence Olanoff Mgmt For For For
1.8 Elect Lester Salans Mgmt For For For
1.9 Elect Brenton Saunders Mgmt For For For
1.10 Elect Peter Zimetbaum Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
General Electric Company
Ticker Security ID: Meeting Date Meeting Status
GE CUSIP 369604103 04/25/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect W. Geoffrey Mgmt For For For
Beattie
2 Elect James Cash, Jr. Mgmt For For For
3 Elect Ann Fudge Mgmt For For For
4 Elect Susan Hockfield Mgmt For For For
5 Elect Jeffrey Immelt Mgmt For For For
6 Elect Andrea Jung Mgmt For For For
7 Elect Alan Lafley Mgmt For For For
8 Elect Robert Lane Mgmt For For For
9 Elect Ralph Larsen Mgmt For For For
10 Elect Rochelle Lazarus Mgmt For For For
11 Elect James Mulva Mgmt For For For
12 Elect Sam Nunn Mgmt For For For
13 Elect Roger Penske Mgmt For For For
14 Elect Robert Swieringa Mgmt For For For
15 Elect James Tisch Mgmt For For For
16 Elect Douglas Warner III Mgmt For For For
17 Ratification of Auditor Mgmt For For For
18 Advisory Vote on Mgmt For For For
Executive
Compensation
19 Amendment to the 2007 Mgmt For For For
Long-Term Incentive
Plan
20 Approval of Material Mgmt For For For
Terms of Senior
Officer Performance
Goals
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Cumulative
Voting
22 Shareholder Proposal ShrHoldr Against Against For
Regarding Nuclear
Activities
23 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
24 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
________________________________________________________________________________
Gilead Sciences, Inc.
Ticker Security ID: Meeting Date Meeting Status
GILD CUSIP 375558103 05/10/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John Cogan Mgmt For For For
1.2 Elect Etienne Davignon Mgmt For For For
1.3 Elect James Denny Mgmt For For For
1.4 Elect Carla Hills Mgmt For For For
1.5 Elect Kevin Lofton Mgmt For For For
1.6 Elect John Madigan Mgmt For For For
1.7 Elect John Martin Mgmt For For For
1.8 Elect Gordon Moore Mgmt For For For
1.9 Elect Nicholas Moore Mgmt For For For
1.10 Elect Richard Whitley Mgmt For For For
1.11 Elect Gayle Wilson Mgmt For For For
1.12 Elect Per Wold-Olsen Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Poison
Pill
________________________________________________________________________________
Hasbro, Inc.
Ticker Security ID: Meeting Date Meeting Status
HAS CUSIP 418056107 05/17/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Basil Anderson Mgmt For For For
1.2 Elect Alan Batkin Mgmt For For For
1.3 Elect Frank Biondi, Jr. Mgmt For For For
1.4 Elect Kenneth Bronfin Mgmt For For For
1.5 Elect John Connors, Jr. Mgmt For For For
1.6 Elect Michael Garrett Mgmt For For For
1.7 Elect Lisa Gersh Mgmt For For For
1.8 Elect Brian Goldner Mgmt For For For
1.9 Elect Jack Greenberg Mgmt For For For
1.10 Elect Alan Hassenfeld Mgmt For For For
1.11 Elect Tracy Leinbach Mgmt For For For
1.12 Elect Edward Philip Mgmt For For For
1.13 Elect Alfred Verrecchia Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Hess Corporation
Ticker Security ID: Meeting Date Meeting Status
HES CUSIP 42809H107 05/02/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect John Hess Mgmt For For For
2 Elect Samuel Bodman, III Mgmt For For For
3 Elect Risa Mgmt For For For
Lavizzo-Mourey
4 Elect Craig Matthews Mgmt For For For
5 Elect Ernst von Metzsch Mgmt For For For
6 Ratification of Auditor Mgmt For For For
7 Advisory Vote on Mgmt For For For
Executive
Compensation
8 Amendment to the 2008 Mgmt For For For
Long-Term Incentive
Plan
9 Shareholder Proposal ShrHoldr N/A For N/A
Regarding
Declassification of
the
Board
________________________________________________________________________________
Invesco Ltd.
Ticker Security ID: Meeting Date Meeting Status
IVZ CUSIP G491BT108 05/17/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Martin Flanagan Mgmt For For For
2 Elect C. Robert Mgmt For For For
Henrikson
3 Elect Ben Johnson III Mgmt For For For
4 Elect J. Thomas Presby Mgmt For For For
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 2012 Employee Stock Mgmt For For For
Purchase
Plan
7 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
JPMorgan Chase & Co.
Ticker Security ID: Meeting Date Meeting Status
JPM CUSIP 46625H100 05/15/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James Bell Mgmt For For For
2 Elect Crandall Bowles Mgmt For For For
3 Elect Stephen Burke Mgmt For For For
4 Elect David Cote Mgmt For For For
5 Elect James Crown Mgmt For For For
6 Elect James Dimon Mgmt For For For
7 Elect Timothy Flynn Mgmt For For For
8 Elect Ellen Futter Mgmt For For For
9 Elect Laban Jackson, Jr. Mgmt For For For
10 Elect Lee Raymond Mgmt For For For
11 Elect William Weldon Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Affirmation
of Political
Nonpartisanship
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Mortgage
Loan
Servicing
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
18 Shareholder Proposal ShrHoldr Against Against For
Regarding
Genocide-Free
Investing
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
________________________________________________________________________________
Kohl's Corporation
Ticker Security ID: Meeting Date Meeting Status
KSS CUSIP 500255104 05/10/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Peter Boneparth Mgmt For For For
2 Elect Steven Burd Mgmt For For For
3 Elect John Herma Mgmt For For For
4 Elect Dale Jones Mgmt For For For
5 Elect William Kellogg Mgmt For For For
6 Elect Kevin Mansell Mgmt For For For
7 Elect John Schlifske Mgmt For For For
8 Elect Frank Sica Mgmt For For For
9 Elect Peter Sommerhauser Mgmt For For For
10 Elect Stephanie Streeter Mgmt For For For
11 Elect Nina Vaca Mgmt For For For
12 Elect Stephen Watson Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Fur
Policy
16 Shareholder Proposal ShrHoldr Against Against For
Regarding CEO
Succession
Planning
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
________________________________________________________________________________
Lorillard, Inc.
Ticker Security ID: Meeting Date Meeting Status
LO CUSIP 544147101 05/17/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Robert Almon Mgmt For For For
2 Elect Kit Dietz Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Employee Stock Purchase Mgmt For For For
Plan
5 Ratification of Auditor Mgmt For For For
6 Shareholder Proposal ShrHoldr N/A For N/A
Regarding
Declassification of
the
Board
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
________________________________________________________________________________
Lowe's Companies, Inc.
Ticker Security ID: Meeting Date Meeting Status
LOW CUSIP 548661107 06/01/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Raul Alvarez Mgmt For For For
1.2 Elect David Bernauer Mgmt For For For
1.3 Elect Leonard Berry Mgmt For For For
1.4 Elect Peter Browning Mgmt For For For
1.5 Elect Richard Dreiling Mgmt For For For
1.6 Elect Dawn Hudson Mgmt For For For
1.7 Elect Robert Johnson Mgmt For For For
1.8 Elect Marshall Larsen Mgmt For For For
1.9 Elect Richard Lochridge Mgmt For For For
1.10 Elect Robert Niblock Mgmt For For For
1.11 Elect Eric Wiseman Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Amendment to the Mgmt For For For
Employee Stock
Purchase
Plan
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Shareholder
Approval of Severance
Agreements
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
________________________________________________________________________________
Marathon Oil Corporation
Ticker Security ID: Meeting Date Meeting Status
MRO CUSIP 565849106 04/25/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gregory Boyce Mgmt For For For
2 Elect Pierre Brondeau Mgmt For For For
3 Elect Clarence Cazalot, Mgmt For For For
Jr.
4 Elect Linda Cook Mgmt For For For
5 Elect Shirley Jackson Mgmt For For For
6 Elect Philip Lader Mgmt For For For
7 Elect Michael Phelps Mgmt For For For
8 Elect Dennis Reilley Mgmt For For For
9 Ratification of Auditor Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 2012 Incentive Mgmt For For For
Compensation
Plan
________________________________________________________________________________
Marathon Petroleum Corporation
Ticker Security ID: Meeting Date Meeting Status
MPC CUSIP 56585A102 04/25/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect David Daberko Mgmt For For For
1.2 Elect Donna James Mgmt For For For
1.3 Elect Charles Lee Mgmt For For For
1.4 Elect Seth Schofield Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 2012 Incentive Mgmt For For For
Compensation
Plan
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Mckesson Corporation
Ticker Security ID: Meeting Date Meeting Status
MCK CUSIP 58155Q103 07/27/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Andy Bryant Mgmt For For For
2 Elect Wayne Budd Mgmt For For For
3 Elect John Hammergren Mgmt For For For
4 Elect Alton Irby III Mgmt For For For
5 Elect M. Christine Mgmt For For For
Jacobs
6 Elect Marie Knowles Mgmt For For For
7 Elect David Lawrence Mgmt For For For
8 Elect Edward Mueller Mgmt For For For
9 Elect Jane Shaw Mgmt For For For
10 Ratification of Auditor Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
13 Reduction of Mgmt For For For
Supermajority
Requirement for
Amendments to Series A
Junior Participating
Preferred
Stock
14 Reduction of Mgmt For For For
Supermajority
Requirement to Alter
By-Laws
15 Elimination of Mgmt For For For
Supermajority
Requirement and Fair
Price Provision for
Certain Business
Combinations
16 Amendment to the Mgmt For For For
Certificate of
Incorporation to
Remove Transitional
Provision
17 Amendment to the Mgmt For For For
Certificate of
Incorporation
Concerning Interested
Transactions
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
________________________________________________________________________________
Merck & Co., Inc.
Ticker Security ID: Meeting Date Meeting Status
MRK CUSIP 58933Y105 05/22/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Leslie Brun Mgmt For For For
2 Elect Thomas Cech Mgmt For For For
3 Elect Kenneth Frazier Mgmt For For For
4 Elect Thomas Glocer Mgmt For For For
5 Elect William Harrison, Mgmt For For For
Jr.
6 Elect C. Robert Kidder Mgmt For For For
7 Elect Rochelle Lazarus Mgmt For For For
8 Elect Carlos Represas Mgmt For For For
9 Elect Patricia Russo Mgmt For For For
10 Elect Craig Thompson Mgmt For For For
11 Elect Wendell Weeks Mgmt For For For
12 Elect Peter Wendell Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Reviewing
Political Spending or
Lobbying
________________________________________________________________________________
MetLife, Inc.
Ticker Security ID: Meeting Date Meeting Status
MET CUSIP 59156R108 04/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John Keane Mgmt For For For
1.2 Elect Catherine Kinney Mgmt For For For
1.3 Elect Hugh Price Mgmt For For For
1.4 Elect Kenton Sicchitano Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Mosaic Co.
Ticker Security ID: Meeting Date Meeting Status
MOS CUSIP 61945C103 10/06/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Nancy Cooper Mgmt For For For
1.2 Elect James Popowich Mgmt For For For
1.3 Elect James Prokopanko Mgmt For For For
1.4 Elect Steven Seibert Mgmt For For For
2 Elimination of Dual Mgmt For For For
Class
Stock
3 Ratification of Auditor Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
National Oilwell Varco, Inc.
Ticker Security ID: Meeting Date Meeting Status
NOV CUSIP 637071101 05/16/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Merrill Miller, Mgmt For For For
Jr.
2 Elect Greg Armstrong Mgmt For For For
3 Elect David Harrison Mgmt For For For
4 Ratification of Auditor Mgmt For For For
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditure
Report
________________________________________________________________________________
Newmont Mining Corporation
Ticker Security ID: Meeting Date Meeting Status
NEM CUSIP 651639106 04/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Bruce Brook Mgmt For For For
2 Elect Vincent Calarco Mgmt For For For
3 Elect Joseph Carrabba Mgmt For For For
4 Elect Noreen Doyle Mgmt For For For
5 Elect Veronica Hagen Mgmt For For For
6 Elect Michael Hamson Mgmt For For For
7 Elect Jane Nelson Mgmt For For For
8 Elect Richard O'Brien Mgmt For For For
9 Elect John Prescott Mgmt For For For
10 Elect Donald Roth Mgmt For For For
11 Elect Simon Thompson Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
NextEra Energy, Inc.
Ticker Security ID: Meeting Date Meeting Status
NEE CUSIP 65339F101 05/25/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Sherry Barrat Mgmt For For For
2 Elect Robert Beall II Mgmt For For For
3 Elect James Camaren Mgmt For For For
4 Elect Kenneth Dunn Mgmt For For For
5 Elect J. Brian Ferguson Mgmt For For For
6 Elect Lewis Hay, III Mgmt For For For
7 Elect Toni Jennings Mgmt For For For
8 Elect Oliver Kingsley, Mgmt For For For
Jr.
9 Elect Rudy Schupp Mgmt For For For
10 Elect William Swanson Mgmt For For For
11 Elect Michael Thaman Mgmt For For For
12 Elect Hansel Tookes II Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
NYSE Euronext
Ticker Security ID: Meeting Date Meeting Status
NYX CUSIP 629491101 07/07/2011 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Approval of the Merger Mgmt For For For
2 Supermajority Voting Mgmt For For For
Requirements for
Amendments to Articles
and for Certain
Corporate
Events
3 Supermajority Voting Mgmt For For For
Requirements for the
Appointment and
Removal of Directors
of
Holdco
4 Adoption of Classified Mgmt For For For
Board Structure for
Holdco
5 Right to Adjourn Meeting Mgmt For For For
________________________________________________________________________________
Occidental Petroleum Corporation
Ticker Security ID: Meeting Date Meeting Status
OXY CUSIP 674599105 05/04/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Spencer Abraham Mgmt For For For
2 Elect Howard Atkins Mgmt For For For
3 Elect Stephen Chazen Mgmt For For For
4 Elect Edward Djerejian Mgmt For For For
5 Elect John Feick Mgmt For For For
6 Elect Margaret Foran Mgmt For For For
7 Elect Carlos Gutierrez Mgmt For For For
8 Elect Ray Irani Mgmt For For For
9 Elect Avedick Poladian Mgmt For For For
10 Elect Aziz Syriani Mgmt For For For
11 Elect Rosemary Tomich Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
14 Shareholder Proposal ShrHoldr Against Against For
Regarding
Environmental
Expertise on
Board
________________________________________________________________________________
Oracle Corporation
Ticker Security ID: Meeting Date Meeting Status
ORCL CUSIP 68389X105 10/12/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jeffrey Berg Mgmt For For For
1.2 Elect H. Raymond Bingham Mgmt For For For
1.3 Elect Michael Boskin Mgmt For For For
1.4 Elect Safra Catz Mgmt For For For
1.5 Elect Bruce Chizen Mgmt For For For
1.6 Elect George Conrades Mgmt For For For
1.7 Elect Lawrence Ellison Mgmt For For For
1.8 Elect Hector Mgmt For For For
Garcia-Molina
1.9 Elect Jeffrey Henley Mgmt For For For
1.10 Elect Mark Hurd Mgmt For For For
1.11 Elect Donald Lucas Mgmt For For For
1.12 Elect Naomi Seligman Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
________________________________________________________________________________
Parker-Hannifin Corporation
Ticker Security ID: Meeting Date Meeting Status
PH CUSIP 701094104 10/26/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Robert Bohn Mgmt For For For
1.2 Elect Linda Harty Mgmt For For For
1.3 Elect William Kassling Mgmt For For For
1.4 Elect Robert Kohlhepp Mgmt For For For
1.5 Elect Klaus-Peter Muller Mgmt For For For
1.6 Elect Candy Obourn Mgmt For For For
1.7 Elect Joseph Scaminace Mgmt For For For
1.8 Elect Wolfgang Schmitt Mgmt For For For
1.9 Elect Ake Svensson Mgmt For For For
1.10 Elect James Wainscott Mgmt For For For
1.11 Elect Donald Washkewicz Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Chairman
________________________________________________________________________________
Pfizer Inc.
Ticker Security ID: Meeting Date Meeting Status
PFE CUSIP 717081103 04/26/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Dennis Ausiello Mgmt For For For
2 Elect M. Anthony Burns Mgmt For For For
3 Elect W. Don Cornwell Mgmt For For For
4 Elect Frances Fergusson Mgmt For For For
5 Elect William Gray, III Mgmt For For For
6 Elect Helen Hobbs Mgmt For For For
7 Elect Constance Horner Mgmt For For For
8 Elect James Kilts Mgmt For For For
9 Elect George Lorch Mgmt For For For
10 Elect John Mascotte Mgmt For For For
11 Elect Suzanne Nora Mgmt For For For
Johnson
12 Elect Ian Read Mgmt For For For
13 Elect Stephen Sanger Mgmt For For For
14 Elect Marc Mgmt For For For
Tessier-Lavigne
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditure in
Newspapers
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Advisory
Vote on Director
Compensation
________________________________________________________________________________
PG&E Corporation
Ticker Security ID: Meeting Date Meeting Status
PCG CUSIP 69331C108 05/14/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David Andrews Mgmt For For For
2 Elect Lewis Chew Mgmt For For For
3 Elect C. Lee Cox Mgmt For For For
4 Elect Anthony Earley, Mgmt For For For
Jr.
5 Elect Fred Fowler Mgmt For For For
6 Elect Maryellen Mgmt For For For
Herringer
7 Elect Roger Kimmel Mgmt For For For
8 Elect Richard Meserve Mgmt For For For
9 Elect Forrest Miller Mgmt For For For
10 Elect Rosendo Parra Mgmt For For For
11 Elect Barbara Rambo Mgmt For For For
12 Elect Barry Williams Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Removing
Sexual Orientation
from Anti-Bias
Policy
________________________________________________________________________________
Philip Morris International Inc.
Ticker Security ID: Meeting Date Meeting Status
PM CUSIP 718172109 05/09/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Harold Brown Mgmt For For For
2 Elect Mathis Mgmt For For For
Cabiallavetta
3 Elect Louis Camilleri Mgmt For For For
4 Elect J. Dudley Fishburn Mgmt For For For
5 Elect Jennifer Li Mgmt For For For
6 Elect Graham Mackay Mgmt For For For
7 Elect Sergio Marchionne Mgmt For For For
8 Elect Kalpana Morparia Mgmt For For For
9 Elect Lucio Noto Mgmt For For For
10 Elect Robert Polet Mgmt For For For
11 Elect Carlos Slim Helu Mgmt For For For
12 Elect Stephen Wolf Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 2012 Performance Mgmt For For For
Incentive
Plan
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Formation of
Ethics
Committee
________________________________________________________________________________
PNC Financial Services Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
PNC CUSIP 693475105 04/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard Berndt Mgmt For For For
2 Elect Charles Bunch Mgmt For For For
3 Elect Paul Chellgren Mgmt For For For
4 Elect Kay James Mgmt For For For
5 Elect Richard Kelson Mgmt For For For
6 Elect Bruce Lindsay Mgmt For For For
7 Elect Anthony Massaro Mgmt For For For
8 Elect Jane Pepper Mgmt For For For
9 Elect James Rohr Mgmt For For For
10 Elect Donald Shepard Mgmt For For For
11 Elect Lorene Steffes Mgmt For For For
12 Elect Dennis Strigl Mgmt For For For
13 Elect Thomas Usher Mgmt For For For
14 Elect George Walls, Jr. Mgmt For For For
15 Elect Helge Wehmeier Mgmt For For For
16 Ratification of Auditor Mgmt For For For
17 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Prudential Financial, Inc.
Ticker Security ID: Meeting Date Meeting Status
PRU CUSIP 744320102 05/08/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Thomas Baltimore Mgmt For For For
Jr.
2 Elect Gordon Bethune Mgmt For For For
3 Elect Gaston Caperton Mgmt For For For
4 Elect Gilbert Casellas Mgmt For For For
5 Elect James Cullen Mgmt For For For
6 Elect William Gray, III Mgmt For For For
7 Elect Mark Grier Mgmt For For For
8 Elect Constance Horner Mgmt For For For
9 Elect Martina Mgmt For For For
Hund-Mejean
10 Elect Karl Krapek Mgmt For For For
11 Elect Christine Poon Mgmt For For For
12 Elect John Strangfeld Mgmt For For For
13 Elect James Unruh Mgmt For For For
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Elimination of Mgmt For For For
Supermajority
Requirement
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
________________________________________________________________________________
PVH Corp.
Ticker Security ID: Meeting Date Meeting Status
PVH CUSIP 693656100 06/21/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Mary Baglivo Mgmt For For For
2 Elect Emanuel Chirico Mgmt For For For
3 Elect Juan Figuereo Mgmt For For For
4 Elect Joseph Fuller Mgmt For For For
5 Elect Fred Gehring Mgmt For For For
6 Elect Margaret Jenkins Mgmt For For For
7 Elect David Landau Mgmt For For For
8 Elect Bruce Maggin Mgmt For For For
9 Elect V. James Marino Mgmt For For For
10 Elect Henry Nasella Mgmt For For For
11 Elect Rita Rodriguez Mgmt For For For
12 Elect Craig Rydin Mgmt For For For
13 Amendment to the 2006 Mgmt For For For
Stock Incentive
Plan
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
SLM Corporation
Ticker Security ID: Meeting Date Meeting Status
SLM CUSIP 78442P106 05/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Ann Bates Mgmt For For For
2 Elect William Mgmt For For For
Diefenderfer
III
3 Elect Diane Gilleland Mgmt For For For
4 Elect Earl Goode Mgmt For For For
5 Elect Ronald Hunt Mgmt For For For
6 Elect Albert Lord Mgmt For For For
7 Elect Barry Munitz Mgmt For For For
8 Elect Howard Newman Mgmt For For For
9 Elect A. Alexander Mgmt For For For
Porter,
Jr.
10 Elect Frank Puleo Mgmt For For For
11 Elect Wolfgang Mgmt For For For
Schoellkopf
12 Elect Steven Shapiro Mgmt For For For
13 Elect J. Terry Strange Mgmt For For For
14 Elect Anthony Mgmt For For For
Terracciano
15 Elect Barry Williams Mgmt For For For
16 2012 Omnibus Incentive Mgmt For For For
Plan
17 Amendment to the Mgmt For For For
Employee Stock
Purchase
Plan
18 Advisory Vote on Mgmt For For For
Executive
Compensation
19 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Solera Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
SLH CUSIP 83421A104 11/10/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Tony Aquila Mgmt For For For
1.2 Elect Arthur Kingsbury Mgmt For For For
1.3 Elect Kenneth Viellieu Mgmt For For For
1.4 Elect Thomas Wajnert Mgmt For For For
1.5 Elect Stuart Yarbrough Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Teradata Corporation
Ticker Security ID: Meeting Date Meeting Status
TDC CUSIP 88076W103 04/20/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Michael Koehler Mgmt For For For
2 Elect James Ringler Mgmt For For For
3 Elect John Schwarz Mgmt For For For
4 2012 Stock Incentive Mgmt For For For
Plan
5 Amendment to the Mgmt For For For
Employee Stock
Purchase
Plan
6 Advisory Vote on Mgmt For For For
Executive
Compensation
7 Repeal of Classified Mgmt For For For
Board
8 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
The Boeing Company
Ticker Security ID: Meeting Date Meeting Status
BA CUSIP 097023105 04/30/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David Calhoun Mgmt For For For
2 Elect Arthur Collins, Mgmt For For For
Jr.
3 Elect Linda Cook Mgmt For For For
4 Elect Kenneth Duberstein Mgmt For For For
5 Elect Edmund Mgmt For For For
Giambastiani,
Jr.
6 Elect Lawrence Kellner Mgmt For For For
7 Elect Edward Liddy Mgmt For For For
8 Elect W. James Mgmt For For For
McNerney,
Jr.
9 Elect Susan Schwab Mgmt For For For
10 Elect Ronald Williams Mgmt For For For
11 Elect Mike Zafirovski Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares After
Retirement
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Supplemental
Executive Retirement
Benefits
________________________________________________________________________________
The Hartford Financial Services Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
HIG CUSIP 416515104 05/16/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Robert Allardice Mgmt For For For
III
2 Elect Trevor Fetter Mgmt For For For
3 Elect Paul Kirk, Jr. Mgmt For For For
4 Elect Liam McGee Mgmt For For For
5 Elect Kathryn Mikells Mgmt For For For
6 Elect Michael Morris Mgmt For For For
7 Elect Thomas Renyi Mgmt For For For
8 Elect Charles Strauss Mgmt For For For
9 Elect H. Patrick Swygert Mgmt For For For
10 Ratification of Auditor Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
The TJX Companies, Inc.
Ticker Security ID: Meeting Date Meeting Status
TJX CUSIP 872540109 06/13/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Zein Abdalla Mgmt For For For
2 Elect Jose Alvarez Mgmt For For For
3 Elect Alan Bennett Mgmt For For For
4 Elect Bernard Cammarata Mgmt For For For
5 Elect David Ching Mgmt For For For
6 Elect Michael Hines Mgmt For For For
7 Elect Amy Lane Mgmt For For For
8 Elect Carol Meyrowitz Mgmt For For For
9 Elect John O'Brien Mgmt For For For
10 Elect Willow Shire Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Approval of Material Mgmt For For For
Terms of Executive
Officer Performance
Goals Under Cash
Incentive
Plans
13 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Thermo Fisher Scientific Inc.
Ticker Security ID: Meeting Date Meeting Status
TMO CUSIP 883556102 05/23/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect C. Martin Harris Mgmt For For For
2 Elect Judy Lewent Mgmt For For For
3 Elect Jim Manzi Mgmt For For For
4 Elect Lars Sorenson Mgmt For For For
5 Elect Elaine Ullian Mgmt For For For
6 Advisory Vote on Mgmt For For For
Executive
Compensation
7 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Towers Watson & Co.
Ticker Security ID: Meeting Date Meeting Status
TW CUSIP 891894107 11/11/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect John Gabarro Mgmt For For For
2 Elect Victor Ganzi Mgmt For For For
3 Elect John Haley Mgmt For For For
4 Elect Brendan O'Neill Mgmt For For For
5 Elect Linda Rabbitt Mgmt For For For
6 Elect Gilbert Ray Mgmt For For For
7 Elect Paul Thomas Mgmt For For For
8 Elect Wilhelm Zeller Mgmt For For For
9 Ratification of Auditor Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
TRW Automotive Holdings Corp.
Ticker Security ID: Meeting Date Meeting Status
TRW CUSIP 87264S106 05/15/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect James Albaugh Mgmt For Withhold Against
1.2 Elect Robert Friedman Mgmt For For For
1.3 Elect J. Michael Losh Mgmt For For For
1.4 Elect David. Taylor Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 2012 Stock Incentive Mgmt For For For
Plan
________________________________________________________________________________
U.S. Bancorp
Ticker Security ID: Meeting Date Meeting Status
USB CUSIP 902973304 04/17/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Douglas Baker, Jr. Mgmt For For For
2 Elect Y. Marc Belton Mgmt For For For
3 Elect Victoria Buyniski Mgmt For For For
Gluckman
4 Elect Arthur Collins, Mgmt For For For
Jr.
5 Elect Richard Davis Mgmt For For For
6 Elect Roland Hernandez Mgmt For For For
7 Elect Joel Johnson Mgmt For For For
8 Elect Olivia Kirtley Mgmt For For For
9 Elect Jerry Levin Mgmt For For For
10 Elect David O'Maley Mgmt For For For
11 Elect O'Dell Owens Mgmt For For For
12 Elect Craig Schnuck Mgmt For For For
13 Elect Patrick Stokes Mgmt For For For
14 Elect Doreen Woo Ho Mgmt For For For
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
United Continental Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
UAL CUSIP 910047109 06/12/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Carolyn Corvi Mgmt For For For
1.2 Elect Jane Garvey Mgmt For For For
1.3 Elect Walter Isaacson Mgmt For For For
1.4 Elect Henry Meyer III Mgmt For For For
1.5 Elect Oscar Munoz Mgmt For For For
1.6 Elect Laurence Simmons Mgmt For For For
1.7 Elect Jeffery Smisek Mgmt For For For
1.8 Elect Glenn Tilton Mgmt For For For
1.9 Elect David Vitale Mgmt For For For
1.10 Elect John Walker Mgmt For For For
1.11 Elect Charles Yamarone Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
United Technologies Corporation
Ticker Security ID: Meeting Date Meeting Status
UTX CUSIP 913017109 04/11/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Louis Chenevert Mgmt For For For
2 Elect John Faraci Mgmt For For For
3 Elect Jean-Pierre Mgmt For For For
Garnier
4 Elect Jamie Gorelick Mgmt For For For
5 Elect Edward Kangas Mgmt For For For
6 Elect Ellen Kullman Mgmt For For For
7 Elect Richard McCormick Mgmt For For For
8 Elect Harold McGraw III Mgmt For For For
9 Elect Richard Myers Mgmt For For For
10 Elect H. Patrick Swygert Mgmt For For For
11 Elect Andre Villeneuve Mgmt For For For
12 Elect Christine Whitman Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
UnitedHealth Group Incorporated
Ticker Security ID: Meeting Date Meeting Status
UNH CUSIP 91324P102 06/04/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect William Ballard, Mgmt For For For
Jr.
2 Elect Richard Burke Mgmt For For For
3 Elect Robert Darretta Mgmt For For For
4 Elect Stephen Hemsley Mgmt For For For
5 Elect Michele Hooper Mgmt For For For
6 Elect Rodger Lawson Mgmt For For For
7 Elect Douglas Mgmt For For For
Leatherdale
8 Elect Glenn Renwick Mgmt For For For
9 Elect Kenneth Shine Mgmt For For For
10 Elect Gail Wilensky Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Ratification of Auditor Mgmt For For For
13 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
Unum Group
Ticker Security ID: Meeting Date Meeting Status
UNM CUSIP 91529Y106 05/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Pamela Godwin Mgmt For For For
2 Elect Thomas Kinser Mgmt For For For
3 Elect A.S. (Pat) Mgmt For For For
MacMillan
Jr.
4 Elect Edward Muhl Mgmt For For For
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Stock Incentive Plan of Mgmt For For For
2012
7 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Visa Inc.
Ticker Security ID: Meeting Date Meeting Status
V CUSIP 92826C839 01/31/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gary Coughlan Mgmt For For For
2 Elect Mary Cranston Mgmt For Against Against
3 Elect Francisco Javier Mgmt For For For
Fernandez
Carbajal
4 Elect Robert Matschullat Mgmt For For For
5 Elect Cathy Minehan Mgmt For For For
6 Elect Suzanne Johnson Mgmt For For For
7 Elect David Pang Mgmt For For For
8 Elect Joseph Saunders Mgmt For For For
9 Elect William Shanahan Mgmt For For For
10 Elect John Swainson Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Amendment to the 2007 Mgmt For For For
Equity Incentive
Compenastion
Plan
13 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Watson Pharmaceuticals, Inc.
Ticker Security ID: Meeting Date Meeting Status
WPI CUSIP 942683103 05/11/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Jack Michelson Mgmt For For For
2 Elect Ronald Taylor Mgmt For For For
3 Elect Andrew Turner Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Annual Incentive Plan Mgmt For For For
6 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Wells Fargo & Company
Ticker Security ID: Meeting Date Meeting Status
WFC CUSIP 949746101 04/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect John Baker II Mgmt For For For
2 Elect Elaine Chao Mgmt For For For
3 Elect John Chen Mgmt For For For
4 Elect Lloyd Dean Mgmt For For For
5 Elect Susan Engel Mgmt For For For
6 Elect Enrique Mgmt For For For
Hernandez,
Jr.
7 Elect Donald James Mgmt For For For
8 Elect Cynthia Milligan Mgmt For For For
9 Elect Nicholas Moore Mgmt For For For
10 Elect Federico Pena Mgmt For For For
11 Elect Philip Quigley Mgmt For For For
12 Elect Judith Runstad Mgmt For For For
13 Elect Stephen Sanger Mgmt For For For
14 Elect John Stumpf Mgmt For For For
15 Elect Susan Swenson Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Ratification of Auditor Mgmt For For For
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Cumulative
Voting in Contested
Elections
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Proxy
Access
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Review of Controls
Related to Loans,
Foreclosures and
Securitizations
________________________________________________________________________________
Xcel Energy Inc.
Ticker Security ID: Meeting Date Meeting Status
XEL CUSIP 98389B100 05/16/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gail Boudreaux Mgmt For For For
2 Elect Fredric Corrigan Mgmt For For For
3 Elect Richard Davis Mgmt For For For
4 Elect Benjamin Fowke III Mgmt For For For
5 Elect Albert Moreno Mgmt For For For
6 Elect Christopher Mgmt For For For
Policinski
7 Elect A. Patricia Mgmt For For For
Sampson
8 Elect James Sheppard Mgmt For For For
9 Elect David Westerlund Mgmt For For For
10 Elect Kim Williams Mgmt For For For
11 Elect Timothy Wolf Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Elimination of Mgmt For For For
Cumulative
Voting
14 Amendments to Articles Mgmt For For For
of Incorporation
Regarding Terms of
Preferred
Stock
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
________________________________________________________________________________
Xilinx, Inc.
Ticker Security ID: Meeting Date Meeting Status
XLNX CUSIP 983919101 08/10/2011 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Philip Gianos Mgmt For For For
2 Elect Moshe Gavrielov Mgmt For For For
3 Elect John Doyle Mgmt For For For
4 Elect Jerald Fishman Mgmt For For For
5 Elect William Howard, Mgmt For For For
Jr.
6 Elect J. Michael Mgmt For For For
Patterson
7 Elect Albert Pimentel Mgmt For For For
8 Elect Marshall Turner, Mgmt For For For
Jr.
9 Elect Elizabeth Mgmt For For For
Vanderslice
10 Amendment to the 1990 Mgmt For For For
Employee Qualified
Stock Purchase
Plan
11 Amendment to the 2007 Mgmt For For For
Equity Incentive
Plan
12 Amendment to the 2007 Mgmt For For For
Equity Incentive
Plan
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Ratification of Auditor Mgmt For For For
CLOUGH CHINA FUND
Vote Summary
VTECH HOLDINGS LTD, HAMILTON
SECURITY G9400S132 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-Jul-2011
ISIN BMG9400S1329 AGENDA 703185682 - Management
RECORD DATE 14-Jul-2011 HOLDING RECON DATE 14-Jul-2011
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 19-Jul-2011
SEDOL(S) 6928560 - B02V635 - B1BJHN4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110617/LTN20110617346.pdf
1 To receive and consider the audited financial statements and the reports of the Directors Management For For
and the auditor for the year ended 31 March 2011
2 To consider and declare a final dividend in respect of the year ended 31 March 2011 Management For For
3.a To re-elect Mr. Andy Leung Hon Kwong as Director Management For For
3.b To re-elect Dr. David Sun Tak Kei as Director Management For For
3.c To re-elect Dr. Patrick Wang Shui Chung as Director Management For For
3.d To fix the remuneration of the Directors Management For For
4 To re-appoint KPMG as the auditor of the Company at a fee to be agreed with the Management For For
Directors
5 To grant a general mandate to the Directors to repurchase shares representing up to 10% Management For For
of the issued share capital of the Company at the date of the Annual General Meeting
6 To grant a general mandate to the Directors to allot, issue and deal with additional Management For For
shares representing up to 10% of the issued share capital of the Company at the date of
the Annual General Meeting
7 To extend the general mandate granted to the Directors to allot, issue and deal with Management For For
additional shares by the addition of such number of shares to be repurchased by the
Company
8 To approve the adoption of the 2011 Share Option Scheme and the cancellation of the Management For For
existing share option scheme of the Company
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 199,700 15-Jul-2011 20-Jul-2011
YORK MELLON
LENOVO GROUP LTD, HONG KONG
SECURITY Y5257Y107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-Jul-2011
ISIN HK0992009065 AGENDA 703187573 - Management
RECORD DATE 19-Jul-2011 HOLDING RECON DATE 19-Jul-2011
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 15-Jul-2011
SEDOL(S) 5924279 - 6218089 - B01DLP9 - B175X83 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110620/LTN20110620267.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
1 To receive and consider the audited accounts for the year ended March 31, 2011 Management For For
together with the reports of the directors and auditors thereon
2 To declare a final dividend for the issued ordinary shares for the year ended March 31, Management For For
2011
3a To re-elect Mr. Liu Chuanzhi as director Management For For
3b To re-elect Dr. Wu Yibing as director Management For For
3c To re-elect Professor Woo Chia-Wei as director Management For For
3d To re-elect Dr. Tian Suning as director Management For For
3e To authorize the board of directors to fix directors' fees Management For For
4 To re-appoint PricewaterhouseCoopers as auditors and authorize the board of directors to fix Management For For
auditors' remuneration
5 Ordinary Resolution - To grant a general mandate to the directors to allot, issue and deal with Management For For
additional ordinary shares not exceeding 20% of the aggregate nominal amount of the issued
ordinary share capital of the Company
6 Ordinary Resolution - To grant a general mandate to the directors to repurchase ordinary shares Management For For
not exceeding 10% of the aggregate nominal amount of the issued ordinary share capital of the
Company
7 Ordinary Resolution - To extend the general mandate to the directors to issue new ordinary Management For For
shares of the Company by adding the number of the shares repurchased
8 Ordinary Resolution - To cancel the Series A cumulative convertible preferred shares from the Management For For
existing authorized share capital of the Company
9 Special Resolution - To amend the articles of association of the Company Management For For
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL RECORD Non-Voting
DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN
THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 2,456,000 13-Jul-2011 20-Jul-2011
YORK MELLON
MAN WAH HOLDINGS LTD
SECURITY G5800U107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-Jul-2011
ISIN BMG5800U1071 AGENDA 703191988 - Management
RECORD DATE 20-Jul-2011 HOLDING RECON DATE 20-Jul-2011
CITY / COUNTRY HONGKONG / Bermuda VOTE DEADLINE DATE 18-Jul-2011
SEDOL(S) B58VHF3 - B58YWF7 - B5WN7S8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110624/LTN20110624025.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS "1 TO 13". THANK YOU.
1 To receive, consider and adopt the reports of the directors and the auditors and the Management For For
audited consolidated financial statements of the Company for the year ended 31 March
2011
2 To declare a final dividend of HK13 cents per share for the year ended 31 March 2011 Management For For
3 To approve the re-election of Mr. Wang Guisheng as an executive director of the Management For For
Company
4 To approve the re-election of Mr. Stephen Allen Barr as an executive director of the Management For For
Company
5 To approve the re-election of Mr. Ong Chor Wai as a non-executive director of the Management For For
Company
6 To approve the re-election of Mr. Francis Lee Fook Wah as a non-executive director of Management For For
the Company
7 To approve the re-election of Mr. Lee Teck Leng Robson as an independent non- Management For For
executive director of the Company
8 To approve, confirm and ratify the remuneration paid to the directors of the Company Management For For
for the year ended 31 March 2011 as set out in the annual report of the Company for the
financial year ended 31 March 2011
9 To authorise the board of directors of the Company to fix the remuneration of the Management For For
directors of the Company for the year ending 31 March 2012 in accordance with their
service contracts or letters of appointment, to approve and confirm the terms of
appointment for each of Mr. Ong Chor Wai, Mr. Francis Lee Fook Wah, Mr. Lee Teck
Leng, Robson,Ms. Chan Wah Man Carman and Mr. Chau Shing Yim David and to
authorise any one executive director of the Company to execute the directors' service
contracts or such other documents or supplemental agreements or deeds and exercise all
powers which such director considers necessary or desirable on behalf of the Company
10 To re-appoint Deloitte Touche Tohmatsu as auditors of the Company and to authorise Management For For
the board of directors of the Company to fix their remuneration
11 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
new shares of the Company not exceeding 20% of its issued share capital
12 To grant a general mandate to the directors of the Company to repurchase shares of the Management For For
Company not exceeding 10% of its issued share capital
13 To extend the general mandate granted to the directors of the Company to allot, issue Management For For
and deal with new shares by an amount not exceeding the amount of the shares
repurchased by the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 117,794 14-Jul-2011 21-Jul-2011
YORK MELLON
ORIENTAL WATCH HOLDINGS LTD
SECURITY G6773R105 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 28-Jul-2011
ISIN BMG6773R1051 AGENDA 703197435 - Management
RECORD DATE 22-Jul-2011 HOLDING RECON DATE 22-Jul-2011
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 25-Jul-2011
SEDOL(S) 6660969 - B02V3R8 - B1HJK17 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110627/LTN20110627161.pdf
1 To receive and consider the audited financial statements and the reports of the directors Management For For
and independent auditor for the year ended 31st March, 2011
2 To declare a final dividend of 8.0 Hong Kong cents per share for the year ended 31st Management For For
March, 2011
3.i To elect Mr. Fung Kwong Yiu as a director Management For For
3.ii To elect Madam Yeung Man Yee, Shirley as director Management For For
3.iii To elect Dr. Sun Ping Hsu, Samson as an independent non-executive director Management For For
3.iv To authorise the board of directors to fix the remuneration of the directors Management For For
4 To appoint auditor and to authorise the board of directors to fix its remuneration Management For For
5.A To grant an unconditional mandate to the directors to allot shares Management For For
5.B To grant an unconditional mandate to the directors to purchase the Company's own Management For For
shares
5.C To include nominal amount of the shares repurchased by the Company to the mandate Management For For
granted to the directors under resolution no. 5A
5.D To approve bonus issue of shares Management For For
5.E To approve renewal of the general mandate limit of share option scheme Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,338,000 21-Jul-2011 26-Jul-2011
YORK MELLON
CHINA LONGYUAN POWER GROUP CORPORATION LTD
SECURITY Y1501T101 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 10-Aug-2011
ISIN CNE100000HD4 AGENDA 703191899 - Management
RECORD DATE 08-Jul-2011 HOLDING RECON DATE 08-Jul-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 01-Aug-2011
SEDOL(S) B3MFW30 - B4Q2TX3 - B4XWG35 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110624/LTN20110624241.pdf
1 To consider and approve the nomination of Mr. Chen Bin as a non-executive director of Management For For
the Company, effective from the date of approval of such change of the board of
directors (the "Board") by the shareholders at the EGM and until the expiration of the
term of the current session of the Board. Meanwhile, to approve to authorize the
Remuneration and Assessment Committee of the Board to determine the remuneration
of the new director according to his terms of reference and taking into account his duties
and responsibilities upon the candidate for new director being approved at the EGM, and
to authorize the chairman of the Company or any of the executive directors to enter into
a service contract with the new director and handle all other relevant matters on behalf
of the Company upon the candidate for new director being approved at the EGM
2 To consider and approve the nomination of Mr. Qiao Baoping as a supervisor of the Management For For
Company, effective from the date of approval of such change of the Supervisory Board
by shareholders at the EGM and until the expiration of the term of the current session of
the Supervisory Board. Meanwhile, to approve to authorize the Remuneration and
Assessment Committee of the Board to determine the remuneration of the new
supervisor according to his terms of reference and taking into account his duties and
responsibilities upon the candidate for new supervisor being approved at the EGM, and
to authorize the chairman of the Company or any of the executive directors to enter into
a service contract with the new supervisor and handle all other relevant matters on
behalf of the Company upon the candidate for new supervisor being approved at the
EGM
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,820,000 28-Jul-2011 02-Aug-2011
YORK MELLON
GOLDEN EAGLE RETAIL GROUP LTD, WAN CHAI
SECURITY G3958R109 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 17-Aug-2011
ISIN KYG3958R1092 AGENDA 703213974 - Management
RECORD DATE 16-Aug-2011 HOLDING RECON DATE 16-Aug-2011
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 10-Aug-2011
SEDOL(S) B10S7M1 - B11W744 - B125PR1 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110711/LTN20110711337.pdf
1 To approve the non-exercise of the Right of First Refusal Management For For
2 To approve the entering into of the Lease Agreement and the transactions contemplated Management For For
thereunder
3 To approve the proposed Annual Caps for the rental and property management fee in Management For For
respect of the Lease Agreement for each of the three years ending 31 December 2013
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 421,000 08-Aug-2011 15-Aug-2011
YORK MELLON
CHINA CONSTRUCTION BANK CORPORATION, BEIJING
SECURITY Y1397N101 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 18-Aug-2011
ISIN CNE1000002H1 AGENDA 703206032 - Management
RECORD DATE 18-Jul-2011 HOLDING RECON DATE 18-Jul-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 09-Aug-2011
SEDOL(S) B0LMTQ3 - B0N9XH1 - B0YK577 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL- LINK:http://www.hkexnews.hk/listedco/listconews /sehk/
20110703/LTN20110703065.p-df
1 Issuance of RMB-denominated subordinated bonds Management For For
2 Election of shareholder representative supervisor Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,574,080 05-Aug-2011 10-Aug-2011
YORK MELLON
SA SA INTERNATIONAL HOLDINGS LTD
SECURITY G7814S102 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-Aug-2011
ISIN KYG7814S1021 AGENDA 703198540 - Management
RECORD DATE 19-Aug-2011 HOLDING RECON DATE 19-Aug-2011
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 22-Aug-2011
SEDOL(S) 6003401 - B054NY1 - B1BJS31 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110629/LTN20110629475.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the audited consolidated financial statements and the reports of Management For For
the directors and auditors for the year ended 31 March 2011
2 To consider and declare a final dividend and a special dividend for the year ended 31 Management For For
March 2011
3.1.a To re-elect the following retiring director as independent non-executive director of the Management For For
Company: Professor CHAN Yuk Shee
3.1.b To re-elect the following retiring director as independent non-executive director of the Management For For
Company: Dr LEUNG Kwok Fai Thomas
3.1.c To re-elect the following retiring director as independent non-executive director of the Management For For
Company: Ms TAM Wai Chu Maria
3.2 To authorise the board of directors (the "Board") to fix the remuneration of the aforesaid Management For For
Directors
4 To re-appoint PricewaterhouseCoopers as auditors of the Company and to authorise the Management For For
Board to fix their remuneration
5.1 To grant a general mandate to the directors to issue additional shares of the Company Management For For
5.2 To grant a general mandate to the directors to purchase shares of the Company Management For For
5.3 To add the aggregate nominal amount of shares which are purchased or otherwise acquired Management For For
under the general mandate granted to the directors pursuant to Ordinary Resolution No. 5(2) to
the aggregate nominal amount of the shares which may be issued under the general mandate in
Ordinary Resolution No. 5(1)
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL RECORD Non-Voting
DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN
THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 5,942,000 18-Aug-2011 23-Aug-2011
YORK MELLON
CHINA OVERSEAS GRAND OCEANS GROUP LTD
SECURITY Y1505S117 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 26-Aug-2011
ISIN HK0000065737 AGENDA 703281965 - Management
RECORD DATE 24-Aug-2011 HOLDING RECON DATE 24-Aug-2011
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 23-Aug-2011
SEDOL(S) 6803247 - B0J2MJ9 - B1HHP16 - B3SC7G3 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110809/LTN20110809393.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED T-HE SAME AS A "TAKE NO ACTION" VOTE.
1 To consider and approve the issue of the Bonus Shares (as defined in the circular of the Management For For
Company dated 10 August 2011 relating to, inter alia, the proposed bonus shares issue)
2 To re-elect Mr. Wang Man Kwan, Paul as director of the Company Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 647,000 19-Aug-2011 25-Aug-2011
YORK MELLON
CHINA OVERSEAS GRAND OCEANS GROUP LTD
SECURITY Y1505S117 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 07-Sep-2011
ISIN HK0000065737 AGENDA 703282448 - Management
RECORD DATE 06-Sep-2011 HOLDING RECON DATE 06-Sep-2011
CITY /COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 02-Sep-2011
SEDOL(S) 6803247 - B0J2MJ9 - B1HHP16 - B3SC7G3 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110809/LTN20110809461.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED T-HE SAME AS A "TAKE NO ACTION" VOTE.
1 To consider and approve the refreshment of the share issue mandate Management For For
2 To consider and approve the refreshment of the share repurchase mandate Management For For
3 To consider and approve the extension of the refreshed share issue mandate Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 970,500 31-Aug-2011 06-Sep-2011
YORK MELLON
CHANGSHA ZOOMLION HEAVY INDUSTRY SCIENCE & TECHNOL
SECURITY Y1293Y110 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 11-Oct-2011
ISIN CNE100000X85 AGENDA 703350621 - Management
RECORD DATE 09-Sep-2011 HOLDING RECON DATE 09-Sep-2011
CITY / COUNTRY CHANGSHA CITY / China VOTE DEADLINE DATE 29-Sep-2011
SEDOL(S) B544N70 - B65K2D3 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 881561 DUE Non-Voting
TO RECEIPT OF A-DDITIONAL RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISRE-GARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
1 To consider and approve the issuance of U.S. dollar denominated bonds of a principal Management For For
amount not exceeding USD1.5 billion dollar in the overseas markets by the company
through its offshore wholly-owned subsidiary within 24 months from the date of the
EGM, and to authorize the board of the company, persons authorized by the board and
the company's offshore wholly-owned subsidiary, to deal with all necessary matters in
connection with the issuance of the bonds
2 To consider and approve the proposal in respect of the termination of some of the Management For For
investment projects financed by proceeds from private placement
3 To consider and approve the proposal in respect of the change in the use of part of the Management For For
proceeds from private placement to replenish working capital
4 To consider and approve the proposal in respect of authorization of provision of Management For For
guarantee by offshore subsidiaries of the company for the purpose of the bond issuance
PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN THE SPLIT Non-Voting
VOTING OPTION F-ROM N TO Y . IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN T-HIS PROXY FORM UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YO-U.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 496,400 27-Sep-2011 30-Sep-2011
YORK MELLON
CHINA PETROLEUM & CHEMICAL CORP SINOPEC, BEIJING
SECURITY Y15010104 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 12-Oct-2011
ISIN CNE1000002Q2 AGENDA 703308026 - Management
RECORD DATE 09-Sep-2011 HOLDING RECON DATE 09-Sep-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 30-Sep-2011
SEDOL(S) 6291819 - 7027756 - B01XKR4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110828/LTN20110828025.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1.1 To issue domestic corporate bonds and complete other related matter: resolution on the Management For For
issue of domestic corporate bonds
1.2 To issue domestic corporate bonds and complete other related matter: to authorise the Management For For
Board (or any person authorised by the Board) to deal with matters in relation to the
issue of domestic corporate bonds
2.1 To issue A shares convertible corporate bonds and complete other related matter: Type Management For For
of securities to be issued
2.2 To issue A shares convertible corporate bonds and complete other related matter: Management For For
Issuance size
2.3 To issue A shares convertible corporate bonds and complete other related matter: Management For For
Nominal value and issue price
2.4 To issue A shares convertible corporate bonds and complete other related matter: Term Management For For
2.5 To issue A shares convertible corporate bonds and complete other related matter: Management For For
Interest rate
2.6 To issue A shares convertible corporate bonds and complete other related matter: Management For For
Method and timing of interest payment
2.7 To issue A shares convertible corporate bonds and complete other related matter: Management For For
Conversion period
2.8 To issue A shares convertible corporate bonds and complete other related matter: Management For For
Determination and adjustment of conversion price
2.9 To issue A shares convertible corporate bonds and complete other related matter: Downward Management For For
adjustment to conversion price
2.10 To issue A shares convertible corporate bonds and complete other related matter: Conversion Management For For
method of fractional share
2.11 To issue A shares convertible corporate bonds and complete other related matter: Terms of Management For For
redemption
2.12 To issue A shares convertible corporate bonds and complete other related matter: Terms of sale Management For For
back
2.13 To issue A shares convertible corporate bonds and complete other related matter: Dividend rights of Management For For
the year of conversion
2.14 To issue A shares convertible corporate bonds and complete other related matter: Method of Management For For
issuance and target subscribers
2.15 To issue A shares convertible corporate bonds and complete other related matter: Subscription Management For For
arrangement for existing shareholders
2.16 To issue A shares convertible corporate bonds and complete other related matter: CB Holders and Management For For
CB Holders' meetings
2.17 To issue A shares convertible corporate bonds and complete other related matter: Use of proceeds Management For For
from the issuance of the Convertible Bonds
2.18 To issue A shares convertible corporate bonds and complete other related matter: Guarantee Management For For
2.19 To issue A shares convertible corporate bonds and complete other related matter: Validity period of Management For For
the resolutions in relation to the issuance of the Convertible Bonds
2.20 To issue A shares convertible corporate bonds and complete other related matter: Matter relating to Management For For
authorisation in relation to the issuance of the Convertible Bonds
2.21 To issue A shares convertible corporate bonds and complete other related matter: Feasibility Management For For
Analysis Report on the use of proceeds from the issuance of the Convertible Bonds
2.22 To issue A shares convertible corporate bonds and complete other related matter: Report on the use Management For For
of proceeds from last issuance of securities
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 2,059,000 28-Sep-2011 03-Oct-2011
YORK MELLON
CHINA LIFE INSURANCE CO LTD
SECURITY Y1477R204 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 14-Oct-2011
ISIN CNE1000002L3 AGENDA 703332180 - Management
RECORD DATE 12-Sep-2011 HOLDING RECON DATE 12-Sep-2011
CITY /COUNTRY BEIJING / China VOTE DEADLINE DATE 05-Oct-2011
SEDOL(S) 6718976 - B02W3K4 - B06KKF8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110825/LTN20110825231.pdf
1 Resolution in relation to the issue of subordinated term debts of China Life Insurance Management For For
Company Limited
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 104,000 03-Oct-2011 05-Oct-2011
YORK MELLON
SMARTONE TELECOMMUNICATIONS HLDGS LTD
SECURITY G8219Z105 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 02-Nov-2011
ISIN BMG8219Z1059 AGENDA 703360127 - Management
RECORD DATE 28-Oct-2011 HOLDING RECON DATE 28-Oct-2011
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 28-Oct-2011
SEDOL(S) 5611496 - 6856995 - B02V4Z3 - B17MHY8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------- ---------- ---- -----------
CMMT NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE Non-Voting
URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20110929/LTN20110929227.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTION. THANK YOU.
1 To adopt the audited financial statements and the Management For For
Reports of the Directors and Auditors for the year
ended 30 June 2011
2 To approve the payment of final dividend Management For For
3.1A To re-elect Mr. Douglas Li as Director Management For For
3.1B To re-elect Mr. Patrick Kai-lung Chan as Director Management For For
3.1C To re-elect Mr. Wing-chung Yung as Director Management For For
3.1D To re-elect Mr. Leung-sing Ng as Director Management For For
3.1E To re-elect Mr. Xiang-dong Yang as Director Management For For
3.2 To authorise the Board of Directors to fix the fees Management For For
of Directors
4 To re-appoint PricewaterhouseCoopers as Management For For
Auditors of the Company and to authorise the
Board of Directors to fix their remuneration
5 To give a general mandate to the Board of Management For For
Directors to issue and dispose of additional
shares in the Company not exceeding 10% of the
nominal amount of the issued share capital
6 To give a general mandate to the Board of Management For For
Directors to repurchase shares of the Company
not exceeding 10% of the nominal amount of the
issued share capital
7 To extend the general mandate granted to the Management For For
Board of Directors to issue shares in the capital
of the Company by the number of shares
repurchased
8 To terminate the Existing Share Option Scheme Management For For
and approve and adopt the New Share Option
Scheme
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 482,000 27-Oct-2011 31-Oct-2011
YORK MELLON
AIR CHINA LTD
SECURITY Y002A6104 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 25-Nov-2011
ISIN CNE1000001S0 AGENDA 703439629 - Management
RECORD DATE 25-Oct-2011 HOLDING RECON DATE 25-Oct-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 16-Nov-2011
SEDOL(S) B04KNF1 - B04V2F7 - B04YG10 - B0584Q2 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 897671 DUE Non-Voting
TO ADDITION OF-AN RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111010/LTN20111010480.pdf;- http://www.hkexnews.hk/listedco/listconews/sehk/
20111109/LTN20111109417.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY-FOR ALL RESOLUTIONS. THANK YOU.
1 To consider and approve the appointment of Mr. Zhou Feng as a shareholder Management For For
representative supervisor for the third session of the Supervisory Committee of the
Company
2 To consider and approve: the continuing connected transactions between the Company Management For For
and Air China Cargo Co., Ltd.; the annual caps for the aggregate amount payable by Air
China Cargo Co., Ltd. to the Company pursuant to such continuing connected
transactions for the years ending 31 December 2011, 2012 and 2013, being RMB5.6
billion, RMB6.3 billion and RMB7.7 billion, respectively; and the annual caps for the
aggregate amount payable by the Company to Air China Cargo Co., Ltd. pursuant to the
same continuing connected transactions for the years ending 31 December 2011, 2012
and 2013, being RMB46.0 million, RMB46.0 million and RMB46.0 million,
respectively
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,128,000 14-Nov-2011 17-Nov-2011
YORK MELLON
INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED
SECURITY ADPV10686 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 29-Nov-2011
ISIN CNE1000003G1 AGENDA 703454037 - Management
RECORD DATE 24-Oct-2011 HOLDING RECON DATE 24-Oct-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 22-Nov-2011
SEDOL(S) B1G1QD8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 892580 DUE Non-Voting
TO ADDITION OF-RESOLUTIONS AND POSTPONEMENT OF MEETING FROM
24 NOV TO 29 NOV 2011. ALL VOTES-RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REIN-STRUCT
ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111009/LTN20111009043.pdf; h-ttp://www.hkexnews.hk/listedco/listconews/sehk/2
0111111/LTN20111111536.pdf
1 To approve the new issue of subordinated bonds on the terms and conditions as set out Management For For
in the circular dated 10 October 2011
2 To consider and approve the appointment of Mr. Jiang Jianqing as executive director of Management For For
the Bank
3 To consider and approve the appointment of Mr. Yang Kaisheng as executive director of Management For For
the Bank
4 To consider and approve the appointment of Mr. Wong Kwong Shing, Frank as Management For For
independent non- executive director of the Bank
5 To consider and approve the appointment of Mr. Tian Guoqiang as independent non- Management For For
executive director of the Bank
6 To consider and approve the appointment of Ms. Wang Chixi as shareholder supervisor Management For For
of the Bank
7 To consider and approve the appointment of Mr. Huan Huiwu as non-executive director Management For For
of the Bank
8 To consider and approve the appointment of Ms. Wang Xiaoya as non-executive Management For For
director of the Bank
9 To consider and approve the appointment of Ms. Ge Rongrong as non-executive director Management For For
of the Bank
10 To consider and approve the appointment of Mr. Li Jun as non-executive director of the Management For For
Bank
11 To consider and approve the appointment of Mr. Wang Xiaolan as non-executive Management For For
director of the Bank
12 To consider and approve the appointment of Mr. Yao Zhongli as non-executive director Management For For
of the Bank
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 7,289,967 18-Nov-2011 21-Nov-2011
YORK MELLON
SUN HUNG KAI PPTYS LTD
SECURITY Y82594121 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 08-Dec-2011
ISIN HK0016000132 AGENDA 703413005 - Management
RECORD DATE 02-Dec-2011 HOLDING RECON DATE 02-Dec-2011
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 05-Dec-2011
SEDOL(S) 5724394 - 6859927 - B01Y6N5 - B17MW09 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111027/LTN20111027203.pdf
1 To receive and consider the audited financial statements and the reports of the Directors Management For For
and Auditor for the year ended 30 June 2011
2 To declare the final dividend Management For For
3(i)a To re-elect Dr. Li Ka-cheung, Eric as Director Management For For
3(i)b To re-elect Mr. Kwok Ping-sheung, Walter as Director Management For For
3(i)c To re-elect Sir Po-shing Woo as Director Management For For
3(i)d To re-elect Mr. Wong Chik-wing, Mike as Director Management For For
3(ii) To fix Directors' fees. (The proposed fees to be paid to each Director, Vice Chairman Management For For
and Chairman for the financial year ending 30 June 2012 are HKD 100,000, HKD
110,000 and HKD 120,000 respectively)
4 To re-appoint Auditor and to authorise the Board of Directors to fix their remuneration Management For For
5 To grant a general mandate to the Directors to repurchase shares (Ordinary Resolution Management For For
No.5 as set out in the notice of the AGM)
6 To grant a general mandate to the Directors to issue new shares (Ordinary Resolution Management For For
No.6 as set out in the notice of the AGM)
7 To extend the general mandate to issue new shares by adding the number of shares Management For For
repurchased (Ordinary Resolution No.7 as set out in the notice of the AGM)
8 To approve the new share option scheme of SUNeVision Holdings Ltd. and to terminate Management For For
the operation of its existing share option scheme (Ordinary Resolution No. 8 as set out
in the notice of the AGM)
9 To terminate the operation of the existing share option scheme of SmarTone Management For For
Telecommunications Holdings Limited and to approve its new share option scheme
(Ordinary Resolution No. 9 as set out in the notice of the AGM)
10 To amend Articles 2, 73, 74, 75, 76, 85(B), 103(B)(ii), 121(A), 125, 127, 128 and 135 of Management For For
the Articles of Association (Special Resolution as set out in the notice of the AGM)
PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN THE Non-Voting
TEXT OF THE RES-OLUTION 10. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS-PROXY FORM UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 60,000 01-Dec-2011 06-Dec-2011
YORK MELLON
KINGSOFT CORPORATION LTD
SECURITY G5264Y108 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 09-Dec-2011
ISIN KYG5264Y1089 AGENDA 703457918 - Management
RECORD DATE 06-Dec-2011 HOLDING RECON DATE 06-Dec-2011
CITY / COUNTRY GUANGDONG /Cayman Islands VOTE DEADLINE DATE 30-Nov-2011
SEDOL(S) B27WRM3 - B28CVM0 - B4X6GF9 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111121/LTN20111121271.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To confirm, approve and ratify the proposal for adoption of the 2011 Share Option Management For For
Scheme (as more particularly defined and described in the ordinary resolution No. 1 in
the notice of EGM)
2 To re-elect Mr. Chi Ping Lau as a non-executive director of the Company and to Management For For
authorise the board of directors of the Company to fix his remuneration
3 To re-elect Mr. Chuan Wang as an independent non-executive director of the Company Management For For
and to authorise the board of directors of the Company to fix his remuneration
4 To re-elect Mr. Tat Joel, Chang as an independent nonexecutive director of the Management For For
Company and to authorise the board of directors of the Company to fix his remuneration
PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE FROM 08 DEC 2-011 TO 06 DEC 2011. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT RETU-RN THIS PROXY FORM UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THAN-K YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,067,000 28-Nov-2011 01-Dec-2011
YORK MELLON
CHONGQING RURAL COMMERCIAL BANK CO LTD, CHONGQING
SECURITY Y1594G107 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 12-Dec-2011
ISIN CNE100000X44 AGENDA 703412546 - Management
RECORD DATE 11-Nov-2011 HOLDING RECON DATE 11-Nov-2011
CITY / COUNTRY CHONGQING / China VOTE DEADLINE DATE 01-Dec-2011
SEDOL(S) B4Q1Y57 - B5049X2 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111026/LTN20111026213.pdf
1 To consider and approve the re-election of Mr. Liu Jianzhong as executive Director of Management For For
the Bank with a term of three years commencing from the date on which the resolution
is passed at this Extraordinary General Meeting and to authorise the board of directors
(the "Board") to fix his remuneration and to enter into a service agreement with him on
and subject to such terms and conditions as the Board shall think fit and to do all such
acts and things to give effect to such matters
2 To consider and approve the re-election of Mr. Tan Yuansheng as executive Director of Management For For
the Bank with a term of three years commencing from the date on which the resolution
is passed at this Extraordinary General Meeting and to authorise the Board to fix his
remuneration and to enter into a service agreement with him on and subject to such
terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
3 To consider and approve the election of Mr. Sui Jun as executive Director of the Bank Management For For
with a term of three years commencing from the date on which the resolution is passed
at this Extraordinary General Meeting and to authorise the Board to fix his remuneration
and to enter into a service agreement with him on and subject to such terms and
conditions as the Board shall think fit and to do all such acts and things to give effect to
such matters
4 To consider and approve the re-election of Mr. Tao Jun as non-executive Director of the Management For For
Bank with a term of three years commencing from the date on which the resolution is
passed at this Extraordinary General Meeting and to authorise the Board to fix his
remuneration and to enter into a service agreement with him on and subject to such
terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
5 To consider and approve the re-election of Mr. Wang Yongshu as non-executive Management For For
Director of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things
to give effect to such matters
6 To consider and approve the election of Mr. Hua Yusheng as non-executive Director of Management For For
the Bank with a term of three years commencing from the date on which the resolution
is passed at this Extraordinary General Meeting and to authorise the Board to fix his
remuneration and to enter into a service agreement with him on and subject to such
terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
7 To consider and approve the re-election of Mr. Wu Xiufeng as non-executive Director Management For For
of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things
to give effect to such matters
8 To consider and approve the election of Mr. Tu Minghai as non-executive Director of Management For For
the Bank with a term of three years commencing from the date on which the resolution
is passed at this Extraordinary General Meeting and to authorise the Board to fix his
remuneration and to enter into a service agreement with him on and subject to such
terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
9 To consider and approve the re-election of Mr. Wen Honghai as non-executive Director Management For For
of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things
to give effect to such matters
10 To consider and approve the re-election of Mr. Gao Xiaodong as non-executive Director Management For For
of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things
to give effect to such matters
11 To consider and approve the election of Mr. Sun Leland Li Hsun as independent non- Management For For
executive Director of the Bank with a term of three years commencing from the date on
which the resolution is passed at this Extraordinary General Meeting and to authorise the
Board to fix his remuneration and to enter into a service agreement with him on and
subject to such terms and conditions as the Board shall think fit and to do all such acts
and things to give effect to such matters
12 To consider and approve the election of Mr. Yin Mengbo as independent non-executive Management For For
Director of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
13 To consider and approve the election of Mr. Wu Qing as independent non-executive Management For For
Director of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
14 To consider and approve the election of Mr. Chen Zhengsheng as independent non- Management For For
executive Director of the Bank with a term of three years commencing from the date on
which the resolution is passed at this Extraordinary General Meeting and to authorise the
Board to fix his remuneration and to enter into a service agreement with him on and
subject to such terms and conditions as the Board shall think fit and to do all such acts
and things to give effect to such matters
15 To consider and approve the election of Mr. Liu Weili as independent non-executive Management For For
Director of the Bank with a term of three years commencing from the date on which the
resolution is passed at this Extraordinary General Meeting and to authorise the Board to
fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
16 To consider and approve the re-election of Mr. Zeng Jianwu as shareholder representative Management For For
Supervisor of the Bank with a term of three years commencing from the date on which
the resolution is passed at this Extraordinary General Meeting and to authorise the Board
to fix his remuneration and to enter into a service agreement with him on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
17 To consider and approve the re-election of Ms. Zuo Ruilan as shareholder representative Management For For
Supervisor of the Bank with a term of three years commencing from the date on which
the resolution is passed at this Extraordinary General Meeting and to authorise the Board
to fix her remuneration and to enter into a service agreement with her on and subject to
such terms and conditions as the Board shall think fit and to do all such acts and things to
give effect to such matters
18 To consider and approve the re-election of Ms. Dong Yunling as external Supervisor of Management For For
the Bank with a term of three years commencing from the date on which the resolution is
passed at this Extraordinary General Meeting and to authorise the Board to fix her
remuneration and to enter into a service agreement with her on and subject to such terms
and conditions as the Board shall think fit and to do all such acts and things to give effect
to such matters
19 To consider and approve the re-election of Mr. Chen Huiming as external Supervisor of Management For For
the Bank
with a term of three years commencing from the date on which the resolution is passed at
this
Extraordinary General Meeting and to authorise the Board to fix his remuneration and to
enter into a service agreement with him on and subject to such terms and conditions as
the Board shall
think fit and to do all such acts and things to give effect to such matters
20 To consider and approve the election of Mr. Zhang Xinyu as external Supervisor of the Management For For
Bank
with a term of three years commencing from the date on which the resolution is passed at
this
Extraordinary General Meeting and to authorise the Board to fix his remuneration and to
enter into a service agreement with him on and subject to such terms and conditions as
the Board shall
think fit and to do all such acts and things to give effect to such matters
21 To consider and approve the election of Mr. Shi Bentong as external Supervisor of the Management For For
Bank with
a term of three years commencing from the date on which the resolution is passed at this
Extraordinary General Meeting and to authorise the Board to fix his remuneration and to
enter into a service agreement with him on and subject to such terms and conditions as
the Board shall
think fit and to do all such acts and things to give effect to such matters
22 To consider and approve the amendment to the Articles of Association of the Bank in the Management For For None
following manner: The existing article 174 of the Articles of Association: "The Bank has
a board of directors which shall be composed of 11 Directors, with one Chairman." be
amended as: "The Bank has a board of directors which shall be composed of 15
Directors, with one Chairman." Subject to the passing of the special resolution approving
the amendment to the Articles of Association of the Bank at this Extraordinary General
Meeting as well as the approval of relevant government authorities of the PRC (if
necessary), the above amendment to the Articles of Association shall come into effect;
and the board of directors be authorised to amend the wordings of the Articles of
Association as necessary and handle all necessary matters in CONTD
CONT CONTD respect of such amendment in accordance with the requirements and-opinions (if Non-Voting
any) of relevant regulatory authorities
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,847,000 29-Nov-2011 02-Dec-2011
YORK MELLON
ZHUZHOU CSR TIMES ELECTRIC CO LTD
SECURITY Y9892N104 MEETING TYPE Class Meeting
TICKER SYMBOL MEETING DATE 13-Dec-2011
ISIN CNE1000004X4 AGENDA 703415340 - Management
RECORD DATE 11-Nov-2011 HOLDING RECON DATE 11-Nov-2011
CITY / COUNTRY KUNMING / China VOTE DEADLINE DATE 02-Dec-2011
SEDOL(S) B1L3XL6 - B1LBPJ2 - B1N65B7 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111027/LTN20111027278.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR RESOLUTION 1. THANK YOU.
1 To consider and approve the mandate on authorizing the board of directors to repurchase Management For For
H Shares of the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 146,000 30-Nov-2011 05-Dec-2011
YORK MELLON
ZHUZHOU CSR TIMES ELECTRIC CO LTD
SECURITY Y9892N104 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 13-Dec-2011
ISIN CNE1000004X4 AGENDA 703415352 - Management
RECORD DATE 11-Nov-2011 HOLDING RECON DATE 11-Nov-2011
CITY / COUNTRY KUNMING / China VOTE DEADLINE DATE 02-Dec-2011
SEDOL(S) B1L3XL6 - B1LBPJ2 - B1N65B7 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111027/LTN20111027270.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To consider and approve the termination of appointment of E&Y as the international Management For For
auditors of the Company and the appointment of E&Y Hua Ming as the sole auditors of
the Company to hold office until the conclusion of the next annual general meeting of
the Company and to authorise the Board to fix their remuneration
2 To consider and approve the proposed amendments to the Rules of Procedures for Management For For
General Meetings of the Company set out in Part A of Appendix II to the Circular
3 To consider and approve the proposed amendments to the Rules of Procedures for Management For For
Board Meetings of the Company set out in Part B of Appendix II to the Circular
4 To consider and approve the proposed amendments to the Rules of Procedures for Management For For
Meetings of Supervisory Committee of the Company set out in Part C of Appendix II to
the Circular
5 To consider and approve the proposed amendments to the Articles of Association set out Management For For
in Appendix I to the Circular
6 To authorize the Board to issue and arrange for registration of the issue of the Notes Management For For
7 To consider and approve the mandate on authorizing the board of directors to repurchase Management For For
H Shares of the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 146,000 30-Nov-2011 05-Dec-2011
YORK MELLON
CHINA PETROLEUM & CHEMICAL CORP SINOPEC, BEIJING
SECURITY Y15010104 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 15-Dec-2011
ISIN CNE1000002Q2 AGENDA 703421014 - Management
RECORD DATE 14-Nov-2011 HOLDING RECON DATE 14-Nov-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 06-Dec-2011
SEDOL(S) 6291819 - 7027756 - B01XKR4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-RESOLUTION "1". THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111027/LTN20111027691.pdf
1 That the conversion price of the A Share Convertible Bonds issued on 23 February 2011 Management For For
("Convertible Bonds") be adjusted downwards; and that the Board of directors of
Sinopec Corp. be authorised to determine the adjusted conversion price of the
Convertible Bonds based on the market condition as of the date of the EGM, subject to
certain conditions set out in the Company's circular dated 28 October 2011
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ----------------- -------- ----------- --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 2,059,000 02-Dec-2011 07-Dec-2011
YORK MELLON
BRILLIANCE CHINA AUTOMOTIVE HOLDINGS LTD
SECURITY G1368B102 MEETING TYPE Special General Meeting
TICKER SYMBOL MEETING DATE 20-Dec-2011
ISIN BMG1368B1028 AGENDA 703480347 - Management
RECORD DATE 19-Dec-2011 HOLDING RECON DATE 19-Dec-2011
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 12-Dec-2011
SEDOL(S) 2124317 - 5729827 - 6181482 - B01DDT7 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL- LINK:http://www.hkexnews.hk/listedco/listconews
/sehk/2011/1201/LTN201112011257-.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTION. THANK YOU.
1 (a) To approve, confirm and ratify the framework agreements dated 11 Management For For
November 2011 (the "JinBei Framework Agreements") in respect of the
continuing connected transactions to be entered into between the Company and
its subsidiaries on the one part and as specified (Shenyang JinBei Automotive
Company Limited) and its subsidiaries and associated companies on the other
part for the three financial years ending 31 December 2014; and to authorise the
directors of the Company to take such actions and to enter into such documents
as are necessary to give effect to the relevant continuing connected transactions
contemplated under the JinBei Framework Agreements; and (b) To approve the
proposed maximum annual monetary value of the relevant continuing connected
transactions contemplated under the JinBei Framework Agreements approved
pursuant to paragraph (a) of this Resolution for each of the three financial years
ending 31 December 2014
2 (a) To approve, confirm and ratify the framework agreements dated 11 Management For For None
November 2011 (the "Huachen Framework Agreements") in respect of the
continuing connected transactions to be entered into between the Company and
its subsidiaries on the one part and as specified (Huachen Automotive Group
Holdings Company Limited) ("Huachen") and its subsidiaries and associated
companies on the other part for the three financial years ending 31 December
2014; and to authorise the directors of the Company to take such actions and to
enter into such documents as are necessary to give effect to the relevant
continuing connected transactions contemplated under the Huachen Framework
Agreements; and (b) To approve the proposed maximum annual monetary value
of the relevant continuing connected transactions contemplated under the
Huachen Framework Agreements approved pursuant to paragraph (a) of this
Resolution for each of the three financial years ending 31 December 2014
3 To approve, confirm and ratify the cross guarantee agreement dated 11 Management For For
November 2011 between as specified (Shenyang XingYuanDong Automobile
Component Co., Ltd.) ("Xing Yuan Dong") and Huachen in relation to the
provision of cross guarantees by each of Xing Yuan Dong and Huachen (and its
subsidiaries) for the banking facilities of the other party up to the amount of
RMB1,500 million for a period of one financial year commencing from 1
January 2012 to 31 December 2012 and to authorise the directors of the
Company to take such actions and to enter into such documents as are necessary
to give effect to the cross guarantee
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF Non-Voting
TEXT IN RESOLUTION-2. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS PROXY FOR-M UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 786,000 08-Dec-2011 16-Dec-2011
YORK MELLON
CHINA ZHENGTONG AUTO SERVICES HOLDINGS LTD, GRAND
SECURITY G215A8108 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 22-Dec-2011
ISIN KYG215A81084 AGENDA 703481541 - Management
RECORD DATE 21-Dec-2011 HOLDING RECON DATE 21-Dec-2011
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 19-Dec-2011
SEDOL(S) B3WDTK0 - B3YLTZ7 - B4LDJ20 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON Non-Voting
THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2011/1201/LTN201112011028.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR Non-Voting
'AGAINST'-ONLY FOR RESOLUTION 1. THANK YOU.
1 (1) the transaction contemplated under the conditional sale and purchase agreement dated 23 Management For For
August 2011 (the "SP Agreement") entered into between, among others, Exactwin Limited
("Vendor") as vendor and the Company as purchaser in relation to the acquisition
("Acquisition") by the Company of the entire issued capital of Top Globe Limited ("Target")
at a cash consideration of RMB5.5 billion (equivalent to approximately HKD 6.7 billion) as
shown in the Company's circular dated 2 December 2011 be and the same is hereby
approved, confirmed and ratified; (2) the board of directors ("Board") of the Company be and
is hereby authorised to take any step and execute whether under Common Seal of the
Company or otherwise all such acts, matters, deeds, documents and to do all such acts or
things as the Board consider necessary, appropriate, desirable or expedient in connection
with: CONTD
CONT CONTD (a) the Acquisition, the SP Agreement and all other transactions-contemplated Non-Voting
thereunder, and the closing and implementation thereof; (b)-securing the fulfilment of the
conditions precedent of completion of the SP- Agreement; and (c) the approval of any
amendments or variations to any of the- documents tabled or the granting of waivers of any
matters contemplated-thereby that are, in the Board's opinion, not fundamental to the
transactions-contemplated thereby and are in the best interests of the Company, including-
without limitation the signing (under the Common Seal of the Company where-required or
expedient) of any supplemental or ancillary agreements and- instruments and the giving of
any undertakings and confirmations for any such-purposes
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 841,000 15-Dec-2011 20-Dec-2011
YORK MELLON
BANK OF CINA LTD, BEIJING
SECURITY Y0698A107 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 06-Jan-2012
ISIN CNE1000001Z5 AGENDA 703455609 - Management
RECORD DATE 06-Dec-2011 HOLDING RECON DATE 06-Dec-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 27-Dec-2011
SEDOL(S) B154564 - B15ZP90 - B15ZV58 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON Non-Voting
THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
20111117/LTN20111117510.pdf
1 To consider and approve the Remuneration Plan for the Chairman, Executive Directors, Management
Chairman of Board of Supervisors and Shareholder Representative Supervisors of 2010
2 To consider and approve the proposal in relation to the election of Mr. WANG Yongli as Management
Executive Director of the Bank
3 To consider and approve the proposal in relation to the amendment of Article 134 of the Management
Articles of Association of the Bank
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ARTICLE Non-Voting
NUMBER IN RESOLU-TION 3. IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROX-Y FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- --------- ---------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 8,051,300
YORK MELLON
CHINA CONSTRUCTION BANK CORPORATION, BEIJING
SECURITY Y1397N101 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 16-Jan-2012
ISIN CNE1000002H1 AGENDA 703478936 - Management
RECORD DATE 15-Dec-2011 HOLDING RECON DATE 15-Dec-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 05-Jan-2012
SEDOL(S) B0LMTQ3 - B0N9XH1 - B0YK577 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- Non-Voting
http://www.hkexnews.hk/listedco/listconews/sehk/ 2011/1130/LTN20111130183.pdf
1 Election of Mr. Wang Hongzhang as the executive director of the bank Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 5,216,080 03-Jan-2012 06-Jan-2012
AGRICULTURAL BANK OF CHINA
SECURITY Y00289119 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 16-Jan-2012
ISIN CNE100000Q43 AGENDA 703480133 - Management
RECORD DATE 16-Dec-2011 HOLDING RECON DATE 16-Dec-2011
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 05-Jan-2012
SEDOL(S) B3ZWR55 - B40LSC8 - B60LZR6 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- Non-Voting
http://www.hkexnews.hk/listedco/listconews/sehk/ 2011/1130/LTN20111130455.pdf
1 Election of Mr. Jiang Chaoliang as an executive director of the Bank Management For For
2 Election of Mr. Zhang Yun as an executive director of the Bank Management For For
3 Election of Mr. Yang Kun as an executive director of the Bank Management For For
4 Election of Mr. Anthony Wu Ting-yuk as an independent non-executive director of the Bank Management For For
5 Election of Mr. Qiu Dong as an independent non- executive director of the Bank Management For For
6 Election of Mr. Lin Damao as a nonexecutive director of the Bank Management For For
7 Election of Mr. Shen Bingxi as a nonexecutive director of the Bank Management For For
8 Election of Mr. Cheng Fengchao as a nonexecutive director of the Bank Management For For
9 Election of Mr. Zhao Chao as a nonexecutive director of the Bank Management For For
10 Election of Mr. Xiao Shusheng as a nonexecutive director of the Bank Management For For
11 Election of Mr. Che Yingxin as a shareholder representative supervisor of the Bank Management For For
12 Election of Mr. Liu Hong as a shareholder representative supervisor of the Bank Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 1,689,000 03-Jan-2012 06-Jan-2012
GREAT WALL MOTOR CO LTD
SECURITY Y2882P106 MEETING TYPE Class Meeting
TICKER SYMBOL MEETING DATE 16-Jan-2012
ISIN CNE100000338 AGENDA 703480157 - Management
RECORD DATE 16-Dec-2011 HOLDING RECON DATE 16-Dec-2011
CITY / COUNTRY HEBEI PROVINCE / China VOTE DEADLINE DATE 05-Jan-2012
SEDOL(S) 6718255 - B01XL04 - B1BJQS2 - B4MLS82 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2011/1130/LTN20111130658.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 That the board of directors of the Company (the "Board") be and is hereby authorised to Management For For
repurchase H shares of the Company subject to the following conditions: (a) subject to
paragraph (b) and (c) below, the exercise by the Board during the Relevant Period (as
defined in paragraph (d) below) of all the powers of the Company to purchase H shares of
RMB1 each of the Company in issue and listed on The Stock Exchange of Hong Kong
Limited (the "Stock Exchange"), subject to and in accordance with all applicable laws,
rules and regulations and/or requirements of the governmental or regulatory body of
securities in the People's Republic of China (the "PRC"), the Stock Exchange, the
Shanghai Stock Exchange or any other governmental or regulatory body be and is hereby
approved; (b) the aggregate nominal amount of H shares of the CONTD
CONT CONTD Company authorised to be purchased pursuant to the approval in-paragraph (a) Non-Voting
above during the Relevant Period shall not exceed 10% of the-number of H shares in issue
of the Company as at the date of the passing of-this resolution and the passing of the
relevant resolutions at the-extraordinary general meeting for holders of shares of the
Company and the- class meeting for holders of A shares of the Company (the "A
Shareholders'-Class Meeting"); and (c) the approval in paragraph (a) above shall be-
conditional upon: the passing of a special resolution in the same terms as-the resolution set
out in this paragraph (except for this subparagraph (c) at-the extraordinary general
meeting for holders of the shares of the Company to-be held on Monday, 16 January 2012
(or on such adjourned date as may be-applicable); and the A CONTD
CONT CONTD Shareholders' Class Meeting to be held on Monday, 16 January 2012 (or-on such Non-Voting
adjourned date as may be applicable); (d) for the purpose of this-special resolution,
"Relevant Period" means the period from the passing of-this special resolution until
whichever is the earlier of: (i) the conclusion-of the annual general meeting of the
Company for 2012; (ii) the expiration of-a period of twelve months following the passing
of this special resolution at-the extraordinary general meeting for holders of shares of the
Company, the A-Shareholders' Class Meeting and the H shareholders' class meeting; or
(iii)-the date on which the authority conferred by this special resolution is-revoked or
varied by a special resolution of shareholders at a general- meeting, or by a special
resolution of shareholders at a class meeting of A-CONTD
CONT CONTD shareholders or a class meeting of H shareholders of the Company; (e)-subject to Non-Voting
the approval of all relevant government authorities in the PRC for-the repurchase of such
H shares of the Company being granted, the Board be-and is hereby authorised to: (i)
execute all such documents and do all such-acts and things and to sign all documents and
to take any steps as they-consider desirable, necessary or expedient in connection with and
to give-effect to the repurchase of H shares contemplated under paragraph (a) above-in
accordance with the applicable laws, rules and regulations; and (ii) make-amendments to
the Articles of Association of the Company as deemed-appropriate by the Board so as to
reduce the registered capital of the-Company and reflect the new capital structure of the
Company and to make-related statutory CONTD
CONT CONTD registration and filing procedures Non-Voting
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 1,507,500 03-Jan-2012 06-Jan-2012
GREAT WALL MOTOR CO LTD
SECURITY Y2882P106 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 16-Jan-2012
ISIN CNE100000338 AGENDA 703480169 - Management
RECORD DATE 16-Dec-2011 HOLDING RECON DATE 16-Dec-2011
CITY / COUNTRY HEBEI PROVINCE / China VOTE DEADLINE DATE 05-Jan-2012
SEDOL(S) 6718255 - B01XL04 - B1BJQS2 - B4MLS82 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2011/1130/LTN20111130656.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 That the utilization of all the unallocated net proceeds raised from the A Share Offering Management For For
(as defined in the Company's circular dated 30 November 2011) ("Surplus Proceeds"),
being approximately RMB728,508,269 standing in the balance of the Company's
designated account as of 28 November 2011, and all the interests accrued on the Surplus
Proceeds, to supplement the working capital of the Company and THAT the withdrawal
of all the Surplus Proceeds and all the interests accrued on the Surplus Proceeds will be
withdrawn from the special account for surplus proceeds with the Bank of China, Yuehua
sub-branch in Baoding, the PRC to supplement the Company's working capital for the
payment of the Company's bills payable due in the first quarter of 2012 as specified be
and is hereby approved
2 That Article 181 of the articles of association of the Company which reads as follows: Management For For
"The financial statements of the Company shall be prepared in accordance with the PRC
accounting standards and legal requirements as well as the international accounting
standards or the local accounting standards of the place where the Company is listed. Any
significant discrepancies between the financial statements prepared in accordance with the
two sets of accounting standards shall be explicitly stated in the notes to the financial
statements. Profit distribution of the Company for a particular financial year shall be based
on the lesser of the profit after taxation stated in the two sets of financial statements.
Interim results or financial information published or disclosed by the Company shall be
prepared in accordance with the CONTD
CONT CONTD PRC accounting standards and legal requirements as well as-international Non-Voting
accounting standards or local accounting standards of the place-where the Company is
listed." be and is hereby amended to read as follows:-"The financial statements of the
Company shall be prepared in accordance with-the PRC accounting standards and legal
requirements. Besides, the Company may-also adopt the international accounting
standards or the local accounting- standards of the place where the Company is listed to
prepare its financial-statements if deemed necessary by the Company. Any significant
discrepancies-between the financial statements prepared in accordance with the two sets
of-accounting standards shall be explicitly stated in the notes to the financial-statements.
Profit distribution of the Company for a particular financial-CONTD
CONT CONTD year shall be based on the lesser of the profit after taxation stated-in the two sets Non-Voting
of financial statements. Interim results or financial- information published or disclosed by
the Company shall be prepared in-accordance with the PRC accounting standards and
legal requirements. Besides,-the Company may also adopt the international accounting
standards or the-local accounting standards of the place where the Company is listed if
deemed- necessary by the Company
3 That the board of directors of the Company (the "Board") be and is hereby authorised to Management For For
repurchase H shares of the Company subject to the following conditions: (a) subject to
paragraph (b) and (c) below, the exercise by the Board during the Relevant Period (as
defined in paragraph (d) below) of all the powers of the Company to purchase H shares of
RMB1 each of the Company in issue and listed on The Stock Exchange of Hong Kong
Limited (the "Stock Exchange"), subject to and in accordance with all applicable laws,
rules and regulations and/or requirements of the governmental or regulatory body of
securities in the People's Republic of China (the "PRC"), the Stock Exchange, the
Shanghai Stock Exchange or any other governmental or regulatory body be and is hereby
approved; (b) the aggregate nominal amount of H shares of the CONTD
CONT CONTD Company authorised to be purchased pursuant to the approval in-paragraph (a) Non-Voting None
above during the Relevant Period shall not exceed 10% of the-number of H shares in issue
of the Company as at the date of the passing of-this resolution and the passing of the
relevant resolutions at the class-meetings of shareholders of the Company; and (c) the
approval in paragraph-(a) above shall be conditional upon: the passing of a special
resolution in-the same terms as the resolution set out in this paragraph (except for this-
subparagraph (c) at the class meeting for holders of A shares of the Company- to be held
on Monday, 16 January 2012 (or on such adjourned date as may be-applicable); and the
class meeting for holders of H shares of the Company to-be held on Monday, 16 January
2012 (or on such adjourned date as may be- applicable CONTD
CONT CONTD); (d) for the purpose of this special resolution, "Relevant Period"-means the Non-Voting
period from the passing of this special resolution until whichever-is the earlier of: (i) the
conclusion of the annual general meeting of the-Company for 2012; (ii) the expiration of a
period of twelve months following-the passing of this special resolution at the EGM, the
class meeting for- holders of A shares of the Company and the class meeting for holders
of H-shares of the Company; or (iii) the date on which the authority conferred by-this
special resolution is revoked or varied by a special resolution of-shareholders at a general
meeting, or by a special resolution of shareholders-at a class meeting of A shareholders or
a class meeting of H shareholders of-the Company; (e) subject to the approval of all
relevant government CONTD
CONT CONTD authorities in the PRC for the repurchase of such H shares of the-Company being Non-Voting
granted, the Board be and is hereby authorised to: (i) execute-all such documents and do
all such acts and things and to sign all documents-and to take any steps as they consider
desirable, necessary or expedient in-connection with and to give effect to the repurchase
of H shares contemplated- under paragraph (a) above in accordance with the applicable
laws, rules and-regulations; and (ii) make amendments to the Articles of Association of
the-Company as deemed appropriate by the Board so as to reduce the registered-capital of
the Company and reflect the new capital structure of the Company-and to make related
statutory registration and filing procedures
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 1,507,500 03-Jan-2012 06-Jan-2012
AIR CHINA LTD
Security Y002A6104 Meeting Type ExtraOrdinary General Meeting
Ticker Symbol Meeting Date 20-Jan-2012
ISIN CNE1000001S0 Agenda 703544393 - Management
Record Date 20-Dec-2011 Holding Recon Date 20-Dec-2011
City / Country BEIJING / China Vote Deadline Date 11-Jan-2012
SEDOL(s) B04KNF1 - B04V2F7 - B04YG10 - B0584Q2 Quick Code
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 929557 DUE Non-Voting
TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT
ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0105/LTN20120105808.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY-FOR ALL RESOLUTIONS. THANK YOU.
1 To consider and approve the appointment of Ernst & Young Hua Ming Certified Public Management For For
Accountants as the Company's internal control auditor for the year 2011 to review the
effectiveness of the Company's internal control for the year 2011 and to issue the internal
control audit report, and the authorisation to the management of the Company to
determine their corresponding remunerations for the year 2011
2 To consider and approve the proposed appointment of Mr. Wang Changshun as a new Management For For
non-executive director of the Company
3 To consider and approve the reduction of the exercise price of the stock appreciation Management For For
rights under the first issue of the stock appreciation rights programme of the Company by
HKD 0.27 from HKD 5.97 to HKD 5.70, given that the Company has distributed cash
dividends accumulated to HKD 0.27 per share to its shareholder since the date of grant of
such rights
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 1,128,000 09-Jan-2012 12-Jan-2012
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD
SECURITY Y69790106 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 08-Feb-2012
ISIN CNE1000003X6 AGENDA 703568608 - Management
RECORD DATE 06-Jan-2012 HOLDING RECON DATE 06-Jan-2012
CITY / COUNTRY SHENZHEN / China VOTE DEADLINE DATE 30-Jan-2012
SEDOL(S) B01FLR7 - B01NLS2 - B03NP99 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 942978 DUE Non-Voting
TO RECEIPT OF P-AST RECORD DATE. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDE-D AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2011/1220/LTN20111220472.pdf a-nd http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0112/LTN20120112444.pd-f
1 To consider and approve "the resolution in relation to the grant of a general mandate on Management For For
issuance of new shares to the Board"
2.1 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Type of securities to be issued
2.2 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Issue size
2.3 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Par value and issue price
2.4 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Term
2.5 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Interest rate
2.6 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Method and timing of the interest
payment
2.7 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Conversion period
2.8 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Determination and adjustment of the
CB Conversion Price
2.9 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Downward adjustment to CB
Conversion Price
2.10 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Method for determining the number of
Shares for conversion
2.11 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Terms of redemption
2.12 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Terms of sale back
2.13 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Entitlement to dividend of the year of
conversion
2.14 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Method of issuance and target
subscribers
2.15 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Subscription arrangement for the
existing A Shareholders
2.16 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": The relevant matters of CB Holders'
meetings
2.17 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Use of proceeds from the issuance of
the Convertible Bonds
2.18 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Special provisions in relation to
solvency capital
2.19 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Guarantee and security
2.20 To consider and approve the following item under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": The validity period of the resolution of
the issuance of the Convertible Bonds
2.21 To consider and approve the following items under "the resolution in relation to the public Management For For
issuance of A Share convertible corporate bonds": Matters relating to authorization in
connection with the issuance of the Convertible Bonds
3 To consider and approve "the resolution in relation to the feasibility analysis on use of Management For For
proceeds of the public issuance of A Share convertible corporate bonds"
4 To consider and approve "the resolution in relation to the utilization report on the use of Management For For
proceeds from the previous fund raising activity"
5 To consider and approve "the resolution in relation to the election of Mr. Fan Mingchun Management For For
as a non-executive director of the 8th Session of the Board"
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 207,500 03-Feb-2012 06-Feb-2012
YORK MELLON
BOSIDENG INTERNATIONAL HOLDINGS LTD
SECURITY G12652106 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 22-Feb-2012
ISIN KYG126521064 AGENDA 703593699 - Management
RECORD DATE 21-Feb-2012 HOLDING RECON DATE 21-Feb-2012
CITY / COUNTRY HONGKONG / Cayman Islands VOTE DEADLINE DATE 15-Feb-2012
SEDOL(S) B24FZ32 - B28GHL3 - B3B7XR8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0206/LTN20120206359.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR RESOLUTION "1". THANK YOU.
1 To approve the extension of the term of, and the proposed annual caps for each of the Management For For
three years ending 31 March 2014 for the Agreement
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 2,516,000 08-Feb-2012 20-Feb-2012
YORK MELLON
INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED
SECURITY ADPV10686 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 23-Feb-2012
ISIN CNE1000003G1 AGENDA 703543771 - Management
RECORD DATE 20-Jan-2012 HOLDING RECON DATE 20-Jan-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 14-Feb-2012
SEDOL(S) B1G1QD8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------- ---------- ---- -----------
1 To consider and approve the bank's fixed assets investment budget for 2012 Management For For
2 To consider and approve the appointment of Mr. Or Ching Fai as an independent non- Management For For
executive director of the bank
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 7,588,967 08-Feb-2012 15-Feb-2012
YORK MELLON
NEW CHINA LIFE INSURANCE CO LTD, BEIJING
SECURITY Y625A4115 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 20-Mar-2012
ISIN CNE100001922 AGENDA 703592685 - Management
RECORD DATE 17-Feb-2012 HOLDING RECON DATE 17-Feb-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 09-Mar-2012
SEDOL(S) B5730Z1 - B7FN682 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0202/LTN201202021016.pdf
1 To consider and approve the appointment of PricewaterhouseCoopers Zhong Tian Management For For
Certified Public Accountants Limited Company and PricewaterhouseCoopers,
respectively, as the PRC accounting firm and international accounting firm of the
Company for the year 2011
2 To consider and approve the issue of subordinated term debts, subject to the approval of Management For For
the China Insurance Regulatory Commission
3 To consider and approve the issue of debt financing instruments, subject to the approval Management For For
of the China Insurance Regulatory Commission
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 218,200 21-Feb-2012 12-Mar-2012
YORK MELLON
ZTE CORPORATION
SECURITY Y0004F105 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 11-Apr-2012
ISIN CNE1000004Y2 AGENDA 703647327 - Management
RECORD DATE 09-Mar-2012 HOLDING RECON DATE 09-Mar-2012
CITY / COUNTRY SHENZHEN / China VOTE DEADLINE DATE 28-Mar-2012
SEDOL(S) B04KP88 - B04YDP3 - B05Q046 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 955670 DUE Non-Voting
TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AN-D YOU WILL NEED TO REINSTRUCT
ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0223/LTN20120223129.pdf a-nd http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0308/LTN20120308469.pd-f
1 To elect Mr. Zhang Jianheng as a Non- independent Director of the Fifth Session of the Management For For
Board of Directors of the Company, for a term commencing upon the shareholders'
approval of his appointment at the EGM and expiring upon the conclusion of the term of
the Fifth Session of the Board of Directors of the Company (namely 29 March 2013)
2 To consider and approve the resolution on the Company's fulfillment of conditions for Management For For
bond issue
3 To consider and approve the resolution on the proposed issue of bonds Management For For
4 To consider and approve the resolution on submitting to the general meeting of the Management For For
Company a mandate for the Board to deal with matters pertaining to the bond issue with
full discretion
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 488,200 16-Mar-2012 29-Mar-2012
YORK MELLON
CHINA EVERBRIGHT INTERNATIONAL LTD
SECURITY Y14226107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 18-Apr-2012
ISIN HK0257001336 AGENDA 703644220 - Management
RECORD DATE 12-Apr-2012 HOLDING RECON DATE 12-Apr-2012
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 10-Apr-2012
SEDOL(S) 6630940 - B01XKN0 - B1HHQJ1 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0308/LTN20120308303.pdf
1 To receive and consider the audited financial statements and the report of the directors Management For For
and independent auditor's report for the year ended 31st December, 2011
2 To declare a final dividend of HK2.5 cents per share for the year ended 31st December, Management For For
2011
3.a.i To re-elect Mr. Wong Kam Chung, Raymond as director Management For For
3.aii To re-elect Mr. Fan Yan Hok, Philip as director Management For For
3aiii To re-elect Mr. Mar Selwyn as director Management For For
3.b To authorise the board of directors of the Company to fix the remuneration of the directors Management For For
4 To re-elect Mr. Li Kwok Sing, Aubrey (who has served as an independent non-executive director Management For For
for more than 9 years) as independent non- executive director of the Company and to authorise the
board of directors of the Company to fix his remuneration
5 To re-appoint KPMG as auditors and to authorise the board of directors to fix their remuneration Management For For
6.i To grant a general mandate to the directors to issue additional shares not exceeding 20% of the Management For For
issued share capital (Ordinary resolution in item 6(1) of the notice of annual general meeting)
6.ii To grant a general mandate to the directors to repurchase shares not exceeding 10% of the issued Management For For
share capital (Ordinary resolution in item 6(2) of the notice of annual general meeting)
6.iii To extend the general mandate granted to the directors to issue additional shares (Ordinary Management For For
resolution in item 6(3) of the notice of annual general meeting)
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 6,402,000 02-Apr-2012 16-Apr-2012
YORK MELLON
LIFESTYLE INTERNATIONAL HOLDINGS LTD
SECURITY G54856128 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 23-Apr-2012
ISIN KYG548561284 AGENDA 703666303 - Management
RECORD DATE 20-Apr-2012 HOLDING RECON DATE 20-Apr-2012
CITY / COUNTRY HONG KONG /Cayman Islands VOTE DEADLINE DATE 18-Apr-2012
SEDOL(S) B00LN47 - B05PR19 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR RESOLUTIONS "1 TO 5". THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0319/LTN20120319280.pdf
1 To receive and consider the audited consolidated financial statements of the Company, Management For For
the Directors' Reports and the Independent Auditors' Report for the year ended 31
December 2011
2 To approve final dividend for the year ended 31 December 2011 Management For For
3.i To re-elect Mr. Doo Wai-hoi, William as Executive Director Management For For
3.ii To re-elect Mr. Lau Luen-hung, Joseph as Non- executive Director Management For For
3.iii To re-elect Mr. Lam Siu-lun, Simon as Independent Non-executive Director Management For For
3.iv To re-elect Mr. Hui Chiu-chung, Stephen as Independent Non-executive Director Management For For
3.v To authorize the Board of Directors to fix the directors' remuneration Management For For
4 To re-appoint Messrs. Deloitte Touche Tohmatsu as Auditors and authorize the Board of Management For For
Directors to fix their remuneration
5A To give a general mandate to the Directors to purchase shares of the Company Management For For
5B To give a general mandate to the Directors to allot and issue shares of the Company Management For For
5C To extend the general mandate granted to the Directors to issue new shares under Management For For
resolution 5B by adding the number of shares repurchased by the Company under
resolution 5A
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE FROM 19 APR 2-012 TO 20 APR 2012. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT RETU-RN THIS PROXY FORM UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THAN-K YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 336,000 02-Apr-2012 20-Apr-2012
YORK MELLON
HONG KONG EXCHANGES AND CLEARING LTD
SECURITY Y3506N139 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 23-Apr-2012
ISIN HK0388045442 AGENDA 703668814 - Management
RECORD DATE 18-Apr-2012 HOLDING RECON DATE 18-Apr-2012
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 18-Apr-2012
SEDOL(S) 4062493 - 6267359 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0314/LTN20120314404.pdf
1 To receive the audited Financial Statements for the year ended 31 December 2011 Management For For
together with the Reports of the Directors and Auditor thereon
2 To declare a final dividend of HKD 2.09 per share Management For For
3(a) To elect Mr CHAN Tze Ching, Ignatius as Director Management For For
3(b) To elect Mr John Mackay McCulloch WILLIAMSON as Director Management For For
4 To re-appoint PricewaterhouseCoopers as the Auditor and to authorise the Directors to Management For For
fix its remuneration
5 To grant a general mandate to the Directors to repurchase shares of HKEx, not Management For For
exceeding 10% of the issued share capital of HKEx as at the date of this Resolution
6 To grant a general mandate to the Directors to allot, issue and deal with additional Management For For
shares of HKEx, not exceeding 10% of the issued share capital of HKEx as at the date of
this Resolution, and the discount for any shares to be issued shall not exceed 10%
7(a) To approve the remuneration of HKD 900,000 and HKD 600,000 per annum be payable Management For For
to the Chairman and each of the other non-executive Directors respectively
7(b) To approve, in addition to the attendance fee of HKD 3,000 per meeting, the Management For For
remuneration of HKD 120,000 and HKD 90,000 per annum be payable to the chairman
and each of the other members (excluding any executive Director) of certain Board
committees respectively
PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN THE Non-Voting
TEXT OF THE RES-OLUTION 3B.IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS P-ROXY FORM UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------ ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 20,100 02-Apr-2012 19-Apr-2012
YORK MELLON
WANT WANT CHINA HOLDINGS LTD
SECURITY G9431R103 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 27-Apr-2012
ISIN KYG9431R1039 AGENDA 703668888 - Management
RECORD DATE 23-Apr-2012 HOLDING RECON DATE 23-Apr-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 19-Apr-2012
SEDOL(S) B2Q14Z3 - B2QKF02 - B500918 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0321/LTN20120321163.pdf
1 To consider and approve the financial statements and the reports of the directors and the Management For For
auditor for the year ended 31 December 2011
2 To declare a final dividend for the year ended 31 December 2011 Management For For
3.a To re-elect Mr. Liao Ching-Tsun as a director of the Company Management For For
3.b To re-elect Mr. Tsai Shao-Chung as a director of the Company Management For For
3.c To re-elect Mr. Maki Haruo as a director of the Company Management For For
3.d To re-elect Dr. Pei Kerwei as a director of the Company Management For For
3.e To re-elect Mr. Chien Wen-Guey as a director of the Company Management For For
3.f To re-elect Dr. Kao Ruey-Bin as a director of the Company Management For For
3.g To authorize the board of directors of the Company to fix the remuneration of all the Management For For
directors of the Company
4 To re-appoint PricewaterhouseCoopers as the Company's auditor and authorize the Management For For
board of directors of the Company to fix their remuneration for the period ending
31 December 2012
5 To grant a general mandate to the directors of the Company to exercise the powers of Management For For
the Company to repurchase the shares of the Company in accordance with ordinary
resolution number 5 as set out in the notice of Annual General Meeting
6 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
additional shares of the Company in accordance with ordinary resolution number 6 as
set out in the notice of Annual General Meeting
7 Conditional upon ordinary resolutions number 5 and 6 being passed, to extend the Management For For
general mandate granted to the directors of the Company to allot, issue and deal with
additional shares of the Company in accordance with ordinary resolution number 7 as
set out in the notice of Annual General Meeting
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE FROM 26 APR 2-012 TO 23 APR 2012. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT RETU-RN THIS PROXY FORM UNLESS
YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THAN-K YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- --------- --------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF 1,005,000 02-Apr-2012 25-Apr-2012
NEW YORK
MELLON
CHINA LILANG LTD
SECURITY G21141109 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 03-May-2012
ISIN KYG211411098 AGENDA 703674261 - Management
RECORD DATE 30-Apr-2012 HOLDING RECON DATE 30-Apr-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 26-Apr-2012
SEDOL(S) B4JMX94 - B4NYCX3 - B594278 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0323/LTN20120323062.pdf
1 To receive and approve the audited consolidated financial statements of the Company Management For For
and its subsidiaries and the reports of the directors (the "Directors") and auditor (the
"Auditor") of the Company for the year ended 31 December 2011
2 To declare a final dividend and a special final dividend for the year ended 31 December Management For For
2011
3.i To re-elect Mr. Wang Dong Xing as executive Director Management For For
3.ii To re-elect Mr. Hu Cheng Chu as executive Director Management For For
3.iii To re-elect Mr. Wang Ru Ping as executive Director Management For For
3.iv To re-elect Mr. Nie Xing as independent non- executive Director Management For For
3.v To authorise the board (the "Board") of Directors to fix the remuneration of the Management For For
Directors
4 To re-appoint KPMG as the Auditor for the year ending 31 December 2012 and to Management For For
authorise the Board to fix their remuneration
5 To grant a general and unconditional mandate to the Directors to allot, issue and deal Management For For
with additional shares in the Company not exceeding 20% of the aggregate nominal
amount of the share capital of the Company in issue as at the date of the passing of the
relevant resolution
6 To grant a general and unconditional mandate to the Directors to repurchase shares in Management For For
the Company not exceeding 10% of the aggregate nominal amount of share capital of
the Company in issue as at the date of the passing of the relevant resolution
7 Conditional upon resolutions 5 and 6 being passed, the general and unconditional Management For For
mandate granted to the Directors to allot, issue and deal with additional shares of the
Company pursuant to resolution 5 be extended by the addition thereto of an amount
representing the aggregate nominal amount of the share capital of the Company
repurchased by the Company under the authority granted pursuant to resolution 6
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 398,000 24-Apr-2012 30-Apr-2012
YORK
MELLON
CHINA RESOURCES CEMENT HOLDINGS LTD
SECURITY G2113L106 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 04-May-2012
ISIN KYG2113L1068 AGENDA 703658243 - Management
RECORD DATE 27-Apr-2012 HOLDING RECON DATE 27-Apr-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 01-May-2012
SEDOL(S) B41XC98 - B4VYVR2 - B53T7Y1 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0315/LTN20120315332.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the audited financial statements, the report of the directors and Management For For
the independent auditor's report for the year ended 31 December 2011
2 To declare a final dividend of HKD 0.06 per share for the year ended 31 December 2011 Management For For
3.1 To re-elect Mr. Zhou Longshan as director Management For For
3.2 To re-elect Mr. Pan Yonghong as director Management For For
3.3 To re-elect Mr. Lau Chung Kwok Robert as director Management For For
3.4 To re-elect Madam Zeng Xuemin as director Management For For
3.5 To re-elect Mr. Lam Chi Yuen Nelson as director Management For For
3.6 To authorise the board of directors to fix the remuneration of the directors of the Company Management For For
4 To re-appoint Messrs. Deloitte Touche Tohmatsu as auditor and to authorise the board of directors to
fix their remuneration Management For For
5 To give a general mandate to the directors to repurchase shares of the Company Management For For
6 To give a general mandate to the directors to issue additional shares of the Company Management For For
7 To extend the general mandate to be given to the directors to issue new shares Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ---------------- --------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF 1,800,000 27-Apr-2012 02-May-2012
NEW YORK MELLON
STELLA INTERNATIONAL HOLDINGS LTD
SECURITY G84698102 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 04-May-2012
ISIN KYG846981028 AGENDA 703689147 - Management
RECORD DATE 30-Apr-2012 HOLDING RECON DATE 30-Apr-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 01-May-2012
SEDOL(S) B1Z6560 - B233KG5 - B2376R0 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0329/LTN201203291130.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and approve the audited consolidated financial statements of the Company Management For For
and its subsidiaries and the reports of the directors ("Directors") and auditors
("Auditors") of the Company for the year ended 31 December 2011
2 To declare a final dividend for the year ended 31 December 2011 Management For For
3.i To re-elect Mr. Shih Takuen, Daniel as executive Director Management For For
3.ii To re-elect Mr. Chao Ming-Cheng, Eric as executive Director Management For For
3.iii To re-elect Mr. Chen Johnny as independent non-executive Director Management For For
3.iv To authorise the board ("Board") of Directors to fix the remuneration of the Directors Management For For
4 To re-appoint Deloitte Touche Tohmatsu as the Auditors for the year ending 31 Management For For
December 2012 and to authorise the Board to fix their remuneration
5 To grant a general and unconditional mandate to the Directors to allot, issue and deal Management For For
with additional shares in the Company not exceeding 10% of the aggregate nominal
amount of the share capital of the Company in issue as at the date of the passing of the
relevant resolution
6 To grant a general and unconditional mandate to the Directors to repurchase shares in Management For For
the Company not exceeding 10% of the aggregate nominal amount of share capital of
the Company in issue as at the date of the passing of the relevant resolution
7 To add the aggregate nominal amount of the shares which are repurchased by the Management For For
Company pursuant to resolution numbered 6 to the aggregate nominal amount of the
shares which may be allotted, issued and dealt with pursuant to resolution numbered 5
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ----------------- -------- --------------- ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF 460,500 27-Apr-2012 02-May-2012
NEW YORK MELLON
GREAT WALL MOTOR CO LTD
SECURITY Y2882P106 MEETING TYPE Class Meeting
TICKER SYMBOL MEETING DATE 07-May-2012
ISIN CNE100000338 AGENDA 703673637 - Management
RECORD DATE 05-Apr-2012 HOLDING RECON DATE 05-Apr-2012
CITY / COUNTRY HEBEI PROVINCE / China VOTE DEADLINE DATE 25-Apr-2012
SEDOL(S) 6718255 - B01XL04 - B1BJQS2 - QUICK CODE
B4MLS82
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-RESOLUTION "1". THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0322/LTN20120322816.pdf
1 "That the board of directors of the Company (the "Board") be and is hereby authorised to Management For For
repurchase H shares of the Company subject to the following conditions: (a) subject to
paragraph (b) and (c) below, the exercise by the Board during the Relevant Period (as
defined in paragraph (d) below) of all the powers of the Company to purchase H shares of
RMB1 each of the Company in issue and listed on The Stock Exchange of Hong Kong
Limited (the "Stock Exchange"), subject to and in accordance with all applicable laws,
rules and regulations and/or requirements of the governmental or regulatory body of
securities in the People's Republic of China (the "PRC"), the Stock Exchange, the
Shanghai Stock Exchange or any other governmental or regulatory body be and is hereby
approved; (b) the aggregate nominal amount of H shares of the CONTD
CONT CONTD Company authorised to be purchased pursuant to the approval in-paragraph (a) Non-Voting
above during the Relevant Period shall not exceed 10% of the-number of H shares in issue
of the Company as at the date of the passing of-this resolution and the passing of the
relevant resolutions at the annual-general meeting for holders of shares of the Company
and the class meeting-for holders of A shares of the Company (the "A Shareholders' Class
Meeting");-and (c) the approval in paragraph (a) above shall be conditional upon: the-
passing of a special resolution in the same terms as the resolution set out-in this paragraph
(except for this subparagraph (c) at the annual general-meeting for holders of the shares of
the Company to be held on Monday, 7 May-2012 (or on such adjourned date as may be
applicable); and the A-Shareholders' CONTD
CONT CONTD Class Meeting to be held on Monday, 7 May 2012 (or on such adjourned-date as Non-Voting
may be applicable); (d) for the purpose of this special resolution,-"Relevant Period"
means the period from the passing of this special-resolution until whichever is the earlier
of: (i) the conclusion of the next-annual general meeting of the Company following the
passing of this-resolution; (ii) the expiration of a period of twelve months following the-
passing of this special resolution at the annual general meeting for holders-of shares of the
Company, the A Shareholders' Class Meeting and the H-shareholders' class meeting; or
(iii) the date on which the authority-conferred by this special resolution is revoked or
varied by a special-resolution of shareholders at a general meeting, or by a special
resolution-of shareholders at a class CONTD
CONT CONTD meeting of A shareholders or a class meeting of H shareholders of the-Company; Non-Voting
(e) subject to the approval of all relevant government authorities-in the PRC for the
repurchase of such H shares of the Company being granted,-the Board be and is hereby
authorised to: (i) execute all such documents and-do all such acts and things and to sign all
documents and to take any steps-as they consider desirable, necessary or expedient in
connection with and to-give effect to the repurchase of H shares contemplated under
paragraph (a)-above in accordance with the applicable laws, rules and regulations; and
(ii)-make amendments to the Articles of Association of the Company as deemed-
appropriate by the Board so as to reduce the registered capital of the-Company and reflect
the new capital structure of the Company and to make-CONTD
CONT CONTD related statutory registration and filing procedures Non-Voting
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 545,000 24-Apr-2012 26-Apr-2012
YORK MELLON
GREAT WALL MOTOR CO LTD
SECURITY Y2882P106 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 07-May-2012
ISIN CNE100000338 AGENDA 703674956 - Management
RECORD DATE 05-Apr-2012 HOLDING RECON DATE 05-Apr-2012
CITY / COUNTRY HEBEI PROVINCE / China VOTE DEADLINE DATE 25-Apr-2012
SEDOL(S) 6718255 - B01XL04 - B1BJQS2 - B4MLS82 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0322/LTN20120322822.pdf
1 That the audited financial statements of the Company for the year ended 31 Management For For
December 2011 be approved
2 That a final dividend of RMB0.3 per share (H shares and A shares of the Management For For
Company) for the year ended 31 December 2011 to those shareholders of the
Company who are registered on the register of members of the Company as at the
close of business on Thursday, 10 May 2012 be approved
3 That the annual report of the Company for the year ended 31 December 2011 be Management For For
approved
4 That the Board of Directors 2011 Report be adopted Management For For
5 That the Independent Non-executive Directors 2011 Report be Adopted Management For For
6 That the Board of Supervisory Committee 2011 Report be adopted Management For For
7 That the re-appointment of Deloitte Touche Tohmatsu Certifi ed Public Management For For
Accountants Ltd. as the Company's PRC auditors for the year ending 31 December
2012 be and is hereby approved, that the term of its engagement shall commence
from the date on which this resolution is passed until the date of the next annual
general meeting and the Board of Directors be and is authorised to fi x its
remuneration
8 That the proposed grant of a general mandate to the Board to allot, issue and deal Management For For
with additional shares in the capital be approved
9 That the board of directors of the Company (the "Board") be and is hereby Management For For None
authorised to repurchase H shares of the Company subject to the following
conditions: (a) subject to paragraph (b) and (c) below, the exercise by the Board
during the Relevant Period (as defi ned in paragraph (d) below) of all the powers of
the Company to purchase H shares of RMB1 each of the Company in issue and
listed on The Stock Exchange of Hong Kong Limited (the "Stock Exchange"),
subject to and in accordance with all applicable laws, rules and regulations and/or
requirements of the governmental or regulatory body of securities in the People's
Republic of China (the "PRC"), the Stock Exchange, the Shanghai Stock Exchange
or any other governmental or regulatory body be and is hereby approved; (b) the
aggregate nominal amount of H shares of the CONTD
CONT CONTD Company authorised to be purchased pursuant to the approval in- Non-Voting
paragraph (a) above during the Relevant Period shall not exceed 10% of the-
number of H shares in issue of the Company as at the date of the passing of-this
resolution and the passing of the relevant resolutions at the class-meetings of
shareholders of the Company; and (c) the approval in paragraph-(a) above shall be
conditional upon: the passing of a special resolution in-the same terms as the
resolution set out in this paragraph (except for this-subparagraph (c) at the class
meeting for holders of A shares of the Company- to be held on Monday, 7 May
2012 (or on such adjourned date as may be-applicable); and the class meeting for
holders of H shares of the Company to-be held on Monday, 7 May 2012 (or on
such adjourned date as may be-applicable); (d) for CONTD
CONT CONTD the purpose of this special resolution, "Relevant Period" means the-period Non-Voting
from the passing of this special resolution until whichever is the-earlier of: (i) the
conclusion of the next annual general meeting of the-Company following the
passing of this resolution; (ii) the expiration of a-period of twelve months
following the passing of this special resolution at-the AGM, the class meeting for
holders of A shares of the Company and the-class meeting for holders of H shares
of the Company; or (iii) the date on-which the authority conferred by this special
resolution is revoked or varied-by a special resolution of shareholders at a general
meeting, or by a special-resolution of shareholders at a class meeting of A
shareholders or a class-meeting of H shareholders of the Company; (e) subject to
the approval of all-CONTD
CONT CONTD relevant government authorities in the PRC for the repurchase of such H- Non-Voting
shares of the Company being granted, the Board be and is hereby authorised-to: (i)
execute all such documents and do all such acts and things and to-sign all
documents and to take any steps as they consider desirable,-necessary or expedient
in connection with and to give effect to the- repurchase of H shares contemplated
under paragraph (a) above in accordance-with the applicable laws, rules and
regulations; and (ii) make amendments to-the Articles of Association of the
Company as deemed appropriate by the Board-so as to reduce the registered capital
of the Company and refl ect the new-capital structure of the Company and to make
related statutory registration-and fi ling procedures
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 545,000 24-Apr-2012 26-Apr-2012
YORK MELLON
CHINA PETROLEUM & CHEMICAL CORP SINOPEC, BEIJING
SECURITY Y15010104 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 11-May-2012
ISIN CNE1000002Q2 AGENDA 703679475 - Management
RECORD DATE 10-Apr-2012 HOLDING RECON DATE 10-Apr-2012
CITY /COUNTRY BEIJING / China VOTE DEADLINE DATE 02-May-2012
SEDOL(S) 6291819 - 7027756 - B01XKR4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
1 To consider and approve the Report of the Fourth Session of the Board of Directors of Management For For
Sinopec Corp. (including the report of the Board of Directors of Sinopec Corp. for the
year 2011)
2 To consider and approve the Report of the Fourth Session of the Board of Supervisors of Management For For
Sinopec Corp. (including the report of the Board of Supervisors of Sinopec Corp. for the
year 2011)
3 To consider and approve the audited financial reports and audited consolidated financial Management For For
reports of Sinopec Corp. for the year ended 31 December 2011
4 To consider and approve the plan for allocating any surplus common reserve funds at Management For For
the amount of RMB 30 billion from the after-tax profits
5 To consider and approve the profit distribution plan of Sinopec Corp. for the year ended Management For For
31 December 2011
6 To authorise the Board of Directors of Sinopec Corp. (the "Board") to determine the Management For For
interim profit distribution plan of Sinopec Corp. for the year 2012
7 To consider and approve the re-appointment of KPMG Huazhen and KPMG as the Management For For
domestic and overseas auditors of Sinopec Corp. for the year 2012, respectively, and to
authorise the Board to determine their remunerations
8.A To elect Fu Chengyu as director of the fifth session of the board Management For For
8.B To elect Wang Tianpu as director of the fifth session of the board Management For For
8.C To elect Zhang Yaocang as director of the fifth session of the board Management For For
8.D To elect Zhang Jianhua as director of the fifth session of the board Management For For
8.E To elect Wang Zhigang as director of the fifth session of the board Management For For
8.F To elect Cai Xiyou as director of the fifth session of the board Management For For
8.G To elect Cao Yaofeng as director of the fifth session of the board Management For For
8.H To elect Li Chunguang as director of the fifth session of the board Management For For
8.I To elect Dai Houliang as director of the fifth session of the board Management For For
8.J To elect Liu Yun as director of the fifth session of the board Management For For
8.K To elect Chen Xiaojin as independent non- executive director Management For For
8.L To elect Ma Weihua as independent non- executive director Management For For
8.M To elect Jiang Xiaoming as independent non- executive director Management For For
8.N To elect Yanyan as independent non-executive director Management For For
8.O To elect Bao Guoming as independent non- executive director Management For For
9.A To elect Xu Bin as supervisor assumed by non- employee representatives of the fifth Management For For
session of the board of supervisors of Sin Opec Corp
9.B To elect Geng Limin as supervisor assumed by non-employee representatives of the fifth Management For For
session of the board of supervisors of Sinopec Corp
9.C To elect Li Xinjian as supervisor assumed by non-employee representatives of the fifth Management For For
session of the board of supervisors of Sinopec Corp
9.D To elect Zou Huiping as supervisor assumed by non-employee representatives of the Management For For
fifth session of the board of supervisors of Sinopec Corp
9.E To elect Kang Mingde as supervisor assumed by non-employee representatives of the Management For For
fifth session of the board of supervisors of Sinopec Corp
10 To consider and approve service contracts between Sinopec Corp. and directors of the Management For For
fifth session of the board (including emoluments provisions), and service contracts
between Sinopec Corp. and supervisors of the fifth session of the board of supervisors
(including emoluments provisions)
11 To authorise the secretary to the Board to, on behalf of Sinopec Corp., deal with all Management For For
procedural requirements in relation to the election and re- election of directors and
supervisors of Sinopec Corp. such as applications, approval, registrations and filings
12 To approve the proposed amendments to the articles of association of Sinopec Corp Management For For
13 To authorise the secretary to the Board to, on behalf of Sinopec Corp., deal with all Management For For
procedural requirements such as applications, approvals, registrations and filings in
relation to the proposed amendments to the articles of association (including cosmetic
amendments as requested by the regulatory authorities)
14 To authorise the Board to determine the proposed plan for the issuance of debt financing Management For For
instrument(s)
15 To grant to the Board a general mandate to issue new domestic shares and/or overseas Management For For
listed foreign shares
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0325/LTN20120325184.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF VOTING Non-Voting
OPTION COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY FORM U-NLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 2,001,000 01-May-2012 03-May-2012
YORK MELLON
LI NING COMPANY LTD
SECURITY G5496K124 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 11-May-2012
ISIN KYG5496K1242 AGENDA 703699100 - Management
RECORD DATE 08-May-2012 HOLDING RECON DATE 08-May-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 08-May-2012
SEDOL(S) B01JCK9 - B05PS94 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL THE RESOLUTIONS THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0403/LTN20120403764.pdf
1 To receive and adopt the audited financial statements and reports of the directors and the Management For For
auditor of the Company for the year ended 31 December 2011
2.ai To re-elect Mr. Zhang Zhi Yong as an executive director Management For For
2.aii To re-elect Mr. Chong Yik Kay as an executive director Management For For
2aiii To re-elect Mr. Chen Yue, Scott as a non- executive director Management For For
2.aiv To re-elect Mr. Kim Jin Goon as a non-executive director Management For For
2.b To authorise the board of directors to fix the remuneration of the directors Management For For
3 To re-appoint PricewaterhouseCoopers as auditor of the Company and to authorise the Management For For
board of directors to fix their remuneration
4 To give a general mandate to the directors to issue shares up to 20% Management For For
5 To give a general mandate to the directors to repurchase shares up to 10% Management For For
6 To authorise the directors to issue and allot the shares repurchased by the Company Management For For
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE 08 MA-Y 2012. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS PROX-Y FORM UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 389,500 03-May-2012 09-May-2012
YORK MELLON
HYSAN DEVELOPMENT CO LTD
SECURITY Y38203124 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 14-May-2012
ISIN HK0014000126 AGENDA 703693855 - Management
RECORD DATE 10-May-2012 HOLDING RECON DATE 10-May-2012
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 09-May-2012
SEDOL(S) 5890530 - 6449618 - 6449629 - B01Y5G1 QUICK CODE
- B170K87
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0330/LTN201203302233.pdf
1 To receive and consider the Statement of Accounts for the year ended 31 December Management For For
2011 and the Reports of the Directors and Auditor thereon
2 To declare a final dividend (together with a scrip alternative) for the year ended 31 Management For For
December 2011
3.i To re-elect Mr. Siu Chuen LAU Management For For
3.ii To re-elect Mr. Nicholas Charles ALLEN Management For For
3.iii To re-elect Mr. Philip Yan Hok FAN Management For For
3.iv To re-elect Mr. Anthony Hsien Pin LEE Management For For
4 To re-appoint Messrs. Deloitte Touche Tohmatsu as Auditor of the Company at a fee to be agreed Management For For
by the Directors
5 To give Directors a general mandate to issue and dispose of additional shares in the Company not Management For For
exceeding 10% where the shares are to be allotted wholly for cash, and in any event 20%, of its
issued share capital
6 To give Directors a general mandate to repurchase shares in the Company not exceeding 10% of its Management For For
issued share capital
7 To approve the amendments to the Articles of Association Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 150,000 04-May-2012 10-May-2012
YORK MELLON
CHINA MOBILE LIMITED, HONG KONG
SECURITY Y14965100 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 16-May-2012
ISIN HK0941009539 AGENDA 703690013 - Management
RECORD DATE 09-May-2012 HOLDING RECON DATE 09-May-2012
CITY /COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 11-May-2012
SEDOL(S) 5563575 - 6073556 - B01DDV9 - B162JB0 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0329/LTN201203291977.pdf
1 To receive and consider the audited financial statements and the Reports of the Directors Management For For
and Auditors of the Company and its subsidiaries for the year ended 31 December 2011
2 To declare a final dividend for the year ended 31 December 2011 Management For For
3.i To re-elect Mr. Xi Guohua as director of the Company Management For For
3.ii To re-elect Mr. Sha Yuejia as director of the Company Management For For
3.iii To re-elect Mr. Liu Aili as director of the Company Management For For
3.iv To re-elect Mr. Frank Wong Kwong Shing as director of the Company Management For For
3.v To re-elect Dr. Moses Cheng Mo Chi as director of the Company Management For For
4 To re-appoint Messrs. KPMG as auditors and to authorise the directors of the Company Management For For
to fix their remuneration
5 To give a general mandate to the directors of the Company to repurchase shares in the Management For For
Company not exceeding 10% of the aggregate nominal amount of the existing issued
share capital in accordance with ordinary resolution number 5 as set out in the AGM
Notice
6 To give a general mandate to the directors of the Company to issue, allot and deal with Management For For
additional shares in the Company not exceeding 20% of the aggregate nominal amount
of the existing issued share capital in accordance with ordinary resolution number 6 as
set out in the AGM Notice
7 To extend the general mandate granted to the directors of the Company to issue, allot Management For For
and deal with shares by the number of shares repurchased in accordance with ordinary
resolution number 7 as set out in the AGM Notice
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 194,400 10-May-2012 14-May-2012
YORK MELLON
TENCENT HOLDINGS LTD, GEORGE TOWN
SECURITY G87572148 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 16-May-2012
ISIN KYG875721485 AGENDA 703693944 - Management
RECORD DATE 11-May-2012 HOLDING RECON DATE 11-May-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 11-May-2012
SEDOL(S) B01CT30 - B01HP37 - B04SG67 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0401/LTN20120401206.pdf
1 To receive and consider the audited Financial Statements and the Reports of the Management For For
Directors and Auditor for the year ended 31 December 2011
2 To declare a final dividend Management For For
3.i.a To re-elect Mr Li Dong Sheng as director Management For For
3.i.b To re-elect Mr Iain Ferguson Bruce as director Management For For
3.ii To authorise the Board of Directors to fix the Directors' remuneration Management For For
4 To re-appoint Auditor and to authorise the Board of Directors to fix their remuneration Management For For
5 To grant a general mandate to the Directors to issue new shares (Ordinary Resolution 5 Management For For
as set out in the notice of the AGM)
6 To grant a general mandate to the Directors to repurchase shares (Ordinary Resolution 6 Management For For
as set out in the notice of the AGM)
7 To extend the general mandate to issue new shares by adding the number of shares Management For For
repurchased (Ordinary Resolution 7 as set out in the notice of the AGM)
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 152,500 10-May-2012 14-May-2012
YORK MELLON
SHENGUAN HOLDINGS (GROUP) LTD
SECURITY G8116M108 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 16-May-2012
ISIN KYG8116M1087 AGENDA 703722771 - Management
RECORD DATE 10-May-2012 HOLDING RECON DATE 10-May-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 11-May-2012
SEDOL(S) B4NC3T0 - B4VSJS1 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0412/LTN20120412816.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the audited consolidated accounts and reports of the directors Management For For
and auditors of the Company and its subsidiaries for the year ended 31 December 2011
2 To declare a final dividend for the year ended 31 December 2011 Management For For
3 To re-appoint Ernst & Young as auditors of the Company and to authorise the board of Management For For
directors of the Company to fix their remuneration
4(a) Ms. Zhou Yaxian be re-elected as an executive director of the Company and the board Management For For
of directors of the Company be authorised to fix her director's remuneration
4(b) Ms. Cai Yueqing be re-elected as an executive director of the Company and the board of Management For For
directors of the Company be authorised to fix her director's remuneration
4(c) Mr. Shi Guicheng be re-elected as an executive director of the Company and the board Management For For
of directors of the Company be authorised to fix his director's remuneration
4(d) Mr. Ru Xiquan be re-elected as an executive director of the Company and the board of Management For For
directors of the Company be authorised to fix his director's remuneration
4(e) Mr. Low Jee Keong be re-elected as a non- executive director of the Company and the Management For For
board of directors of the Company be authorised to fix his director's remuneration
4(f) Mr. Mo Yunxi be elected as an executive director of the Company and the board of Management For For
directors of the Company be authorised to fix his director's remuneration
5 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
additional shares not exceeding 20% of the issued share capital of the Company as at the
date of passing this resolution
6 To grant a general mandate to the directors of the Company to repurchase shares not Management For For
exceeding 10% of the issued share capital of the Company as at the date of passing this
resolution
7 To extend the general mandate granted to the directors of the Company to allot, issue Management For For
and deal with additional shares in the share capital of the Company by an amount not
exceeding the amount of the shares repurchased by the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 3,022,600 10-May-2012 14-May-2012
YORK MELLON
HAITIAN INTERNATIONAL HOLDINGS LTD
SECURITY G4232C108 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 16-May-2012
ISIN KYG4232C1087 AGENDA 703728379 -Management
RECORD DATE 10-May-2012 HOLDING RECON DATE 10-May-2012
CITY / COUNTRY ZHEJIANG / Cayman Islands VOTE DEADLINE DATE 07-May-2012
SEDOL(S) B1L2RC2 -B1LCR66 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR Non-Voting
'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON Non-Voting
THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0413/LTN20120413929.pdf
1 To receive and consider the consolidated audited financial statements of the Company and Management For For
its subsidiaries and the reports of the directors and the auditors of the Company for the year
ended 31 December 2011
2 To declare a final dividend of HKD 13.5 cents per share for the year ended 31 December Management For For
2011 and pay the relevant dividend from the share premium account or other available
reserve(s) of the Company
3 To re-elect Mr. Zhang Jianguo as director of the Company and to authorise the board of Management For For
directors of the Company to fix his remuneration
4 To re-elect Mr. Zhang Jianfeng as director of the Company and to authorise the board of Management For For
directors of the Company to fix his remuneration
5 To re-elect Mr. Liu Jianbo as director of the Company and to authorise the board of directors Management For For
of the Company to fix his remuneration
6 To re-elect Mr. Gao Xunxian as director of the Company and to authorise the board of Management For For
directors of the Company to fix his remuneration
7 To re-elect Dr. Steven Chow as director of the Company and to authorise the board of Management For For
directors of the Company to fix his remuneration
8 To re-elect Mr. Dai Guowah as director of the Company and to authorise the board of Management For For
directors of the Company to fix his remuneration
9 To re-elect Mr. Lou Baijun as director of the Company and to authorise the board of Management For For
directors of the Company to fix his remuneration
10 To authorise the board of directors of the Company to fix the remuneration of the Management For For
Company's directors
11 To re-appoint PricewaterhouseCoopers as the Company's auditors and to authorise the board Management For For
of directors of the Company to fix their remuneration
12 To grant a general mandate to the directors of the Company to allot, issue and deal with the Management For For
Company's shares
13 To grant a general mandate to the directors of the Company to repurchase the Company's Management For For
shares
14 To add the nominal value of the shares repurchased by the Company to the mandate Management For For
granted to the directors of the Company under resolution no. 12
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ----------- ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 186,000 03-May-2012 08-May-2012
YORK MELLON
LONGFOR PROPERTIES CO LTD
SECURITY G5635P109 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 17-May-2012
ISIN KYG5635P1090 AGENDA 703715663 -Management
RECORD DATE 10-May-2012 HOLDING RECON DATE 10-May-2012
CITY / COUNTRY HONG KONG /Cayman Islands VOTE DEADLINE DATE 14-May-2012
SEDOL(S) B42PLN0 - B56KLY9 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR Non-Voting
'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- Non-Voting
http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/0410/LTN20120410432.pdf
1 To receive and consider the audited consolidated financial statements and the report of the Management For For
directors and the independent auditors' report for the year ended 31 December 2011
2 To declare a final dividend of RMB0.175 per share for the year ended 31 December 2011 Management For For
3.1 To re-elect Mr. Shao Mingxiao as director Management For For
3.2 To re-elect Mr. Zhou Dekang as director Management For For
3.3 To re-elect Mr. Feng Jinyi as director Management For For
3.4 To re-elect Mr. Wei Huaning as director Management For For
3.5 To re-elect Mr. Chan Chi On, Derek as director Management For For
3.6 To re-elect Mr. Xiang Bing as director Management For For
3.7 To re-elect Mr. Zeng Ming as director Management For For
3.8 To authorise the board of directors to fix the directors' remuneration Management For For
4 To re-appoint Deloitte Touche Tohmatsu as auditors and to authorise the board of directors to fix the Management For For
auditors' remuneration
5 To give a general mandate to the directors to issue new shares of the Company Management For For
6 To give a general mandate to the directors to repurchase shares of the Company Management For For
7 To extend the general mandate to be given to the directors to issue shares Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 419,500 10-May-2012 15-May-2012
GOLDEN EAGLE RETAIL GROUP LTD, WAN CHAI
SECURITY G3958R109 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 17-May-2012
ISIN KYG3958R1092 AGENDA 703728367 - Management
RECORD DATE 11-May-2012 HOLDING RECON DATE 11-May-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 14-May-2012
SEDOL(S) B10S7M1 - B11W744 - B125PR1 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0416/LTN20120416054.pdf
1 To consider and adopt the audited consolidated financial statements of the Company and Management For For
its subsidiaries and the reports of the Directors and Auditor for the year ended 31
December 2011
2 To declare a final dividend of RMB0.188 per share for the year ended 31 December Management For For
2011
3.A To re-elect Ms. Zheng Shu Yun as a Director Management For For
3.B To re-elect Mr. Wang Yao as a Director Management For For
3.C To authorise the remuneration committee of the Company to fix the remuneration of the Management For For
Directors
4 To re-appoint Messrs. Deloitte Touche Tohmatsu as auditor of the Company and to Management For For
authorise the Board of Directors to fix their remuneration
5.A To grant a general mandate to the Directors to issue shares of the Company Management For For
5.B To grant a general mandate to the Directors to repurchase shares of the Company Management For For
5.C To increase the maximum nominal amount of share capital which the Directors are Management For For
authorised to allot, issue and deal with pursuant to the general mandate set out in
resolution no.5A by the aggregate nominal amount of shares repurchased pursuant to the
general mandate set out in resolution no.5B
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW YORK MELLON 182,000 10-May-2012 15-May-2012
CHINA LONGYUAN POWER GROUP CORPORATION LTD
SECURITY Y1501T101 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 18-May-2012
ISIN CNE100000HD4 AGENDA 703694287 - Management
RECORD DATE 17-Apr-2012 HOLDING RECON DATE 17-Apr-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 09-May-2012
SEDOL(S) B3MFW30 - B4Q2TX3 - B4XWG35 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
1 To approve the report of the board of directors of the Company for the year 2011 Management For For
2 To approve the report of board of supervisors of the Company for the year 2011 Management For For
3 To approve the final financial accounts of the Company for the year ended 31 Management For For
December 2011
4 To accept the independent auditor's report and the Company's audited financial Management For For
statements for the year ended 31 December 2011
5 To approve the budget report of the Company for the year ending 31 December Management For For
2012
6 To approve the profit distribution plan of the Company for the year ended 31 Management For For
December 2011, namely, the proposal for distribution of a final dividend of
RMB0.069 per share (tax inclusive) in cash in an aggregate amount of
approximately RMB515,215,000 for the year ended 31 December 2011, and to
authorise the Board to implement the aforesaid distribution
7 To approve the re-appointment of RSM China Certified Public Accountants Co., Management For For
Ltd. as the Company's PRC auditors for the year 2012 for a term until the
conclusion of the next annual general meeting of the Company, and to authorise
the audit committee under the Board to determine their remuneration
8 To approve the re-appointment of KPMG as the Company's international Management For For
auditors for the year 2012 for a term until the conclusion of the next annual
general meeting of the Company, and to authorise the audit committee under the
Board to determine their remuneration
9 To approve the remuneration plan for directors and supervisors of the Company Management For For
for the year 2012
10 To approve the appointment of Mr. Huang Qun as an executive director of the Management For For None
Company to fill the vacancy arising from the resignation of Mr. Tian Shicun,
effective from the date on which such nomination was approved by the
shareholders at the AGM and until the expiration of the term of the current
session of the Board. Meanwhile, to approve to authorise the Remuneration and
Assessment Committee of the Board to determine, upon the candidate for new
director being approved at the AGM, the remuneration of the new director
according to the remuneration plan for directors and supervisors of the Company
for the year 2012 approved at the AGM, and to authorise the chairman of the
Company or any executive Director (excluding the new executive Director) to
enter into a service contract with the new director and handle all other CONTD
CONT CONTD relevant matters on behalf of the Company upon the candidate for new- Non-Voting
director being approved at the AGM
11 To approve the appointment of Mr. Lv Congmin as an independent non- Management For For
executive director of the Company to fill the vacancy arising from the resignation
of Mr. Li Junfeng, effective from the date on which such nomination was
approved by the shareholders at the AGM and until the expiration of the term of
the current session of the Board. Meanwhile, to approve to authorise the
Remuneration and Assessment Committee of the Board to determine, upon the
candidate for new director being approved at the AGM, the remuneration of the
new director according to the remuneration plan for directors and supervisors of
the Company for the year 2012 approved at the AGM, and to authorise the
chairman of the Company or any executive Director (excluding the new
executive Director) to enter into a service contract with the new director and
CONTD
CONT CONTD handle all other relevant matters on behalf of the Company upon the- Non-Voting
candidate for new director being approved at the AGM
12 The application to the National Association of Financial Market Institutional Management For For
Investors of the People's Republic of China (the "PRC") for the quota of the
issue of short-term debentures with a principal amount of not exceeding RMB20
billion (including RMB20 billion) within 12 months from the date of obtaining
an approval at the AGM, and, according to the requirement of the Company and
market condition, to issue in separate tranches on a rolling basis within the
effective period, and to authorise the Board and the persons it authorised to deal
with all such matters relating to the registration and issue of the aforementioned
short-term debentures at their full discretion, subject to relevant laws and
regulations, and to approve the delegation of the authority by the Board to the
management of the Company to deal with all CONTD
CONT CONTD such specific matters relating to the issue of the aforementioned-short- Non-Voting None
term debenture within the scope of authorization above, with immediate-effect
upon the above proposal and authorization being approved by the-shareholders at
the 2011 AGM. The particulars are set out as follows: (1)-issue size: up to an
aggregate of RMB20 billion (including RMB20 billion).-(2) maturity of issue:
each tranche of short-term debentures has a term of- not more than 9 months
from the date of issue. The actual term shall be as-determined in the
announcement at the time of issue. (3) target subscribers:-institutional investors
in the PRC inter-bank bond market. (4) use of-proceeds: replenishment of
working capital and replacement of bank loans due-of the Company (including its
subsidiaries). (5) repayment of principal and-interest: CONTD
CONT CONTD simple interest with a lump sum payment of interest and principal at- Non-Voting
maturity. (6) source of the funding for repayment: revenue from sales of-
electricity and investment gains, etc. (7) coupon rate: determined with-reference
to the actual term and the market capital, and based on the weekly- rate
announced by the National Association of Financial Market Institutional-
Investors. The actual coupon rate shall be as determined in the announcement-in
respect of such issue
13 The application for registration of multiple tranches of private debt financing Management For For
instruments with an aggregate principal amount of up to RMB10 billion
(including RMB10 billion) in inter- bank market of the PRC and seek chances to
issue such private debt financing instruments, and to authorise the Board and its
authorised persons to deal with all relevant matters relating to the issue of private
debt financing instruments and to approve the delegation of the authority by
the Board to the management of the Company to deal with all such matters
relating to the issue of private debt financing instruments within the scope of
authorisation aforementioned and with immediate effect. The particulars are set
out as follows: (1). issue size: up to RMB10 billion (including RMB10 billion).
(2). maturity of issue: not exceeding 5 years CONTD
CONT CONTD (inclusive). (3). interest rate: not higher than the preferential-interest Non-Voting
rate of the bank loans prescribed by the People's Bank of China over-the same
period. (4). method of issuance: private issue, multiple-registrations and multiple
tranches. (5). target subscribers: investors in-the inter-bank market of the PRC.
(6). use of proceeds: including but not-limited to working capital, replacement of
bank loans, investment in fixed-assets, project acquisitions and etc
14 Granting of a general mandate to the Board to issue, allot and deal with Management For For
additional domestic shares and H shares not exceeding 20% of each of the
aggregate nominal values of the domestic shares and H shares of the Company
respectively in issue, and to authorise the Board to make amendments to the
articles of association of the Company as it thinks fit so as to reflect the new
share capital structure upon the allotment or issue of additional shares pursuant
to such mandate: that: (A) (a) subject to paragraph (c) and in accordance with the
relevant requirements of the Rules Governing the Listing of Securities on The
Stock Exchange of Hong Kong Limited, the articles of association of the
Company and relevant laws and regulations of the PRC, the exercise by the
Board during the Relevant Period (as hereinafter defined) of all CONTD
CONT CONTD the powers of the Company to allot, issue or deal with, either-separately Non-Voting
or concurrently, additional domestic shares and H shares of the-Company and to
make or grant offers, agreements, options and rights of- exchange or conversion
which might require the exercise of such powers be-hereby generally and
unconditionally approved; (b) the approval in paragraph-(a) shall authorise the
Board during the Relevant Period (as hereinafter-defined) to make or grant
offers, agreements, options and rights of exchange-or conversion which might
require the exercise of such powers after the- expiration of the Relevant Period;
(c) each of the aggregate nominal values-of domestic shares and H shares
allotted, issued or dealt with or agreed-conditionally or unconditionally to be
allotted, issued or dealt with-(whether pursuant to an CONTD
CONT CONTD option or otherwise) by the Board pursuant to the approval granted in- Non-Voting
paragraph (a) shall not exceed 20% of each of the aggregate nominal values of-
domestic shares and H shares of the Company respectively in issue at the date-
of passing this resolution; (d) the Board will only exercise the above powers-in
accordance with the Company Law of the PRC and the Rules Governing the-
Listing of Securities on The Stock Exchange of Hong Kong Limited (as
amended- from time to time) and only if all necessary approvals from the China-
Securities Regulatory Commission and/or other relevant PRC government-
authorities are obtained; and (e) for the purpose of this resolution:-"Relevant
Period" means the period from the passing of this resolution until-the earliest of:
(i) the conclusion of the next annual general meeting of the- Company; CONTD
CONT CONTD or (ii) the expiration of the period within which the next annual-general Non-Voting
meeting of the Company is required by the articles of association of-the
Company or other applicable laws to be held; or (iii) the date of-revocation or
variation of the authority given under this resolution by a-special resolution of
the Company in general meeting. (B) the Board be-authorised to make
amendments to the articles of association of the Company-as necessary so as
to reflect the new share capital structure of the Company-upon the allotment or
issue of shares pursuant to the sub-paragraph (A) (a)-of this resolution
15 To consider and approve the proposals (if any) put forward at the AGM by Management For For
shareholder(s) holding 3% or more of the shares of the Company carrying the
right to vote thereat
ACCOUNT INTERNAL BALLOT UNAVAILABLE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- --------------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 939,000 04-May-2012 10-May-2012
YORK MELLON
BRILLIANCE CHINA AUTOMOTIVE HOLDINGS LTD
SECURITY G1368B102 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 18-May-2012
ISIN BMG1368B1028 AGENDA 703734156 - Management
RECORD DATE 15-May-2012 HOLDING RECON DATE 15-May-2012
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 15-May-2012
SEDOL(S) 2124317 - 5729827 - 6181482 - B01DDT7 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0417/LTN20120417339.pdf
1 To receive and consider the audited consolidated financial statements and the reports of Management For For
directors and auditors of the Company for the year ended 31st December, 2011
2.A To re-elect Mr. Wu Xiao An (also known as Mr. Ng Siu On) as executive director Management For For
2.B To re-elect Mr. Qi Yumin as executive director Management For For
2.C To re-elect Mr. Xu Bingjin as independent non- executive director Management For For
2.D To authorise the board of directors to fix the remuneration of the directors Management For For
3 To appoint Grant Thornton Hong Kong Limited (formerly practised in the name of "Grant Management For For
Thornton Jingdu Tianhua") as auditors and to authorise the board of directors to fix their
remuneration
4.A To grant a general and unconditional mandate to the directors to allot, issue and otherwise Management For For
deal with new shares of the Company not exceeding 20 per cent. of the aggregate nominal
amount of the issued share capital of the Company as at the date of passing of this
resolution
4.B To grant a general and unconditional mandate to the directors to repurchase the Company's Management For For
own shares not exceeding 10 per cent. of the aggregate nominal amount of the issued share
capital of the Company as at the date of passing of this resolution
4.C To extend the mandate granted under resolution no. 4(A) by including the number of shares Management For For
repurchased by the Company pursuant to resolution no. 4(B)
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 642,000 11-May-2012 16-May-2012
YORK MELLON
BRILLIANCE CHINA AUTOMOTIVE HOLDINGS LTD
SECURITY G1368B102 MEETING TYPE Special General Meeting
TICKER SYMBOL MEETING DATE 18-May-2012
ISIN BMG1368B1028 AGENDA 703735641 - Management
RECORD DATE 15-May-2012 HOLDING RECON DATE 15-May-2012
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 15-May-2012
SEDOL(S) 2124317 - 5729827 - 6181482 - B01DDT7 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0417/LTN20120417347.pdf
1 To approve the amendments to the bye-laws of the Company : Bye-law 70, Bye-law Management For For
98.(H)(iii), (iv) and (v), Bye-law 129, Bye-law 163, Bye-law 165
2 To adopt a new set of bye-laws, which consolidates all proposed amendments to the Management For For
bye-laws as referred in resolution numbered 1 and all previous amendments made to the
bye- laws pursuant to shareholders' resolutions, as the new bye-laws of the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 642,000 11-May-2012 16-May-2012
YORK MELLON
GIORDANO INTERNATIONAL LTD
SECURITY G6901M101 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-May-2012
ISIN BMG6901M1010 AGENDA 703730235 - Management
RECORD DATE 17-May-2012 HOLDING RECON DATE 17-May-2012
CITY / COUNTRY HONGKONG / Bermuda VOTE DEADLINE DATE 17-May-2012
SEDOL(S) 4264181 - 6282040 - B02V3V2 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0416/LTN20120416956.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and adopt the audited financial statements and the reports of the Directors Management For For
and Auditor for the year ended December 31, 2011
2 To declare a final dividend for the year ended December 31, 2011 Management For For
3.i To re-elect Mr. Mah Chuck On, Bernard as an Executive Director Management For For
3.ii To re-elect Mr. Kwong Ki Chi as an Independent Non-executive Director Management For For
3.iii To elect Mr. Cheng Chi Kong, Adrian as a Non- executive Director Management For For
3.iv To elect Mr. Chan Sai Cheong as a Non- executive Director Management For For
4 To re-appoint PricewaterhouseCoopers as the Auditor and to authorize the Directors to fix its Management For For
remuneration
5 To grant a general mandate to the Directors to issue shares in the Company Management For For
6 To grant a general mandate to the Directors to repurchase shares in the Company Management For For
7 To approve and adopt the amendments to the 2011 Share Option Scheme of the Company and Management For For
authorize the Directors to take actions to give effect to the amendments
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 958,000 15-May-2012 18-May-2012
YORK MELLON
CHINA LIFE INSURANCE CO LTD
SECURITY Y1477R204 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-May-2012
ISIN CNE1000002L3 AGENDA 703773653 - Management
RECORD DATE 20-Apr-2012 HOLDING RECON DATE 20-Apr-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 11-May-2012
SEDOL(S) 6718976 - B02W3K4 - B06KKF8 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 966938 DUE Non-Voting
TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO REINSTRUCT
ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0404/LTN20120404016.pdf A-ND http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0426/LTN20120426384.pd-f
1 To consider and approve the Report of the Board of Directors of the Company for the Management For For
Year 2011
2 To consider and approve the Report of the Supervisory Committee of the Company for Management For For
the Year 2011
3 To consider and approve the Financial Report of the Company for the Year 2011 Management For For
4 To consider and approve the Profit Distribution Plan of the Company for the Year 2011 Management For For
5 To consider and approve the Remuneration of Directors and Supervisors of the Management For For
Company
6 To consider and approve the Remuneration of Auditors of the Company for the Year Management For For
2011 and the Appointment of PricewaterhouseCoopers Zhong Tian Certified Public
Accountants Limited Company and PricewaterhouseCoopers as its PRC auditor and
international auditor, respectively, for the year 2012
7 To consider and approve the Issue of Debt Financing Instruments Management For For
8 To consider and approve the Proposed Amendments to Articles 157 and 158 of the Management For For
Articles of Association
9 To consider and approve the Proposed Amendments to the Procedural Rules for the Management For For
Board of Directors Meetings
10 To consider and approve the Proposed Amendments to the Procedural Rules for the Management For For
Supervisory Committee Meetings
11 To consider and approve the election of Mr. Yang Mingsheng as an Executive Director Management For For
of the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 153,000 10-May-2012 14-May-2012
YORK MELLON
CHEUNG KONG INFRASTRUCTURE HOLDINGS LTD
SECURITY G2098R102 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 23-May-2012
ISIN BMG2098R1025 AGENDA 703722670 - Management
RECORD DATE 17-May-2012 HOLDING RECON DATE 17-May-2012
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 18-May-2012
SEDOL(S) 5558991 - 6212553 - B02TC75 - B16PLF7 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0412/LTN20120412625.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive the audited Financial Statements, the Report of the Directors and the Management For For
Independent Auditor's Report for the year ended 31st December, 2011
2 To declare a final dividend Management For For
3.1 To elect Mr. Li Tzar Kuoi, Victor as Director Management For For
3.2 To elect Mr. Fok Kin Ning, Canning as Director Management For For
3.3 To elect Mr. Tso Kai Sum as Director Management For For
3.4 To elect Mr. Cheong Ying Chew, Henry as Director Management For For
3.5 To elect Mr. Barrie Cook as Director Management For For
4 To appoint Messrs. Deloitte Touche Tohmatsu as Auditor and authorise the Directors to Management For For
fix their remuneration
5.1 Ordinary Resolution No. 5(1) of the Notice of Annual General Meeting (To give a Management For For
general mandate to the Directors to issue additional shares of the Company)
5.2 Ordinary Resolution No. 5(2) of the Notice of Annual General Meeting (To give a Management For For
general mandate to the Directors to repurchase shares of the Company)
5.3 Ordinary Resolution No. 5(3) of the Notice of Annual General Meeting (To extend the Management For For
general mandate granted to the Directors pursuant to Ordinary Resolution No. 5(1) to
issue additional shares of the Company)
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------ ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 86,000 18-May-2012 21-May-2012
YORK MELLON
VINDA INTERNATIONAL HOLDINGS LTD
SECURITY G9361V108 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 23-May-2012
ISIN KYG9361V1086 AGENDA 703747381 - Management
RECORD DATE 17-May-2012 HOLDING RECON DATE 17-May-2012
CITY / COUNTRY HONGKONG / Cayman Islands VOTE DEADLINE DATE 15-May-2012
SEDOL(S) B1Z7648 - B235FQ6 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0423/LTN20120423537.pdf
1 To receive and adopt the audited financial statements and the reports of the directors and Management For For
the auditors of the Company for the year ended 31 December 2011
2 To declare a final dividend for the year ended 31 December 2011 Management For For
3.a.i To re-elect Mr. LI Chao Wang as an executive director Management For For
3.aii To re-elect Mr. DONG Yi Ping as a executive director Management For For
3aiii To re-elect Mr. Johann Christoph MICHALSKI as a non-executive director Management For For
3.aiv To re-elect Mr. HUI Chin Tong, Godfrey as an independent non-executive director Management For For
3.b To authorise the board of directors to fix the remuneration of the directors Management For For
4 To re-appoint PricewaterhouseCoopers as auditor of the Company and to authorise the Management For For
board of directors to fix their remuneration
5 To give a general mandate to the directors to issue shares up to 20% Management For For
6 To give a general mandate to the directors to repurchase shares up to 10% Management For For
7 To authorise the directors to issue and allot the shares repurchased by the Company Management For For
PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF RECORD Non-Voting
DATE. IF YOU HAVE-ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 475,000 11-May-2012 21-May-2012
YORK MELLON
CHINA SHENHUA ENERGY COMPANY LTD
SECURITY Y1504C113 MEETING TYPE Class Meeting
TICKER SYMBOL MEETING DATE 25-May-2012
ISIN CNE1000002R0 AGENDA 703713215 - Management
RECORD DATE 24-Apr-2012 HOLDING RECON DATE 24-Apr-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 16-May-2012
SEDOL(S) B09N7M0 - B0CCG94 - B1BJQZ9 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR RESOLUTION "1". THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0405/LTN20120405693.pdf
1 To consider and, if thought fit, to approve the following general mandate to repurchase Management For For
domestic shares (A shares) and overseas-listed foreign invested shares (H shares):- (1)
approve a general mandate to the board of directors to, by reference to market
conditions and in accordance with needs of the Company, to repurchase domestic shares
(A shares) not exceeding 10% of the number of domestic shares (A shares) in
issue at the time when this resolution is passed at annual general meeting and the
relevant resolutions are passed at class meetings of shareholders. Pursuant to PRC laws
and regulations, and for repurchases of domestic shares (A shares), the Company will
seek further approval from its shareholders in general meeting for each repurchase of
domestic shares (A shares) even where the general mandate is granted, but CONTD
CONT CONTD will not be required to seek shareholders' approval at class meetings-of Non-Voting
domestic share (A share) shareholders or overseas-listed foreign invested-share (H
share) shareholders. (2) approve a general mandate to the board of- directors to, by
reference to market conditions and in accordance with needs-of the Company, to
repurchase overseas-listed foreign invested shares (H-shares) not exceeding 10% of the
number of overseas-listed foreign invested- shares (H shares) in issue at the time when
this resolution is passed at-annual general meeting and the relevant resolutions are
passed at class- meetings of shareholders. (3) the board of directors be authorised to-
(including but not limited to the following):- (i) formulate and implement-detailed
repurchase plan, including but not limited to repurchase price,-number of CONTD
CONT CONTD shares to repurchase, time of repurchase and period of repurchase etc;-(ii) Non-Voting
notify creditors in accordance with the PRC Company Law and articles of-association of
the Company; (iii) open overseas share accounts and to carry-out related change of
foreign exchange registration procedures; (iv) carry-out relevant approval procedures
required by regulatory authorities and-venues in which the Company is listed, and to
carry out filings with the-China Securities Regulatory Commission; (v) carry out
cancelation procedures-for repurchased shares, decrease registered capital, and to make-
corresponding amendments to the articles of association of the Company-relating to
share capital and shareholdings etc, and to carry out statutory-registrations and filings
within and outside China; (vi) approve and execute,-on behalf of CONTD
CONT CONTD the Company, documents and matters related to share repurchase. The-above Non-Voting
general mandate will expire on the earlier of ("Relevant Period"):- (a)-the conclusion of
the annual general meeting of the Company for 2012; (b) the-expiration of a period of
twelve months following the passing of this special-resolution at the annual general
meeting for 2011, the first A shareholders'-class meeting in 2012 and the first H
shareholders' class meeting in 2012; or-(c) the date on which the authority conferred by
this special resolution is-revoked or varied by a special resolution of shareholders at a
general- meeting, or a special resolution of shareholders at a class meeting of-domestic
share (A share) shareholders or a class meeting of overseas- listed-foreign invested share
(H share) shareholders, except where the board of-CONTD
CONT CONTD directors has resolved to repurchase domestic shares (A shares) or-overseas- Non-Voting
listed foreign invested shares (H shares) during the Relevant Period-and the share
repurchase is to be continued or implemented after the Relevant- Period
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 500,000 15-May-2012 17-May-2012
YORK MELLON
ZTE CORPORATION
SECURITY Y0004F105 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-May-2012
ISIN CNE1000004Y2 AGENDA 703714015 - Management
RECORD DATE 24-Apr-2012 HOLDING RECON DATE 24-Apr-2012
CITY / COUNTRY SHENZHEN / China VOTE DEADLINE DATE 16-May-2012
SEDOL(S) B04KP88 - B04YDP3 - B05Q046 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0409/LTN20120409094.pdf
1 To consider and approve the financial statements for the year ended 31 December 2011 Management For For
audited by the PRC and Hong Kong auditors
2 To consider and approve the report of the Board of Directors of the Company for the Management For For
year ended 31 December 2011
3 To consider and approve the report of the Supervisory Committee of the Company for Management For For
the year ended 31 December 2011
4 To consider and approve the report of the President of the Company for the year ended Management For For
31 December 2011
5 To consider and approve the final financial accounts of the Company for the year ended Management For For
31 December 2011
6 To consider and approve the profit distribution proposal of the Company for the year Management For For
ended 31 December 2011
7.1 To consider and approve the resolution of the Company proposing the application to Management For For
Bank of China Limited, Shenzhen Branch for a composite credit facility amounting to
RMB23.0 billion
7.2 To consider and approve the resolution of the Company proposing the application to Management For For
China Development Bank Corporation, Shenzhen Branch for a composite credit facility
amounting to USD 5.0 billion
8.1 To consider and approve the re-appointment of Ernst & Young Hua Ming as the PRC Management For For
auditors of the Company's financial report for 2012 and authorise the Board of Directors
to fix the financial report audit fees of Ernst & Young Hua Ming for 2012 based on the
specific audit work to be conducted
8.2 To consider and approve the re-appointment of Ernst & Young as the Hong Kong Management For For
auditors of the Company's financial report for 2012 and authorise the Board of Directors
to fix the financial report audit fees of Ernst & Young for 2012 based on the specific
audit work to be conducted
9.1 To consider and approve the authorisation for the Company to invest in derivative Management For For
products for value protection against its foreign exchange risk exposure for an amount
not exceeding the equivalent of USD1.5 billion (such limit may be applied on a
revolving basis during the effective period of the authorisation). The authorisation
shall be effective from the date on which it is approved by way of resolution at the
general meeting to the date on which the next annual general meeting of the Company
closes or to the date on which this authorisation is modified or revoked at a general
meeting, whichever is earlier
9.2 To consider and approve the authorisation for Company to invest in fixed income Management For For
derivative products for an amount not exceeding the equivalent of USD500 million
(such limit may be applied on a revolving basis during the effective period of the
authorisation). The authorisation shall be effective from the date on which it is approved
by way of resolution at the general meeting to the date on which the next annual general
meeting of the Company closes or to the date on which this authorisation is modified or
revoked at a general meeting, whichever is earlier
10 To consider and approve the resolution of the Company on the waiver of rights Management For For
11 To consider and approve the resolution on the General Mandate for 2012 Management For For
12 To consider and approve the resolution on the amendment of certain clauses of the Management For For
Articles of Association
13 To consider and approve the resolution on the amendment of certain clauses of the Rules Management For For
of Procedure of the Board of Directors Meetings
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 314,600 15-May-2012 17-May-2012
YORK MELLON
HUTCHISON WHAMPOA LTD, HONG KONG
SECURITY Y38024108 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-May-2012
ISIN HK0013000119 AGENDA 703716057 - Management
RECORD DATE 21-May-2012 HOLDING RECON DATE 21-May-2012
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 22-May-2012
SEDOL(S) 5324910 - 6448035 - 6448068 - B01DJQ6 - QUICK CODE
B16TW78
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0410/LTN20120410509.pdf
1 To receive and adopt the Statement of Audited Accounts and Reports of the Directors Management For For
and Auditor for the year ended 31 December 2011
2 To declare a final dividend Management For For
3.1 To re-elect Mr Li Ka-shing as a Director Management For For
3.2 To re-elect Mrs Chow Woo Mo Fong, Susan as a Director Management For For
3.3 To re-elect Mr Lai Kai Ming, Dominic as a Director Management For For
3.4 To re-elect The Hon Sir Michael David Kadoorie as a Director Management For For
3.5 To re-elect Mrs Margaret Leung Ko May Yee as a Director Management For For
4 To appoint Auditor and authorise the Directors to fix the Auditor's remuneration Management For For
5.1 To give a general mandate to the Directors to issue additional shares Management For For
5.2 To approve the purchase by the Company of its own shares Management For For
5.3 To extend the general mandate in Ordinary Resolution No 5(1) Management For For
6 That the Articles of Association of the Company be altered in the following manner: by Management For For
deleting the existing Article 93 in its entirety and substituting the following therefor: 93.
Subject to the provisions of these presents, the Directors may meet together for the
despatch of business, adjourn and otherwise regulate their meetings and proceedings as
they think fit. At any time any Director may, and the Secretary on the requisition of a
Director shall, summon a meeting of the Directors. It shall not be necessary to give
notice of a meeting of Directors to any Director for the time being absent from Hong
Kong (and for this purpose CONTD
CONT CONTD a Director shall be deemed absent from Hong Kong on any day if he has-given Non-Voting
to the Secretary notice of his intention to be absent from Hong Kong-for any period
including such day and has not revoked such notice). Any- Director may waive notice of
any meeting and any such waiver may be-retrospective. The Directors may participate in
a meeting of Directors by-telephone, video or other electronic means at which the
Directors-participating in the meeting are capable of hearing each other
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------ ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 53,000 18-May-2012 23-May-2012
YORK MELLON
CHINA RESOURCES ENTERPRISE LTD
SECURITY Y15037107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-May-2012
ISIN HK0291001490 AGENDA 703740616 - Management
RECORD DATE 18-May-2012 HOLDING RECON DATE 18-May-2012
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 22-May-2012
SEDOL(S) 5559002 - 6972459 - B01XX75 - B16PNZ1 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0420/LTN20120420562.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
1 To receive and consider the audited Financial Statements and the Directors' Report and Management For For
the Independent Auditor's Report for the year ended 31 December 2011
2 To declare a final dividend of HKD 0.32 per share for the year ended 31 December 2011 Management For For
3(a) To re-elect Mr. Houang Tai Ninh as Director Management For For
3(b) To re-elect Dr. Li Ka Cheung, Eric as Director Management For For
3(c) To re-elect Dr. Cheng Mo Chi as Director Management For For
3(d) To re-elect Mr. Bernard Charnwut Chan as Director Management For For
3(e) To re-elect Mr. Siu Kwing Chue, Gordon as Director Management For For
3(f) To fix the fees for all Directors Management For For
4 To appoint PricewaterhouseCoopers as the auditor of the Company to hold office until Management For For
the conclusion of the next annual general meeting of the Company and authorise the
Directors to fix their remuneration
5 Ordinary Resolution in Item No.5 of the Notice of Annual General Meeting. (To give a Management For For
general mandate to the Directors to repurchase shares of the Company)
6 Ordinary Resolution in Item No.6 of the Notice of Annual General Meeting. (To give a Management For For
general mandate to the Directors to issue new shares of the Company)
7 Ordinary Resolution in Item No.7 of the Notice of Annual General Meeting. (To extend Management For For
the general mandate to be given to the Directors to issue shares)
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE FROM 24 MAY 2-012 TO 18 MAY 2012. IF YOU HAVE ALREADY SENT
IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS
YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------ ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 96,000 18-May-2012 23-May-2012
YORK MELLON
CHINA SHENHUA ENERGY COMPANY LTD
SECURITY Y1504C113 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-May-2012
ISIN CNE1000002R0 AGENDA 703777411 - Management
RECORD DATE 24-Apr-2012 HOLDING RECON DATE 24-Apr-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 16-May-2012
SEDOL(S) B09N7M0 - B0CCG94 - B1BJQZ9 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/
listconews/sehk/
2012/0427/LTN201204271169.pdf
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 966928 Non-Voting
DUE TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED
TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
1 To consider and, if thought fit, to approve the report of the board of directors of Management For For
the Company for the year ended 31 December 2011
2 To consider and, if thought fit, to approve the report of the board of supervisors Management For For
of the
Company for the year ended 31 December 2011
3 To consider and, if thought fit, to approve the audited financial statements of the Management For For
Company for the year ended 31 December 2011
4 To consider and, if thought fit, to approve the Company's profit distribution plan Management For For
for the year ended 31 December 2011: i.e. final dividend for the year ended 31
December 2011 in the amount of RMB0.90 per share (inclusive of tax) be
declared and distributed, the aggregate amount of which is approximately
RMB17,901 million, and to authorise a committee comprising of Mr. Zhang
Xiwu, Mr. Zhang Yuzhuo and Mr. Ling Wen to implement the above mentioned
profit distribution plan and to deal with matters in relation to tax with-holding as
required by relevant laws, regulations and regulatory authorities
5 To consider and, if thought fit, to approve the remuneration of the di rec tor s Management For For None
and supervi sor s of the Company for the year ended 31 December 2011: i.e.
aggregate remuneration of the executive directors is in the amount of
RMB1,710,428.04; aggregate remunerat ion of the non-executive directors is in
the amount of RMB1,350,000.00, of which the aggregate remuneration of the
independent non-executive directors is in the amount of RMB1,350,000.00, the
non-executive directors (other than the independent non-executive directors) are
remunerated by Shenhua Group Corporation Limited and are not remunerated
by the Company in cash; remuneration of the supervisors is in the amount of
RMB1,361,449.34
6 To consider and, if thought fit, to approve the re- appointment of external Management For For
auditors of the Company for 2012: i.e. re-appointment of KPMG Huazhen and
KPMG as the PRC and international auditors respectively of the Company for
2012, the term of such re-appointment shall continue until the next annual
general meeting, and to authorise a committee comprising of Mr. Zhang Xiwu,
Mr. Zhang Yuzhuo, Mr. Ling Wen and Mr. Gong Huazhang all being directors
of the Company, to determine their remuneration
7 To consider and, if thought fit, to approve the amendments to the Rules of Management For For
Procedure of Board Meeting of the Company, (details of which are set out in the
circular of the Company dated 5 April 2012), and to authorise a committee
comprising of Mr. Zhang Xiwu, Mr. Zhang Yuzhuo and Mr. Ling Wen, all
being Directors of the Company, to, after passing of this resolution, carry out
further amendments to the Rules of Procedure of Board Meeting of the
Company as they may consider necessary and appropriate at the request of
relevant regulatory authorities from time to time
8 To consider and, if thought fit, to approve the amendments to the Related Party Management For For
Transactions Decision Making Rules of the Company, (details of which are set
out in the circular of the Company dated 5 April 2012), and to authorise a
committee comprising of Mr. Zhang Xiwu, Mr. Zhang Yuzhuo and Mr. Ling
Wen, all being Directors of the Company, to, after passing of this resolution,
carry out further amendments to the Related Party Transactions Decision
Making Rules of the Company as they may consider necessary and appropriate
at the request of relevant regulatory authorities from time to time
9 To consider and, if thought fit, to approve the appointment of Mr. Kong Dong as Management For For
a director of the second session of the board of directors of the Company and as
a non-executive director of the Company
10 To consider and, if thought fit, to approve the appointment of Mr. Chen Management For For
Hongsheng as a director of the second session of the board of directors of the
Company and as a non-executive director of the Company
11 To consider and, if thought fit, to approve the amendments to the Articles of Management For For None
Association of the Company (details of which are set out in the circular of the
Company dated 5 April 2012), and to authorise a committee comprising of Mr.
Zhang Xiwu, Mr. Zhang Yuzhuo and Mr. Ling Wen, all being Directors of the
Company, to, after passing of this resolution, carry out further amendments to
the Articles of Association of the Company as they may consider necessary and
appropriate at the request of relevant regulatory authorities from time to time in
the course of filing the Articles of Association with such regulatory authorities
12 To consider and, if thought fit, to:- (1) approve a general mandate to the board Management For For None
of directors to, by reference to market conditions and in accordance with needs
of the Company, to allot, issue and deal with, either separately or concurrently,
additional domestic shares (A shares) and overseas-listed foreign invested shares
(H shares) not exceeding 20% of each of the number of domestic shares (A
shares) and the number of overseaslisted foreign invested shares (H shares) in
issue at the time of passing this resolution at annual general meeting. Pursuant to
PRC laws and regulations, the Company will seek further approval from its
shareholders in general meeting for each issuance of domestic shares (A shares)
even where this general mandate is approved. (2) the board of directors be
authorised to (including but not limited to the following):-(i) formulate and
implement detailed issuance plan, including but not limited to the class of shares
to be issued, pricing mechanism and/or issuance price (including price range),
number of shares to be issued, allottees and use of proceeds, time of issuance,
period of issuance and whether to issue shares to existing shareholders; (ii)
approve and execute, on behalf of the Company, agreements related to share
issuance, including but not limited to underwriting agreement and engagement
agreements of professional advisers; (iii) approve and execute, on behalf of the
Company, documents related to share issuance for submission to regulatory
authorities, and to carry out approval procedures required by regulatory
authorities and venues in which the Company is listed; (iv) amend, as required
by regulatory authorities within or outside China, agreements and statutory
documents referred to in (ii) and (iii) above; (v) engage the services of
professional advisers for share issuance related matters, and to approve and
execute all acts, deeds, documents or other matters necessary, appropriate or
required for share issuance; (vi) increase the registered capital of the Company
after share issuance, and to make corresponding amendments to the articles of
association of the Company relating to share capital and shareholdings etc, and
to carry out statutory registrations and filings within and outside China. The
above general mandate will expire on the earlier of ("Relevant Period"):-(a) the
conclusion of the annual general meeting of the Company for 2012; (b) the
expiration of a period of twelve months following the passing of this special
resolution at the annual general meeting for 2011; or (c) the date on which the
authority conferred by this special resolution is revoked or varied by a special
resolution of shareholders at a general meeting, except where the board of
directors has resolved to issue domestic shares (A shares) or overseas-listed
foreign invested shares (H shares) during the Relevant Period and the share
issuance is to be continued or implemented after the Relevant Period
13 To consider and, if thought fit, to approve the following general mandate to Management For For None
repurchase domestic shares (A shares) and overseas-listed foreign invested
shares (H shares):-(1) approve a general mandate to the board of directors to, by
reference to market conditions and in accordance with needs of the Company, to
repurchase domestic shares (A shares) not exceeding 10% of the number of
domestic shares (A shares) in issue at the time when this resolution is passed at
annual general meeting and the relevant resolutions are passed at class meetings
of shareholders. Pursuant to PRC laws and regulations, and for repurchases of
domestic shares (A shares), the Company will seek further approval from its
shareholders in general meeting for each repurchase of domestic shares (A
shares) even where the general mandate is granted, but will not be required to
seek shareholders' approval at class meetings of domestic share (A share)
shareholders or overseas-listed foreign invested share (H share) shareholders. (2)
approve a general mandate to the board of directors to, by reference to market
conditions and in accordance with needs of the Company, to repurchase
overseas-listed foreign invested shares (H shares) not exceeding 10% of the
number of overseas-listed foreign invested shares (H shares) in issue at the time
when this resolution is passed at annual general meeting and the relevant
resolutions are passed at class meetings of shareholders. (3) the board of
directors be authorised to (including but not limited to the following):-(i)
formulate and implement detailed repurchase plan, including but not limited to
repurchase price, number of shares to repurchase, time of repurchase and period
of repurchase etc; (ii) notify creditors in accordance with the PRC Company
Law and articles of association of the Company; (iii) open overseas share
accounts and to carry out related change of foreign exchange registration
procedures; (iv) carry out relevant approval procedures required by regulatory
authorities and venues in which the Company is listed, and to carry out filings
with the China Securities Regulatory Commission; (v) carry out cancelation
procedures for repurchased shares, decrease registered capital, and to make
corresponding amendments to the articles of association of the Company
relating to share capital and shareholdings etc, and to carry out statutory
registrations and filings within and outside China; (vi) approve and execute, on
behalf of the Company, document s and matters related to share repurchase. The
above general mandate will expire on the earlier of ("Relevant Period"):-
(a) the conclusion of the annual general meeting of the Company for 2012; (b)
the expiration of a period of twelve months following the passing of this special
resolution at the annual general meeting for 2011, the first A shareholders' class
meeting in 2012 and the first H shareholders' class meeting in 2012; or (c) the
date on which the authority conferred by this special resolution is revoked or
varied by a special resolution of shareholders at a general meeting, or a special
resolution of shareholders at a class meeting of domestic share (A share)
shareholders or a class meeting of overseas-listed foreign invested share (H
share) shareholders, except where the board of directors has resolved to
repurchase domestic shares (A shares) or overseas-listed foreign invested shares
(H shares) during the Relevant Period and the share repurchase is to be
continued or implemented after the Relevant Period
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 500,000 15-May-2012 17-May-2012
YORK MELLON
CHINA STATE CONSTRUCTION INTERNATIONAL HOLDINGS LT
SECURITY G21677136 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 28-May-2012
ISIN KYG216771363 AGENDA 703734093 - Management
RECORD DATE 23-May-2012 HOLDING RECON DATE 23-May-2012
CITY / COUNTRY WANCHAI / Cayman Islands VOTE DEADLINE DATE 23-May-2012
SEDOL(S) B0BM5T8 - B0DD168 - B0V9RW6 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0417/LTN20120417345.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and adopt the Audited Financial Statements, the Directors' Report and the Management For For
Independent Auditor's Report for the year ended 31 December 2011
2 To declare a final dividend for the year ended 31 December 2011 of HK7 cents per Management For For
share
3.A To re-elect Mr. Zhang Yifeng as Director Management For For
3.B To re-elect Mr. Zhou Hancheng as Director Management For For
3.C To re-elect Mr. Hung Cheung Shew as Director Management For For
3.D To re-elect Dr. Cheong Chit Sun as Director Management For For
3.E To re-elect Mr. Li Jian as Director Management For For
3.F To re-elect Mr. Lee Shing See as Director Management For For
4 To authorize the Board to fix the remuneration of Directors Management For For
5 To appoint PricewaterhouseCoopers as Auditor and to authorize the Board to fix its Management For For
remuneration
6.A To approve the Ordinary Resolution No. (6A) of the Notice of Annual General Meeting Management For For
(To give a general mandate to the Directors to issue additional shares of the Company)
6.B To approve the Ordinary Resolution No. (6B) of the Notice of Annual General Meeting Management For For
(To give a general mandate to the Directors to repurchase shares of the Company)
6.C To approve the Ordinary Resolution No. (6C) of the Notice of Annual General Meeting Management For For
(To extend the general mandate grant to the Directors pursuant to Ordinary Resolution
No. (6A) to issue additional shares of the Company)
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 2,038,000 18-May-2012 24-May-2012
YORK MELLON
ZHAOJIN MINING INDUSTRY COMPANY LTD, BEIJING
SECURITY Y988A6104 MEETING TYPE Class Meeting
TICKER SYMBOL MEETING DATE 29-May-2012
ISIN CNE1000004R6 AGENDA 703728482 - Management
RECORD DATE 27-Apr-2012 HOLDING RECON DATE 27-Apr-2012
CITY / COUNTRY SHANDONG PROVINCE / China VOTE DEADLINE DATE 18-May-2012
SEDOL(S) B1H5082 - B1L31Z6 - B1MYPY5 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0413/LTN20120413542.pdf
1 To approve, confirm and ratify the Transfer Agreement (as defined in the circular of the Management For For
Company dated 13 April 2012) and all the transactions contemplated thereunder, and to
grant a special mandate to the Board to allot and issue the Consideration Shares to
Zhaojin Non- Ferrous pursuant to the Transfer Agreement
2 To grant a general mandate to be given to the Board to exercise the power of the Management For For
Company to allot, issue or deal with the H Shares of up to a maximum of 20% of the
aggregate nominal value of the existing issued H Shares of the Company as at the date
of passing this resolution
3 To grant a general mandate to be given to the Board to exercise the power of the Management For For
Company to repurchase H Shares of up to a maximum of 10% of the aggregate nominal
value of the issued H Shares share capital of the Company as at the date of passing this
resolution
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 323,500 18-May-2012 21-May-2012
YORK MELLON
BELLE INTERNATIONAL HOLDINGS LTD
SECURITY G09702104 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 29-May-2012
ISIN KYG097021045 AGENDA 703751669 - Management
RECORD DATE 24-May-2012 HOLDING RECON DATE 24-May-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 24-May-2012
SEDOL(S) B1WJ4X2 - B1XPV83 - B23NYR4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0423/LTN20120423872.pdf
1 To receive and consider the audited consolidated financial statements and reports of the Management For For
directors and auditor of the Company for the year ended 31 December 2011
2 To declare final dividend for the year ended 31 December 2011 Management For For
3 To re-appoint PricewaterhouseCoopers as the Company's auditor and to authorise the Management For For
board of directors of the Company to fix the auditor's remuneration
4.a.i To re-elect Mr. Tang Yiu as a non-executive director of the Company Management For For
4.aii To re-elect Mr. Sheng Baijiao as an executive director of the Company Management For For
4aiii To re-elect Mr. Ho Kwok Wah, George as an independent non-executive director of the Management For For
Company
4.b To authorise the board of directors of the Company to fix the remuneration of the Management For For
directors
5 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
new shares not exceeding 10% of the issued share capital of the Company as at the date
of passing this resolution
6 To grant a general mandate to the directors of the Company to repurchase shares not Management For For
exceeding 10% of the issued share capital of the Company as at the date of passing this
resolution
7 To extend the general mandate granted to the directors of the Company to allot, issue Management For For
and deal with additional shares in the share capital of the Company by an amount not
exceeding the amount of the shares repurchased by the Company
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 645,000 18-May-2012 25-May-2012
YORK MELLON
HAIER ELECTRONICS GROUP CO LTD
SECURITY G42313125 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 29-May-2012
ISIN BMG423131256 AGENDA 703761189 - Management
RECORD DATE 25-May-2012 HOLDING RECON DATE 25-May-2012
CITY / COUNTRY HONG KONG / Bermuda VOTE DEADLINE DATE 24-May-2012
SEDOL(S) B1TL3R8 - B1TR8B5 - B1TWXP9 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0426/LTN20120426442.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the audited financial statements and the reports of the directors (the Management For For
"Directors") and auditors (the "Auditors") of the Company for the year ended 31 December
2011
2Ai To re-elect Ms. Yang Mian Mian as an executive Director Management For For
2Aii To re-elect Mr. Zhou Yun Jie as an executive Director Management For For
2Aiii To re-elect Ms. Janine Junyuan Feng as a non- executive Director Management For For
2Aiv To re-elect Mr. Yu Hon To, David as an independent non-executive Director Management For For
2Av To re-elect Mr. Gui Zhaoyu as an alternate Director to Ms. Janine Junyuan Feng Management For For
2B To authorise the board (the "Board") of the Directors to fix the remuneration of the Directors Management For For
3 To re-appoint the Auditors and to authorise the Board to fix the remuneration of the Auditors Management For For
4 To grant the general mandate to the Directors to repurchase Shares up to 10% of the issued share Management For For
capital of the Company
5 To grant the general mandate to the Directors to issue additional Shares of up to 20% of the Management For For
issued share capital of the Company
6 To extend the general mandate to issue additional Shares up to the number of Shares Management For For
repurchased by the Company
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF RECORD DATE. IF Non-Voting
YOU HAVE-ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS
PROXY FORM UNLESS YOU D-ECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS.
THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 592,000 24-May-2012 25-May-2012
YORK MELLON
SHENZHOU INTERNATIONAL GROUP LTD
SECURITY G8087W101 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 29-May-2012
ISIN KYG8087W1015 AGENDA 703771445 - Management
RECORD DATE 23-May-2012 HOLDING RECON DATE 23-May-2012
CITY / COUNTRY ZHEJIANG PROVINCE / Cayman Islands VOTE DEADLINE DATE 18-May-2012
SEDOL(S) B0MP1B0 - B0RF706 - B0ZNNK4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- -------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0427/LTN20120427042.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the consolidated audited financial statements and the reports of Management For For
the directors and the independent auditors of the Company for the year ended 31
December 2011
2 To approve and declare the payment of a final dividend for the year ended 31 December Management For For
2011
3 To re-elect Mr. Huang Guanlin as director of the Company Management For For
4 To re-elect Mr. Chen Zhongjing as director of the Company Management For For
5 To re-elect Mr. Wang Cunbo as director of the Company Management For For
6 To re-elect Mr. Chen Genxiang as director of the Company Management For For
7 To re-elect Mr. Jiang Xianpin as director of the Company Management For For
8 To authorise the board of directors of the Company (the "Board") to fix the Management For For
remuneration of the directors
9 To appoint Ernst & Young as the Company's auditors and to authorise the Board to fix Management For For
their remuneration
10 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
the Company's shares
11 To grant a general mandate to the directors of the Company to repurchase the Management For For
Company's shares
12 To add the nominal value of the shares repurchased by the Company to the mandate Management For For
granted to the directors under resolution no. 10
13 To approve the proposed amendments to the Articles of Association and adoption of the Management For For
Amended and Restated Articles of Association : Articles: 2, 10(c), 12(1), 39, 44, 59(1),
66, 67, 68, 69, 70, 75(1), 80, 84(2), 87(2), 103(1), 103(2), 103(3), 115, 116(2), 122, 154,
155,
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ --------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,621,000 18-May-2012 22-May-2012
YORK MELLON
ZHAOJIN MINING INDUSTRY COMPANY LTD, BEIJING
SECURITY Y988A6104 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 29-May-2012
ISIN CNE1000004R6 AGENDA 703821947 - Management
RECORD DATE 27-Apr-2012 HOLDING RECON DATE 27-Apr-2012
CITY / COUNTRY SHANDONG PROVINCE / China VOTE DEADLINE DATE 18-May-2012
SEDOL(S) B1H5082 - B1L31Z6 - B1MYPY5 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 966457 DUE Non-Voting
TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AN-D YOU WILL NEED TO REINSTRUCT
ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0413/LTN20120413526.pdf a-nd http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0511/LTN20120511174.pd-f
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY-FOR RESOLUTIONS "S.4 AND S.5". THANK YOU.
O.i The report of the board of directors ("Board") of the Company for the year ended 31 Management For For
December 2011
O.ii The report of the supervisory committee of the Company for the year ended 31 Management For For
December 2011
O.iii The audited financial report of the Company for the year ended 31 December 2011 Management For For
O.iv The proposal for the declaration and payment of final dividends for the year ended 31 Management For For
December 2011
O.v The proposal for Mr. Li Xiuchen to be elected as an executive Director of the Company Management For For
O.vi The proposal for Mr. Ye Kai to be elected as a non-executive director of the Company Management For For
O.vii The proposal for Mr. Kong Fanhe to be elected as a non-executive director of the Management For For
Company
Oviii The proposal for the re-appointment of Ernst & Young and Shulun Pan Certified Public Management For For
Accountants as the international auditor and the PRC auditor of the Company
respectively for the year ended 31 December 2012, and to authorize the Board to fix
their remuneration
S.1 To approve, confirm and ratify the Transfer Agreement (as defined in the circular of the Management For For
Company dated 13 April 2012), all the transactions contemplated thereunder, and to
grant a special mandate to the Board to allot and issue the Consideration Shares to
Zhaojin Non- Ferrous pursuant to the Transfer Agreement
S.2 To grant a general mandate to be given to the Board to exercise the power of the Management For For
Company to allot, issue or deal with the H Shares of up to a maximum of 20% of the
aggregate nominal value of the existing issued H Shares of the Company as at the date
of passing this resolution
S.3 To grant a general mandate to be given to the Board to exercise the power of the Management For For
Company to repurchase H Shares of up to a maximum of 10% of the aggregate nominal
value of the issued H Shares share capital of the Company as at the date of passing this
resolution
S.4 To approve the proposed issue of corporate bonds (the "Corporate Bonds") in the PRC Management For For
with an aggregate principal amount of not more than RMB1.4 billion and the maturity
not exceeding 10 years, and to approve the grant of authority to the Board to deal with
such matters relating to the issue of the Corporate Bonds
S.5 To approve the proposed amendments to the articles of association of the Company Management For For
conditional upon passing special resolution numbered (1) as set out in the Notice of
AGM dated 13 April 2012 relating to the approval of the Acquisition contemplated
under the Transfer Agreement
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 323,500 18-May-2012 21-May-2012
YORK MELLON
CHINA OVERSEAS GRAND OCEANS GROUP LTD
SECURITY Y1505S117 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 30-May-2012
ISIN HK0000065737 AGENDA 703666315 - Management
RECORD DATE 28-May-2012 HOLDING RECON DATE 28-May-2012
CITY /COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 25-May-2012
SEDOL(S) 6803247 - B0J2MJ9 - B1HHP16 - B3SC7G3 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0319/LTN20120319549.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
1 To receive and consider the audited financial statements, the directors' report and the Management For For
independent auditors' report for the year ended 31 December 2011
2 To consider and declare a final dividend of HK5.0 cents per ordinary share for the year Management For For
ended 31 December 2011
3(a) To re-elect Mr. Yu Shangyou as Director Management For For
3(b) To re-elect Dr. Chung Shui Ming, Timpson as Director Management For For
3(c) To re-elect Mr. Lo Yiu Ching, Dantes as Director Management For For
4 To authorise the Board of Directors to fix the Directors' remuneration Management For For
5 To appoint auditors for the ensuing year and to authorise the Directors to fix their remuneration Management For For
6 To consider and approve the issue of Bonus Shares (as defined in the circular of the Company dated 20 Management For For
March 2012, relating to, inter alia, the proposed issue of bonus shares)
7 To give a general mandate to the Directors to repurchase shares of the Company not exceeding 10 per Management For For
cent. of the issued share capital of the Company
8 To give a general mandate to the Directors to allot, issue and deal with additional shares not exceeding Management For For
20 per cent. of the issued share capital of the Company
9 To extend the general mandate granted to the Directors to allot, issue and deal with additional shares of Management For For
an amount not exceeding the nominal amount of shares repurchased by the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 1,113,000 18-May-2012 28-May-2012
YORK MELLON
CHINA OVERSEAS LAND & INVESTMENT LTD
SECURITY Y15004107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 30-May-2012
ISIN HK0688002218 AGENDA 703721577 - Management
RECORD DATE 28-May-2012 HOLDING RECON DATE 28-May-2012
CITY / COUNTRY HONG KONG / Hong Kong VOTE DEADLINE DATE 25-May-2012
SEDOL(S) 5387731 - 6192150 - B01XX64 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL Non-Voting
BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE Non-Voting
URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0412/LTN20120412219.pdf
1 To receive and adopt the Audited Financial Statements and the Reports of the Directors and the Management For For
Independent Auditor's Report for the year ended 31 December 2011
2 To approve the declaration of a final dividend for the year ended 31 December 2011 of HK20 Management For For
cents per share
3.a To re-elect Mr. Kong Qingping as Director Management For For
3.b To re-elect Mr. Nip Yun Wing as Director Management For For
3.c To re-elect Mr. Luo Liang as Director Management For For
3.d To re-elect Mr. Zheng Xuexuan as Director Management For For
3.e To re-elect Mr. Lam Kwong Siu as Director Management For For
4 To authorise the Board to fix the remuneration of the Directors Management For For
5 To appoint Messrs. PricewaterhouseCoopers as Auditors of the Company to hold office until the Management For For
conclusion of the next Annual General Meeting and to authorise the Board to fix their
remuneration
6 To approve the granting to the Directors the general and unconditional mandate to repurchase Management For For
shares in the capital of the Company up to 10% of the issued share capital of the Company
7 To approve the granting to the Directors the general and unconditional mandate to allot, issue Management For For
and deal with new shares not exceeding 20% of the issued share capital of the Company
8 To approve the extension of the authority granted to the Directors by Resolution 7 above by Management For For
adding the number of shares repurchased pursuant to the authority granted to the Directors by
Resolution 6 above
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 802,000 18-May-2012 28-May-2012
YORK MELLON
BANK OF CHINA LTD, BEIJING
SECURITY Y0698A107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 30-May-2012
ISIN CNE1000001Z5 AGENDA 703722997 - Management
RECORD DATE 27-Apr-2012 HOLDING RECON DATE 27-Apr-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 23-May-2012
SEDOL(S) B154564 - B15ZP90 - B15ZV58 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL Non-Voting
LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/0412/LTN20120412753.pdf
1 To consider and approve the 2011 Work Report of the Board of Directors of the Bank Management For For
2 To consider and approve the 2011 Work Report of the Board of Supervisors of the Bank Management For For
3 To consider and approve the 2011 Annual Financial Statements of the Bank Management For For
4 To consider and approve the 2011 Profit Distribution Plan of the Bank Management For For
5 To consider and approve the 2012 Annual Budget of the Bank Management For For
6 To consider and approve the re-appointment of PricewaterhouseCoopers Zhong Tian CPAs Limited Management For For
Company and PricewaterhouseCoopers Hong Kong as the Bank's external auditors for 2012
7 Elect Arnout Henricus Elisabeth Maria Wellink as Independent Non Executive Director Management For For
8 To consider and approve the proposal to amend the Articles of Association of the Bank Management For For
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF DIRECTOR NAMES IN Non-Voting
RESOLU-TION NO. 7. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
RETURN THIS-PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 6,447,300 18-May-2012 28-May-2012
YORK MELLON
INDUSTRIAL AND COMMERCIAL BANK OF CHINA LTD, BEIJI
SECURITY Y3990B112 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 31-May-2012
ISIN CNE1000003G1 AGENDA 703825921 - Management
RECORD DATE 30-Apr-2012 HOLDING RECON DATE 30-Apr-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 24-May-2012
SEDOL(S) B1G1QD8 - B1GD009 - B1GT900 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 969259 DUE TO Non-Voting
ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AN-D YOU WILL NEED TO REINSTRUCT ON
THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON Non-Voting
THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0415/LTN20120415028.pdf a-nd http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0515/LTN20120515349.pd-f
1 To consider and approve the 2011 Work Report of the Board of Directors of the Bank Management For For
2 To consider and approve the 2011 Work Report of the Board of Supervisors of the Bank Management For For
3 To consider and approve the Bank's 2011 audited accounts Management For For
4 To consider and approve the Bank's 2011 profit distribution plan Management For For
5 To consider and approve the re-appointment of Ernst & Young and Ernst & Young Hua Management For For
Ming as external auditors of the Bank for 2012 for the term from the passing of this
resolution until the conclusion of the next annual general meeting and to fix the aggregate
audit fees for 2012 at RMB165.6 million
6 To consider and approve the appointment of Ms. Dong Juan as external supervisor of the Management For For
Bank
7 To consider and approve the appointment of Mr. Meng Yan as external supervisor of the Management For For
Bank
8 To consider and approve the appointment of Mr. Hong Yongmiao as an independent non- Management For For
executive director of the Bank
9 To consider and approve the payment of remuneration to directors and supervisors of the Management For For
Bank for 2011
PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN THE TEXT Non-Voting
OF THE RES-OLUTION 2.IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PR-OXY FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 6,758,967 18-May-2012 29-May-2012
YORK MELLON
CHINA CONSTRUCTION BANK CORPORATION, BEIJING
SECURITY Y1397N101 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 07-Jun-2012
ISIN CNE1000002H1 AGENDA 703747329 - Management
RECORD DATE 07-May-2012 HOLDING RECON DATE 07-May-2012
CITY / COUNTRY HONG KONG / China VOTE DEADLINE DATE 31-May-2012
SEDOL(S) B0LMTQ3 - B0N9XH1 - B0YK577 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE URL LINK:- Non-Voting
http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/0422/LTN20120422048.pdf
1 2011 report of Board of Directors Management For For
2 2011 report of Board of Supervisors Management For For
3 2011 final financial accounts Management For For
4 2011 profit distribution plan Management For For
5 2011 final emoluments distribution plan for Directors and Supervisors Management For For
6 Budget of 2012 fixed assets investment Management For For
7 Appointment of auditors for 2012 Management For For
8 Re-election of Mr. Chen Zuofu as Executive Director Management For For
9 Election of Ms. Elaine La Roche as Independent Non-executive Director Management For For
10 Revisions to the Articles of Association of the Bank Management For For
11 Revisions to the Procedural Rules for the Shareholders' General Meeting of the Bank Management For For
12 Revisions to the Procedural Rules for the Board of Directors of the Bank Management For For
13 Revisions to the Procedural Rules for the Board of Supervisors of the Bank Management For For
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 5,410,080 30-May-2012 05-Jun-2012
YORK MELLON
SAMSONITE INTERNATIONAL S.A, LUXEMBOURG
SECURITY L80308106 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 07-Jun-2012
ISIN LU0633102719 AGENDA 703755009 - Management
RECORD DATE 04-Jun-2012 HOLDING RECON DATE 04-Jun-2012
CITY / COUNTRY LUXEMBOURG / Luxembourg Blocking VOTE DEADLINE DATE 31-May-2012
SEDOL(S) B4KW2N0 - B4Q1532 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and adopt the audited statutory accounts and audited consolidated financial Management For For
statements and the reports of the directors and auditors for the year ended December 31,
2011
2 To approve the allocation of the results of the Company for the year ended Management For For
December 31, 2011
3 To declare a cash distribution to the shareholders of the Company in an amount of USD Management For For
30,000,160.92 out of the Company's distributable ad hoc reserve
4.a To re-elect Mr. Ramesh Dungarmal Tainwala as an executive director Management For For
4.b To re-elect Mr. Keith Hamill as a non-executive Director Management For For
4.c To re-elect Mr. Miguel Kai Kwun Ko as an independent non-executive director Management For For
5 To renew the mandate granted to KPMG Luxembourg S.a r.l. to act as approved Management For For
statutory auditor of the Company for the year ending December 31, 2012
6 To re-appoint KPMG LLP as the external auditor of the Company to hold office from Management For For
the conclusion of the AGM until the next annual general meeting of the Company
7 To give a general mandate to the directors to issue additional shares of the Company not Management For For
exceeding 20 per cent. of the issued share capital of the Company as at the date of this
resolution
8 To give a general mandate to the directors to repurchase shares of the Company not Management For For
exceeding 10 per cent. of the issued share capital of the Company as at the date of this
resolution
9 To extend the general mandate granted to the directors to issue additional shares of the Management For For
Company by the aggregate nominal amount of the shares repurchased by the Company
10 To approve the discharge granted to the directors and the approved statutory auditor of the Management For For
Company for the exercise of their respective mandates during the year ended December 31, 2011
11 To approve the remuneration to be granted to certain directors Management For For
12 To approve the remuneration to be granted to KPMG Luxembourg S.a r.l. as the approved Management For For
statutory auditor
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN MEETING TIME Non-Voting
FROM 16:00 T-O 10:00. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PRO-XY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 294,900 11-Jun-2012 05-Jun-2012
YORK MELLON
DONGFENG MOTOR GROUP COMPANY LTD
SECURITY Y21042109 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 21-Jun-2012
ISIN CNE100000312 AGENDA 703759324 - Management
RECORD DATE 21-May-2012 HOLDING RECON DATE 21-May-2012
CITY / COUNTRY WUHAN / China VOTE DEADLINE DATE 12-Jun-2012
SEDOL(S) B0PH5N3 - B0TBB66 - B0XZY65 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0425/LTN20120425585.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To consider and approve the report of the board of directors (the "Board") of the Management For For
Company for the year ended 31 December 2011
2 To consider and approve the report of the supervisory committee of the Company for the Management For For
year ended 31 December 2011
3 To consider and approve the report of the international auditors and audited financial Management For For
statements of the Company for the year ended 31 December 2011
4 To consider and approve the profit distribution proposal of the Company for the year Management For For
ended 31 December 2011, and authorise the Board to deal with all issues in relation to the
Company's distribution of final dividend for the year 2011
5 To consider and approve the authorisation to the Board to deal with all issues in relation to Management For For
the Company's distribution of interim dividend for the year 2012 in its absolute discretion
(including, but not limited to, determining whether to distribute interim dividend for the
year 2012)
6 To consider and approve the re-appointment of Ernst & Young as the international Management For For
auditors of the Company, and Ernst & Young Hua Ming as the PRC auditors of the
Company for the year 2012 to hold office until the conclusion of the next annual general
meeting, and to authorise the Board to fix their remuneration
7 To consider and approve the authorisation of the Board to fix the remuneration of the Management For For
directors and the supervisors of the Company for the year 2012
8 To give grant a general mandate to the Board to issue, allot and deal with additional shares Management For For
in the Company not exceeding 20 per cent. of each of the existing Domestic Shares and H
Shares in issue
PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF Y-OU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLES-S YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 240,000 11-Jun-2012 13-Jun-2012
YORK MELLON
CHINA RESOURCES LAND LTD
SECURITY G2108Y105 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 21-Jun-2012
ISIN KYG2108Y1052 AGENDA 703775049 - Management
RECORD DATE 18-Jun-2012 HOLDING RECON DATE 18-Jun-2012
CITY / COUNTRY HONG KONG / Cayman Islands VOTE DEADLINE DATE 18-Jun-2012
SEDOL(S) 4474526 - 6193766 - B02V7F4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR Non-Voting
'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE Non-Voting
URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0427/LTN20120427294.pdf
1 To receive and consider the audited Financial Statements and the Directors' Report and the Management For For
Independent Auditor's Report for the year ended 31 December 2011
2 To declare a final dividend of HK16.6 cents per share for the year ended 31 December 2011 Management For For
3.1 To re-elect Mr. Wu Xiangdong as Director Management For For
3.2 To re-elect Mr. Du Wenmin as Director Management For For
3.3 To re-elect Mr. Wang Shi as Director Management For For
3.4 To re-elect Mr. Wan Kam To, Peter as Director Management For For
3.5 To re-elect Mr. Ma Si Hang, Frederick as Director Management For For
3.6 To fix the remuneration of the Directors Management For For
4 To appoint Messrs. PricewaterhouseCoopers as Auditor and authorise the Directors to fix their Management For For
remuneration
5 Ordinary Resolution in item No. 5 of the Notice of Annual General Meeting. (To give a general Management For For
mandate to the Directors to repurchase shares of the Company)
6 Ordinary Resolution in item No. 6 of the Notice of Annual General Meeting. (To give a Management For For
generalmandate to the Directors to issue new shares of the Company)
7 Ordinary Resolution in item No. 7 of the Notice of Annual General Meeting. (To extend Management For For
thegeneral mandate to be given to the Directors to issue new shares)
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 300,000 19-Jun-2012 19-Jun-2012
YORK MELLON
AIR CHINA LTD
SECURITY Y002A6104 MEETING TYPE ExtraOrdinary General Meeting
TICKER SYMBOL MEETING DATE 26-Jun-2012
ISIN CNE1000001S0 AGENDA 703805157 - Management
RECORD DATE 25-May-2012 HOLDING RECON DATE 25-May-2012
CITY / COUNTRY BEIJING / China VOTE DEADLINE DATE 15-Jun-2012
SEDOL(S) B04KNF1 - B04V2F7 - B04YG10 - B0584Q2 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR Non-Voting
'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON Non-Voting
THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0507/LTN20120507701.pdf
1 To consider and approve the satisfaction by the Company of the requirements for the Non- Management For For
public A Share Issue
2.1 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Class of Shares and Nominal Value
2.2 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Method of Issue
2.3 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Target Subscriber and Subscription Method
2.4 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Use of Proceeds
2.5 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Pricing Base Day and Issue Price
2.6 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Offering Size
2.7 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Lock-up Period
2.8 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Place of Listing
2.9 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Accumulated Profit Arrangement
2.10 To consider and approve each of the following proposal concerning the Non-public A Share Management For For
Issue: Effectiveness of the Resolution Approving the Non-public A Share Issue
3 To consider and approve the Feasibility Study Report on Use of Proceeds from the Non- Management For For
public A Share Issue of the Company
4 To consider and approve the Report on Use of Proceeds from Previous Fund Raising Management For For
Activities of the Company
5 To consider and approve the Share Subscription Agreement entered into by and between the Management For For
Company and CNAHC
6 To consider and approve the authorisation given to the Board, the chairman of the Board and/ Management For For
or any other person authorised by the chairman of the Board to handle all relevant matters
relating to the Non-public A Share Issue
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
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260462 CLOUGH CHINA FUND 260462 BANK OF NEW 510,000 13-Jun-2012 18-Jun-2012
YORK MELLON
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD
SECURITY Y69790106 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 27-Jun-2012
ISIN CNE1000003X6 AGENDA 703686874 - Management
RECORD DATE 25-May-2012 HOLDING RECON DATE 25-May-2012
CITY / COUNTRY GUANGDONG / China VOTE DEADLINE DATE 18-Jun-2012
SEDOL(S) B01FLR7 - B01NLS2 - B03NP99 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0327/LTN201203271573.pdf
1 To consider and approve the report of the Board of Directors of the Company for the year Management For For
ended December 31, 2011
2 To consider and approve the report of the Supervisory Committee of the Company for the Management For For
year ended December 31, 2011
3 To consider and approve the annual report of the Company and its summary for the year Management For For
ended December 31, 2011
4 To consider and approve the report of the auditors and audited financial statements of the Management For For
Company for the year ended December 31, 2011
5 To consider and approve the profit distribution plan for the year ended December 31, 2011 Management For For
and the proposed distribution of final dividends
6 To consider and approve the re-appointment of Ernst & Young Hua Ming as the PRC Management For For
auditors and Ernst & Young as the international auditors of the Company to hold office
until the conclusion of the next annual general meeting and to authorize the Board of
Directors to fix their remuneration
7.1 To consider and approve the re-election of Mr. Ma Mingzhe as an Executive Director of Management For For
the Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.2 To consider and approve the re-election of Mr. Sun Jianyi as an Executive Director of the Management For For
Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.3 To consider and approve the election of Mr. Ren Huichuan as an Executive Director of the Management For For
Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.4 To consider and approve the re-election of Mr. Yao Jason Bo as an Executive Director of Management For For
the Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.5 To consider and approve the election of Mr. Ku Man as an Executive Director of the Management For For
Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.6 To consider and approve the re-election of Ms. Lin Lijun as a Nonexecutive Director of Management For For
the Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.7 To consider and approve the re-election of Mr. Wong Tung Shun Peter as a Non- Management For For
executive Director of the Company to hold office until the expiry of the term of the 9th
Session of the Board of Directors
7.8 To consider and approve the re-election of Mr. Ng Sing Yip as a Non-executive Director Management For For
of the Company to hold office until the expiry of the term of the 9th Session of the Board
of Directors
7.9 To consider and approve the re-election of Ms. Li Zhe as a Non-executive Director of the Management For For
Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.10 To consider and approve the re-election of Mr. Guo Limin as a Non-executive Director of Management For For
the Company to hold office until the expiry of the term of the 9th Session of the Board of
Directors
7.11 To consider and approve the re-election of Mr. Fan Mingchun as a Non-executive Management For For
Director of the Company to hold office until the expiry of the term of the 9th Session of
the Board of Directors
7.12 To consider and approve the election of Mr. Cheng Siu Hong as a Non-executive Director Management For For
of the Company to hold office until the expiry of the term of the 9th Session of the Board
of Directors
7.13 To consider and approve the re-election of Mr. Zhang Hongyi as an Independent Non- Management For For
executive Director of the Company to hold office until the expiry of the term of the 9th
Session of the Board of Directors
7.14 To consider and approve the re-election of Mr. Chen Su as an Independent Non-executive Management For For
Director of the Company to hold office until the expiry of the term of the 9th Session of
the Board of Directors
7.15 To consider and approve the re-election of Mr. Xia Liping as an Independent Non- Management For For
executive Director of the Company to hold office until the expiry of the term of the 9th
Session of the Board of Directors
7.16 To consider and approve the re-election of Mr. Tang Yunwei as an Independent Non- Management For For
executive Director of the Company to hold office until the expiry of the term of the 9th
Session of the Board of Directors
7.17 To consider and approve the re-election of Mr. Lee Ka Sze Carmelo as an Independent Management For For
Non- executive Director of the Company to hold office until the expiry of the term of the
9th Session of the Board of Directors
7.18 To consider and approve the re-election of Mr. Woo Ka Biu Jackson as an Independent Management For For
Non- executive Director of the Company to hold office until the expiry of the term of the
9th Session of the Board of Directors
7.19 To consider and approve the election of Mr. Stephen Thomas Meldrum as an Independent Management For For
Non-executive Director of the Company to hold office until the expiry of the term of the
9th Session of the Board of Directors
8.1 To consider and approve the re-election of Mr. Gu Liji as an Independent Supervisor of Management For For
the Company to hold office until the expiry of the term of the 7th Session of the
Supervisory Committee
8.2 To consider and approve the re-election of Mr. Sun Fuxin as an Independent Supervisor of Management For For
the Company to hold office until the expiry of the term of the 7th Session of the
Supervisory Committee
8.3 To consider and approve the re-election of Mr. Peng Zhijian as an Independent Supervisor Management For For
of the Company to hold office until the expiry of the term of the 7th Session of the
Supervisory Committee
8.4 To consider and approve the election of Mr. Lin Li as a Supervisor of the Company Management For For
representing the shareholders of the Company to hold office until the expiry of the term of
the 7th Session of the Supervisory Committee
9 To consider and approve the Resolution Relating to Reviewing the Continuing Connected Management For For
Transactions Conducted between Ping An Group and Connected Banks in the Ordinary
and Usual Course of Business
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 447,500 19-Jun-2012 20-Jun-2012
YORK MELLON
HAITONG SECURITIES CO LTD
SECURITY Y2988F101 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 28-Jun-2012
ISIN CNE1000019K9 AGENDA 703819942 - Management
RECORD DATE 28-May-2012 HOLDING RECON DATE 28-May-2012
CITY / COUNTRY SHANGHAI / China VOTE DEADLINE DATE 19-Jun-2012
SEDOL(S) B71SXC4 QUICK CODE
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING ON THE Non-Voting
URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0510/LTN20120510645.pdf
O.1 To consider and approve the report of the Board of Directors of the Company for the year 2011 Management For For
O.2 To consider and approve the report of the Supervisory Committee of the Company for the year Management For For
2011
O.3 To consider and approve the annual report of the Company for the year 2011 Management For For
O.4 To consider and approve the final accounts report of the Company for the year 2011 Management For For
O.5 To consider and approve the profit distribution proposal of the Company for the year 2011 Management For For
O.6 To consider and approve the renewal of engagement of A Share auditing firm and engagement Management For For
of H Share auditing firm for the year 2012 and to authorise the Board of Directors of the
Company to determine their remuneration
O.7 To consider and approve the proposal regarding liability insurance coverage of directors, Management For For
supervisors and senior management of the Company
O.8 To consider and approve the proposal regarding investment asset allocation of equity, fixed Management For For
income securities and derivative products for the year 2012
S.1 To consider and approve the proposed amendments to the Articles of Association of the Management For For
Company: Articles 5, 186, 201
S.2 To consider and approve the proposed amendment to the Rules of Procedure of the Supervisory Management For For
Committee of the Company
ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------------------ -------- ------------ ------- ----------- ----------- -----------
260462 CLOUGH CHINA FUND 260462 BANK OF NEW 497,200 19-Jun-2012 20-Jun-2012
YORK MELLON
VULCAN VALUE PARTNERS FUND
With or
Meeting A brief identification of the Against
Company Ticker CUSIP Date matter voted on Proposed by Voted Vote Cast Management
------------------- ------ ---------- ---------- ------------------------------ ------------ ----- --------- ----------
Medtronic Inc MDT 585055106 8/25/2011 election of board of mgmt yes FOR with
directors
Medtronic Inc MDT 585055106 8/25/2011 ratify the appointment of mgmt yes FOR with
accounting firm
Medtronic Inc MDT 585055106 8/25/2011 advisory vote on executive mgmt yes FOR with
compensation
Medtronic Inc MDT 585055106 8/25/2011 advisory vote on the mgmt yes 1 YEAR with
frequency of future advisory
votes on executive
compensation
Teva Pharmaceutical TEVA 881624209 9/19/2011 approve resolution to mgmt yes FOR with
declare and distribute cash
dividend
Teva Pharmaceutical TEVA 881624209 9/19/2011 to appoint Mr. Chaim mgmt yes FOR with
Hurvitz to board of directors
Teva Pharmaceutical TEVA 881624209 9/19/2011 to appoint Mr. Ory Slonim mgmt yes FOR with
to board of directors
Teva Pharmaceutical TEVA 881624209 9/19/2011 to appoint Mr. Dan mgmt yes FOR with
Suesskind to board of
directors
Teva Pharmaceutical TEVA 881624209 9/19/2011 to appoint Mr. Joseph mgmt yes FOR with
Nitzani as statutory
independent director
Teva Pharmaceutical TEVA 881624209 9/19/2011 to appoint Prof Dafna mgmt yes FOR with
Schwartz as statutory
independent director
Teva Pharmaceutical TEVA 881624209 9/19/2011 to appoint registered public mgmt yes FOR with
accounting firm
Teva Pharmaceutical TEVA 881624209 9/19/2011 approve purchase of mgmt yes FOR with
directors' & officers'
liability insurance
Teva Pharmaceutical TEVA 881624209 9/19/2011 approve increase in mgmt yes FOR with
remuneration for Prof
Moshe Many as vice
chairman of board
Teva Pharmaceutical TEVA 881624209 9/19/2011 approve reimbursement of mgmt yes FOR with
expenses to Dr. Phillip
Frost, chairman of board
Procter & Gamble PG 742718109 10/11/2011 election of board of mgmt yes FOR with
Company directors
Procter & Gamble PG 742718109 10/11/2011 ratify the appointment of mgmt yes FOR with
Company accounting firm
Procter & Gamble PG 742718109 10/11/2011 advisory vote on executive mgmt yes FOR with
Company compensation
Procter & Gamble PG 742718109 10/11/2011 advisory vote on the mgmt yes 1 YEAR with
Company frequency of future advisory
votes on executive
compensation
Procter & Gamble PG 742718109 10/11/2011 amend the Articles of mgmt yes FOR with
Company Incorporation
Procter & Gamble PG 742718109 10/11/2011 Cumulative voting shareholder yes AGAINST with
Company
Procter & Gamble PG 742718109 10/11/2011 animal testing shareholder yes AGAINST with
Company
Procter & Gamble PG 742718109 10/11/2011 electioneering contributions shareholder yes AGAINST with
Company
Diageo PLC DEO 25243Q205 10/19/2011 Reports and accounts 2011 mgmt yes FOR with
Diageo PLC DEO 25243Q205 10/19/2011 Directors' remuneration mgmt yes FOR with
report 2011
Diageo PLC DEO 25243Q205 10/19/2011 Declaration of final mgmt yes FOR with
dividend
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Bruzelius as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Danon as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Davies as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Holden as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Humer as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Mahlan as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Scott as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Stitzer as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-election of Walsh as mgmt yes FOR with
director
Diageo PLC DEO 25243Q205 10/19/2011 Re-appointment of auditor mgmt yes FOR with
Diageo PLC DEO 25243Q205 10/19/2011 Remuneration of auditor mgmt yes FOR with
Diageo PLC DEO 25243Q205 10/19/2011 Authority to allot shares mgmt yes FOR with
Diageo PLC DEO 25243Q205 10/19/2011 Disapplication of pre- mgmt yes FOR with
emption rights
Diageo PLC DEO 25243Q205 10/19/2011 Authority to purchase own mgmt yes FOR with
ordinary shares
Diageo PLC DEO 25243Q205 10/19/2011 Authority to make political mgmt yes FOR with
donations and/or to incur
political expenditure in the
EU
Diageo PLC DEO 25243Q205 10/19/2011 Reduce notice of a general mgmt yes FOR with
meeting other than an
annual general meeting
Cisco Systems Inc CSCO 17275R102 12/7/2011 election of twelve board of mgmt yes FOR with
directors
Cisco Systems Inc CSCO 17275R102 12/7/2011 approval of amendment of mgmt yes FOR with
2005 Stock Incentive Plan
Cisco Systems Inc CSCO 17275R102 12/7/2011 advisory vote on executive mgmt yes FOR with
compensation
Cisco Systems Inc CSCO 17275R102 12/7/2011 advisory vote on the mgmt yes 1 YEAR with
frequency of future advisory
votes on executive
compensation
Cisco Systems Inc CSCO 17275R102 12/7/2011 ratification of public mgmt yes FOR with
accounting firm
Cisco Systems Inc CSCO 17275R102 12/7/2011 approval to amend bylaws shareholder yes AGAINST with
to establish a Board on
Environmental
Sustainability
Cisco Systems Inc CSCO 17275R102 12/7/2011 approval to require Board to shareholder yes AGAINST with
publish Internet
Fragmentation Report
Cisco Systems Inc CSCO 17275R102 12/7/2011 approval to require shareholder yes AGAINST with
executives retain significant
percentage of stock for 2
years after termination
Microsoft MSFT 594918104 11/15/2011 election of board of mgmt yes FOR with
Corporation directors
Microsoft MSFT 594918104 11/15/2011 advisory vote on executive mgmt yes FOR with
Corporation compensation
Microsoft MSFT 594918104 11/15/2011 advisory vote on the mgmt yes 1 YEAR with
Corporation frequency of future advisory
votes on executive
compensation
Microsoft MSFT 594918104 11/15/2011 ratification of public mgmt yes FOR with
Corporation accounting firm
Microsoft MSFT 594918104 11/15/2011 establishment of a board shareholder yes AGAINST with
Corporation committee on
Environmental
Sustainability
Visa Inc V 92826C839 1/31/2012 election of board of mgmt yes FOR with
directors
Visa Inc V 92826C839 1/31/2012 advisory vote on executive mgmt yes FOR with
compensation
Visa Inc V 92826C839 1/31/2012 approve 2007 Equity mgmt yes FOR with
Incentive Compensation
Plan as amended and
restated
Visa Inc V 92826C839 1/31/2012 ratification of public mgmt yes FOR with
accounting firm
Franklin Resources BEN 354613101 3/14/2012 election of board of mgmt yes FOR with
Inc directors
Franklin Resources BEN 354613101 3/14/2012 ratification of public mgmt yes FOR with
Inc accounting firm
Apple Inc AAPL 37833100 2/23/2012 election of board of mgmt yes FOR with
directors
Apple Inc AAPL 37833100 2/23/2012 ratification of public mgmt yes FOR with
accounting firm
Apple Inc AAPL 37833100 2/23/2012 advisory vote on executive mgmt yes FOR with
compensation
Apple Inc AAPL 37833100 2/23/2012 conflict of interest report shareholder yes AGAINST with
proposal
Apple Inc AAPL 37833100 2/23/2012 shareholder say on director pay shareholder yes AGAINST with
proposal
Apple Inc AAPL 37833100 2/23/2012 report on political contributions and shareholder yes AGAINST with
expenditures proposal
Apple Inc AAPL 37833100 2/23/2012 adopt a majority voting standard for shareholder yes AGAINST with
director elections
Bank of New York BK 64058100 4/10/2012 election of board of directors mgmt yes FOR with
Mellon
Bank of New York BK 64058100 4/10/2012 advisory vote on executive mgmt yes FOR with
Mellon compensation
Bank of New York BK 64058100 4/10/2012 ratification of public accounting firm mgmt yes FOR with
Mellon
Bank of New York BK 64058100 4/10/2012 shareholder proposal requesting shareholder yes AGAINST with
Mellon adoption of policy related to
independent chairman
Bank of New York BK 64058100 4/10/2012 shareholder proposal with respect to shareholder yes AGAINST with
Mellon cumulative voting
C.R. Bard Inc BCR 67383109 4/18/2012 election of board of directors mgmt yes FOR with
C.R. Bard Inc BCR 67383109 4/18/2012 ratification of public accounting firm mgmt yes FOR with
C.R. Bard Inc BCR 67383109 4/18/2012 approve 2012 Long Term Incentive mgmt yes FOR with
Plan as amended and restated
C.R. Bard Inc BCR 67383109 4/18/2012 approve Employee Stock Purchase mgmt yes FOR with
Plan as amended and restated
C.R. Bard Inc BCR 67383109 4/18/2012 advisory vote on executive mgmt yes FOR with
compensation
C.R. Bard Inc BCR 67383109 4/18/2012 approve amendment to restated mgmt yes FOR with
Certificate of Incorporation to
declassify the board
C.R. Bard Inc BCR 67383109 4/18/2012 proposal relating to sustainability shareholder yes AGAINST with
reporting
The Coca-Cola KO 191216100 4/25/2012 election of board of directors mgmt yes FOR with
Company
The Coca-Cola KO 191216100 4/25/2012 ratification of public accounting firm mgmt yes FOR with
Company
The Coca-Cola KO 191216100 4/25/2012 advisory vote on executive mgmt yes FOR with
Company compensation
Dover Corporation DOV 260003108 5/3/2012 election of board of directors mgmt yes FOR with
Dover Corporation DOV 260003108 5/3/2012 adopt the 2012 Equity and Cash mgmt yes FOR with
Incentive Plan
Dover Corporation DOV 260003108 5/3/2012 ratification of public accounting firm mgmt yes FOR with
Dover Corporation DOV 260003108 5/3/2012 advisory vote on executive mgmt yes FOR with
compensation
Chubb Corporation CB 171232101 4/24/2012 election of board of directors mgmt yes FOR with
Chubb Corporation CB 171232101 4/24/2012 ratification of public accounting firm mgmt yes FOR with
Chubb Corporation CB 171232101 4/24/2012 advisory vote on executive mgmt yes FOR with
compensation
Chubb Corporation CB 171232101 4/24/2012 shareholder proposal regarding shareholder yes AGAINST with
political contributions and related
expenditures
Time Warner Inc TWX 887317303 5/15/2012 election of board of directors mgmt yes FOR with
Time Warner Inc TWX 887317303 5/15/2012 ratification of public accounting firm mgmt yes FOR with
Time Warner Inc TWX 887317303 5/15/2012 advisory vote on executive mgmt yes FOR with
compensation
Time Warner Inc TWX 887317303 5/15/2012 shareholder proposal on Stockholder shareholder yes AGAINST with
Action by Written Consent
Unilever N.V (ADR) UN 904784709 5/9/2012 Consideration of Annual Report for mgmt yes FOR n/a
2011 financial year
Unilever N.V (ADR) UN 904784709 5/9/2012 adopt the Annual Accounts and mgmt yes FOR n/a
appropriation of the profit for the
2011 financial year
Unilever N.V (ADR) UN 904784709 5/9/2012 discharge the Executive Directors in mgmt yes FOR n/a
office in the 2011 financial year
Unilever N.V (ADR) UN 904784709 5/9/2012 discharge the Non-Executive mgmt yes FOR n/a
Directors in office in the 2011
financial year
Unilever N.V (ADR) UN 904784709 5/9/2012 re-appointment of Executive and mgmt yes FOR n/a
Non-Executive directors (Items 5-
16)
Unilever N.V (ADR) UN 904784709 5/9/2012 amend the company's Articles of mgmt yes FOR n/a
Association
Unilever N.V (ADR) UN 904784709 5/9/2012 authorize the Board of Directors to mgmt yes FOR n/a
purchase ordinary shares and
depository receipts
Unilever N.V (ADR) UN 904784709 5/9/2012 reduce capital with respect to mgmt yes FOR n/a
ordinary shares and depository
receipts held by the company
Unilever N.V (ADR) UN 904784709 5/9/2012 designate the Board of Directors as mgmt yes FOR n/a
the company body authorized to
issue shares in the Company
Unilever N.V (ADR) UN 904784709 5/9/2012 appointment of auditor for 2012 mgmt yes FOR n/a
financial year
Everst Re Group LTD RE G3223R108 5/9/2012 election of board of directors mgmt yes FOR with
Everst Re Group LTD RE G3223R108 5/9/2012 ratification of public accounting firm mgmt yes FOR with
Everst Re Group LTD RE G3223R108 5/9/2012 advisory vote on executive mgmt yes FOR with
compensation
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 election of board of directors mgmt yes FOR with
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 ratification of public accounting firm mgmt yes FOR with
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 advisory vote on executive mgmt yes FOR with
compensation
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 adoption of a simple majority vote shareholder yes AGAINST with
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 special shareholder meetings shareholder yes AGAINST with
proposal
Fiserv Inc FISV 337738108 5/23/2012 election of board of directors mgmt yes FOR with
Fiserv Inc FISV 337738108 5/23/2012 approve amendment to articles of mgmt yes FOR with
incorporation that eliminates
classified structure of board and
provide for annual election of
directors
Fiserv Inc FISV 337738108 5/23/2012 approve performance goals and mgmt yes FOR with
related matters under the omnibus
incentive plan
Fiserv Inc FISV 337738108 5/23/2012 advisory vote on executive mgmt yes FOR with
compensation
Fiserv Inc FISV 337738108 5/23/2012 ratification of public accounting firm mgmt yes FOR with
InterContinental IHG 45857P301 5/25/2012 Receipt of financial statements mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 approval of directors' remuneration mgmt yes FOR with
Hotels Group report
InterContinental IHG 45857P301 5/25/2012 delcaration of final divident mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 election of directors mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 reappointment of auditor mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 authority to set auditors' mgmt yes FOR with
Hotels Group remuneration
InterContinental IHG 45857P301 5/25/2012 political donations mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 allotment of shares mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 disapplication of pre-emption rights mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 authority to purchase own shares mgmt yes FOR with
Hotels Group
InterContinental IHG 45857P301 5/25/2012 notice of general meetings mgmt yes FOR with
Hotels Group
Mastercard Inc MA 57636Q104 6/5/2012 election of board of directors mgmt yes FOR with
Mastercard Inc MA 57636Q104 6/5/2012 advisory vote on executive mgmt yes FOR with
compensation
Mastercard Inc MA 57636Q104 6/5/2012 approval of Amended and Restated mgmt yes FOR with
2006 Non-Employee Director Equity
Compensation Plan
Mastercard Inc MA 57636Q104 6/5/2012 approval of Amended and Restated mgmt yes FOR with
2006 Long Term Incentive Plan
Mastercard Inc MA 57636Q104 6/5/2012 ratification of public accounting firm mgmt yes FOR with
Google Inc GOOG 38259P508 6/21/2012 election of board of directors mgmt yes FOR with
Google Inc GOOG 38259P508 6/21/2012 ratification of public accounting firm mgmt yes FOR with
Google Inc GOOG 38259P508 6/21/2012 approval of adoption of Fourth mgmt yes AGAINST against
Amended and Restated Certificate of
Incorporation
Google Inc GOOG 38259P508 6/21/2012 approval of 2012 Stock Plan mgmt yes FOR with
Google Inc GOOG 38259P508 6/21/2012 approval of 2012 Incentive mgmt yes FOR with
Compensation Plan for Employees
and Consultants of Motorola
Mobility
Google Inc GOOG 38259P508 6/21/2012 shareholder proposal regarding shareholder yes AGAINST with
advisory vote on political
contributions
Google Inc GOOG 38259P508 6/21/2012 shareholder proposal regarding shareholder yes AGAINST with
mandatory arbitration of certain
shareholder claims
Google Inc GOOG 38259P508 6/21/2012 shareholder proposal regarding equal shareholder yes AGAINST with
shareholder voting
VULCAN VALUE PARTNERS SMALL CAP FUND
With or
A brief identification of the Against
Company Ticker CUSIP Meeting Date matter voted on Proposed by Voted Vote Cast Management
------------------- ------ ---------- ------------ -------------------------------- ------------ ----- --------- ----------
Nathan's Famous Inc NATH 632347100 9/15/2011 election of nine directors to mgmt yes FOR with
the board
Nathan's Famous Inc NATH 632347100 9/15/2011 ratification of appointment of mgmt yes FOR with
auditors
Nathan's Famous Inc NATH 632347100 9/15/2011 advisory vote on executive mgmt yes FOR with
compensation
Nathan's Famous Inc NATH 632347100 9/15/2011 advisory vote on the mgmt yes 1 YEAR n/a
frequency of future advisory
votes on executive
compensation
Ituran Location & ITRN M6158M104 9/15/2011 Approve reappointment of mgmt no n/a n/a
Control Mr. Sheratsky as Chairman
of Board
Towers Watson & Co TW 891894107 11/11/2011 election of eight directors to mgmt yes FOR with
board
Towers Watson & Co TW 891894107 11/11/2011 ratification of appointment of mgmt yes FOR with
public accounting firm
Towers Watson & Co TW 891894107 11/11/2011 advisory vote on executive mgmt yes FOR with
compensation
Towers Watson & Co TW 891894107 11/11/2011 advisory vote on the mgmt yes 1 YEAR with
frequency of future advisory
votes on executive
compensation
Donaldson Company DCI 257651109 11/18/2011 election of board of directors mgmt yes FOR with
Inc
Donaldson Company DCI 257651109 11/18/2011 approval of amendment to mgmt yes FOR with
Inc Cert of Incorporation to
increase number of
authorized shares of common
stock
Donaldson Company DCI 257651109 11/18/2011 advisory vote on executive mgmt yes FOR with
Inc compensation
Donaldson Company DCI 257651109 11/18/2011 advisory vote on the mgmt yes 3 YEARS with
Inc frequency of future advisory
votes on executive
compensation
Donaldson Company DCI 257651109 11/18/2011 ratification of appointment of mgmt yes FOR with
Inc public accounting firm
Bolt Technology BOLT 97698104 11/22/2011 election of board of directors mgmt no n/a n/a
Corporation
Bolt Technology BOLT 97698104 11/22/2011 advisory vote on executive mgmt no n/a n/a
Corporation compensation
Bolt Technology BOLT 97698104 11/22/2011 advisory vote on the mgmt no n/a n/a
Corporation frequency of future advisory
votes on executive
compensation
Bolt Technology BOLT 97698104 11/22/2011 approve amendment to 2006 mgmt no n/a n/a
Corporation Stock Opeion and Restricted
Stock Plan
Bolt Technology BOLT 97698104 11/22/2011 ratification of appointment of mgmt no n/a n/a
Corporation public accounting firm
KMG Chemicals Inc KMGB 482564101 12/6/2011 election of board of directors mgmt yes FOR with
KMG Chemicals Inc KMGB 482564101 12/6/2011 ratification of appointment of mgmt yes FOR with
public accounting firm
KMG Chemicals Inc KMGB 482564101 12/6/2011 advisory vote on executive mgmt yes FOR with
compensation
KMG Chemicals Inc KMGB 482564101 12/6/2011 advisory vote on the mgmt yes 1 YEAR with
frequency of future advisory
votes on executive
compensation
Sonic Corp SONC 835451105 1/19/2012 election of board of directors mgmt yes FOR with
Sonic Corp SONC 835451105 1/19/2012 approval of the Executive mgmt yes FOR with
Cash Incentive Plan
Sonic Corp SONC 835451105 1/19/2012 ratification of appointment of mgmt yes FOR with
public accounting firm
Sonic Corp SONC 835451105 1/19/2012 advisory vote on executive mgmt yes FOR with
compensation
Sonic Corp SONC 835451105 1/19/2012 advisory vote on the mgmt yes 1 YEAR with
frequency of future advisory
votes on executive
compensation
Ituran Location & ITRN M6158M104 12/13/2011 renew appointment of mgmt no n/a n/a
Control independent auditors and
authorize audit committee to
determine their compensation
Ituran Location & ITRN M6158M104 12/13/2011 approval of re-election of mgmt no n/a n/a
Control directors to office - Kahane,
Kurtz, and Sheratzky
Ituran Location & ITRN M6158M104 12/13/2011 approval of re-election of mgmt no n/a n/a
Control external directors to office -
Baron and Ophir
Fair Isaac FICO 303250104 2/7/2012 election of board of directors mgmt yes FOR with
Corporation
Fair Isaac FICO 303250104 2/7/2012 approve adoption of long- mgmt yes FOR with
Corporation term incentive plan
Fair Isaac FICO 303250104 2/7/2012 advisory vote on executive mgmt yes FOR with
Corporation compensation
Fair Isaac FICO 303250104 2/7/2012 ratification of appointment of mgmt yes FOR with
Corporation public accounting firm
Nordson Corporation NDSN 655663102 2/28/2012 election of board of directors mgmt yes FOR with
Nordson Corporation NDSN 655663102 2/28/2012 ratification of appointment of mgmt yes FOR with
public accounting firm
Nordson Corporation NDSN 655663102 2/28/2012 advisory vote on executive mgmt yes FOR with
compensation
Walt Disney Company DIS 254687106 3/13/2012 election of board of directors mgmt yes FOR with
Walt Disney Company DIS 254687106 3/13/2012 ratification of appointment of mgmt yes FOR with
public accounting firm
Walt Disney Company DIS 254687106 3/13/2012 approve amendment to the mgmt yes FOR with
2011 Stock Incentive Plan
Walt Disney Company DIS 254687106 3/13/2012 advisory vote on executive mgmt yes FOR with
compensation
Idex Corporation IEX 45167R104 4/10/2012 election of board of directors mgmt yes FOR with
Idex Corporation IEX 45167R104 4/10/2012 advisory vote on executive mgmt yes FOR with
compensation
Idex Corporation IEX 45167R104 4/10/2012 ratification of appointment of mgmt yes FOR with
public accounting firm
Lincoln Electric LECO 533900106 4/26/2012 election of board of directors mgmt yes FOR with
Holdings Inc
Lincoln Electric LECO 533900106 4/26/2012 ratification of appointment of mgmt yes FOR with
Holdings Inc public accounting firm
Lincoln Electric LECO 533900106 4/26/2012 advisory vote on executive mgmt yes FOR with
Holdings Inc compensation
Lincoln Electric LECO 533900106 4/26/2012 re-approve the performance mgmt yes FOR with
Holdings Inc measures under the 2007
management incentive
compensation plan
Netspend Holdings NTSP 64118V106 4/27/2012 election of board of directors mgmt yes FOR with
Inc
Netspend Holdings NTSP 64118V106 4/27/2012 approve 2012 employee stock mgmt yes FOR with
Inc purchase plan
Netspend Holdings NTSP 64118V106 4/27/2012 ratification of appointment of mgmt yes FOR with
Inc public accounting firm
Endurance Specialty ENH G30397106 5/10/2012 election of board of directors mgmt yes FOR with
Holdings Ltd
Endurance Specialty ENH G30397106 5/10/2012 ratification of appointment of mgmt yes FOR with
Holdings Ltd public accounting firm
Endurance Specialty ENH G30397106 5/10/2012 advisory vote on executive mgmt yes FOR with
Holdings Ltd compensation
Endurance Specialty ENH G30397106 5/10/2012 approve amendment to mgmt yes FOR with
Holdings Ltd amended and restated Bye-
Laws
Janus Capital Group JNS 47102X105 4/26/2012 approval of amendment to mgmt yes FOR with
Inc certificate of incorporation to
provide for the annual
election of directors
Janus Capital Group JNS 47102X105 4/26/2012 election of board of directors mgmt yes FOR with
Inc
Janus Capital Group JNS 47102X105 4/26/2012 ratification of appointment of mgmt yes FOR with
Inc public accounting firm
Janus Capital Group JNS 47102X105 4/26/2012 approval and adoption of mgmt yes FOR with
Inc amendment to 2010 Long-
Term Incentive Stock Plan
Janus Capital Group JNS 47102X105 4/26/2012 advisory vote on executive mgmt yes FOR with
Inc compensation
Janus Capital Group JNS 47102X105 4/26/2012 non-binding advisory vote on shareholder yes AGAINST n/a
Inc shareholder proposal for
independent chairman policy
Dun & Bradstreet DNB 26483E100 5/9/2012 election of board of directors mgmt yes FOR with
Dun & Bradstreet DNB 26483E100 5/9/2012 ratification of appointment of mgmt yes FOR with
public accounting firm
Dun & Bradstreet DNB 26483E100 5/9/2012 advisory vote on executive mgmt yes FOR with
compensation
Dun & Bradstreet DNB 26483E100 5/9/2012 approve amendment to mgmt yes FOR with
amended and restated
Certificate of Incorporation
and By-Laws to permit
shareholders to call special
meetings
Discovery DISCA 25470F104 5/15/2012 election of board of directors mgmt yes FOR with
Communications
Discovery DISCA 25470F104 5/15/2012 ratification of appointment of mgmt yes FOR with
Communications public accounting firm
Heartland Payment HPY 42235N108 5/4/2012 election of board of directors mgmt yes FOR with
Systems
Heartland Payment HPY 42235N108 5/4/2012 ratification of appointment of mgmt yes FOR with
Systems public accounting firm
Heartland Payment HPY 42235N108 5/4/2012 advisory vote on executive mgmt yes FOR with
Systems compensation
Everst Re Group LTD RE G3223R108 5/9/2012 election of board of directors mgmt yes FOR with
Everst Re Group LTD RE G3223R108 5/9/2012 ratification of public mgmt yes FOR with
accounting firm
Everst Re Group LTD RE G3223R108 5/9/2012 advisory vote on executive mgmt yes FOR with
compensation
Jarden Corporation JAH 471109108 5/17/2012 election of board of directors mgmt yes FOR with
Jarden Corporation JAH 471109108 5/17/2012 ratification of public mgmt yes FOR with
accounting firm
Jarden Corporation JAH 471109108 5/17/2012 advisory vote on executive mgmt yes FOR with
compensation
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 election of board of directors mgmt yes FOR with
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 ratification of public accounting mgmt yes FOR with
firm
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 advisory vote on executive mgmt yes FOR with
compensation
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 adoption of a simple majority shareholder yes AGAINST with
vote
Nasdaq OMC Group Inc NDAQ 631103108 5/22/2012 special shareholder meetings shareholder yes AGAINST with
proposal
ProAssurance Corporation PRA 74267C106 5/16/2012 election of board of directors mgmt yes FOR with
ProAssurance Corporation PRA 74267C106 5/16/2012 ratification of public accounting mgmt yes FOR with
firm
ProAssurance Corporation PRA 74267C106 5/16/2012 advisory vote on executive mgmt yes FOR with
compensation
Ituran Location & ITRN M6158M104 5/21/2012 approve agreement dated Feb mgmt yes FOR with
Control Ltd 23, 2012 between Ituran
Systems De Monitoramento
Ltda. And Mr. Avner Kurz
The Navigators Group Inc NAVG 638904102 5/24/2012 election of board of directors mgmt yes FOR with
The Navigators Group Inc NAVG 638904102 5/24/2012 advisory vote on executive mgmt yes FOR with
compensation
The Navigators Group Inc NAVG 638904102 5/24/2012 ratification of public accounting mgmt yes FOR with
firm
Interval Leisure Group IILG 46113M108 5/29/2012 election of board of directors mgmt yes FOR with
Inc
Interval Leisure Group IILG 46113M108 5/29/2012 ratification of public accounting mgmt yes FOR with
Inc firm
Jos A Banks Clothiers Inc JOSB 480838101 6/15/2012 election of board of directors mgmt yes FOR with
Jos A Banks Clothiers Inc JOSB 480838101 6/15/2012 ratification of public accounting mgmt yes FOR with
firm
Jos A Banks Clothiers Inc JOSB 480838101 6/15/2012 advisory vote on executive mgmt yes FOR with
compensation
* Note - received proxy materials one day before meeting, which was not enough
time to mail forms to Israel (unable to vote online)
* Note - didn't receive proxy materials until Dec. 19, 2011, which was too late
to vote
JEFFERIES ASSET MANAGEMENT COMMODITY STRATEGY ALLOCATION FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-8194
Reporting Period: 07/01/2011 - 06/30/2012
Financial Investors Trust
========== Jefferies Asset Management Commodity Strategy Allocation ===========
========== Fund ===========
ALCOA INC.
Ticker: AA Security ID: 013817101
Meeting Date: MAY 04, 2012 Meeting Type: Annual
Record Date: FEB 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Kathryn S. Fuller For For Management
2 Elect Director Judith M. Gueron For For Management
3 Elect Director Patricia F. Russo For For Management
4 Elect Director Ernesto Zedillo For For Management
5 Ratify Auditors For For Management
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
7 Reduce Supermajority Vote Requirement For For Management
for the Fair Price Provision
8 Reduce Supermajority Vote Requirement For For Management
for Director Elections
9 Reduce Supermajority Vote Requirement For For Management
for Director Removals
10 Declassify the Board of Directors For For Management
11 Provide Right to Act by Written Consent For For Management
--------------------------------------------------------------------------------
ARCHER-DANIELS-MIDLAND COMPANY
Ticker: ADM Security ID: 039483102
Meeting Date: NOV 03, 2011 Meeting Type: Annual
Record Date: SEP 09, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director George W. Buckley For For Management
2 Elect Director Mollie Hale Carter For For Management
3 Elect Director Terrell K. Crews For For Management
4 Elect Director Pierre Dufour For For Management
5 Elect Director Donald E. Felsinger For For Management
6 Elect Director Antonio Maciel For For Management
7 Elect Director Patrick J. Moore For For Management
8 Elect Director Thomas F. O'Neill For For Management
9 Elect Director Kelvin R. Westbrook For For Management
10 Elect Director Patricia A. Woertz For For Management
11 Ratify Auditors For For Management
12 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
13 Advisory Vote on Say on Pay Frequency One Year One Year Management
14 Adopt Policy to Prohibit Political Against Against Shareholder
Spending
15 Report on Political Contributions Against For Shareholder
16 Adopt and Implement Sustainable Palm Against Against Shareholder
Oil Policy
--------------------------------------------------------------------------------
BHP BILLITON PLC
Ticker: BLT Security ID: G10877101
Meeting Date: OCT 20, 2011 Meeting Type: Annual
Record Date: OCT 18, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Elect Lindsay Maxsted as Director For For Management
3 Elect Shriti Vadera as Director For For Management
4 Re-elect Malcolm Broomhead as Director For For Management
5 Re-elect John Buchanan as Director For For Management
6 Re-elect Carlos Cordeiro as Director For For Management
7 Re-elect David Crawford as Director For For Management
8 Re-elect Carolyn Hewson as Director For For Management
9 Re-elect Marius Kloppers as Director For For Management
10 Re-elect Wayne Murdy as Director For For Management
11 Re-elect Keith Rumble as Director For For Management
12 Re-elect John Schubert as Director For For Management
13 Re-elect Jacques Nasser as Director For For Management
14 Reappoint KPMG Audit plc as Auditors For For Management
and Authorise Their Remuneration
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Authorise Issue of Equity without For For Management
Pre-emptive Rights
17 Authorise Market Purchase For For Management
18 Approve Remuneration Report For For Management
19 Approve Termination Benefits for Group For For Management
Management Committee Members
20 Approve the Grant of Awards to Marius For For Management
Kloppers under the Group Incentive
Scheme and the Long Term Incentive Plan
--------------------------------------------------------------------------------
BP PLC
Ticker: BP. Security ID: G12793108
Meeting Date: APR 12, 2012 Meeting Type: Annual
Record Date: APR 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Robert Dudley as Director For For Management
4 Re-elect Iain Conn as Director For For Management
5 Elect Dr Brian Gilvary as Director For For Management
6 Re-elect Dr Byron Grote as Director For For Management
7 Re-elect Paul Anderson as Director For For Management
8 Re-elect Frank Bowman as Director For For Management
9 Re-elect Antony Burgmans as Director For For Management
10 Re-elect Cynthia Carroll as Director For For Management
11 Re-elect George David as Director For For Management
12 Re-elect Ian Davis as Director For For Management
13 Elect Dame Ann Dowling as Director For For Management
14 Re-elect Brendan Nelson as Director For For Management
15 Re-elect Phuthuma Nhleko as Director For For Management
16 Elect Andrew Shilston as Director For For Management
17 Re-elect Carl-Henric Svanberg as For For Management
Director
18 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorise Their
Remuneration
19 Authorise Market Purchase For For Management
20 Authorise Issue of Equity with For For Management
Pre-emptive Rights
21 Authorise Issue of Equity without For For Management
Pre-emptive Rights
22 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
CHESAPEAKE ENERGY CORPORATION
Ticker: CHK Security ID: 165167107
Meeting Date: JUN 08, 2012 Meeting Type: Annual
Record Date: APR 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard K. Davidson For Withhold Management
1.2 Elect Director V. Burns Hargis For Withhold Management
2 Adopt Majority Voting for Uncontested For For Management
Election of Directors
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Approve Executive Incentive Bonus Plan For Against Management
6 Ratify Auditors For For Management
7 Reincorporate in Another State [from Against For Shareholder
Oklahoma to Delaware]
8 Report on Lobbying Payments and Policy Against For Shareholder
9 Reduce Supermajority Vote Requirement Against For Shareholder
10 Adopt Proxy Access Right Against For Shareholder
--------------------------------------------------------------------------------
CHEVRON CORPORATION
Ticker: CVX Security ID: 166764100
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Linnet F. Deily For For Management
2 Elect Director Robert E. Denham For For Management
3 Elect Director Chuck Hagel For For Management
4 Elect Director Enrique Hernandez, Jr. For For Management
5 Elect Director George L. Kirkland For For Management
6 Elect Director Charles W. Moorman, IV For For Management
7 Elect Director Kevin W. Sharer For For Management
8 Elect Director John G. Stumpf For For Management
9 Elect Director Ronald D. Sugar For For Management
10 Elect Director Carl Ware For For Management
11 Elect Director John S. Watson For For Management
12 Ratify Auditors For For Management
13 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
14 Remove Exclusive Venue Provision Against For Shareholder
15 Require Independent Board Chairman Against For Shareholder
16 Report on Lobbying Payments and Policy Against For Shareholder
17 Adopt Guidelines for Country Selection Against For Shareholder
18 Report on Hydraulic Fracturing Risks Against For Shareholder
to Company
19 Report on Accident Risk Reduction Against Against Shareholder
Efforts
20 Amend Articles/Bylaws/Charter -- Call Against For Shareholder
Special Meetings
21 Request Director Nominee with Against For Shareholder
Environmental Qualifications
--------------------------------------------------------------------------------
CHINA BLUECHEMICAL LTD.
Ticker: 03983 Security ID: Y14251105
Meeting Date: JUL 28, 2011 Meeting Type: Special
Record Date: JUN 27, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Li Hui as Director and Authorize For For Management
the Board to Determine His Remuneration
--------------------------------------------------------------------------------
CHINA BLUECHEMICAL LTD.
Ticker: 03983 Security ID: Y14251105
Meeting Date: DEC 30, 2011 Meeting Type: Special
Record Date: NOV 29, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Proposed Caps for the For For Management
Transactions under the Natural Gas
Sale and Purchase Agreements
2 Approve Comprehensive Services and For For Management
Product Sales Agreement
3 Approve Proposed Caps for the For For Management
Transactions Relating to the Provision
of Services and Supplies by the CNOOC
Group to the Group under the
Comprehensive Services and Product
Sales Agreement
4 Approve Proposed Caps for the For For Management
Transactions Relating to the Provision
of Services and Supplies by the Group
to the CNOOC Group under the
Comprehensive Services and Product
Sales Agreement
5 Approve Financial Services For Against Management
Supplemental Agreement
6 Approve Proposed Caps for the For Against Management
Transactions Relating to the Provision
of Deposit Services under the
Financial Services Agreement
7 Approve Kingboard Supplemental For For Management
Agreement
8 Approve Proposed Caps for the For For Management
Transactions of the Kingboard Product
Sales and Services Agreement
--------------------------------------------------------------------------------
CNOOC LTD.
Ticker: 00883 Security ID: Y1662W117
Meeting Date: MAY 25, 2012 Meeting Type: Annual
Record Date: MAY 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1a Accept Financial Statements and For For Management
Statutory Reports
1b Declare Final Dividend For For Management
1c Reelect Wu Guangqi as Executive For For Management
Director
1d Reelect Wu Zhenfang as Non-Executive For For Management
Director
1e Reelect Tse Hau Yin, Aloysius as For For Management
Independent Non-Executive Director
1f Authorize Board to Fix Remuneration of For For Management
Directors
1g Reappoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
2a Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
2b Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
2c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
COEUR D'ALENE MINES CORPORATION
Ticker: CDE Security ID: 192108504
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director L. Michael Bogert For For Management
1.2 Elect Director James J. Curran For For Management
1.3 Elect Director Sebastian Edwards For For Management
1.4 Elect Director Mitchell J. Krebs For For Management
1.5 Elect Director Andrew Lundquist For For Management
1.6 Elect Director Robert E. Mellor For For Management
1.7 Elect Director John H. Robinson For For Management
1.8 Elect Director J. Kenneth Thompson For For Management
1.9 Elect Director Timothy R. Winterer For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CONTANGO OIL & GAS COMPANY
Ticker: MCF Security ID: 21075N204
Meeting Date: DEC 01, 2011 Meeting Type: Annual
Record Date: OCT 12, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Kenneth R. Peak For For Management
2 Elect Director B.A. Berilgen For For Management
3 Elect Director Jay D. Brehmer For For Management
4 Elect Director Charles M. Reimer For For Management
5 Elect Director Steven L. Schoonover For For Management
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
7 Advisory Vote on Say on Pay Frequency One Year One Year Management
8 Ratify Auditors For For Management
--------------------------------------------------------------------------------
DEERE & COMPANY
Ticker: DE Security ID: 244199105
Meeting Date: FEB 29, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Crandall C. Bowles For For Management
2 Elect Director Vance D. Coffman For For Management
3 Elect Director Charles O. Holliday, Jr. For For Management
4 Elect Director Dipak C. Jain For For Management
5 Elect Director Clayton M. Jones For For Management
6 Elect Director Joachim Milberg For For Management
7 Elect Director Richard B. Myers For For Management
8 Elect Director Thomas H. Patrick For For Management
9 Elect Director Sherry M. Smith For For Management
10 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
11 Approve Non-Employee Director For For Management
Restricted Stock Plan
12 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ENCANA CORPORATION
Ticker: ECA Security ID: 292505104
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: MAR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter A. Dea For For Management
1.2 Elect Director Randall K. Eresman For For Management
1.3 Elect Director Claire S. Farley For For Management
1.4 Elect Director Fred J. Fowler For For Management
1.5 Elect Director Suzanne P. Nimocks For For Management
1.6 Elect Director David P. O'Brien For For Management
1.7 Elect Director Jane L. Peverett For For Management
1.8 Elect Director Allan P. Sawin For For Management
1.9 Elect Director Bruce G. Waterman For For Management
1.10 Elect Director Clayton H. Woitas For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
ENERGY XXI (BERMUDA) LIMITED
Ticker: 5E3B Security ID: G10082140
Meeting Date: NOV 08, 2011 Meeting Type: Annual
Record Date: SEP 19, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect John D. Schiller, Jr. as Director For For Management
1.2 Elect William Colvin as Director For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency Three One Year Management
Years
4 Increase Authorized Preferred Stock For Against Management
5 Approve UHY LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
ENI SPA
Ticker: ENI Security ID: T3643A145
Meeting Date: APR 30, 2012 Meeting Type: Annual/Special
Record Date: APR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Allocation of Income For For Management
3 Approve Remuneration Report For For Management
1 Amend Articles 17 and 28; Add New For For Management
Article 34 (Board-Related)
--------------------------------------------------------------------------------
EVRAZ PLC
Ticker: EVR Security ID: G33090104
Meeting Date: JUN 18, 2012 Meeting Type: Annual
Record Date: JUN 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Alexander Abramov as Director For For Management
5 Re-elect Duncan Baxter as Director For For Management
6 Re-elect Alexander Frolov as Director For For Management
7 Re-elect Karl Gruber as Director For For Management
8 Elect Alexander Izosimov as Director For For Management
9 Elect Sir Michael Peat as Director For For Management
10 Re-elect Olga Pokrovskaya as Director For Against Management
11 Re-elect Terry Robinson as Director For For Management
12 Re-elect Eugene Shvidler as Director For For Management
13 Re-elect Eugene Tenenbaum as Director For Against Management
14 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorise Their
Remuneration
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Authorise EU Political Donations and For For Management
Expenditure
17 Authorise the Company to Use For For Management
Electronic Communications
18 Authorise Issue of Equity without For For Management
Pre-emptive Rights
19 Authorise Market Purchase of Ordinary For For Management
Shares
20 Adopt New Articles of Association For For Management
21 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
EXXON MOBIL CORPORATION
Ticker: XOM Security ID: 30231G102
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director M.J. Boskin For For Management
1.2 Elect Director P. Brabeck-Letmathe For For Management
1.3 Elect Director L.R. Faulkner For For Management
1.4 Elect Director J.S. Fishman For For Management
1.5 Elect Director H.H. Fore For For Management
1.6 Elect Director K.C. Frazier For For Management
1.7 Elect Director W.W. George For For Management
1.8 Elect Director S.J. Palmisano For For Management
1.9 Elect Director S.S. Reinemund For For Management
1.10 Elect Director R.W. Tillerson For For Management
1.11 Elect Director E.E. Whitacre, Jr. For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Require Independent Board Chairman Against For Shareholder
5 Require a Majority Vote for the Against For Shareholder
Election of Directors
6 Report on Political Contributions Against For Shareholder
7 Amend EEO Policy to Prohibit Against Against Shareholder
Discrimination based on Sexual
Orientation and Gender Identity
8 Report on Hydraulic Fracturing Risks Against For Shareholder
to Company
9 Adopt Quantitative GHG Goals for Against For Shareholder
Products and Operations
--------------------------------------------------------------------------------
FX ENERGY, INC.
Ticker: FXEN Security ID: 302695101
Meeting Date: SEP 15, 2011 Meeting Type: Special
Record Date: AUG 01, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Omnibus Stock Plan For For Management
2 Other Business For Against Management
--------------------------------------------------------------------------------
GALLEON ENERGY INC.
Ticker: GO Security ID: 36380R104
Meeting Date: NOV 01, 2011 Meeting Type: Special
Record Date: SEP 27, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Change Company Name to Guide For For Management
Exploration Ltd.
--------------------------------------------------------------------------------
GRUPO MEXICO S.A.B. DE C.V.
Ticker: GMEXICOB Security ID: P49538112
Meeting Date: APR 30, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Consolidated Financial For For Management
Statements and Statutory Reports;
Accept CEO, Board and Board Committee
Reports for Fiscal Year 2011
2 Approve Report on Tax Obligations in For For Management
Accordance with Article 86 of Tax Law
3 Approve Allocation of Income for For For Management
Fiscal Year 2011
4 Approve Policy Related to Acquisition For For Management
of Own Shares for 2011; Set Aggregate
Nominal Amount of Share Repurchase
Reserve for 2012
5 Elect or Ratify Directors; Verify For Against Management
Independence of Board Members; Elect
or Ratify Chairmen and Members of
Board Committees
6 Approve Remuneration of Directors and For For Management
Members of Board Committees
7 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
IAMGOLD CORPORATION
Ticker: IMG Security ID: 450913108
Meeting Date: MAY 14, 2012 Meeting Type: Annual/Special
Record Date: APR 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John E. Caldwell For For Management
1.2 Elect Director Donald K. Charter For For Management
1.3 Elect Director W. Robert Dengler For For Management
1.4 Elect Director Guy G. Dufresne For For Management
1.5 Elect Director Richard J. Hall For For Management
1.6 Elect Director Stephen J.J. Letwin For For Management
1.7 Elect Director Mahendra Naik For For Management
1.8 Elect Director William D. Pugliese For For Management
1.9 Elect Director John T. Shaw For For Management
1.10 Elect Director Timothy R. Snider For For Management
2 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
4 Re-approve Share Incentive Plan For For Management
--------------------------------------------------------------------------------
ISRAEL CHEMICALS LTD.
Ticker: ICL Security ID: M5920A109
Meeting Date: OCT 05, 2011 Meeting Type: Annual/Special
Record Date: SEP 06, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports (Non-Voting)
2 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
3.1 Elect Nir Gilad as Director For For Management
3.2 Elect Yossi Rosen as Director For For Management
3.3 Elect Chaim Erez as Director For For Management
3.4 Elect Moshe Vidman as Director For For Management
3.5 Elect Avishar Paz as Director For For Management
3.6 Elect Eran Sarig as Director For For Management
3.7 Elect Avraham Shochat as Director For For Management
3.8 Elect Victor Medina as Director For For Management
4 Elect Ovadia Eli as Director For For Management
5 Approve Indemnification Agreement of For For Management
Ovadia Eli
6 Elect Jacob Dior as External Director For For Management
6a Indicate if you are a Controlling None Against Management
Shareholder
7 Approve Remuneration of Jacob Dior For For Management
Including Indemnification Agreement
8 Amend Articles For For Management
9 Amend Controlling Shareholder Director For For Management
Indemnification Agreements
9a Indicate Personal Interest in Proposed None Against Management
Agenda Item
10 Amend Non-Controlling Shareholder For For Management
Director Indemnification Agreements
11 Approve Related Party Transaction For Against Management
11a Indicate Personal Interest in Proposed None Against Management
Agenda Item
--------------------------------------------------------------------------------
ISRAEL CORPORATION (THE)
Ticker: ILCO Security ID: M8785N109
Meeting Date: NOV 08, 2011 Meeting Type: Annual/Special
Record Date: OCT 09, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports
2 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
3.1 Elect Amir Elstein as Director For For Management
3.2 Elect Edan Ofer as Director For For Management
3.3 Elect Amnon Leon as Director For Against Management
3.4 Elect Zeev Nahari as Director For For Management
3.5 Elect Eitan Raf as Director For For Management
3.6 Elect Zahavit Cohen as Director For For Management
3.7 Elect Yoav Doppelt as Director For For Management
3.8 Elect Ron Moskovitz as Director For For Management
3.9 Elect Aviad Kaufman as Director For For Management
4 Amend Articles For For Management
4a Indicate Personal Interest in Proposed None None Management
Agenda Item
5 Amend Director Indemnification For For Management
Agreements
5a Indicate Personal Interest in Proposed None None Management
Agenda Item
--------------------------------------------------------------------------------
ISRAEL CORPORATION (THE)
Ticker: ILCO Security ID: M8785N109
Meeting Date: MAY 07, 2012 Meeting Type: Special
Record Date: APR 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Bonus to Amir Elstein For For Management
2 Assign Remuneration of Directors to For For Management
Corporate Employers
2a Indicate Personal Interest in Proposed None Against Management
Agenda Item
--------------------------------------------------------------------------------
IVANHOE MINES LTD.
Ticker: IVN Security ID: 46579N103
Meeting Date: JUN 28, 2012 Meeting Type: Annual/Special
Record Date: MAY 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Eleven For For Management
2.1 Elect Director Jill Gardiner For For Management
2.2 Elect Director R. Peter Gillin For For Management
2.3 Elect Director Warren Goodman For For Management
2.4 Elect Director Andrew Harding For For Management
2.5 Elect Director Isabelle Hudon For For Management
2.6 Elect Director David Klingner For For Management
2.7 Elect Director Daniel Larsen For For Management
2.8 Elect Director Livia Mahler For For Management
2.9 Elect Director Peter G. Meredith For For Management
2.10 Elect Director Kay Priestly For For Management
2.11 Elect Director Russel C. Robertson For For Management
3 Approve Termination of Shareholder For For Management
Rights Plan
4 Change Company Name to Turquoise Hill For For Management
Resources Ltd.
5 Re-approve Equity Incentive Plan For Against Management
6 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
JIANGXI COPPER COMPANY LTD.
Ticker: 00358 Security ID: Y4446C100
Meeting Date: DEC 06, 2011 Meeting Type: Special
Record Date: NOV 04, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Profit Distribution For For Management
2 Appoint Ernst & Young Hua Ming For For Management
Certified Public Accountants as
Internal Control Accountant and
Authorize Board to Fix Their
Remuneration
3 Approve Consolidated Supply and For For Management
Services Agreement 1 and related
Annual Caps
4 Approve Consolidated Supply and For For Management
Services Agreement 2 and related
Annual Caps
5 Approve Financial Services Agreement For Against Management
and related Annual Caps
--------------------------------------------------------------------------------
KAZAKHMYS PLC
Ticker: KAZ Security ID: G5221U108
Meeting Date: SEP 26, 2011 Meeting Type: Special
Record Date: SEP 23, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Waiver on Tender-Bid For Against Management
Requirement
2 Approve Waiver on Tender-Bid For For Management
Requirement
--------------------------------------------------------------------------------
KINROSS GOLD CORPORATION
Ticker: K Security ID: 496902404
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: MAR 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John A. Brough For For Management
1.2 Elect Director Tye W. Burt For For Management
1.3 Elect Director John K. Carrington For For Management
1.4 Elect Director John M. H. Huxley For For Management
1.5 Elect Director Kenneth C. Irving For For Management
1.6 Elect Director John A. Keyes For For Management
1.7 Elect Director Catherine McLeod-Seltzer For For Management
1.8 Elect Director George F. Michals For For Management
1.9 Elect Director John E. Oliver For For Management
1.10 Elect Director Terence C.W. Reid For For Management
2 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
4 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
MARATHON OIL CORPORATION
Ticker: MRO Security ID: 565849106
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Gregory H. Boyce For For Management
2 Elect Director Pierre Brondeau For For Management
3 Elect Director Clarence P. Cazalot, Jr. For For Management
4 Elect Director Linda Z. Cook For For Management
5 Elect Director Shirley Ann Jackson For For Management
6 Elect Director Philip Lader For For Management
7 Elect Director Michael E. J. Phelps For For Management
8 Elect Director Dennis H. Reilley For For Management
9 Ratify Auditors For For Management
10 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
11 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
MECHEL OAO
Ticker: MTLR Security ID: 583840103
Meeting Date: SEP 09, 2011 Meeting Type: Special
Record Date: AUG 04, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Related-Party Transactions For For Management
--------------------------------------------------------------------------------
MECHEL OAO
Ticker: MTLR Security ID: 583840103
Meeting Date: JUN 29, 2012 Meeting Type: Annual
Record Date: MAY 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Approve Financial Statements For For Management
3 Approve Allocation of Income and For For Management
Dividends of RUB 8.06 per Ordinary
Share and RUB 31.28 per Preferred Share
4.1 Elect Arthur Johnson as Director None Against Management
4.2 Elect Vladimir Gusev as Director None For Management
4.3 Elect Aleksandr Yevtushenko as Director None Against Management
4.4 Elect Igor Zyuzin as Director None Against Management
4.5 Elect Igor Kozhukhovsky as Director None For Management
4.6 Elect Yevgeny Mikhel as Director None Against Management
4.7 Elect Valentin Proskurnya as Director None Against Management
4.8 Elect Roger Gale as Director None Against Management
4.9 Elect Viktor Trigubco as Director None Against Management
5.1 Elect Yelena Pavlovskaya-Mokhnatkina For For Management
as Member of Audit Commission
5.2 Elect Natalya Mikhaylova as Member of For For Management
Audit Commission
5.3 Elect Andrey Stepanov as Member of For For Management
Audit Commission
6 Ratify ZAO Energyconsulting Audit as For For Management
Auditor
7 Approve New Edition of Regulations on For For Management
Remuneration and Reimbursement of
Expenses of Directors
8 Approve Related-Party Transaction Re: For For Management
Guarantee Agreement
--------------------------------------------------------------------------------
MONSANTO COMPANY
Ticker: MON Security ID: 61166W101
Meeting Date: JAN 24, 2012 Meeting Type: Annual
Record Date: NOV 28, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Directors Janice L. Fields For For Management
2 Elect Directors Hugh Grant For For Management
3 Elect Directors C. Steven McMillan For For Management
4 Elect Directors Robert J. Stevens For For Management
5 Ratify Auditors For For Management
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
7 Amend Omnibus Stock Plan For For Management
8 Report on Risk of Genetically Against Against Shareholder
Engineered Products
--------------------------------------------------------------------------------
NATIONAL OILWELL VARCO, INC.
Ticker: NOV Security ID: 637071101
Meeting Date: MAY 16, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Merrill A. Miller, Jr. For For Management
2 Elect Director Greg L. Armstrong For For Management
3 Elect Director David D. Harrison For For Management
4 Ratify Auditors For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
6 Report on Political Contributions Against For Shareholder
--------------------------------------------------------------------------------
NIPPON STEEL CORP.
Ticker: 5401 Security ID: J55999122
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 1
2 Approve Share Exchange Agreement with For For Management
Sumitomo Metal Industries Ltd.
3 Approve Merger Agreement with Sumitomo For For Management
Metal Industries Ltd.
4 Amend Articles To Change Company Name For Against Management
- Amend Business Lines - Increase
Maximum Board Size - Increase
Authorized Capital
5.1 Elect Director Mimura, Akio For For Management
5.2 Elect Director Muneoka, Shoji For For Management
5.3 Elect Director Taniguchi, Shinichi For For Management
5.4 Elect Director Shindo, Kosei For For Management
5.5 Elect Director Iwaki, Masakazu For For Management
5.6 Elect Director Katsuyama, Norio For For Management
5.7 Elect Director Higuchi, Shinya For For Management
5.8 Elect Director Ota, Katsuhiko For For Management
5.9 Elect Director Meiga, Takayoshi For For Management
5.10 Elect Director Sakuma, Soichiro For For Management
5.11 Elect Director Saeki, Yasumitsu For For Management
6.1 Elect Director Tomono, Hiroshi For For Management
6.2 Elect Director Hombe, Fumio For For Management
6.3 Elect Director Kozuka, Shuuichiro For For Management
6.4 Elect Director Nogi, Kiyotaka For For Management
6.5 Elect Director Yanagawa, Kinya For For Management
7.1 Appoint Statutory Auditor Tanabe, For For Management
Toshihide
7.2 Appoint Statutory Auditor Suetsugu, For For Management
Hirotomo
8.1 Appoint Statutory Auditor Minato, For For Management
Hirohiko
8.2 Appoint Statutory Auditor Muto, Toshiro For For Management
8.3 Appoint Statutory Auditor Abe, Hirotake For Against Management
9 Approve Adjustment to Aggregate For Against Management
Compensation Ceiling for Directors
--------------------------------------------------------------------------------
NORSK HYDRO ASA
Ticker: NHY Security ID: R61115102
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: APR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Notice of Meeting and Agenda For Did Not Vote Management
2 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
3 Approve Financial Statements and For Did Not Vote Management
Statutory Reports; Approve Allocation
of Income and Dividends of NOK 0.75
per Share
4 Approve Remuneration of Auditors in For Did Not Vote Management
the Amount of NOK 7.8 Million
5 Receive Corporate Governance Report None None Management
6 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
7.1 Elect Siri Teigum as Member of For Did Not Vote Management
Corporate Assembly
7.2 Elect Leif Teksum as Member of For Did Not Vote Management
Corporate Assembly
7.3 Elect Idar Kreutzer as Member of For Did Not Vote Management
Corporate Assembly
7.4 Elect Sten-Arthur Saelor as Member of For Did Not Vote Management
Corporate Assembly
7.5 Elect Lars Tronsgaard as Member of For Did Not Vote Management
Corporate Assembly
7.6 Elect Anne-Margrethe Firing as Member For Did Not Vote Management
of Corporate Assembly
7.7 Elect Terje Venold as Member of For Did Not Vote Management
Corporate Assembly
7.8 Elect Unni Steinsmo as Member of For Did Not Vote Management
Corporate Assembly
7.9 Elect Tove Wangensten as Member of For Did Not Vote Management
Corporate Assembly
7.10 Elect Anne Bogsnes as Member of For Did Not Vote Management
Corporate Assembly
7.11 Elect Birger Solberg as Member of For Did Not Vote Management
Corporate Assembly
7.12 Elect Ann Sydnes as Member of For Did Not Vote Management
Corporate Assembly
7.13 Elect Kristin Faerovik as Member of For Did Not Vote Management
Corporate Assembly
7.14 Elect Susanne Thore as Member of For Did Not Vote Management
Corporate Assembly
7.15 Elect Shahzad Abid as Member of For Did Not Vote Management
Corporate Assembly
7.16 Elect Jan Meling as Member of For Did Not Vote Management
Corporate Assembly
8.1 Elect Siri Teigum as Member of For Did Not Vote Management
Nominating Committee
8.2 Elect Leif Teksum as Member of For Did Not Vote Management
Nominating Committee
8.3 Elect Mette Wikborg as Member of For Did Not Vote Management
Nominating Committee
8.4 Elect Terje Venold as Member of For Did Not Vote Management
Nominating Committee
9.1 Approve Remuneration of Corporate For Did Not Vote Management
Assembly
9.2 Approve Remuneration of Nominating For Did Not Vote Management
Committee
10 Question Regarding Company Strategy None None Shareholder
and Shareholder Policy (Non-voting)
--------------------------------------------------------------------------------
NUFARM LIMITED (FORMERLY FERNZ CORP. LTD.)
Ticker: NUF Security ID: Q7007B105
Meeting Date: DEC 01, 2011 Meeting Type: Annual
Record Date: NOV 29, 2011
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve Remuneration Report For For Management
3a Elect Anne Bernadette Brennan as a For For Management
Director
3b Elect Gordon Richard Davis as a For For Management
Director
3c Elect Peter Maxwell Margin as a For For Management
Director
4 Amend the Company's Constitution For For Management
5 Approve Issuance of Performance Rights For For Management
to the Managing Director
--------------------------------------------------------------------------------
PETROCHINA COMPANY LIMITED
Ticker: 601857 Security ID: Y6883Q104
Meeting Date: OCT 20, 2011 Meeting Type: Special
Record Date: SEP 19, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Connected Transaction with a For Against Management
Related Party
2 Elect Wang Lixin as Supervisor For For Management
--------------------------------------------------------------------------------
PETROLEO BRASILEIRO SA-PETROBRAS
Ticker: PETR4 Security ID: 71654V408
Meeting Date: MAR 19, 2012 Meeting Type: Annual/Special
Record Date: FEB 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Capital Budget for Upcoming For For Management
Fiscal Year
3 Approve Allocation of Income and For For Management
Dividends
4a Elect Directors Appointed by For For Management
Controlling Shareholder
4b Elect Directors Appointed by Minority For For Management
Shareholders
5 Elect Board Chairman For For Management
6a Elect Fiscal Council Members and For For Management
Alternates Appointed by Controlling
Shareholder
6b Elect Fiscal Council Members and For For Management
Alternates Appointed by Minority
Shareholders
7 Approve Remuneration of Executive For For Management
Officers, Non-Executive Directors, and
Fiscal Council Members
1 Authorize Capitalization of Reserves For For Management
Without Issuance of New Shares
--------------------------------------------------------------------------------
PETROPAVLOVSK PLC
Ticker: POG Security ID: G7053A101
Meeting Date: MAY 31, 2012 Meeting Type: Annual
Record Date: MAY 29, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Reappoint Deloitte LLP as Auditors For For Management
5 Authorise Board to Fix Remuneration of For For Management
Auditors
6 Elect Dr David Humphreys as Director For For Management
7 Elect Sergey Ermolenko as Director For For Management
8 Elect Rachel English as Director For For Management
9 Re-elect Peter Hambro as Director For For Management
10 Re-elect Dr Alfiya Samokhvalova as For For Management
Director
11 Re-elect Andrey Maruta as Director For For Management
12 Re-elect Martin Smith as Director For For Management
13 Re-elect Dr Graham Birch as Director For For Management
14 Re-elect Sir Malcolm Field as Director For For Management
15 Re-elect Lord Guthrie as Director For For Management
16 Re-elect Sir Roderic Lyne as Director For For Management
17 Re-elect Charles McVeigh as Director For For Management
18 Approve Increase in Borrowing Powers For For Management
19 Authorise Issue of Equity with For For Management
Pre-emptive Rights
20 Authorise Issue of Equity without For For Management
Pre-emptive Rights
21 Authorise Market Purchase of Ordinary For For Management
Shares
22 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
POTASH CORPORATION OF SASKATCHEWAN INC.
Ticker: POT Security ID: 73755L107
Meeting Date: MAY 17, 2012 Meeting Type: Annual/Special
Record Date: MAR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director C. M. Burley For For Management
1.2 Elect Director D. G. Chynoweth For For Management
1.3 Elect Director D. Clauw For For Management
1.4 Elect Director W. J. Doyle For For Management
1.5 Elect Director J. W. Estey For For Management
1.6 Elect Director G. W. Grandey For For Management
1.7 Elect Director C. S. Hoffman For For Management
1.8 Elect Director D. J. Howe For For Management
1.9 Elect Director A. D. Laberge For For Management
1.10 Elect Director K.G. Martell For For Management
1.11 Elect Director J. J. McCaig For For Management
1.12 Elect Director M. Mogford For For Management
1.13 Elect Director E. Viyella de Paliza For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Approve 2012 Performance Option Plan For For Management
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
RANGE RESOURCES CORPORATION
Ticker: RRC Security ID: 75281A109
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Charles L. Blackburn For For Management
2 Elect Director Anthony V. Dub For For Management
3 Elect Director V. Richard Eales For For Management
4 Elect Director Allen Finkelson For For Management
5 Elect Director James M. Funk For For Management
6 Elect Director Jonathan S. Linker For For Management
7 Elect Director Kevin S. McCarthy For For Management
8 Elect Director John H. Pinkerton For For Management
9 Elect Director Jeffrey L. Ventura For For Management
10 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
11 Ratify Auditors For For Management
12 Pro-rata Vesting of Equity Awards Against For Shareholder
13 Include Sustainability as a Against Against Shareholder
Performance Measure for Senior
Executive Compensation
--------------------------------------------------------------------------------
ROSNEFT OIL COMPANY OJSC
Ticker: ROSN Security ID: 67812M207
Meeting Date: SEP 13, 2011 Meeting Type: Special
Record Date: JUL 20, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Shareholder Proposal: Approve Early For For Shareholder
Termination of Powers of Board of
Directors
2.1 Shareholder Proposal: Elect Vladimir None Against Shareholder
Bogdanov as Director
2.2 Shareholder Proposal: Elect Matthias None Against Shareholder
Warnig as Director
2.3 Shareholder Proposal: Elect Andrey None Against Shareholder
Kostin as Director
2.4 Shareholder Proposal: Elect Aleksandr None Against Shareholder
Nekipelov as Director
2.5 Shareholder Proposal: Elect Hans-Joerg None For Shareholder
Rudloff as Director
2.6 Shareholder Proposal: Elect Nikolay None Against Shareholder
Tokarev as Director
2.7 Shareholder Proposal: Elect Eduard None Against Shareholder
Khudaynatov as Director
2.8 Shareholder Proposal: Elect Sergey None Against Shareholder
Shishin as Director
2.9 Shareholder Proposal: Elect Dmitry None Against Shareholder
Shugayev as Director
--------------------------------------------------------------------------------
SASOL LTD
Ticker: SOL Security ID: 803866102
Meeting Date: NOV 25, 2011 Meeting Type: Annual
Record Date: NOV 21, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Re-elect Jurgen Schrempp as Director For For Management
1.2 Re-elect Colin Beggs as Director For For Management
1.3 Re-elect Johnson Njeke as Director For For Management
1.4 Re-elect Nolitha Fakude as Director For For Management
2.1 Re-elect Hixonia Nyasulu as Director For For Management
2.2 Re-elect Christine Ramon as Director For For Management
2.3 Re-elect Henk Dijkgraaf as Director For For Management
3 Elect David Constable as Director For For Management
4 Reappoint KPMG Inc as Auditors of the For For Management
Company
5.1 Re-elect Colin Beggs as Member of the For For Management
Audit Committee
5.2 Re-elect Mandla Gantsho as Member of For For Management
the Audit Committee
5.3 Re-elect Henk Dijkgraaf as Member of For For Management
the Audit Committee
5.4 Re-elect Johnson Njeke as Member of For For Management
the Audit Committee
6 Approve Remuneration of Non-Executive For For Management
Directors for the Period 1 July 2011
Until the Date of the Next Annual
General Meeting
7 Approve Remuneration Policy For Against Management
8 Approve Financial Assistance to For For Management
Subsidiaries and Juristic Persons That
the Company Directly or Indirectly
Controls
9 Approve Financial Assistance to For For Management
Related or Inter-related Company or
Corporation
10 Approve Financial Assistance to the For For Management
Sasol Inzalo Public Facilitation Trust
11 Authorise Repurchase of Up to Ten For For Management
Percent of Issued Share Capital
12 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital from a
Director and/or a Prescribed Officer
of the Company
13 Amend Sasol Inzalo Foundation Trust For For Management
Deed
--------------------------------------------------------------------------------
SOUTHWESTERN ENERGY COMPANY
Ticker: SWN Security ID: 845467109
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Lewis E. Epley, Jr. For For Management
2 Elect Director Robert L. Howard For For Management
3 Elect Director Catherine A. Kehr For For Management
4 Elect Director Greg D. Kerley For For Management
5 Elect Director Harold M. Korell For For Management
6 Elect Director Vello A. Kuuskraa For For Management
7 Elect Director Kenneth R. Mourton For For Management
8 Elect Director Steven L. Mueller For For Management
9 Elect Director Charles E. Scharlau For For Management
10 Elect Director Alan H. Stevens For For Management
11 Ratify Auditors For For Management
12 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
13 Stock Retention/Holding Period Against For Shareholder
--------------------------------------------------------------------------------
THE MOSAIC COMPANY
Ticker: MOS Security ID: 61945C103
Meeting Date: OCT 06, 2011 Meeting Type: Annual
Record Date: AUG 17, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Nancy E. Cooper For For Management
1.2 Elect Director James L. Popowich For For Management
1.3 Elect Director James T. Prokopanko For For Management
1.4 Elect Director Steven M. Seibert For For Management
2 Approve Conversion of Securities For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
THYSSENKRUPP AG
Ticker: TKA Security ID: D8398Q119
Meeting Date: JAN 20, 2012 Meeting Type: Annual
Record Date: DEC 29, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2010/2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.45 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2010/2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2010/2011
5 Approve Creation of EUR 500 Million For For Management
Pool of Capital with Partial Exclusion
of Preemptive Rights
6 Ratify KPMG AG as Auditors for Fiscal For For Management
2011/2012
--------------------------------------------------------------------------------
TOTAL SA
Ticker: FP Security ID: F92124100
Meeting Date: MAY 11, 2012 Meeting Type: Annual/Special
Record Date: MAY 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 2.28 per Share
4 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5 Reelect Christophe de Margerie as For Against Management
Director
6 Reelect Patrick Artus as Director For For Management
7 Reelect Bertrand Collomb as Director For For Management
8 Reelect Anne Lauvergeon as Director For For Management
9 Reelect Michel Pebereau as Director For Against Management
10 Ratify Appointment of Gerard Lamarche For For Management
as Director
11 Elect Anne-Marie Idrac as Director For For Management
12 Approve Severance Payment Agreement For Against Management
with Christophe de Margerie
13 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 2.5 Billion
and/or Authorize Capitalization of
Reserves for Bonus Issue or Increase
in Par Value
14 Authorize Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 850 Million
15 Authorize Board to Increase Capital in For For Management
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Under Item 14
16 Authorize Capital Increase of up to 10 For For Management
Percent of Issued Capital for Future
Acquisitions
17 Approve Employee Stock Purchase Plan For For Management
18 Approve Stock Purchase Plan Reserved For For Management
for Employees of International
Subsidiaries
19 Approve Reduction in Share Capital via For For Management
Cancellation of Repurchased Shares
A Approve Additional Indicators to Against Against Shareholder
Include in the Information Provided on
Corporate Executive Officers
Remuneration
B Allow Loyalty Dividends to Long-Term Against Against Shareholder
Registered Shareholders
--------------------------------------------------------------------------------
TRANSOCEAN LTD.
Ticker: RIGN Security ID: H8817H100
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Appropriation of the Available For For Management
Earnings for Fiscal Year 2011
3a Elect Glyn Barker as Director For For Management
3b Elect Vanessa C.L. Chang as Director For For Management
3c Elect Chad Deaton as Director For For Management
3d Reelect Edward R. Muller as Director For For Management
3e Reelect Tan Ek Kia as Director For For Management
4 Appointment Of Ernst & Young LLP as For For Management
Independent Registered Public
Accounting Firm for Fiscal Year 2012
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
VANGUARD NATURAL RESOURCES, LLC
Ticker: VNR Security ID: 92205F106
Meeting Date: NOV 30, 2011 Meeting Type: Special
Record Date: OCT 14, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Issue Shares in Connection with For For Management
Acquisition
--------------------------------------------------------------------------------
VITERRA INC.
Ticker: VT Security ID: 92849T108
Meeting Date: MAR 08, 2012 Meeting Type: Annual/Special
Record Date: JAN 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas Birks For For Management
1.2 Elect Director Thomas Chambers For For Management
1.3 Elect Director Bonnie DuPont For For Management
1.4 Elect Director Brian Gibson For For Management
1.5 Elect Director Perry Gunner For For Management
1.6 Elect Director Tim Hearn For For Management
1.7 Elect Director Dallas Howe For For Management
1.8 Elect Director Kevin Osborn For For Management
1.9 Elect Director Herbert Pinder Jr. For For Management
1.10 Elect Director Larry Ruud For For Management
1.11 Elect Director Mayo Schmidt For For Management
1.12 Elect Director Max Venning For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Amend By-Laws For For Management
--------------------------------------------------------------------------------
VITERRA INC.
Ticker: VT Security ID: 92849T108
Meeting Date: MAY 29, 2012 Meeting Type: Special
Record Date: APR 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Acquisition by 8115222 Canada For For Management
Inc., a Wholly-Owned Subsidiary of
Glencore International PLC
--------------------------------------------------------------------------------
WEATHERFORD INTERNATIONAL LTD.
Ticker: WFT Security ID: H27013103
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAY 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Discharge of Board and Senior For For Management
Management
3.1 Relect Bernard J. Duroc-Danner as For For Management
Director
3.2 Reelect Samuel W. Bodman, III as For Against Management
Director
3.3 Reelect Nicholas F. Brady as Director For For Management
3.4 Reelect David J. Butters as Director For Against Management
3.5 Reelect William E. Macaulay as Director For For Management
3.6 Reelect Robert K. Moses, Jr. as For Against Management
Director
3.7 Reelect Guillermo Ortiz as Director For Against Management
3.8 Reelect Emyr Jones Parry as Director For For Management
3.9 Reelect Robert A. Rayne as Director For Against Management
4 Ratify Auditors For For Management
5 Authorize Capital Increase for Future For Against Management
Acquisitions
6 Amend Omnibus Stock Plan For For Management
7 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
WILMAR INTERNATIONAL LTD.
Ticker: F34 Security ID: Y9586L109
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.031 For For Management
Per Share
3 Approve Directors' Fees of SGD 605,000 For For Management
for the Year Ended Dec. 31,2011
4 Reelect Kuok Khoon Hong as Director For For Management
5 Reelect Leong Horn Kee as Director For For Management
6 Reelect Tay Kah Chye as Director For For Management
7 Reelect Yeo Teng Yang as Director For For Management
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Mandate for Transactions with For For Management
Interested Persons
10 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
11 Approve Issuance of Shares and Grant For Against Management
Options Pursuant to Wilmar Executives
Share Option Scheme 2009
--------------------------------------------------------------------------------
WILMAR INTERNATIONAL LTD.
Ticker: F34 Security ID: Y9586L109
Meeting Date: APR 27, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
YAMANA GOLD INC.
Ticker: YRI Security ID: 98462Y100
Meeting Date: MAY 02, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter Marrone For For Management
1.2 Elect Director Patrick J. Mars For For Management
1.3 Elect Director John Begeman For For Management
1.4 Elect Director Alexander Davidson For For Management
1.5 Elect Director Richard Graff For For Management
1.6 Elect Director Robert Horn For For Management
1.7 Elect Director Nigel Lees For For Management
1.8 Elect Director Juvenal Mesquita Filho For For Management
1.9 Elect Director Carl Renzoni For For Management
1.10 Elect Director Antenor F. Silva, Jr. For For Management
1.11 Elect Director Dino Titaro For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote on Executive For For Management
Compensation Approach
========== END NPX REPORT
RIVERFRONT GLOBAL GROWTH FUND
Investment Company Report
DARDEN RESTAURANTS, INC.
SECURITY 237194105 MEETING TYPE Annual
TICKER SYMBOL DRI MEETING DATE 22-Sep-2011
ISIN US2371941053 AGENDA 933494332 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 LEONARD L. BERRY For For
2 ODIE C. DONALD For For
3 CHRISTOPHER J. FRALEIGH For For
4 VICTORIA D. HARKER For For
5 DAVID H. HUGHES For For
6 CHARLES A. LEDSINGER JR For For
7 WILLIAM M. LEWIS, JR. For For
8 SENATOR CONNIE MACK III For For
9 ANDREW H. MADSEN For For
10 CLARENCE OTIS, JR. For For
11 MICHAEL D. ROSE For For
12 MARIA A. SASTRE For For
02 Adopt Employee Stock Purchase Plan Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 2,553 01-Sep-2011 02-Sep-2011
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
KLA-TENCOR CORPORATION
SECURITY 482480100 MEETING TYPE Annual
TICKER SYMBOL KLAC MEETING DATE 03-Nov-2011
ISIN US4824801009 AGENDA 933507711 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
1 Election of Directors Management
1 ROBERT M. CALDERONI For For
2 JOHN T. DICKSON For For
3 KEVIN J. KENNEDY For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 6,582 14-Oct-2011 15-Oct-2011
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
MICROSOFT CORPORATION
SECURITY 594918104 MEETING TYPE Annual
TICKER SYMBOL MSFT MEETING DATE 15-Nov-2011
ISIN US5949181045 AGENDA 933510706 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1 Election of Directors (Majority Voting) Management For For
2 Election of Directors (Majority Voting) Management For For
3 Election of Directors (Majority Voting) Management For For
4 Election of Directors (Majority Voting) Management For For
5 Election of Directors (Majority Voting) Management For For
6 Election of Directors (Majority Voting) Management For For
7 Election of Directors (Majority Voting) Management For For
8 Election of Directors (Majority Voting) Management For For
9 Election of Directors (Majority Voting) Management For For
10 14A Executive Compensation Management For For
11 14A Executive Compensation Vote Frequency Management 1 Year For
12 Ratify Appointment of Independent Auditors Management For For
13 S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 9,986 27-Oct-2011 28-Oct-2011
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
APPLE INC.
SECURITY 037833100 Meeting Type ANNUAL
TICKER SYMBOL AAPL Meeting Date 23-FEB-2012
ISIN US0378331005 Agenda 933542474 - MANAGEMENT
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ -------- -----------
1 Election of Directors Management
1 WILLIAM V. CAMPBELL For For
2 TIMOTHY D. COOK For For
3 MILLARD S. DREXLER For For
4 AL GORE For For
5 ROBERT A. IGER For For
6 ANDREA JUNG For For
7 ARTHUR D. LEVINSON For For
8 RONALD D. SUGAR For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
04 S/H Proposal - Corporate Governance Shareholder Against For
05 S/H Proposal - Advisory Vote Executive Pay Shareholder Against For
06 S/H Proposal - Political/Government Shareholder For Against
Comments-Increased disclosure will aid shareholders in assessing the risk the Company is
exposed to through political expenditures
07 S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability
and performance
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 678 04-Feb-2012 05-Feb-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
QUALCOMM INCORPORATED
SECURITY 747525103 Meeting Type ANNUAL
TICKER SYMBOL QCOM Meeting Date 06-MAR-2012
ISIN US7475251036 Agenda 933543933 - MANAGEMENT
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 BARBARA T. ALEXANDER For For
2 STEPHEN M. BENNETT For For
3 DONALD G. CRUICKSHANK For For
4 RAYMOND V. DITTAMORE For For
5 THOMAS W. HORTON For For
6 PAUL E. JACOBS For For
7 ROBERT E. KAHN For For
8 SHERRY LANSING For For
9 DUANE A. NELLES For For
10 FRANCISCO ROS For For
11 BRENT SCOWCROFT For For
12 MARC I. STERN For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 Miscellaneous Corporate Actions Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 7,544 10-Feb-2012 10-Feb-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
MOODY'S CORPORATION
SECURITY 615369105 Meeting Type ANNUAL
TICKER SYMBOL MCO Meeting Date 16-APR-2012
ISIN US6153691059 Agenda 933557778 - MANAGEMENT
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Declassify Board Shareholder For Against
Comments-A declassified board structure helps ensure director accountability
INTERNAL BALLOT UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ --------- --------- ------ ----------- ----------- -----------
000442066 RIVERFRONT 000442066 THE 9,420 23-Mar-2012 23-Mar-2012
GLOBAL BANK
GROWTH OF NEW
MUTUAL YORK
FUND MELLON
PEOPLE'S UNITED FINANCIAL, INC.
SECURITY 712704105 MEETING TYPE Annual
TICKER SYMBOL PBCT MEETING DATE 19-Apr-2012
ISIN US7127041058 AGENDA 933557083 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ ---- -----------
1. Election of Directors Management
1 GEORGE P. CARTER For For
2 JERRY FRANKLIN For For
3 KIRK W. WALTERS For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. S/H Proposal - Declassify Board Shareholder For
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 23,608 22-Mar-2012 22-Mar-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
MEADWESTVACO CORPORATION
SECURITY 583334107 MEETING TYPE Annual
TICKER SYMBOL MWV MEETING DATE 23-Apr-2012
ISIN US5833341077 AGENDA 933571766 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.A Election of Directors (Majority Voting) Management For For
1.B Election of Directors (Majority Voting) Management For For
1.C Election of Directors (Majority Voting) Management For For
1.D Election of Directors (Majority Voting) Management For For
1.E Election of Directors (Majority Voting) Management For For
1.F Election of Directors (Majority Voting) Management For For
1.G Election of Directors (Majority Voting) Management For For
1.H Election of Directors (Majority Voting) Management For For
1.I Election of Directors (Majority Voting) Management For For
1.J Election of Directors (Majority Voting) Management For For
1.K Election of Directors (Majority Voting) Management For For
1.L Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 10,058 30-Mar-2012 30-Mar-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
INTERNATIONAL BUSINESS MACHINES CORP.
SECURITY 459200101 MEETING TYPE Annual
TICKER SYMBOL IBM MEETING DATE 24-Apr-2012
ISIN US4592001014 AGENDA 933564204 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
05 S/H Proposal - Political/Government Shareholder Against For
06 S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 1,594 28-Mar-2012 28-Mar-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
THE PNC FINANCIAL SERVICES GROUP, INC.
SECURITY 693475105 MEETING TYPE Annual
TICKER SYMBOL PNC MEETING DATE 24-Apr-2012
ISIN US6934751057 AGENDA 933563783 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 7,639 01-Apr-2012 01-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 25-Apr-2012
ISIN US3696041033 AGENDA 933564951 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
A1 Election of Directors (Majority Voting) Management For For
A2 Election of Directors (Majority Voting) Management For For
A3 Election of Directors (Majority Voting) Management For For
A4 Election of Directors (Majority Voting) Management For For
A5 Election of Directors (Majority Voting) Management For For
A6 Election of Directors (Majority Voting) Management For For
A7 Election of Directors (Majority Voting) Management For For
A8 Election of Directors (Majority Voting) Management For For
A9 Election of Directors (Majority Voting) Management For For
A10 Election of Directors (Majority Voting) Management For For
A11 Election of Directors (Majority Voting) Management For For
A12 Election of Directors (Majority Voting) Management For For
A13 Election of Directors (Majority Voting) Management For For
A14 Election of Directors (Majority Voting) Management For For
A15 Election of Directors (Majority Voting) Management For For
A16 Election of Directors (Majority Voting) Management For For
B1 Ratify Appointment of Independent Auditors Management For For
B2 14A Executive Compensation Management For For
B3 Amend Stock Compensation Plan Management For For
B4 Amend Cash/Stock Bonus Plan Management For For
C1 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
C2 S/H Proposal - Environmental Shareholder Against For
C3 S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
C4 S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 17,570 12-Apr-2012 12-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
PFIZER INC.
SECURITY 717081103 MEETING TYPE Annual
TICKER SYMBOL PFE MEETING DATE 26-Apr-2012
ISIN US7170811035 AGENDA 933560472 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take
action on important issues that arise between annual meetings.
6. S/H Proposal - Proxy Process/Statement Shareholder Against For
7. S/H Proposal - Compensation Discussion and Analysis Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 22,748 08-Apr-2012 08-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
AMERICAN EXPRESS COMPANY
SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 30-Apr-2012
ISIN US0258161092 AGENDA 933566094 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 C. BARSHEFSKY For For
2 U.M. BURNS For For
3 K.I. CHENAULT For For
4 P. CHERNIN For For
5 T.J. LEONSIS For For
6 J. LESCHLY For For
7 R.C. LEVIN For For
8 R.A. MCGINN For For
9 E.D. MILLER For For
10 S.S REINEMUND For For
11 R.D. WALTER For For
12 R.A. WILLIAMS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. Amend Stock Compensation Plan Management For For
5. S/H Proposal - Adopt Cumulative Voting Shareholder Against For
6. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of
interest present when a CEO is responsible for
self-oversight.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 8,289 09-Apr-2012 09-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
BCE INC.
SECURITY 05534B760 MEETING TYPE Annual
TICKER SYMBOL BCE MEETING DATE 03-May-2012
ISIN CA05534B7604 AGENDA 933575841 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
01 Election of Directors (Majority Voting) Management
1 B.K. ALLEN For For
2 A. BERARD For For
3 R.A. BRENNEMAN For For
4 S. BROCHU For For
5 R.E. BROWN For For
6 G.A. COPE For For
7 A.S. FELL For For
8 E.C. LUMLEY For For
9 T.C. O'NEILL For For
10 J. PRENTICE For For
11 R.C. SIMMONDS For For
12 C. TAYLOR For For
13 P.R. WEISS For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
4A S/H Proposal - Corporate Governance Shareholder Against For
4B S/H Proposal - Corporate Governance Shareholder Against For
4C S/H Proposal - Corporate Governance Shareholder Against For
4D S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 9,012 16-Apr-2012 16-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
VERIZON COMMUNICATIONS INC.
SECURITY 92343V104 MEETING TYPE Annual
TICKER SYMBOL VZ MEETING DATE 03-May-2012
ISIN US92343V1044 AGENDA 933561739 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Political/Government Shareholder Against For
6. S/H Proposal - Executive Compensation Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder For Against
Comments-Shareholder proposals seeking to grant shareholders the ability to call special
meetings have received significant support
8. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
9. Miscellaneous Shareholder Proposal Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 6,715 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
CUMMINS INC.
SECURITY 231021106 MEETING TYPE Annual
TICKER SYMBOL CMI MEETING DATE 08-May-2012
ISIN US2310211063 AGENDA 933569456 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors (Majority Voting) Management For For
2. Election of Directors (Majority Voting) Management For For
3. Election of Directors (Majority Voting) Management For For
4. Election of Directors (Majority Voting) Management For For
5. Election of Directors (Majority Voting) Management For For
6. Election of Directors (Majority Voting) Management For For
7. Election of Directors (Majority Voting) Management For For
8. Election of Directors (Majority Voting) Management For For
9. Election of Directors (Majority Voting) Management For For
10. 14A Executive Compensation Management For For
11. Ratify Appointment of Independent Auditors Management For For
12. Adopt Omnibus Stock Option Plan Management For For
13. Adopt Employee Stock Purchase Plan Management For For
14. Approve Charter Amendment Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 3,180 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
CONOCOPHILLIPS
SECURITY 20825C104 MEETING TYPE Annual
TICKER SYMBOL COP MEETING DATE 09-May-2012
ISIN US20825C1045 AGENDA 933579659 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management Against Against
Comments-lack of objective performance measures in STI and LTI; executive pay inequity
4. S/H Proposal - Environmental Shareholder Against For
5. S/H Proposal - Environmental Shareholder Against For
6. S/H Proposal - Human Rights Related Shareholder Against For
7. S/H Proposal - Report/Reduce Greenhouse Gas Emissions Shareholder Against For
S/H Proposal - Create a Non-Discriminatory Sexual
8. Orientation Policy Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 4,588 01-May-2012 01-May-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
NORDSTROM, INC.
SECURITY 655664100 MEETING TYPE Annual
TICKER SYMBOL JWN MEETING DATE 09-May-2012
ISIN US6556641008 AGENDA 933572934 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Approve Cash/Stock Bonus Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 2,979 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 15-May-2012
ISIN US46625H1005 AGENDA 933581301 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Comments-no performance based awards; excessive committee discretion
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Corporate Governance Shareholder Against For
7. S/H Proposal - Political/Government Shareholder Against For
8. S/H Proposal - Human Rights Related Shareholder Against For
9. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
10. S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 8,102 25-Apr-2012 25-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
TIFFANY & CO.
SECURITY 886547108 MEETING TYPE Annual
TICKER SYMBOL TIF MEETING DATE 17-May-2012
ISIN US8865471085 AGENDA 933584333 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 2,603 26-Apr-2012 26-Apr-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
MERCK & CO., INC.
SECURITY 58933Y105 MEETING TYPE Annual
TICKER SYMBOL MRK MEETING DATE 22-May-2012
ISIN US58933Y1055 AGENDA 933595158 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
5. S/H Proposal - Corporate Governance Shareholder Against For
6. S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 8,295 04-May-2012 04-May-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
ONEOK, INC.
SECURITY 682680103 MEETING TYPE Annual
TICKER SYMBOL OKE MEETING DATE 23-May-2012
ISIN US6826801036 AGENDA 933591655 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. Amend Employee Stock Purchase Plan Management Against Against
Comments-ESPP expense too high on a relative basis
5. Authorize Common Stock Increase Management For For
6. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 3,259 02-May-2012 02-May-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
MCDONALD'S CORPORATION
SECURITY 580135101 MEETING TYPE Annual
TICKER SYMBOL MCD MEETING DATE 24-May-2012
ISIN US5801351017 AGENDA 933595247 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Declassify Board Management For For
5. Approve Charter Amendment Management For For
6. Ratify Appointment of Independent Auditors Management For For
7. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 5,662 06-May-2012 06-May-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 30-May-2012
ISIN US1667641005 AGENDA 933601913 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-the Company's actions in unilaterally restricting shareholders ability to seek
remedy under the court of their choosing without prior shareholder appr
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Political/Government Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder Against For
8. S/H Proposal - Environmental Shareholder Against For
9. S/H Proposal - Proxy Process/Statement Shareholder Against For
10. S/H Proposal - Rights To Call Special Meeting Shareholder Against For
11. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 6,470 18-May-2012 18-May-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
WAL-MART STORES, INC.
SECURITY 931142103 MEETING TYPE Annual
TICKER SYMBOL WMT MEETING DATE 01-Jun-2012
ISIN US9311421039 AGENDA 933607408 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
1O Election of Directors (Majority Voting) Management For For
1P Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Political/Government Shareholder For Against
Comments-The Company does not maintain explicit board oversight of its political
contributions
05 S/H Proposal - Corporate Governance Shareholder Against For
06 S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 THE BANK OF 5,737 20-May-2012 20-May-2012
GLOBAL NEW YORK
GROWTH MELLON
MUTUAL FUND
RIVERFRONT DYNAMIC EQUITY INCOME FUND
Investment Company Report
BMC SOFTWARE, INC.
SECURITY 055921100 MEETING TYPE Annual
TICKER SYMBOL BMC MEETING DATE 21-Jul-2011
ISIN US0559211000 AGENDA 933482111 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
02 Amend Stock Compensation Plan Management Against Against
Comments-Minimum equity overhang of all plans, including this proposal, as a percentage
of outstanding common stock, is excessive.
03 Ratify Appointment of Independent Auditors Management For For
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,116 28-Jun-2011 28-Jun-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
MICROCHIP TECHNOLOGY INCORPORATED
SECURITY 595017104 MEETING TYPE Annual
TICKER SYMBOL MCHP MEETING DATE 19-Aug-2011
ISIN US5950171042 AGENDA 933488454 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 STEVE SANGHI For For
2 ALBERT J. HUGO-MARTINEZ For For
3 L.B. DAY For For
4 MATTHEW W. CHAPMAN For For
5 WADE F. MEYERCORD For For
02 Amend Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Auditors Management For For
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Frequency Management 1 Year Against
Comments-An annual advisory vote on executive compensation is in the best interests of
shareholders
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 13,055 29-Jul-2011 29-Jul-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
PSS WORLD MEDICAL, INC.
SECURITY 69366A100 MEETING TYPE Annual
TICKER SYMBOL PSSI MEETING DATE 25-Aug-2011
ISIN US69366A1007 AGENDA 933489165 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 CHARLES E. ADAIR For For
2 ALVIN R. CARPENTER For For
3 STEPHEN H. ROGERS For For
02 Ratify Appointment of Independent Auditors Management For For
03 Adopt Majority Vote for Directors Management For For
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 18,335 03-Aug-2011 04-Aug-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
DARDEN RESTAURANTS, INC.
SECURITY 237194105 MEETING TYPE Annual
TICKER SYMBOL DRI MEETING DATE 22-Sep-2011
ISIN US2371941053 AGENDA 933494332 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 LEONARD L. BERRY For For
2 ODIE C. DONALD For For
3 CHRISTOPHER J. FRALEIGH For For
4 VICTORIA D. HARKER For For
5 DAVID H. HUGHES For For
6 CHARLES A. LEDSINGER JR For For
7 WILLIAM M. LEWIS, JR. For For
8 SENATOR CONNIE MACK III For For
9 ANDREW H. MADSEN For For
10 CLARENCE OTIS, JR. For For
11 MICHAEL D. ROSE For For
12 MARIA A. SASTRE For For
02 Adopt Employee Stock Purchase Plan Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 7,211 01-Sep-2011 02-Sep-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CAREFUSION CORPORATION
SECURITY 14170T101 MEETING TYPE Annual
TICKER SYMBOL CFN MEETING DATE 02-Nov-2011
ISIN US14170T1016 AGENDA 933508561 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management Against Against
Comments-Inappropriate peer benchmarking; Excessive equity awards; Insufficient
performance-vesting LTI awards; Internal pay inequity
04 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 19,004 14-Oct-2011 14-Oct-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
KLA-TENCOR CORPORATION
SECURITY 482480100 MEETING TYPE Annual
TICKER SYMBOL KLAC MEETING DATE 03-Nov-2011
ISIN US4824801009 AGENDA 933507711 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
1 Election of Directors Management
1 ROBERT M. CALDERONI For For
2 JOHN T. DICKSON For For
3 KEVIN J. KENNEDY For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,246 14-Oct-2011 15-Oct-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
MICROSOFT CORPORATION
SECURITY 594918104 MEETING TYPE Annual
TICKER SYMBOL MSFT MEETING DATE 15-Nov-2011
ISIN US5949181045 AGENDA 933510706 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1 Election of Directors (Majority Voting) Management For For
2 Election of Directors (Majority Voting) Management For For
3 Election of Directors (Majority Voting) Management For For
4 Election of Directors (Majority Voting) Management For For
5 Election of Directors (Majority Voting) Management For For
6 Election of Directors (Majority Voting) Management For For
7 Election of Directors (Majority Voting) Management For For
8 Election of Directors (Majority Voting) Management For For
9 Election of Directors (Majority Voting) Management For For
10 14A Executive Compensation Management For For
11 14A Executive Compensation Vote Frequency Management 1 Year For
12 Ratify Appointment of Independent Auditors Management For For
13 S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 16,472 27-Oct-2011 28-Oct-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CRACKER BARREL OLD COUNTRY STORE INC
SECURITY 22410J106 MEETING TYPE Contested-Annual
TICKER SYMBOL CBRL MEETING DATE 20-Dec-2011
ISIN US22410J1060 AGENDA 933525199 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 JAMES W. BRADFORD For For
2 SANDRA B. COCHRAN For For
3 ROBERT V. DALE For For
4 RICHARD J. DOBKIN For For
5 CHARLES E. JONES, JR. For For
6 B.F. "JACK" LOWERY For For
7 WILLIAM W. MCCARTEN For For
8 MARTHA M. MITCHELL For For
9 COLEMAN H. PETERSON For For
10 ANDREA M. WEISS For For
11 MICHAEL A. WOODHOUSE For For
02 Ratify Shareholder Rights Plan Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Approve Merger Agreement Management For For
06 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,248 13-Dec-2011 13-Dec-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
000442068 RIVERFRONT 000442068 THE BANK OF 6,248 13-Dec-2011 13-Dec-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CRACKER BARREL OLD COUNTRY STORE INC
SECURITY 22410J106 MEETING TYPE Contested-Annual
TICKER SYMBOL CBRL MEETING DATE 20-Dec-2011
ISIN US22410J1060 AGENDA 933525202 - Opposition
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 SARDAR BIGLARI For For
2 MGT NOM:J. W. BRADFORD For For
3 MGT NOM:S. B. COCHRAN For For
4 MGT NOM:R. V. DALE For For
5 MGT NOM:R. J DOBKIN For For
6 MGT NOM:B. F. LOWERY Withheld Against
7 MGT NOM:W. W. MCCARTEN For For
8 MGT NOM:M. M. MITCHELL For For
9 MGT NOM:C. H. PETERSON For For
10 MGT NOM:A. M. WEISS For For
11 MGT NOM:M. A. WOODHOUSE For For
02 Ratify Shareholder Rights Plan Management Against For
Comments-Not in best interests of shareholders
03 14A Executive Compensation Management Against For
Comments-loose performance hurdles; narrow performance conditions; excessive discretion
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Approve Merger Agreement Management For For
06 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,248 13-Dec-2011 14-Dec-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
FAMILY DOLLAR STORES, INC.
SECURITY 307000109 MEETING TYPE Annual
TICKER SYMBOL FDO MEETING DATE 19-Jan-2012
ISIN US3070001090 AGENDA 933534605 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 MARK R. BERNSTEIN For For
2 PAMELA L. DAVIES For For
3 SHARON ALLRED DECKER For For
4 EDWARD C. DOLBY For For
5 GLENN A. EISENBERG For For
6 EDWARD P. GARDEN For For
7 HOWARD R. LEVINE For For
8 GEORGE R. MAHONEY, JR. For For
9 JAMES G. MARTIN For For
10 HARVEY MORGAN For For
11 DALE C. POND For For
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Frequency Management 1 Year For
04 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 5,764 29-Dec-2011 29-Dec-2011
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SUPERIOR ENERGY SERVICES, INC.
SECURITY 868157108 MEETING TYPE Special
TICKER SYMBOL SPN MEETING DATE 07-Feb-2012
ISIN US8681571084 AGENDA 933542943 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
01 Stock Issuance Management For For
02 Authorize Common Stock Increase Management For For
03 Approve Motion to Adjourn Meeting Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 12,109 25-Jan-2012 25-Jan-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
APPLE INC.
SECURITY 037833100 MEETING TYPE Annual
TICKER SYMBOL AAPL MEETING DATE 23-Feb-2012
ISIN US0378331005 AGENDA 933542474 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ -------- -----------
1 Election of Directors Management
1 WILLIAM V. CAMPBELL For For
2 TIMOTHY D. COOK For For
3 MILLARD S. DREXLER For For
4 AL GORE For For
5 ROBERT A. IGER For For
6 ANDREA JUNG For For
7 ARTHUR D. LEVINSON For For
8 RONALD D. SUGAR For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
04 S/H Proposal - Corporate Governance Shareholder Against For
05 S/H Proposal - Advisory Vote Executive Pay Shareholder Against For
06 S/H Proposal - Political/Government Shareholder For Against
Comments-Increased disclosure will aid shareholders in assessing the risk the Company is
exposed to through political expenditures
07 S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability and performance
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 839 04-Feb-2012 05-Feb-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
HOLOGIC, INC.
SECURITY 436440101 MEETING TYPE Annual
TICKER SYMBOL HOLX MEETING DATE 06-Mar-2012
ISIN US4364401012 AGENDA 933545127 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 ROBERT A. CASCELLA For For
2 GLENN P. MUIR For For
3 DAVID R. LAVANCE, JR. For For
4 SALLY W. CRAWFORD For For
5 NANCY L. LEAMING For For
6 LAWRENCE M. LEVY For For
7 CHRISTIANA STAMOULIS For For
8 ELAINE S. ULLIAN For For
9 WAYNE WILSON For For
02 14A Executive Compensation Management For For
03 Adopt Employee Stock Purchase Plan Management For For
04 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 24,028 24-Feb-2012 25-Feb-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
QUALCOMM INCORPORATED
SECURITY 747525103 MEETING TYPE Annual
TICKER SYMBOL QCOM MEETING DATE 06-Mar-2012
ISIN US7475251036 AGENDA 933543933 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 BARBARA T. ALEXANDER For For
2 STEPHEN M. BENNETT For For
3 DONALD G. CRUICKSHANK For For
4 RAYMOND V. DITTAMORE For For
5 THOMAS W. HORTON For For
6 PAUL E. JACOBS For For
7 ROBERT E. KAHN For For
8 SHERRY LANSING For For
9 DUANE A. NELLES For For
10 FRANCISCO ROS For For
11 BRENT SCOWCROFT For For
12 MARC I. STERN For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 Miscellaneous Corporate Actions Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 7,827 10-Feb-2012 10-Feb-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SYNOPSYS, INC.
SECURITY 871607107 MEETING TYPE Annual
TICKER SYMBOL SNPS MEETING DATE 03-Apr-2012
ISIN US8716071076 AGENDA 933552817 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 AART J. DE GEUS For For
2 ALFRED CASTINO For For
3 CHI-FOON CHAN For For
4 BRUCE R. CHIZEN For For
5 DEBORAH A. COLEMAN For For
6 C.L. "MAX" NIKIAS For For
7 JOHN SCHWARZ For For
8 ROY VALLEE For For
9 STEVEN C. WALSKE For For
2. Amend Stock Compensation Plan Management For For
3. Amend Employee Stock Purchase Plan Management For For
4. 14A Executive Compensation Management For For
5. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 11,583 02-Mar-2012 02-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
MOODY'S CORPORATION
SECURITY 615369105 MEETING TYPE Annual
TICKER SYMBOL MCO MEETING DATE 16-Apr-2012
ISIN US6153691059 AGENDA 933557778 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Declassify Board Shareholder For Against
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 5,093 23-Mar-2012 23-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
PF CHANG'S CHINA BISTRO, INC.
SECURITY 69333Y108 MEETING TYPE Annual
TICKER SYMBOL PFCB MEETING DATE 18-Apr-2012
ISIN US69333Y1082 AGENDA 933567731 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
5. Approve Motion to Adjourn Meeting Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 7,873 24-Mar-2012 24-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
PEOPLE'S UNITED FINANCIAL, INC.
SECURITY 712704105 MEETING TYPE Annual
TICKER SYMBOL PBCT MEETING DATE 19-Apr-2012
ISIN US7127041058 AGENDA 933557083 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ ---- -----------
1. Election of Directors Management
1 GEORGE P. CARTER For For
2 JERRY FRANKLIN For For
3 KIRK W. WALTERS For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. S/H Proposal - Declassify Board Shareholder For
Comments-A declassified board structure helps ensure
director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 31,867 22-Mar-2012 22-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
MEADWESTVACO CORPORATION
SECURITY 583334107 MEETING TYPE Annual
TICKER SYMBOL MWV MEETING DATE 23-Apr-2012
ISIN US5833341077 AGENDA 933571766 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.A Election of Directors (Majority Voting) Management For For
1.B Election of Directors (Majority Voting) Management For For
1.C Election of Directors (Majority Voting) Management For For
1.D Election of Directors (Majority Voting) Management For For
1.E Election of Directors (Majority Voting) Management For For
1.F Election of Directors (Majority Voting) Management For For
1.G Election of Directors (Majority Voting) Management For For
1.H Election of Directors (Majority Voting) Management For For
1.I Election of Directors (Majority Voting) Management For For
1.J Election of Directors (Majority Voting) Management For For
1.K Election of Directors (Majority Voting) Management For For
1.L Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,423 30-Mar-2012 30-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
INTERNATIONAL BUSINESS MACHINES CORP.
SECURITY 459200101 MEETING TYPE Annual
TICKER SYMBOL IBM MEETING DATE 24-Apr-2012
ISIN US4592001014 AGENDA 933564204 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
05 S/H Proposal - Political/Government Shareholder Against For
06 S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 2,025 28-Mar-2012 28-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
L-3 COMMUNICATIONS HOLDINGS, INC.
SECURITY 502424104 MEETING TYPE Annual
TICKER SYMBOL LLL MEETING DATE 24-Apr-2012
ISIN US5024241045 AGENDA 933560523 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.1 Election of Directors (Majority Voting) MANAGEMENT FOR FOR
1.2 Election of Directors (Majority Voting) MANAGEMENT FOR FOR
1.3 Election of Directors (Majority Voting) MANAGEMENT FOR FOR
2. Approve Stock Compensation Plan MANAGEMENT FOR FOR
3. Ratify Appointment of Independent Auditors MANAGEMENT FOR FOR
4. 14A Executive Compensation MANAGEMENT FOR FOR
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 3,567 23-Mar-2012 23-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
THE PNC FINANCIAL SERVICES GROUP, INC.
SECURITY 693475105 MEETING TYPE Annual
TICKER SYMBOL PNC MEETING DATE 24-Apr-2012
ISIN US6934751057 AGENDA 933563783 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,059 01-Apr-2012 01-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
BALL CORPORATION
SECURITY 058498106 MEETING TYPE Annual
TICKER SYMBOL BLL MEETING DATE 25-Apr-2012
ISIN US0584981064 AGENDA 933557653 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ROBERT W. ALSPAUGH For For
2 R. DAVID HOOVER For For
3 JAN NICHOLSON For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 15,096 30-Mar-2012 30-Mar-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 25-Apr-2012
ISIN US3696041033 AGENDA 933564951 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
A1 Election of Directors (Majority Voting) Management For For
A2 Election of Directors (Majority Voting) Management For For
A3 Election of Directors (Majority Voting) Management For For
A4 Election of Directors (Majority Voting) Management For For
A5 Election of Directors (Majority Voting) Management For For
A6 Election of Directors (Majority Voting) Management For For
A7 Election of Directors (Majority Voting) Management For For
A8 Election of Directors (Majority Voting) Management For For
A9 Election of Directors (Majority Voting) Management For For
A10 Election of Directors (Majority Voting) Management For For
A11 Election of Directors (Majority Voting) Management For For
A12 Election of Directors (Majority Voting) Management For For
A13 Election of Directors (Majority Voting) Management For For
A14 Election of Directors (Majority Voting) Management For For
A15 Election of Directors (Majority Voting) Management For For
A16 Election of Directors (Majority Voting) Management For For
B1 Ratify Appointment of Independent Auditors Management For For
B2 14A Executive Compensation Management For For
B3 Amend Stock Compensation Plan Management For For
B4 Amend Cash/Stock Bonus Plan Management For For
C1 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
C2 S/H Proposal - Environmental Shareholder Against For
C3 S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
C4 S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 20,967 12-Apr-2012 12-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
PFIZER INC.
SECURITY 717081103 MEETING TYPE Annual
TICKER SYMBOL PFE MEETING DATE 26-Apr-2012
ISIN US7170811035 AGENDA 933560472 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
6. S/H Proposal - Proxy Process/Statement Shareholder Against For
7. S/H Proposal - Compensation Discussion and Analysis Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 24,937 08-Apr-2012 08-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SENSIENT TECHNOLOGIES CORPORATION
SECURITY 81725T100 MEETING TYPE Annual
TICKER SYMBOL SXT MEETING DATE 26-Apr-2012
ISIN US81725T1007 AGENDA 933567325 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 HANK BROWN For For
2 FERGUS M. CLYDESDALE For For
3 JAMES A.D. CROFT For For
4 WILLIAM V. HICKEY For For
5 KENNETH P. MANNING For For
6 PETER M. SALMON For For
7 ELAINE R. WEDRAL For For
8 ESSIE WHITELAW For For
2. 14A Executive Compensation Management For For
3. Adopt Non-Employee Director Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 5,359 03-Apr-2012 03-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SNAP-ON INCORPORATED
SECURITY 833034101 MEETING TYPE Annual
TICKER SYMBOL SNA MEETING DATE 26-Apr-2012
ISIN US8330341012 AGENDA 933564115 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Declassify Board Shareholder For Against
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 5,582 05-Apr-2012 05-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
AMERICAN EXPRESS COMPANY
SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 30-Apr-2012
ISIN US0258161092 AGENDA 933566094 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 C. BARSHEFSKY For For
2 U.M. BURNS For For
3 K.I. CHENAULT For For
4 P. CHERNIN For For
5 T.J. LEONSIS For For
6 J. LESCHLY For For
7 R.C. LEVIN For For
8 R.A. MCGINN For For
9 E.D. MILLER For For
10 S.S REINEMUND For For
11 R.D. WALTER For For
12 R.A. WILLIAMS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. Amend Stock Compensation Plan Management For For
5. S/H Proposal - Adopt Cumulative Voting Shareholder Against For
6. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,890 09-Apr-2012 09-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
BCE INC.
SECURITY 05534B760 MEETING TYPE Annual
TICKER SYMBOL BCE MEETING DATE 03-May-2012
ISIN CA05534B7604 AGENDA 933575841 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
01 Election of Directors (Majority Voting) Management
1 B.K. ALLEN For For
2 A. BERARD For For
3 R.A. BRENNEMAN For For
4 S. BROCHU For For
5 R.E. BROWN For For
6 G.A. COPE For For
7 A.S. FELL For For
8 E.C. LUMLEY For For
9 T.C. O'NEILL For For
10 J. PRENTICE For For
11 R.C. SIMMONDS For For
12 C. TAYLOR For For
13 P.R. WEISS For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
4A S/H Proposal - Corporate Governance Shareholder Against For
4B S/H Proposal - Corporate Governance Shareholder Against For
4C S/H Proposal - Corporate Governance Shareholder Against For
4D S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 8,485 16-Apr-2012 16-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SPX CORPORATION
SECURITY 784635104 MEETING TYPE Annual
TICKER SYMBOL SPW MEETING DATE 03-May-2012
ISIN US7846351044 AGENDA 933570586 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
2 Amend Stock Compensation Plan Management For For
3 14A Executive Compensation Management Against Against
Comments-Disconnect between pay and performance;
4 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 2,696 11-Apr-2012 11-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
VERIZON COMMUNICATIONS INC.
SECURITY 92343V104 MEETING TYPE Annual
TICKER SYMBOL VZ MEETING DATE 03-May-2012
ISIN US92343V1044 AGENDA 933561739 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Political/Government Shareholder Against For
6. S/H Proposal - Executive Compensation Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder For Against
Comments-Shareholder proposals seeking to grant shareholders the ability to call special
meetings have received significant support
8. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
9. Miscellaneous Shareholder Proposal Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 7,319 18-Apr-2012 18-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CUMMINS INC.
SECURITY 231021106 MEETING TYPE Annual
TICKER SYMBOL CMI MEETING DATE 08-May-2012
ISIN US2310211063 AGENDA 933569456 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors (Majority Voting) Management For For
2. Election of Directors (Majority Voting) Management For For
3. Election of Directors (Majority Voting) Management For For
4. Election of Directors (Majority Voting) Management For For
5. Election of Directors (Majority Voting) Management For For
6. Election of Directors (Majority Voting) Management For For
7. Election of Directors (Majority Voting) Management For For
8. Election of Directors (Majority Voting) Management For For
9. Election of Directors (Majority Voting) Management For For
10. 14A Executive Compensation Management For For
11. Ratify Appointment of Independent Auditors Management For For
12. Adopt Omnibus Stock Option Plan Management For For
13. Adopt Employee Stock Purchase Plan Management For For
14. Approve Charter Amendment Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 2,938 18-Apr-2012 18-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SOTHEBY'S
SECURITY 835898107 MEETING TYPE Annual
TICKER SYMBOL BID MEETING DATE 08-May-2012
ISIN US8358981079 AGENDA 933577617 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Cash/Stock Bonus Plan Management For For
4. 14A Executive Compensation Management For For
5. S/H Proposal - Corporate Governance Shareholder Against For
6. S/H Proposal - Corporate Governance Shareholder For Against
Comments-Accelerated vesting of awards does not ensure a link between pay and performance.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 8,615 18-Apr-2012 18-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
WEINGARTEN REALTY INVESTORS
SECURITY 948741103 MEETING TYPE Annual
TICKER SYMBOL WRI MEETING DATE 08-May-2012
ISIN US9487411038 AGENDA 933575144 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ANDREW M. ALEXANDER For For
2 STANFORD ALEXANDER For For
3 JAMES W. CROWNOVER For For
4 ROBERT J. CRUIKSHANK For For
5 MELVIN A. DOW For For
6 STEPHEN A. LASHER For For
7 DOUGLAS W. SCHNITZER For For
8 C. PARK SHAPER For For
9 MARC J. SHAPIRO For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 9,332 18-Apr-2012 18-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CONOCOPHILLIPS
SECURITY 20825C104 MEETING TYPE Annual
TICKER SYMBOL COP MEETING DATE 09-May-2012
ISIN US20825C1045 AGENDA 933579659 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management Against Against
Comments-lack of objective performance measures in STI and LTI; executive pay inequity
4. S/H Proposal - Environmental Shareholder Against For
5. S/H Proposal - Environmental Shareholder Against For
6. S/H Proposal - Human Rights Related Shareholder Against For
7. S/H Proposal - Report/Reduce Greenhouse Gas Emissions Shareholder Against For
8. S/H Proposal - Create a Non-Discriminatory Sexual
Orientation Policy Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 4,777 01-May-2012 01-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
NORDSTROM, INC.
SECURITY 655664100 MEETING TYPE Annual
TICKER SYMBOL JWN MEETING DATE 09-May-2012
ISIN US6556641008 AGENDA 933572934 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Approve Cash/Stock Bonus Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,046 18-Apr-2012 18-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
ANIXTER INTERNATIONAL INC.
SECURITY 035290105 MEETING TYPE Annual
TICKER SYMBOL AXE MEETING DATE 10-May-2012
ISIN US0352901054 AGENDA 933589408 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors (Majority Voting) Management For For
2. Election of Directors (Majority Voting) Management For For
3. Election of Directors (Majority Voting) Management For For
4. Election of Directors (Majority Voting) Management For For
5. Election of Directors (Majority Voting) Management For For
6. Election of Directors (Majority Voting) Management For For
7. Election of Directors (Majority Voting) Management For For
8. Election of Directors (Majority Voting) Management For For
9. Election of Directors (Majority Voting) Management For For
10. Election of Directors (Majority Voting) Management For For
11. Election of Directors (Majority Voting) Management For For
12. 14A Executive Compensation Management For For
13. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,778 17-Apr-2012 17-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 15-May-2012
ISIN US46625H1005 AGENDA 933581301 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Comments-no performance based awards; excessive committee discretion
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Corporate Governance Shareholder Against For
7. S/H Proposal - Political/Government Shareholder Against For
8. S/H Proposal - Human Rights Related Shareholder Against For
9. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
10. S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,008 25-Apr-2012 25-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
OIL STATES INTERNATIONAL, INC.
SECURITY 678026105 MEETING TYPE Annual
TICKER SYMBOL OIS MEETING DATE 15-May-2012
ISIN US6780261052 AGENDA 933614693 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 S. JAMES NELSON For For
2 GARY L. ROSENTHAL For For
3 WILLIAM T. VAN KLEEF For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 3,734 26-Apr-2012 26-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
SUPERIOR ENERGY SERVICES, INC.
SECURITY 868157108 MEETING TYPE Annual
TICKER SYMBOL SPN MEETING DATE 16-May-2012
ISIN US8681571084 AGENDA 933608056 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 HAROLD J. BOUILLION For For
2 ENOCH L. DAWKINS For For
3 DAVID D. DUNLAP For For
4 JAMES M. FUNK For For
5 TERENCE E. HALL For For
6 E.E. "WYN" HOWARD, III For For
7 PETER D. KINNEAR For For
8 MICHAEL M. MCSHANE For For
9 W. MATT RALLS For For
10 JUSTIN L. SULLIVAN For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,740 25-Apr-2012 25-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
HASBRO, INC.
SECURITY 418056107 MEETING TYPE Annual
TICKER SYMBOL HAS MEETING DATE 17-May-2012
ISIN US4180561072 AGENDA 933582618 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 BASIL L. ANDERSON For For
2 ALAN R. BATKIN For For
3 FRANK J. BIONDI, JR. For For
4 KENNETH A. BRONFIN For For
5 JOHN M. CONNORS, JR. For For
6 MICHAEL W.O. GARRETT For For
7 LISA GERSH For For
8 BRIAN D. GOLDNER For For
9 JACK M. GREENBERG For For
10 ALAN G. HASSENFELD For For
11 TRACY A. LEINBACH For For
12 EDWARD M. PHILIP For For
13 ALFRED J. VERRECCHIA For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,681 01-May-2012 01-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
INVESCO LTD
SECURITY G491BT108 MEETING TYPE Annual
TICKER SYMBOL IVZ MEETING DATE 17-May-2012
ISIN BMG491BT1088 AGENDA 933584840 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
1.4 Election of Directors (Majority Voting) Management For For
2 14A Executive Compensation Management For For
3 Adopt Employee Stock Purchase Plan Management For For
4 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 19,397 30-Apr-2012 30-Apr-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
EAST WEST BANCORP, INC.
SECURITY 27579R104 MEETING TYPE Annual
TICKER SYMBOL EWBC MEETING DATE 22-May-2012
ISIN US27579R1041 AGENDA 933616837 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- -------- -----------
1. Election of Directors Management
1 IRIS S. CHAN For For
2 RUDOLPH I. ESTRADA For For
3 JULIA S. GOUW For For
4 PAUL H. IRVING For For
5 ANDREW S. KANE For For
6 JOHN LEE For For
7 HERMAN Y. LI For For
8 JACK C. LIU For For
9 DOMINIC NG For For
10 KEITH W. RENKEN For For
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. 14A Executive Compensation Management Against Against
Comments-Disconnect between pay and performance; Excessive one-time bonuses
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 20,312 01-May-2012 01-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
MERCK & CO., INC.
SECURITY 58933Y105 MEETING TYPE Annual
TICKER SYMBOL MRK MEETING DATE 22-May-2012
ISIN US58933Y1055 AGENDA 933595158 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
5. S/H Proposal - Corporate Governance Shareholder Against For
6. S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 10,091 04-May-2012 04-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
HCC INSURANCE HOLDINGS, INC.
SECURITY 404132102 MEETING TYPE Annual
TICKER SYMBOL HCC MEETING DATE 23-May-2012
ISIN US4041321021 AGENDA 933604200 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 EMMANUEL T. BALLASES For For
2 JUDY C. BOZEMAN For For
3 FRANK J. BRAMANTI For For
4 WALTER M. DUER For For
5 JAMES C. FLAGG, PH.D. For For
6 THOMAS M. HAMILTON For For
7 LESLIE S. HEISZ For For
8 JOHN N. MOLBECK JR. For For
9 ROBERT A. ROSHOLT For For
10 J. MIKESELL THOMAS For For
11 CHRISTOPHER JB WILLIAMS For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 14,697 02-May-2012 02-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
MCDONALD'S CORPORATION
SECURITY 580135101 MEETING TYPE Annual
TICKER SYMBOL MCD MEETING DATE 24-May-2012
ISIN US5801351017 AGENDA 933595247 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Declassify Board Management For For
5. Approve Charter Amendment Management For For
6. Ratify Appointment of Independent Auditors Management For For
7. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 4,720 06-May-2012 06-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
VERISIGN, INC.
SECURITY 92343E102 MEETING TYPE Annual
TICKER SYMBOL VRSN MEETING DATE 24-May-2012
ISIN US92343E1029 AGENDA 933603359 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
2 Ratify Appointment of Independent Auditors Management For For
3 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 11,823 03-May-2012 03-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 30-May-2012
ISIN US1667641005 AGENDA 933601913 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-the Company's actions in unilaterally restricting shareholders ability to seek
remedy under the court of their choosing without prior shareholder appr
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Political/Government Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder Against For
8. S/H Proposal - Environmental Shareholder Against For
9. S/H Proposal - Proxy Process/Statement Shareholder Against For
10. S/H Proposal - Rights To Call Special Meeting Shareholder Against For
11. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,430 18-May-2012 18-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
EXXON MOBIL CORPORATION
SECURITY 30231G102 MEETING TYPE Annual
TICKER SYMBOL XOM MEETING DATE 30-May-2012
ISIN US30231G1022 AGENDA 933600086 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 M.J. BOSKIN For For
2 P. BRABECK-LETMATHE For For
3 L.R. FAULKNER For For
4 J.S. FISHMAN For For
5 H.H. FORE For For
6 K.C. FRAZIER For For
7 W.W. GEORGE For For
8 S.J. PALMISANO For For
9 S.S REINEMUND For For
10 R.W. TILLERSON For For
11 E.E. WHITACRE, JR. For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Establish Independent Chairman Shareholder For Against
5. S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
6. S/H Proposal - Political/Government Shareholder Against For
7. S/H Proposal - Report on EEO Shareholder For Against
8. S/H Proposal - Environmental Shareholder Against For
9. S/H Proposal - Report/Reduce Greenhouse Gas Emissions Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 4,433 15-May-2012 15-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
WAL-MART STORES, INC.
SECURITY 931142103 MEETING TYPE Annual
TICKER SYMBOL WMT MEETING DATE 01-Jun-2012
ISIN US9311421039 AGENDA 933607408 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
1O Election of Directors (Majority Voting) Management For For
1P Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Political/Government Shareholder For Against
Comments-The Company does not maintain explicit board oversight of its political
contributions
05 S/H Proposal - Corporate Governance Shareholder Against For
06 S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 6,175 20-May-2012 20-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
PENN NATIONAL GAMING, INC.
SECURITY 707569109 MEETING TYPE Annual
TICKER SYMBOL PENN MEETING DATE 06-Jun-2012
ISIN US7075691094 AGENDA 933625773 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 DAVID A. HANDLER For For
2 JOHN M. JACQUEMIN For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management Against Against
Comments-failure to align pay and performance; no performance-based LTI
4. S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability and performance
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 8,964 16-May-2012 16-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
CATERPILLAR INC.
SECURITY 149123101 MEETING TYPE Annual
TICKER SYMBOL CAT MEETING DATE 13-Jun-2012
ISIN US1491231015 AGENDA 933623933 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1 Election of Directors Management
1 DAVID L. CALHOUN For For
2 DANIEL M. DICKINSON For For
3 EUGENE V. FIFE For For
4 JUAN GALLARDO For For
5 DAVID R. GOODE For For
6 JESSE J. GREENE, JR. For For
7 JON M. HUNTSMAN, JR. For For
8 PETER A. MAGOWAN For For
9 DENNIS A. MUILENBURG For For
10 DOUGLAS R. OBERHELMAN For For
11 WILLIAM A. OSBORN For For
12 CHARLES D. POWELL For For
13 EDWARD B. RUST, JR. For For
14 SUSAN C. SCHWAB For For
15 JOSHUA I. SMITH For For
16 MILES D. WHITE For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 Restore Right to Call a Special Meeting Management For For
5 Adopt Advance Notice Requirement Management Against Against
Comments-This could make if more difficult for a shareholder to present a shareholder
proposal or director nominee
6 S/H Proposal - Political/Government Shareholder Against For
7 S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability and performance
8 S/H Proposal - Corporate Governance Shareholder Against For
9 S/H Proposal - Proxy Process/Statement Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on important
issues that arise between annual meetings.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 3,098 26-May-2012 26-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
DOLLAR TREE, INC.
SECURITY 256746108 MEETING TYPE Annual
TICKER SYMBOL DLTR MEETING DATE 14-Jun-2012
ISIN US2567461080 AGENDA 933640319 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ARNOLD S. BARRON For For
2 MACON F. BROCK, JR. For For
3 MARY ANNE CITRINO For For
4 J. DOUGLAS PERRY For For
5 THOMAS A. SAUNDERS III For For
6 THOMAS E. WHIDDON For For
7 CARL P. ZEITHAML For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- -------------- ---------------- ------------ ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 THE BANK OF 2,193 24-May-2012 24-May-2012
DYNAMIC NEW YORK
EQUITY INCOME MELLON
MUTUAL FUND
RIVERFRONT GLOBAL ALLOCATION FUND
Investment Company Report
BMC SOFTWARE, INC.
SECURITY 055921100 MEETING TYPE Annual
TICKER SYMBOL BMC MEETING DATE 21-Jul-2011
ISIN US0559211000 AGENDA 933482111 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
02 Amend Stock Compensation Plan Management Against Against
Comments-Minimum equity overhang of all plans, including this proposal, as a percentage
of outstanding common stock, is excessive.
03 Ratify Appointment of Independent Auditors Management For For
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 971 28-Jun-2011 28-Jun-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
MICROCHIP TECHNOLOGY INCORPORATED
SECURITY 595017104 MEETING TYPE Annual
TICKER SYMBOL MCHP MEETING DATE 19-Aug-2011
ISIN US5950171042 AGENDA 933488454 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 STEVE SANGHI For For
2 ALBERT J. HUGO-MARTINEZ For For
3 L.B. DAY For For
4 MATTHEW W. CHAPMAN For For
5 WADE F. MEYERCORD For For
02 Amend Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Auditors Management For For
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Frequency Management 1 Year Against
Comments-An annual advisory vote on executive compensation is in the best interests of
shareholders
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,299 29-Jul-2011 29-Jul-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
PSS WORLD MEDICAL, INC.
SECURITY 69366A100 MEETING TYPE Annual
TICKER SYMBOL PSSI MEETING DATE 25-Aug-2011
ISIN US69366A1007 AGENDA 933489165 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 CHARLES E. ADAIR For For
2 ALVIN R. CARPENTER For For
3 STEPHEN H. ROGERS For For
02 Ratify Appointment of Independent Auditors Management For For
03 Adopt Majority Vote for Directors Management For For
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,885 03-Aug-2011 04-Aug-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
DARDEN RESTAURANTS, INC.
SECURITY 237194105 MEETING TYPE Annual
TICKER SYMBOL DRI MEETING DATE 22-Sep-2011
ISIN US2371941053 AGENDA 933494332 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 LEONARD L. BERRY For For
2 ODIE C. DONALD For For
3 CHRISTOPHER J. FRALEIGH For For
4 VICTORIA D. HARKER For For
5 DAVID H. HUGHES For For
6 CHARLES A. LEDSINGER JR For For
7 WILLIAM M. LEWIS, JR. For For
8 SENATOR CONNIE MACK III For For
9 ANDREW H. MADSEN For For
10 CLARENCE OTIS, JR. For For
11 MICHAEL D. ROSE For For
12 MARIA A. SASTRE For For
02 Adopt Employee Stock Purchase Plan Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,411 01-Sep-2011 02-Sep-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CAREFUSION CORPORATION
SECURITY 14170T101 MEETING TYPE Annual
TICKER SYMBOL CFN MEETING DATE 02-Nov-2011
ISIN US14170T1016 AGENDA 933508561 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management Against Against
Comments-Inappropriate peer benchmarking; Excessive equity awards; Insufficient
performance-vesting LTI awards; Internal pay inequity
04 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 6,165 14-Oct-2011 14-Oct-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
KLA-TENCOR CORPORATION
SECURITY 482480100 MEETING TYPE Annual
TICKER SYMBOL KLAC MEETING DATE 03-Nov-2011
ISIN US4824801009 AGENDA 933507711 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
1 Election of Directors Management
1 ROBERT M. CALDERONI For For
2 JOHN T. DICKSON For For
3 KEVIN J. KENNEDY For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,246 14-Oct-2011 15-Oct-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
MICROSOFT CORPORATION
SECURITY 594918104 MEETING TYPE Annual
TICKER SYMBOL MSFT MEETING DATE 15-Nov-2011
ISIN US5949181045 AGENDA 933510706 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1 Election of Directors (Majority Voting) Management For For
2 Election of Directors (Majority Voting) Management For For
3 Election of Directors (Majority Voting) Management For For
4 Election of Directors (Majority Voting) Management For For
5 Election of Directors (Majority Voting) Management For For
6 Election of Directors (Majority Voting) Management For For
7 Election of Directors (Majority Voting) Management For For
8 Election of Directors (Majority Voting) Management For For
9 Election of Directors (Majority Voting) Management For For
10 14A Executive Compensation Management For For
11 14A Executive Compensation Vote Frequency Management 1 Year For
12 Ratify Appointment of Independent Auditors Management For For
13 S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 5,090 27-Oct-2011 28-Oct-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CRACKER BARREL OLD COUNTRY STORE INC
SECURITY 22410J106 MEETING TYPE Contested-Annual
TICKER SYMBOL CBRL MEETING DATE 20-Dec-2011
ISIN US22410J1060 AGENDA 933525199 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 JAMES W. BRADFORD For For
2 SANDRA B. COCHRAN For For
3 ROBERT V. DALE For For
4 RICHARD J. DOBKIN For For
5 CHARLES E. JONES, JR. For For
6 B.F. "JACK" LOWERY For For
7 WILLIAM W. MCCARTEN For For
8 MARTHA M. MITCHELL For For
9 COLEMAN H. PETERSON For For
10 ANDREA M. WEISS For For
11 MICHAEL A. WOODHOUSE For For
02 Ratify Shareholder Rights Plan Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Approve Merger Agreement Management For For
06 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,582 13-Dec-2011 13-Dec-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
000442065 RIVERFRONT 000442065 THE BANK OF 1,582 13-Dec-2011 13-Dec-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CRACKER BARREL OLD COUNTRY STORE INC
SECURITY 22410J106 MEETING TYPE Contested-Annual
TICKER SYMBOL CBRL MEETING DATE 20-Dec-2011
ISIN US22410J1060 AGENDA 933525202 - Opposition
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 SARDAR BIGLARI For For
2 MGT NOM:J. W. BRADFORD For For
3 MGT NOM:S. B. COCHRAN For For
4 MGT NOM:R. V. DALE For For
5 MGT NOM:R. J DOBKIN For For
6 MGT NOM:B. F. LOWERY Withheld Against
7 MGT NOM:W. W. MCCARTEN For For
8 MGT NOM:M. M. MITCHELL For For
9 MGT NOM:C. H. PETERSON For For
10 MGT NOM:A. M. WEISS For For
11 MGT NOM:M. A. WOODHOUSE For For
02 Ratify Shareholder Rights Plan Management Against For
Comments-Not in best interests of shareholders
03 14A Executive Compensation Management Against For
Comments-loose performance hurdles; narrow performance conditions; excessive discretion
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Approve Merger Agreement Management For For
06 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,582 13-Dec-2011 14-Dec-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
FAMILY DOLLAR STORES, INC.
SECURITY 307000109 MEETING TYPE Annual
TICKER SYMBOL FDO MEETING DATE 19-Jan-2012
ISIN US3070001090 AGENDA 933534605 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 MARK R. BERNSTEIN For For
2 PAMELA L. DAVIES For For
3 SHARON ALLRED DECKER For For
4 EDWARD C. DOLBY For For
5 GLENN A. EISENBERG For For
6 EDWARD P. GARDEN For For
7 HOWARD R. LEVINE For For
8 GEORGE R. MAHONEY, JR. For For
9 JAMES G. MARTIN For For
10 HARVEY MORGAN For For
11 DALE C. POND For For
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Frequency Management 1 Year For
04 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,883 29-Dec-2011 29-Dec-2011
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SUPERIOR ENERGY SERVICES, INC.
SECURITY 868157108 MEETING TYPE Special
TICKER SYMBOL SPN MEETING DATE 07-Feb-2012
ISIN US8681571084 AGENDA 933542943 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
01 Stock Issuance Management For For
02 Authorize Common Stock Increase Management For For
03 Approve Motion to Adjourn Meeting Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,484 25-Jan-2012 25-Jan-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
APPLE INC.
SECURITY 037833100 MEETING TYPE Annual
TICKER SYMBOL AAPL MEETING DATE 23-Feb-2012
ISIN US0378331005 AGENDA 933542474 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ -------- -----------
1 Election of Directors Management
1 WILLIAM V. CAMPBELL For For
2 TIMOTHY D. COOK For For
3 MILLARD S. DREXLER For For
4 AL GORE For For
5 ROBERT A. IGER For For
6 ANDREA JUNG For For
7 ARTHUR D. LEVINSON For For
8 RONALD D. SUGAR For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
04 S/H Proposal - Corporate Governance Shareholder Against For
05 S/H Proposal - Advisory Vote Executive Pay Shareholder Against For
06 S/H Proposal - Political/Government Shareholder For Against
Comments-Increased disclosure will aid shareholders in assessing the risk the Company is
exposed to through political expenditures
07 S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability and performance
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 429 04-Feb-2012 05-Feb-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
HOLOGIC, INC.
SECURITY 436440101 MEETING TYPE Annual
TICKER SYMBOL HOLX MEETING DATE 06-Mar-2012
ISIN US4364401012 AGENDA 933545127 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 ROBERT A. CASCELLA For For
2 GLENN P. MUIR For For
3 DAVID R. LAVANCE, JR. For For
4 SALLY W. CRAWFORD For For
5 NANCY L. LEAMING For For
6 LAWRENCE M. LEVY For For
7 CHRISTIANA STAMOULIS For For
8 ELAINE S. ULLIAN For For
9 WAYNE WILSON For For
02 14A Executive Compensation Management For For
03 Adopt Employee Stock Purchase Plan Management For For
04 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 7,574 24-Feb-2012 25-Feb-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
QUALCOMM INCORPORATED
SECURITY 747525103 MEETING TYPE Annual
TICKER SYMBOL QCOM MEETING DATE 06-Mar-2012
ISIN US7475251036 AGENDA 933543933 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 BARBARA T. ALEXANDER For For
2 STEPHEN M. BENNETT For For
3 DONALD G. CRUICKSHANK For For
4 RAYMOND V. DITTAMORE For For
5 THOMAS W. HORTON For For
6 PAUL E. JACOBS For For
7 ROBERT E. KAHN For For
8 SHERRY LANSING For For
9 DUANE A. NELLES For For
10 FRANCISCO ROS For For
11 BRENT SCOWCROFT For For
12 MARC I. STERN For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 Miscellaneous Corporate Actions Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,534 10-Feb-2012 10-Feb-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SYNOPSYS, INC.
SECURITY 871607107 MEETING TYPE Annual
TICKER SYMBOL SNPS MEETING DATE 03-Apr-2012
ISIN US8716071076 AGENDA 933552817 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 AART J. DE GEUS For For
2 ALFRED CASTINO For For
3 CHI-FOON CHAN For For
4 BRUCE R. CHIZEN For For
5 DEBORAH A. COLEMAN For For
6 C.L. "MAX" NIKIAS For For
7 JOHN SCHWARZ For For
8 ROY VALLEE For For
9 STEVEN C. WALSKE For For
2. Amend Stock Compensation Plan Management For For
3. Amend Employee Stock Purchase Plan Management For For
4. 14A Executive Compensation Management For For
5. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,949 02-Mar-2012 02-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
MOODY'S CORPORATION
SECURITY 615369105 MEETING TYPE Annual
TICKER SYMBOL MCO MEETING DATE 16-Apr-2012
ISIN US6153691059 AGENDA 933557778 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------- ------------ ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Declassify Board Shareholder For Against
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,417 23-Mar-2012 23-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
PF CHANG'S CHINA BISTRO, INC.
SECURITY 69333Y108 MEETING TYPE Annual
TICKER SYMBOL PFCB MEETING DATE 18-Apr-2012
ISIN US69333Y1082 AGENDA 933567731 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
5. Approve Motion to Adjourn Meeting Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,344 24-Mar-2012 24-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
PEOPLE'S UNITED FINANCIAL, INC.
SECURITY 712704105 MEETING TYPE Annual
TICKER SYMBOL PBCT MEETING DATE 19-Apr-2012
ISIN US7127041058 AGENDA 933557083 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ ---- -----------
1. Election of Directors Management
1 GEORGE P. CARTER For For
2 JERRY FRANKLIN For For
3 KIRK W. WALTERS For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. S/H Proposal - Declassify Board Shareholder For
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 10,866 22-Mar-2012 22-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
MEADWESTVACO CORPORATION
SECURITY 583334107 MEETING TYPE Annual
TICKER SYMBOL MWV MEETING DATE 23-Apr-2012
ISIN US5833341077 AGENDA 933571766 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.A Election of Directors (Majority Voting) Management For For
1.B Election of Directors (Majority Voting) Management For For
1.C Election of Directors (Majority Voting) Management For For
1.D Election of Directors (Majority Voting) Management For For
1.E Election of Directors (Majority Voting) Management For For
1.F Election of Directors (Majority Voting) Management For For
1.G Election of Directors (Majority Voting) Management For For
1.H Election of Directors (Majority Voting) Management For For
1.I Election of Directors (Majority Voting) Management For For
1.J Election of Directors (Majority Voting) Management For For
1.K Election of Directors (Majority Voting) Management For For
1.L Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 5,050 30-Mar-2012 30-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
INTERNATIONAL BUSINESS MACHINES CORP.
SECURITY 459200101 MEETING TYPE Annual
TICKER SYMBOL IBM MEETING DATE 24-Apr-2012
ISIN US4592001014 AGENDA 933564204 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
05 S/H Proposal - Political/Government Shareholder Against For
06 S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 731 28-Mar-2012 28-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
L-3 COMMUNICATIONS HOLDINGS, INC.
SECURITY 502424104 MEETING TYPE Annual
TICKER SYMBOL LLL MEETING DATE 24-Apr-2012
ISIN US5024241045 AGENDA 933560523 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,159 23-Mar-2012 23-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
THE PNC FINANCIAL SERVICES GROUP, INC.
SECURITY 693475105 MEETING TYPE Annual
TICKER SYMBOL PNC MEETING DATE 24-Apr-2012
ISIN US6934751057 AGENDA 933563783 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,454 01-Apr-2012 01-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
BALL CORPORATION
SECURITY 058498106 MEETING TYPE Annual
TICKER SYMBOL BLL MEETING DATE 25-Apr-2012
ISIN US0584981064 AGENDA 933557653 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ROBERT W. ALSPAUGH For For
2 R. DAVID HOOVER For For
3 JAN NICHOLSON For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 5,304 30-Mar-2012 30-Mar-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 25-Apr-2012
ISIN US3696041033 AGENDA 933564951 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
A1 Election of Directors (Majority Voting) Management For For
A2 Election of Directors (Majority Voting) Management For For
A3 Election of Directors (Majority Voting) Management For For
A4 Election of Directors (Majority Voting) Management For For
A5 Election of Directors (Majority Voting) Management For For
A6 Election of Directors (Majority Voting) Management For For
A7 Election of Directors (Majority Voting) Management For For
A8 Election of Directors (Majority Voting) Management For For
A9 Election of Directors (Majority Voting) Management For For
A10 Election of Directors (Majority Voting) Management For For
A11 Election of Directors (Majority Voting) Management For For
A12 Election of Directors (Majority Voting) Management For For
A13 Election of Directors (Majority Voting) Management For For
A14 Election of Directors (Majority Voting) Management For For
A15 Election of Directors (Majority Voting) Management For For
A16 Election of Directors (Majority Voting) Management For For
B1 Ratify Appointment of Independent Auditors Management For For
B2 14A Executive Compensation Management For For
B3 Amend Stock Compensation Plan Management For For
B4 Amend Cash/Stock Bonus Plan Management For For
C1 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
C2 S/H Proposal - Environmental Shareholder Against For
C3 S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
C4 S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 7,525 12-Apr-2012 12-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
PFIZER INC.
SECURITY 717081103 MEETING TYPE Annual
TICKER SYMBOL PFE MEETING DATE 26-Apr-2012
ISIN US7170811035 AGENDA 933560472 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
6. S/H Proposal - Proxy Process/Statement Shareholder Against For
7. S/H Proposal - Compensation Discussion and Analysis Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 11,999 08-Apr-2012 08-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SENSIENT TECHNOLOGIES CORPORATION
SECURITY 81725T100 MEETING TYPE Annual
TICKER SYMBOL SXT MEETING DATE 26-Apr-2012
ISIN US81725T1007 AGENDA 933567325 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 HANK BROWN For For
2 FERGUS M. CLYDESDALE For For
3 JAMES A.D. CROFT For For
4 WILLIAM V. HICKEY For For
5 KENNETH P. MANNING For For
6 PETER M. SALMON For For
7 ELAINE R. WEDRAL For For
8 ESSIE WHITELAW For For
2. 14A Executive Compensation Management For For
3. Adopt Non-Employee Director Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,896 03-Apr-2012 03-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SNAP-ON INCORPORATED
SECURITY 833034101 MEETING TYPE Annual
TICKER SYMBOL SNA MEETING DATE 26-Apr-2012
ISIN US8330341012 AGENDA 933564115 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Declassify Board Shareholder For Against
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,890 05-Apr-2012 05-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
AMERICAN EXPRESS COMPANY
SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 30-Apr-2012
ISIN US0258161092 AGENDA 933566094 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 C. BARSHEFSKY For For
2 U.M. BURNS For For
3 K.I. CHENAULT For For
4 P. CHERNIN For For
5 T.J. LEONSIS For For
6 J. LESCHLY For For
7 R.C. LEVIN For For
8 R.A. MCGINN For For
9 E.D. MILLER For For
10 S.S REINEMUND For For
11 R.D. WALTER For For
12 R.A. WILLIAMS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. Amend Stock Compensation Plan Management For For
5. S/H Proposal - Adopt Cumulative Voting Shareholder Against For
6. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,813 09-Apr-2012 09-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
BCE INC.
SECURITY 05534B760 MEETING TYPE Annual
TICKER SYMBOL BCE MEETING DATE 03-May-2012
ISIN CA05534B7604 AGENDA 933575841 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
01 Election of Directors (Majority Voting) Management
1 B.K. ALLEN For For
2 A. BERARD For For
3 R.A. BRENNEMAN For For
4 S. BROCHU For For
5 R.E. BROWN For For
6 G.A. COPE For For
7 A.S. FELL For For
8 E.C. LUMLEY For For
9 T.C. O'NEILL For For
10 J. PRENTICE For For
11 R.C. SIMMONDS For For
12 C. TAYLOR For For
13 P.R. WEISS For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
4A S/H Proposal - Corporate Governance Shareholder Against For
4B S/H Proposal - Corporate Governance Shareholder Against For
4C S/H Proposal - Corporate Governance Shareholder Against For
4D S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,903 16-Apr-2012 16-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SPX CORPORATION
SECURITY 784635104 MEETING TYPE Annual
TICKER SYMBOL SPW MEETING DATE 03-May-2012
ISIN US7846351044 AGENDA 933570586 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
2 Amend Stock Compensation Plan Management For For
3 14A Executive Compensation Management Against Against
Comments-Disconnect between pay and performance;
4 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 940 11-Apr-2012 11-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
VERIZON COMMUNICATIONS INC.
SECURITY 92343V104 MEETING TYPE Annual
TICKER SYMBOL VZ MEETING DATE 03-May-2012
ISIN US92343V1044 AGENDA 933561739 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Political/Government Shareholder Against For
6. S/H Proposal - Executive Compensation Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder For Against
Comments-Shareholder proposals seeking to grant shareholders the ability to call special
meetings have received significant support
8. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
9. Miscellaneous Shareholder Proposal Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,578 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CUMMINS INC.
SECURITY 231021106 MEETING TYPE Annual
TICKER SYMBOL CMI MEETING DATE 08-May-2012
ISIN US2310211063 AGENDA 933569456 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors (Majority Voting) Management For For
2. Election of Directors (Majority Voting) Management For For
3. Election of Directors (Majority Voting) Management For For
4. Election of Directors (Majority Voting) Management For For
5. Election of Directors (Majority Voting) Management For For
6. Election of Directors (Majority Voting) Management For For
7. Election of Directors (Majority Voting) Management For For
8. Election of Directors (Majority Voting) Management For For
9. Election of Directors (Majority Voting) Management For For
10. 14A Executive Compensation Management For For
11. Ratify Appointment of Independent Auditors Management For For
12. Adopt Omnibus Stock Option Plan Management For For
13. Adopt Employee Stock Purchase Plan Management For For
14. Approve Charter Amendment Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,015 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SOTHEBY'S
SECURITY 835898107 MEETING TYPE Annual
TICKER SYMBOL BID MEETING DATE 08-May-2012
ISIN US8358981079 AGENDA 933577617 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Cash/Stock Bonus Plan Management For For
4. 14A Executive Compensation Management For For
5. S/H Proposal - Corporate Governance Shareholder Against For
6. S/H Proposal - Corporate Governance Shareholder For Against
Comments-Accelerated vesting of awards does not ensure a link between pay and performance.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,568 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
WEINGARTEN REALTY INVESTORS
SECURITY 948741103 MEETING TYPE Annual
TICKER SYMBOL WRI MEETING DATE 08-May-2012
ISIN US9487411038 AGENDA 933575144 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ANDREW M. ALEXANDER For For
2 STANFORD ALEXANDER For For
3 JAMES W. CROWNOVER For For
4 ROBERT J. CRUIKSHANK For For
5 MELVIN A. DOW For For
6 STEPHEN A. LASHER For For
7 DOUGLAS W. SCHNITZER For For
8 C. PARK SHAPER For For
9 MARC J. SHAPIRO For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,549 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CONOCOPHILLIPS
SECURITY 20825C104 MEETING TYPE Annual
TICKER SYMBOL COP MEETING DATE 09-May-2012
ISIN US20825C1045 AGENDA 933579659 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management Against Against
Comments-lack of objective performance measures in STI and LTI; executive pay inequity
4. S/H Proposal - Environmental Shareholder Against For
5. S/H Proposal - Environmental Shareholder Against For
6. S/H Proposal - Human Rights Related Shareholder Against For
7. S/H Proposal - Report/Reduce Greenhouse Gas Emissions Shareholder Against For
S/H Proposal - Create a Non-Discriminatory Sexual
8. Orientation Policy Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,744 01-May-2012 01-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
NORDSTROM, INC.
SECURITY 655664100 MEETING TYPE Annual
TICKER SYMBOL JWN MEETING DATE 09-May-2012
ISIN US6556641008 AGENDA 933572934 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Approve Cash/Stock Bonus Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,462 18-Apr-2012 18-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
ANIXTER INTERNATIONAL INC.
SECURITY 035290105 MEETING TYPE Annual
TICKER SYMBOL AXE MEETING DATE 10-May-2012
ISIN US0352901054 AGENDA 933589408 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors (Majority Voting) Management For For
2. Election of Directors (Majority Voting) Management For For
3. Election of Directors (Majority Voting) Management For For
4. Election of Directors (Majority Voting) Management For For
5. Election of Directors (Majority Voting) Management For For
6. Election of Directors (Majority Voting) Management For For
7. Election of Directors (Majority Voting) Management For For
8. Election of Directors (Majority Voting) Management For For
9. Election of Directors (Majority Voting) Management For For
10. Election of Directors (Majority Voting) Management For For
11. Election of Directors (Majority Voting) Management For For
12. 14A Executive Compensation Management For For
13. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,063 17-Apr-2012 17-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 15-May-2012
ISIN US46625H1005 AGENDA 933581301 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Comments-no performance based awards; excessive committee discretion
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Corporate Governance Shareholder Against For
7. S/H Proposal - Political/Government Shareholder Against For
8. S/H Proposal - Human Rights Related Shareholder Against For
9. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
10. S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,323 25-Apr-2012 25-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
OIL STATES INTERNATIONAL, INC.
SECURITY 678026105 MEETING TYPE Annual
TICKER SYMBOL OIS MEETING DATE 15-May-2012
ISIN US6780261052 AGENDA 933614693 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 S. JAMES NELSON For For
2 GARY L. ROSENTHAL For For
3 WILLIAM T. VAN KLEEF For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 965 26-Apr-2012 26-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
SUPERIOR ENERGY SERVICES, INC.
SECURITY 868157108 MEETING TYPE Annual
TICKER SYMBOL SPN MEETING DATE 16-May-2012
ISIN US8681571084 AGENDA 933608056 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 HAROLD J. BOUILLION For For
2 ENOCH L. DAWKINS For For
3 DAVID D. DUNLAP For For
4 JAMES M. FUNK For For
5 TERENCE E. HALL For For
6 E.E. "WYN" HOWARD, III For For
7 PETER D. KINNEAR For For
8 MICHAEL M. MCSHANE For For
9 W. MATT RALLS For For
10 JUSTIN L. SULLIVAN For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,887 25-Apr-2012 25-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
HASBRO, INC.
SECURITY 418056107 MEETING TYPE Annual
TICKER SYMBOL HAS MEETING DATE 17-May-2012
ISIN US4180561072 AGENDA 933582618 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 BASIL L. ANDERSON For For
2 ALAN R. BATKIN For For
3 FRANK J. BIONDI, JR. For For
4 KENNETH A. BRONFIN For For
5 JOHN M. CONNORS, JR. For For
6 MICHAEL W.O. GARRETT For For
7 LISA GERSH For For
8 BRIAN D. GOLDNER For For
9 JACK M. GREENBERG For For
10 ALAN G. HASSENFELD For For
11 TRACY A. LEINBACH For For
12 EDWARD M. PHILIP For For
13 ALFRED J. VERRECCHIA For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,822 01-May-2012 01-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
INVESCO LTD
SECURITY G491BT108 MEETING TYPE Annual
TICKER SYMBOL IVZ MEETING DATE 17-May-2012
ISIN BMG491BT1088 AGENDA 933584840 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
1.4 Election of Directors (Majority Voting) Management For For
2 14A Executive Compensation Management For For
3 Adopt Employee Stock Purchase Plan Management For For
4 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 5,488 30-Apr-2012 30-Apr-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
EAST WEST BANCORP, INC.
SECURITY 27579R104 MEETING TYPE Annual
TICKER SYMBOL EWBC MEETING DATE 22-May-2012
ISIN US27579R1041 AGENDA 933616837 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- -------- -----------
1. Election of Directors Management
1 IRIS S. CHAN For For
2 RUDOLPH I. ESTRADA For For
3 JULIA S. GOUW For For
4 PAUL H. IRVING For For
5 ANDREW S. KANE For For
6 JOHN LEE For For
7 HERMAN Y. LI For For
8 JACK C. LIU For For
9 DOMINIC NG For For
10 KEITH W. RENKEN For For
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. 14A Executive Compensation Management Against Against
Comments-Disconnect between pay and performance; Excessive
one-time bonuses
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 5,490 01-May-2012 01-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
MERCK & CO., INC.
SECURITY 58933Y105 MEETING TYPE Annual
TICKER SYMBOL MRK MEETING DATE 22-May-2012
ISIN US58933Y1055 AGENDA 933595158 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
5. S/H Proposal - Corporate Governance Shareholder Against For
6. S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,761 04-May-2012 04-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
HCC INSURANCE HOLDINGS, INC.
SECURITY 404132102 MEETING TYPE Annual
TICKER SYMBOL HCC MEETING DATE 23-May-2012
ISIN US4041321021 AGENDA 933604200 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 EMMANUEL T. BALLASES For For
2 JUDY C. BOZEMAN For For
3 FRANK J. BRAMANTI For For
4 WALTER M. DUER For For
5 JAMES C. FLAGG, PH.D. For For
6 THOMAS M. HAMILTON For For
7 LESLIE S. HEISZ For For
8 JOHN N. MOLBECK JR. For For
9 ROBERT A. ROSHOLT For For
10 J. MIKESELL THOMAS For For
11 CHRISTOPHER JB WILLIAMS For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,497 02-May-2012 02-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
MCDONALD'S CORPORATION
SECURITY 580135101 MEETING TYPE Annual
TICKER SYMBOL MCD MEETING DATE 24-May-2012
ISIN US5801351017 AGENDA 933595247 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Declassify Board Management For For
5. Approve Charter Amendment Management For For
6. Ratify Appointment of Independent Auditors Management For For
7. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,399 06-May-2012 06-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
VERISIGN, INC.
SECURITY 92343E102 MEETING TYPE Annual
TICKER SYMBOL VRSN MEETING DATE 24-May-2012
ISIN US92343E1029 AGENDA 933603359 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
2 Ratify Appointment of Independent Auditors Management For For
3 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 3,212 03-May-2012 03-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 30-May-2012
ISIN US1667641005 AGENDA 933601913 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-the Company's actions in unilaterally restricting shareholders ability to seek
remedy under the court of their choosing without prior shareholder appr
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Political/Government Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder Against For
8. S/H Proposal - Environmental Shareholder Against For
9. S/H Proposal - Proxy Process/Statement Shareholder Against For
10. S/H Proposal - Rights To Call Special Meeting Shareholder Against For
11. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,504 18-May-2012 18-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
EXXON MOBIL CORPORATION
SECURITY 30231G102 MEETING TYPE Annual
TICKER SYMBOL XOM MEETING DATE 30-May-2012
ISIN US30231G1022 AGENDA 933600086 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 M.J. BOSKIN For For
2 P. BRABECK-LETMATHE For For
3 L.R. FAULKNER For For
4 J.S. FISHMAN For For
5 H.H. FORE For For
6 K.C. FRAZIER For For
7 W.W. GEORGE For For
8 S.J. PALMISANO For For
9 S.S REINEMUND For For
10 R.W. TILLERSON For For
11 E.E. WHITACRE, JR. For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Establish Independent Chairman Shareholder For Against
5. S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
6. S/H Proposal - Political/Government Shareholder Against For
7. S/H Proposal - Report on EEO Shareholder For Against
8. S/H Proposal - Environmental Shareholder Against For
9. S/H Proposal - Report/Reduce Greenhouse Gas Emissions Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,638 15-May-2012 15-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
WAL-MART STORES, INC.
SECURITY 931142103 MEETING TYPE Annual
TICKER SYMBOL WMT MEETING DATE 01-Jun-2012
ISIN US9311421039 AGENDA 933607408 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
1O Election of Directors (Majority Voting) Management For For
1P Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Political/Government Shareholder For Against
Comments-The Company does not maintain explicit board oversight of its political
contributions
05 S/H Proposal - Corporate Governance Shareholder Against For
06 S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,040 20-May-2012 20-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
PENN NATIONAL GAMING, INC.
SECURITY 707569109 MEETING TYPE Annual
TICKER SYMBOL PENN MEETING DATE 06-Jun-2012
ISIN US7075691094 AGENDA 933625773 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 DAVID A. HANDLER For For
2 JOHN M. JACQUEMIN For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management Against Against
Comments-failure to align pay and performance; no
performance-based LTI
4. S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability
and performance
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 2,682 16-May-2012 16-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
CATERPILLAR INC.
SECURITY 149123101 MEETING TYPE Annual
TICKER SYMBOL CAT MEETING DATE 13-Jun-2012
ISIN US1491231015 AGENDA 933623933 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1 Election of Directors Management
1 DAVID L. CALHOUN For For
2 DANIEL M. DICKINSON For For
3 EUGENE V. FIFE For For
4 JUAN GALLARDO For For
5 DAVID R. GOODE For For
6 JESSE J. GREENE, JR. For For
7 JON M. HUNTSMAN, JR. For For
8 PETER A. MAGOWAN For For
9 DENNIS A. MUILENBURG For For
10 DOUGLAS R. OBERHELMAN For For
11 WILLIAM A. OSBORN For For
12 CHARLES D. POWELL For For
13 EDWARD B. RUST, JR. For For
14 SUSAN C. SCHWAB For For
15 JOSHUA I. SMITH For For
16 MILES D. WHITE For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 Restore Right to Call a Special Meeting Management For For
5 Adopt Advance Notice Requirement Management Against Against
Comments-This could make if more difficult for a shareholder to present a shareholder
proposal or director nominee
6 S/H Proposal - Political/Government Shareholder Against For
7 S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability
and performance
8 S/H Proposal - Corporate Governance Shareholder Against For
9 S/H Proposal - Proxy Process/Statement Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on important
issues that arise between annual meetings.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 1,212 26-May-2012 26-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
DOLLAR TREE, INC.
SECURITY 256746108 MEETING TYPE Annual
TICKER SYMBOL DLTR MEETING DATE 14-Jun-2012
ISIN US2567461080 AGENDA 933640319 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ARNOLD S. BARRON For For
2 MACON F. BROCK, JR. For For
3 MARY ANNE CITRINO For For
4 J. DOUGLAS PERRY For For
5 THOMAS A. SAUNDERS III For For
6 THOMAS E. WHIDDON For For
7 CARL P. ZEITHAML For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 THE BANK OF 610 24-May-2012 24-May-2012
GLOBAL NEW YORK
ALLOCATION MELLON
MUTUAL FUND
RIVERFRONT MODERATE GROWTH & INCOME FUND
Investment Company Report
DARDEN RESTAURANTS, INC.
SECURITY 237194105 MEETING TYPE Annual
TICKER SYMBOL DRI MEETING DATE 22-Sep-2011
ISIN US2371941053 AGENDA 933494332 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 LEONARD L. BERRY For For
2 ODIE C. DONALD For For
3 CHRISTOPHER J. FRALEIGH For For
4 VICTORIA D. HARKER For For
5 DAVID H. HUGHES For For
6 CHARLES A. LEDSINGER JR For For
7 WILLIAM M. LEWIS, JR. For For
8 SENATOR CONNIE MACK III For For
9 ANDREW H. MADSEN For For
10 CLARENCE OTIS, JR. For For
11 MICHAEL D. ROSE For For
12 MARIA A. SASTRE For For
02 Adopt Employee Stock Purchase Plan Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Ratify Appointment of Independent Auditors Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 5,187 01-Sep-2011 02-Sep-2011
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
KLA-TENCOR CORPORATION
SECURITY 482480100 MEETING TYPE Annual
TICKER SYMBOL KLAC MEETING DATE 03-Nov-2011
ISIN US4824801009 AGENDA 933507711 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ----------- ------- -----------
1 Election of Directors Management
1 ROBERT M. CALDERONI For For
2 JOHN T. DICKSON For For
3 KEVIN J. KENNEDY For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 12,129 14-Oct-2011 15-Oct-2011
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
MICROSOFT CORPORATION
SECURITY 594918104 MEETING TYPE Annual
TICKER SYMBOL MSFT MEETING DATE 15-Nov-2011
ISIN US5949181045 AGENDA 933510706 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1 Election of Directors (Majority Voting) Management For For
2 Election of Directors (Majority Voting) Management For For
3 Election of Directors (Majority Voting) Management For For
4 Election of Directors (Majority Voting) Management For For
5 Election of Directors (Majority Voting) Management For For
6 Election of Directors (Majority Voting) Management For For
7 Election of Directors (Majority Voting) Management For For
8 Election of Directors (Majority Voting) Management For For
9 Election of Directors (Majority Voting) Management For For
10 14A Executive Compensation Management For For
11 14A Executive Compensation Vote Frequency Management 1 Year For
12 Ratify Appointment of Independent Auditors Management For For
13 S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 19,976 27-Oct-2011 28-Oct-2011
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
APPLE INC.
SECURITY 037833100 MEETING TYPE Annual
TICKER SYMBOL AAPL MEETING DATE 23-Feb-2012
ISIN US0378331005 AGENDA 933542474 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ -------- -----------
1 Election of Directors Management
1 WILLIAM V. CAMPBELL For For
2 TIMOTHY D. COOK For For
3 MILLARD S. DREXLER For For
4 AL GORE For For
5 ROBERT A. IGER For For
6 ANDREA JUNG For For
7 ARTHUR D. LEVINSON For For
8 RONALD D. SUGAR For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
04 S/H Proposal - Corporate Governance Shareholder Against For
05 S/H Proposal - Advisory Vote Executive Pay Shareholder Against For
06 S/H Proposal - Political/Government Shareholder For Against
Comments-Increased disclosure will aid shareholders in assessing the risk the Company is
exposed to through political expenditures
07 S/H Proposal - Election of Directors By Majority Vote Shareholder For Against
Comments-Majority voting increases board accountability and performance
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 1,551 04-Feb-2012 05-Feb-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
QUALCOMM INCORPORATED
SECURITY 747525103 MEETING TYPE Annual
TICKER SYMBOL QCOM MEETING DATE 06-Mar-2012
ISIN US7475251036 AGENDA 933543933 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 BARBARA T. ALEXANDER For For
2 STEPHEN M. BENNETT For For
3 DONALD G. CRUICKSHANK For For
4 RAYMOND V. DITTAMORE For For
5 THOMAS W. HORTON For For
6 PAUL E. JACOBS For For
7 ROBERT E. KAHN For For
8 SHERRY LANSING For For
9 DUANE A. NELLES For For
10 FRANCISCO ROS For For
11 BRENT SCOWCROFT For For
12 MARC I. STERN For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 Miscellaneous Corporate Actions Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 16,305 10-Feb-2012 10-Feb-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
MOODY'S CORPORATION
SECURITY 615369105 MEETING TYPE Annual
TICKER SYMBOL MCO MEETING DATE 16-Apr-2012
ISIN US6153691059 AGENDA 933557778 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Declassify Board Shareholder For Against
Comments-A declassified board structure helps ensure
director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 20,420 23-Mar-2012 23-Mar-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
PEOPLE'S UNITED FINANCIAL, INC.
SECURITY 712704105 MEETING TYPE Annual
TICKER SYMBOL PBCT MEETING DATE 19-Apr-2012
ISIN US7127041058 AGENDA 933557083 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- --------------------------------------------------------- ------------ ---- -----------
1. Election of Directors Management
1 GEORGE P. CARTER For For
2 JERRY FRANKLIN For For
3 KIRK W. WALTERS For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. S/H Proposal - Declassify Board Shareholder For
Comments-A declassified board structure helps ensure director accountability
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 49,930 22-Mar-2012 22-Mar-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
MEADWESTVACO CORPORATION
SECURITY 583334107 MEETING TYPE Annual
TICKER SYMBOL MWV MEETING DATE 23-Apr-2012
ISIN US5833341077 AGENDA 933571766 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1.A Election of Directors (Majority Voting) Management For For
1.B Election of Directors (Majority Voting) Management For For
1.C Election of Directors (Majority Voting) Management For For
1.D Election of Directors (Majority Voting) Management For For
1.E Election of Directors (Majority Voting) Management For For
1.F Election of Directors (Majority Voting) Management For For
1.G Election of Directors (Majority Voting) Management For For
1.H Election of Directors (Majority Voting) Management For For
1.I Election of Directors (Majority Voting) Management For For
1.J Election of Directors (Majority Voting) Management For For
1.K Election of Directors (Majority Voting) Management For For
1.L Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 21,351 30-Mar-2012 30-Mar-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
INTERNATIONAL BUSINESS MACHINES CORP.
SECURITY 459200101 MEETING TYPE Annual
TICKER SYMBOL IBM MEETING DATE 24-Apr-2012
ISIN US4592001014 AGENDA 933564204 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
05 S/H Proposal - Political/Government Shareholder Against For
06 S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 3,505 28-Mar-2012 28-Mar-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
THE PNC FINANCIAL SERVICES GROUP, INC.
SECURITY 693475105 MEETING TYPE Annual
TICKER SYMBOL PNC MEETING DATE 24-Apr-2012
ISIN US6934751057 AGENDA 933563783 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 16,668 01-Apr-2012 01-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
GENERAL ELECTRIC COMPANY
SECURITY 369604103 MEETING TYPE Annual
TICKER SYMBOL GE MEETING DATE 25-Apr-2012
ISIN US3696041033 AGENDA 933564951 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
A1 Election of Directors (Majority Voting) Management For For
A2 Election of Directors (Majority Voting) Management For For
A3 Election of Directors (Majority Voting) Management For For
A4 Election of Directors (Majority Voting) Management For For
A5 Election of Directors (Majority Voting) Management For For
A6 Election of Directors (Majority Voting) Management For For
A7 Election of Directors (Majority Voting) Management For For
A8 Election of Directors (Majority Voting) Management For For
A9 Election of Directors (Majority Voting) Management For For
A10 Election of Directors (Majority Voting) Management For For
A11 Election of Directors (Majority Voting) Management For For
A12 Election of Directors (Majority Voting) Management For For
A13 Election of Directors (Majority Voting) Management For For
A14 Election of Directors (Majority Voting) Management For For
A15 Election of Directors (Majority Voting) Management For For
A16 Election of Directors (Majority Voting) Management For For
B1 Ratify Appointment of Independent Auditors Management For For
B2 14A Executive Compensation Management For For
B3 Amend Stock Compensation Plan Management For For
B4 Amend Cash/Stock Bonus Plan Management For For
C1 S/H Proposal - Adopt Cumulative Voting Shareholder Against For
C2 S/H Proposal - Environmental Shareholder Against For
C3 S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
C4 S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 37,962 12-Apr-2012 12-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
PFIZER INC.
SECURITY 717081103 MEETING TYPE Annual
TICKER SYMBOL PFE MEETING DATE 26-Apr-2012
ISIN US7170811035 AGENDA 933560472 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
6. S/H Proposal - Proxy Process/Statement Shareholder Against For
7. S/H Proposal - Compensation Discussion and Analysis Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 49,561 08-Apr-2012 08-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
AMERICAN EXPRESS COMPANY
SECURITY 025816109 MEETING TYPE Annual
TICKER SYMBOL AXP MEETING DATE 30-Apr-2012
ISIN US0258161092 AGENDA 933566094 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
1. Election of Directors Management
1 C. BARSHEFSKY For For
2 U.M. BURNS For For
3 K.I. CHENAULT For For
4 P. CHERNIN For For
5 T.J. LEONSIS For For
6 J. LESCHLY For For
7 R.C. LEVIN For For
8 R.A. MCGINN For For
9 E.D. MILLER For For
10 S.S REINEMUND For For
11 R.D. WALTER For For
12 R.A. WILLIAMS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. Amend Stock Compensation Plan Management For For
5. S/H Proposal - Adopt Cumulative Voting Shareholder Against For
6. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 15,917 09-Apr-2012 09-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
BCE INC.
SECURITY 05534B760 MEETING TYPE Annual
TICKER SYMBOL BCE MEETING DATE 03-May-2012
ISIN CA05534B7604 AGENDA 933575841 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ---------------------------------------------------------- ------------ -------- -----------
01 Election of Directors (Majority Voting) Management
1 B.K. ALLEN For For
2 A. BERARD For For
3 R.A. BRENNEMAN For For
4 S. BROCHU For For
5 R.E. BROWN For For
6 G.A. COPE For For
7 A.S. FELL For For
8 E.C. LUMLEY For For
9 T.C. O'NEILL For For
10 J. PRENTICE For For
11 R.C. SIMMONDS For For
12 C. TAYLOR For For
13 P.R. WEISS For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
4A S/H Proposal - Corporate Governance Shareholder Against For
4B S/H Proposal - Corporate Governance Shareholder Against For
4C S/H Proposal - Corporate Governance Shareholder Against For
4D S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 21,945 16-Apr-2012 16-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
VERIZON COMMUNICATIONS INC.
SECURITY 92343V104 MEETING TYPE Annual
TICKER SYMBOL VZ MEETING DATE 03-May-2012
ISIN US92343V1044 AGENDA 933561739 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Political/Government Shareholder Against For
6. S/H Proposal - Executive Compensation Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder For Against
Comments-Shareholder proposals seeking to grant shareholders the ability to call special
meetings have received significant support
8. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
9. Miscellaneous Shareholder Proposal Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 17,268 18-Apr-2012 18-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
CUMMINS INC.
SECURITY 231021106 MEETING TYPE Annual
TICKER SYMBOL CMI MEETING DATE 08-May-2012
ISIN US2310211063 AGENDA 933569456 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors (Majority Voting) Management For For
2. Election of Directors (Majority Voting) Management For For
3. Election of Directors (Majority Voting) Management For For
4. Election of Directors (Majority Voting) Management For For
5. Election of Directors (Majority Voting) Management For For
6. Election of Directors (Majority Voting) Management For For
7. Election of Directors (Majority Voting) Management For For
8. Election of Directors (Majority Voting) Management For For
9. Election of Directors (Majority Voting) Management For For
10. 14A Executive Compensation Management For For
11. Ratify Appointment of Independent Auditors Management For For
12. Adopt Omnibus Stock Option Plan Management For For
13. Adopt Employee Stock Purchase Plan Management For For
14. Approve Charter Amendment Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 6,833 18-Apr-2012 18-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
CONOCOPHILLIPS
SECURITY 20825C104 MEETING TYPE Annual
TICKER SYMBOL COP MEETING DATE 09-May-2012
ISIN US20825C1045 AGENDA 933579659 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
1N. Election of Directors (Majority Voting) Management For For
1O. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management Against Against
Comments-lack of objective performance measures in STI and LTI; executive pay inequity
4. S/H Proposal - Environmental Shareholder Against For
5. S/H Proposal - Environmental Shareholder Against For
6. S/H Proposal - Human Rights Related Shareholder Against For
7. S/H Proposal - Report/Reduce Greenhouse Gas Emissions Shareholder Against For
S/H Proposal - Create a Non-Discriminatory Sexual
8. Orientation Policy Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 9,912 01-May-2012 01-May-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
NORDSTROM, INC.
SECURITY 655664100 MEETING TYPE Annual
TICKER SYMBOL JWN MEETING DATE 09-May-2012
ISIN US6556641008 AGENDA 933572934 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Approve Cash/Stock Bonus Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 6,444 18-Apr-2012 18-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
JPMORGAN CHASE & CO.
SECURITY 46625H100 MEETING TYPE Annual
TICKER SYMBOL JPM MEETING DATE 15-May-2012
ISIN US46625H1005 AGENDA 933581301 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Comments-no performance based awards; excessive committee discretion
4. S/H Proposal - Political/Government Shareholder Against For
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Corporate Governance Shareholder Against For
7. S/H Proposal - Political/Government Shareholder Against For
8. S/H Proposal - Human Rights Related Shareholder Against For
9. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
10. S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 17,208 25-Apr-2012 25-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
TIFFANY & CO.
SECURITY 886547108 MEETING TYPE Annual
TICKER SYMBOL TIF MEETING DATE 17-May-2012
ISIN US8865471085 AGENDA 933584333 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 5,216 26-Apr-2012 26-Apr-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
MERCK & CO., INC.
SECURITY 58933Y105 MEETING TYPE Annual
TICKER SYMBOL MRK MEETING DATE 22-May-2012
ISIN US58933Y1055 AGENDA 933595158 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-The right to act by written consent allows shareholders to take action on
important issues that arise between annual meetings.
5. S/H Proposal - Corporate Governance Shareholder Against For
6. S/H Proposal - Political/Government Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 17,946 04-May-2012 04-May-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
ONEOK, INC.
SECURITY 682680103 MEETING TYPE Annual
TICKER SYMBOL OKE MEETING DATE 23-May-2012
ISIN US6826801036 AGENDA 933591655 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. Amend Employee Stock Purchase Plan Management Against Against
Comments-ESPP expense too high on a relative basis
5. Authorize Common Stock Increase Management For For
6. 14A Executive Compensation Management For For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 6,986 02-May-2012 02-May-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
MCDONALD'S CORPORATION
SECURITY 580135101 MEETING TYPE Annual
TICKER SYMBOL MCD MEETING DATE 24-May-2012
ISIN US5801351017 AGENDA 933595247 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Declassify Board Management For For
5. Approve Charter Amendment Management For For
6. Ratify Appointment of Independent Auditors Management For For
7. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 12,659 06-May-2012 06-May-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
CHEVRON CORPORATION
SECURITY 166764100 MEETING TYPE Annual
TICKER SYMBOL CVX MEETING DATE 30-May-2012
ISIN US1667641005 AGENDA 933601913 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. S/H Proposal - Corporate Governance Shareholder For Against
Comments-the Company's actions in unilaterally restricting shareholders ability to seek
remedy under the court of their choosing without prior shareholder appr
5. S/H Proposal - Establish Independent Chairman Shareholder For Against
Comments-An independent chairman avoids the conflict of interest present when a CEO is
responsible for self-oversight.
6. S/H Proposal - Political/Government Shareholder Against For
7. S/H Proposal - Proxy Process/Statement Shareholder Against For
8. S/H Proposal - Environmental Shareholder Against For
9. S/H Proposal - Proxy Process/Statement Shareholder Against For
10. S/H Proposal - Rights To Call Special Meeting Shareholder Against For
11. S/H Proposal - Environmental Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 12,286 18-May-2012 18-May-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
WAL-MART STORES, INC.
SECURITY 931142103 MEETING TYPE Annual
TICKER SYMBOL WMT MEETING DATE 01-Jun-2012
ISIN US9311421039 AGENDA 933607408 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------------------------ ------------ -------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
1L Election of Directors (Majority Voting) Management For For
1M Election of Directors (Majority Voting) Management For For
1N Election of Directors (Majority Voting) Management For For
1O Election of Directors (Majority Voting) Management For For
1P Election of Directors (Majority Voting) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 S/H Proposal - Political/Government Shareholder For Against
Comments-The Company does not maintain explicit board oversight of its political
contributions
05 S/H Proposal - Corporate Governance Shareholder Against For
06 S/H Proposal - Corporate Governance Shareholder Against For
UNAVAILABLE DATE
ACCOUNT NUMBER ACCOUNT NAME INTERNAL ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
-------------- ------------ ---------------- ------------ ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 THE BANK OF 12,659 20-May-2012 20-May-2012
MODERATE NEW YORK
GROWTH & MELLON
INCOME
MUTUAL FUND
ALPS/KOTAK INDIA GROWTH FUND There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
ASPEN MANAGED FUTURES STRATEGY FUND There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
DISCIPLINED GROWTH INVESTORS FUND
WITH OR
MEETING A BRIEF IDENTIFICATION OF THE MATTER VOTE AGAINST
COMPANY TICKER CUSIP DATE VOTED ON PROPOSED BY VOTED CAST MANAGEMENT
-------------------- ------ ---------- --------- ------------------------------------ ----------- ----- --------- ----------
Ethan Allen ETH 297602104 15-Nov-11 Advisory Vote on Say on Pay Management Y One Year No
Interiors Inc. Frequency
Ethan Allen ETH 297602104 15-Nov-11 Elect Director M. Farooq Management Y For No
Interiors Inc. Kathwari
Ethan Allen ETH 297602104 15-Nov-11 Elect Director John J. Dooner, Management Y For No
Interiors Inc. Jr.
Ethan Allen ETH 297602104 15-Nov-11 Ratify Auditors Management Y For No
Interiors Inc.
Ethan Allen ETH 297602104 15-Nov-11 Amend Employment Management Y For No
Interiors Inc. Agreement
Ethan Allen ETH 297602104 15-Nov-11 Advisory Vote to Ratify Named Management Y For No
Interiors Inc. Executive Officers'
Compensation
Ethan Allen ETH 297602104 15-Nov-11 Amend Shareholder Rights Plan Management Y Against Yes
Interiors Inc. (Poison Pill)
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Advisory Vote on Say on Pay Management Y One Year No
Frequency
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director William A. Management Y For No
Hasler
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Clifford H. Management Y For No
Higgerson
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Charles D. Management Y For No
Kissner
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Michael A. Management Y For No
Pangia
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Raghavendra Management Y For No
Rau
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Dr. Mohsen Sohi Management Y For No
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Dr. James C. Management Y For No
Stoffel
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Elect Director Edward F. Management Y For No
Thompson
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Ratify Auditors Management Y For No
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Advisory Vote to Ratify Named Management Y For No
Executive Officers'
Compensation
Aviat Networks, Inc. AVNW 41457P106 17-Nov-11 Amend Omnibus Stock Plan Management Y Against Yes
FactSet Research FDS 303075105 13-Dec-11 Advisory Vote on Say on Pay Management Y One Year No
Systems Inc. Frequency
FactSet Research FDS 303075105 13-Dec-11 Elect Director Robin A. Abrams Management Y For No
Systems Inc.
FactSet Research FDS 303075105 13-Dec-11 Elect Director Michael F. Management Y For No
Systems Inc. DiCristina
FactSet Research FDS 303075105 13-Dec-11 Elect Director Walter F. Management Y For No
Systems Inc. Siebacker
FactSet Research FDS 303075105 13-Dec-11 Ratify Auditors Management Y For No
Systems Inc.
FactSet Research FDS 303075105 13-Dec-11 Increase Authorized Common Management Y For No
Systems Inc. Stock
FactSet Research FDS 303075105 13-Dec-11 Advisory Vote to Ratify Named Management Y For No
Systems Inc. Executive Officers'
Compensation
Open Text OTC 683715106 15-Dec-11 Elect Director P. Thomas Management Y For No
Corporation Jenkins
Open Text OTC 683715106 15-Dec-11 Elect Director John Shackleton Management Y For No
Corporation
Open Text OTC 683715106 15-Dec-11 Elect Director Randy Fowlie Management Y For No
Corporation
Open Text OTC 683715106 15-Dec-11 Elect Director Gail Hamilton Management Y For No
Corporation
Open Text OTC 683715106 15-Dec-11 Elect Director Brian J. Jackman Management Y For No
Corporation
Open Text OTC 683715106 15-Dec-11 Elect Director Stephen J. Sadler Management Y For No
Corporation
Open Text OTC 683715106 15-Dec-11 Elect Director Michael Management Y For No
Corporation Slaunwhite
Open Text OTC 683715106 15-Dec-11 Elect Director Katharine B. Management Y For No
Corporation Stevenson
Open Text OTC 683715106 15-Dec-11 Elect Director Deborah Management Y For No
Corporation Weinstein
Open Text OTC 683715106 15-Dec-11 Approve KPMG LLP as Management Y For No
Corporation Auditors and Authorize Board
to Fix Their Remuneration
Autodesk, Inc. ADSK 052769106 06-Jan-12 Approve Omnibus Stock Plan Management Y Against Yes
Autodesk, Inc. ADSK 052769106 06-Jan-12 Approve Non-Employee Management Y Against Yes
Director Omnibus Stock Plan
Intuit Inc. INTU 461202103 19-Jan-12 Advisory Vote on Say on Pay Management Y One Year No
Frequency
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Christopher W. Management Y For No
Brody
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director William V. Management Y For No
Campbell
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Scott D. Cook Management Y For No
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Diane B. Greene Management Y For No
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Edward A. Management Y For No
Kangas
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Suzanne Nora Management Y For No
Johnson
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Dennis D. Powell Management Y For No
Intuit Inc. INTU 461202103 19-Jan-12 Elect Director Brad D. Smith Management Y For No
Intuit Inc. INTU 461202103 19-Jan-12 Ratify Auditors Management Y For No
Intuit Inc. INTU 461202103 19-Jan-12 Amend Qualified Employee Management Y For No
Stock Purchase Plan
Intuit Inc. INTU 461202103 19-Jan-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers'
Compensation
ViaSat, Inc. VSAT 92552V100 27-Jan-12 Advisory Vote on Say on Pay Management Y One Year Yes
Frequency
ViaSat, Inc. VSAT 92552V100 27-Jan-12 Elect Director Mark Dankberg Management Y For No
ViaSat, Inc. VSAT 92552V100 27-Jan-12 Elect Director Michael Targoff Management Y For No
ViaSat, Inc. VSAT 92552V100 27-Jan-12 Elect Director Harvey White Management Y For No
ViaSat, Inc. VSAT 92552V100 27-Jan-12 Ratify Auditors Management Y For No
ViaSat, Inc. VSAT 92552V100 27-Jan-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers'
Compensation
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Nicholas Management Y Withhold Yes
Inc. Donatiello, Jr.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Ted W. Hall Management Y Withhold Yes
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Roger Siboni Management Y Withhold Yes
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Kevin Yeaman Management Y For No
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Peter Gotcher Management Y For No
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director David Dolby Management Y For No
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Bill Jasper Management Y For No
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Sanford Management Y For No
Inc. Robertson
Dolby Laboratories, DLB 25659T107 07-Feb-12 Elect Director Avadis Tevanian, Management Y For No
Inc. Jr.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Ratify Auditors Management Y For No
Inc.
Dolby Laboratories, DLB 25659T107 07-Feb-12 Approve Stock Option Management Y Against Yes
Inc. Exchange Program
Varian Medical VAR 92220P105 09-Feb-12 Elect Director Timothy E. Management Y For No
Systems, Inc. Guertin
Varian Medical VAR 92220P105 09-Feb-12 Elect Director David J. Management Y For No
Systems, Inc. Illingworth
Varian Medical VAR 92220P105 09-Feb-12 Elect Director Ruediger Management Y For No
Systems, Inc. Naumann-Etienne
Varian Medical VAR 92220P105 09-Feb-12 Advisory Vote to Ratify Named Management Y For No
Systems, Inc. Executive Officers'
Compensation
Varian Medical VAR 92220P105 09-Feb-12 Ratify Auditors Management Y For No
Systems, Inc.
Varian Medical VAR 92220P105 09-Feb-12 Amend Omnibus Stock Plan Management Y Against Yes
Systems, Inc.
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Ralf R. Boer Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Stephen P. Management Y For No
Cortinovis
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director David J. Drury Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Dean A. Foate Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Peter Kelly Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Phil R. Martens Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director John L. Management Y For No
Nussbaum
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Michael V. Management Y For No
Schrock
Plexus Corp. PLXS 729132100 15-Feb-12 Elect Director Mary A. Winston Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Ratify Auditors Management Y For No
Plexus Corp. PLXS 729132100 15-Feb-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director William V. Management Y For No
Campbell
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Timothy D. Cook Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Millard S. Drexler Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Al Gore Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Robert A. Iger Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Andrea Jung Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Arthur D. Levinson Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Elect Director Ronald D. Sugar Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Ratify Auditors Management Y For No
Apple Inc. AAPL 037833100 23-Feb-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Apple Inc. AAPL 037833100 23-Feb-12 Require a Majority Vote for the Share Holder Y For Yes
Election of Directors
Apple Inc. AAPL 037833100 23-Feb-12 Prepare Conflict of Interest Report Share Holder Y Against No
Apple Inc. AAPL 037833100 23-Feb-12 Advisory Vote to Ratify Directors' Share Holder Y Against No
Compensation
Apple Inc. AAPL 037833100 23-Feb-12 Report on Political Contributions Share Holder Y Against No
Adobe Systems ADBE 00724F101 12-Apr-12 Elect Director Edward W. Management Y For No
Incorporated Barnholt
Adobe Systems ADBE 00724F101 12-Apr-12 Elect Director Michael R. Cannon Management Y For No
Incorporated
Adobe Systems ADBE 00724F101 12-Apr-12 Elect Director James E. Daley Management Y For No
Incorporated
Adobe Systems ADBE 00724F101 12-Apr-12 Elect Director Charles M. Management Y For No
Incorporated Geschke
Adobe Systems ADBE 00724F101 12-Apr-12 Elect Director Shantanu Narayen Management Y For No
Incorporated
Adobe Systems ADBE 00724F101 12-Apr-12 Ratify Auditors Management Y For No
Incorporated
Adobe Systems ADBE 00724F101 12-Apr-12 Amend Omnibus Stock Plan Management Y Against Yes
Incorporated
Adobe Systems ADBE 00724F101 12-Apr-12 Advisory Vote to Ratify Named Management Y Against Yes
Incorporated Executive Officers' Compensation
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Elect Director Gary S. Guthart Management Y For No
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Elect Director Mark J. Rubash Management Y For No
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Elect Director Lonnie M. Smith Management Y For No
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Declassify the Board of Directors Management Y For No
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Ratify Auditors Management Y For No
Intuitive Surgical, Inc. ISRG 46120E602 19-Apr-12 Amend Stock Option Plan Management Y Against Yes
Eaton Corporation ETN 278058102 25-Apr-12 Elect Director Alexander M. Management Y For No
Cutler
Eaton Corporation ETN 278058102 25-Apr-12 Elect Director Arthur E. Johnson Management Y For No
Eaton Corporation ETN 278058102 25-Apr-12 Elect Director Deborah L. McCoy Management Y For No
Eaton Corporation ETN 278058102 25-Apr-12 Ratify Auditors Management Y For No
Eaton Corporation ETN 278058102 25-Apr-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Eaton Corporation ETN 278058102 25-Apr-12 Approve Omnibus Stock Plan Management Y Against Yes
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Declassify the Board of Directors Management Y For No
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Elect Director Timothy K. Armour Management Y For No
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Elect Director J. Richard Management Y For No
Fredericks
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Elect Director Lawrence E. Management Y For No
Kochard
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Ratify Auditors Management Y For No
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Require Independent Board Share Holder Y For Yes
Chairman
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Amend Omnibus Stock Plan Management Y Against Yes
Janus Capital Group Inc. JNS 47102X105 26-Apr-12 Advisory Vote to Ratify Named Management Y Against Yes
Executive Officers' Compensation
Noble Corporation NE H5833N103 27-Apr-12 Approve Decrease in Size of Management Y For No
Board
Noble Corporation NE H5833N103 27-Apr-12 Elect Director Julie H. Edwards Management Y For No
Noble Corporation NE H5833N103 27-Apr-12 Elect Director David W. Williams Management Y For No
Noble Corporation NE H5833N103 27-Apr-12 Accept Financial Statements and Management Y For No
Statutory Reports
Noble Corporation NE H5833N103 27-Apr-12 Approve Dividends Management Y For No
Noble Corporation NE H5833N103 27-Apr-12 Ratify PricewaterhouseCoopers Management Y For No
LLP as Independent Registered
Public Accounting Firm and
PricewaterhouseCoopers AG as
Statutory Auditor
Noble Corporation NE H5833N103 27-Apr-12 Approve Discharge of Board and Management Y For No
Senior Management
Noble Corporation NE H5833N103 27-Apr-12 Advisory Vote to Ratify Named Management Y Against Yes
Executive Officers' Compensation
Noble Corporation NE H5833N103 27-Apr-12 Amend Omnibus Stock Plan Management Y Against Yes
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Steven W. Management Y For No
Limited Berglund
Trimble Navigation TRMB 896239100 01-May-12 Elect Director John B. Goodrich Management Y For No
Limited
Trimble Navigation TRMB 896239100 01-May-12 Elect Director William Hart Management Y For No
Limited
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Merit E. Janow Management Y For No
Limited
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Ulf J. Johansson Management Y For No
Limited
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Ronald S. Management Y For No
Limited Nersesian
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Bradford W. Management Y For No
Limited Parkinson
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Mark S. Peek Management Y For No
Limited
Trimble Navigation TRMB 896239100 01-May-12 Elect Director Nickolas W. Vande Management Y For No
Limited Steeg
Trimble Navigation TRMB 896239100 01-May-12 Amend Qualified Employee Stock Management Y For No
Limited Purchase Plan
Trimble Navigation TRMB 896239100 01-May-12 Advisory Vote to Ratify Named Management Y For No
Limited Executive Officers' Compensation
Trimble Navigation TRMB 896239100 01-May-12 Ratify Auditors Management Y For No
Limited
Trimble Navigation TRMB 896239100 01-May-12 Amend Omnibus Stock Plan Management Y Against Yes
Limited
ARM Holdings plc ARM G0483X122 03-May-12 Accept Financial Statements and Management Y For No
Statutory Reports
ARM Holdings plc ARM G0483X122 03-May-12 Approve Final Dividend Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Approve Remuneration Report Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Elect Sir John Buchanan as Management Y For No
Director
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Warren East as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Andy Green as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Larry Hirst as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Mike Inglis as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Mike Muller as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Kathleen O'Donovan as Management Y For No
Director
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Janice Roberts as Management Y For No
Director
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Philip Rowley as Management Y For No
Director
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Tim Score as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Simon Segars as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Re-elect Young Sohn as Director Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Reappoint PricewaterhouseCoopers Management Y For No
LLP as Auditors
ARM Holdings plc ARM G0483X122 03-May-12 Authorise Board to Fix Management Y For No
Remuneration of Auditors
ARM Holdings plc ARM G0483X122 03-May-12 Authorise Issue of Equity with Pre- Management Y For No
emptive Rights
ARM Holdings plc ARM G0483X122 03-May-12 Authorise Issue of Equity without Management Y For No
Pre-emptive Rights
ARM Holdings plc ARM G0483X122 03-May-12 Authorise Market Purchase Management Y For No
ARM Holdings plc ARM G0483X122 03-May-12 Authorise the Company to Call EGM Management Y For No
with Two Weeks' Notice
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Bruce L. Claflin Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director W. Michael Barnes Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director John E. Caldwell Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Henry WK Chow Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Craig A. Conway Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Nicholas M. Donofrio Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director H. Paulett Eberhart Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Waleed Muhairi Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Robert B. Palmer Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Elect Director Rory P. Read Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Ratify Auditors Management Y For No
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Advanced Micro Devices, Inc. AMD 007903107 10-May-12 Amend Omnibus Stock Plan Management Y Against Yes
E*TRADE Financial ETFC 269246401 10-May-12 Declassify the Board of Directors Management Y For No
Corporation
E*TRADE Financial ETFC 269246401 10-May-12 Elect Director Rodger A. Lawson Management Y For No
Corporation
E*TRADE Financial ETFC 269246401 10-May-12 Elect Director Frank J. Petrilli Management Y For No
Corporation
E*TRADE Financial ETFC 269246401 10-May-12 Elect Director Rebecca Saeger Management Y For No
Corporation
E*TRADE Financial ETFC 269246401 10-May-12 Elect Director Joseph L. Sclafani Management Y For No
Corporation
E*TRADE Financial ETFC 269246401 10-May-12 Elect Director Stephen H. Willard Management Y For No
Corporation
E*TRADE Financial ETFC 269246401 10-May-12 Advisory Vote to Ratify Named Management Y For No
Corporation Executive Officers' Compensation
E*TRADE Financial ETFC 269246401 10-May-12 Ratify Auditors Management Y For No
Corporation
Edwards Lifesciences EW 28176E108 10-May-12 Elect Director Mike R. Bowlin Management Y For No
Corporation
Edwards Lifesciences EW 28176E108 10-May-12 Elect Director Barbara J. McNeil Management Y For No
Corporation
Edwards Lifesciences EW 28176E108 10-May-12 Elect Director Michael A. Management Y For No
Corporation Mussallem
Edwards Lifesciences EW 28176E108 10-May-12 Advisory Vote to Ratify Named Management Y For No
Corporation Executive Officers' Compensation
Edwards Lifesciences EW 28176E108 10-May-12 Ratify Auditors Management Y For No
Corporation
Edwards Lifesciences EW 28176E108 10-May-12 Declassify the Board of Directors Share Holder Y For No
Corporation
Edwards Lifesciences EW 28176E108 10-May-12 Reduce Supermajority Vote Share Holder Y For Yes
Corporation Requirement
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director David Barger Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Jens Bischof Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Peter Boneparth Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director David Checketts Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Virginia Gambale Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Stephan Gemkow Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Ellen Jewett Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Stanley McChrystal Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Joel Peterson Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Ann Rhoades Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Elect Director Frank Sica Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Ratify Auditors Management Y For No
JetBlue Airways Corporation JBLU 477143101 10-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Edwards Lifesciences EW 28176E108 10-May-12 Amend Omnibus Stock Plan Management Y Against Yes
Corporation
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors Selim A. Bassoul Management Y Withhold Yes
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors Robert B. Lamb Management Y For No
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors Ryan Levenson Management Y For No
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors John R. Miller III Management Y For No
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors Gordon O'Brien Management Y For No
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors Philip G. Putnam Management Y For No
The Middleby Corporation MIDD 596278101 10-May-12 Elect Directors Sabin C. Streeter Management Y For No
The Middleby Corporation MIDD 596278101 10-May-12 Require a Majority Vote for the Share Holder Y For No
Election of Directors
The Middleby Corporation MIDD 596278101 10-May-12 Advisory Vote to Ratify Named Management Y Against Yes
Executive Officers' Compensation
Akamai Technologies, Inc. AKAM 00971T101 16-May-12 Elect Director George H. Conrades Management Y For No
Akamai Technologies, Inc. AKAM 00971T101 16-May-12 Elect Director Martin M. Coyne, II Management Y For No
Akamai Technologies, Inc. AKAM 00971T101 16-May-12 Elect Director Jill A. Greenthal Management Y For No
Akamai Technologies, Inc. AKAM 00971T101 16-May-12 Elect Director Geoffrey A. Moore Management Y For No
Akamai Technologies, Inc. AKAM 00971T101 16-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Akamai Technologies, Inc. AKAM 00971T101 16-May-12 Ratify Auditors Management Y For No
Gentex Corporation GNTX 371901109 17-May-12 Elect Director Fred Bauer Management Y Withhold Yes
Gentex Corporation GNTX 371901109 17-May-12 Elect Director Gary Goode Management Y Withhold Yes
Gentex Corporation GNTX 371901109 17-May-12 Elect Director Jim Wallace Management Y Withhold Yes
Gentex Corporation GNTX 371901109 17-May-12 Declassify the Board of Directors Management Y For No
Gentex Corporation GNTX 371901109 17-May-12 Prepare Sustainability Report Share Holder Y For Yes
Gentex Corporation GNTX 371901109 17-May-12 Ratify Auditors Management Y For No
Gentex Corporation GNTX 371901109 17-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Gentex Corporation GNTX 371901109 17-May-12 Approve Non-Employee Director Management Y For No
Stock Option Plan
Landstar System, Inc. LSTR 515098101 24-May-12 Elect Director Jeffrey C. Crowe Management Y For No
Landstar System, Inc. LSTR 515098101 24-May-12 Elect Director Henry H. Gerkens Management Y For No
Landstar System, Inc. LSTR 515098101 24-May-12 Ratify Auditors Management Y For No
Landstar System, Inc. LSTR 515098101 24-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Landstar System, Inc. LSTR 515098101 24-May-12 Amend Executive Incentive Bonus Management Y For No
Plan
Limited Brands, Inc. LTD 532716107 24-May-12 Elect Director James L. Heskett Management Y For No
Limited Brands, Inc. LTD 532716107 24-May-12 Elect Director Allan R. Tessler Management Y For No
Limited Brands, Inc. LTD 532716107 24-May-12 Elect Director Abigail S. Wexner Management Y For No
Limited Brands, Inc. LTD 532716107 24-May-12 Ratify Auditors Management Y For No
Limited Brands, Inc. LTD 532716107 24-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Limited Brands, Inc. LTD 532716107 24-May-12 Reduce Supermajority Vote Management Y For No
Requirement
Limited Brands, Inc. LTD 532716107 24-May-12 Declassify the Board of Directors Share Holder Y For Yes
Limited Brands, Inc. LTD 532716107 24-May-12 Amend Articles/Bylaws/Charter -- Share Holder Y For Yes
Call Special Meetings
Limited Brands, Inc. LTD 532716107 24-May-12 Stock Retention/Holding Period Share Holder Y For Yes
Lincoln National Corporation LNC 534187109 24-May-12 Elect Director George W. Management Y For No
Henderson, III
Lincoln National Corporation LNC 534187109 24-May-12 Elect Director Eric G. Johnson Management Y For No
Lincoln National Corporation LNC 534187109 24-May-12 Elect Director M. Leanne Lachman Management Y For No
Lincoln National Corporation LNC 534187109 24-May-12 Elect Director Isaiah Tidwell Management Y For No
Lincoln National Corporation LNC 534187109 24-May-12 Ratify Auditors Management Y For No
Lincoln National Corporation LNC 534187109 24-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Limited Brands, Inc. LTD 532716107 24-May-12 Require Independent Board Share Holder Y Against No
Chairman
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Jeffrey Katzenberg Management Y Withhold Yes
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Roger A. Enrico Management Y Withhold Yes
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Thomas E. Freston Management Y Withhold Yes
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Lewis W. Coleman Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Harry Brittenham Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Mellody Hobson Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Michael Montgomery Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Nathan Myhrvold Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Elect Director Richard Sherman Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Ratify Auditors Management Y For No
Inc.
DreamWorks Animation SKG, DWA 26153C103 29-May-12 Advisory Vote to Ratify Named Management Y For No
Inc. Executive Officers' Compensation
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Roy A. Whitfield Management Y Withhold Yes
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Richard U. De Management Y For No
Schutter
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Barry M. Ariko Management Y For No
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Julian C. Baker Management Y For No
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Paul A. Brooke Management Y For No
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Wendy L. Dixon Management Y For No
Incyte Corporation INCY 45337C102 30-May-12 Elect Director Paul A. Friedman Management Y For No
Incyte Corporation INCY 45337C102 30-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Incyte Corporation INCY 45337C102 30-May-12 Ratify Auditors Management Y For No
Incyte Corporation INCY 45337C102 30-May-12 Amend Omnibus Stock Plan Management Y Against Yes
Select Comfort Corporation SCSS 81616X103 30-May-12 Elect Director Stephen L. Gulis, Jr. Management Y For No
Select Comfort Corporation SCSS 81616X103 30-May-12 Elect Director Brenda J. Lauderback Management Y For No
Select Comfort Corporation SCSS 81616X103 30-May-12 Elect Director Ervin R. Shames Management Y For No
Select Comfort Corporation SCSS 81616X103 30-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Select Comfort Corporation SCSS 81616X103 30-May-12 Ratify Auditors Management Y For No
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Elect Morten Arntzen as Director Management Y For No
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Elect Bernard W. Aronson as Management Y For No
Director
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Elect Richard D. Fain as Director Management Y For No
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Elect Ann S. Moore as Director Management Y For No
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Ratify PricewaterhouseCoopers LLP Management Y For No
as Auditors
Royal Caribbean Cruises Ltd. RCL V7780T103 31-May-12 Report on Political Contributions Share Holder Y For Yes
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director David Overton Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director Alexander L. Management Y For No
Incorporated Cappello
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director Thomas L. Gregory Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director Jerome I. Kransdorf Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director Laurence B. Mindel Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director David B. Pittaway Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Elect Director Herbert Simon Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Ratify Auditors Management Y For No
Incorporated
The Cheesecake Factory CAKE 163072101 31-May-12 Advisory Vote to Ratify Named Management Y For No
Incorporated Executive Officers' Compensation
Garmin Ltd. GRMN G37260109 01-Jun-12 Accept Consolidated Financial Management Y For No
Statements and Statutory Reports
Garmin Ltd. GRMN G37260109 01-Jun-12 Approve Discharge of Board and Management Y For No
Senior Management
Garmin Ltd. GRMN G37260109 01-Jun-12 Elect Director Min H. Kao Management Y For No
Garmin Ltd. GRMN G37260109 01-Jun-12 Elect Director Charles W. Peffer Management Y For No
Garmin Ltd. GRMN G37260109 01-Jun-12 Ratify Auditors Management Y For No
Garmin Ltd. GRMN G37260109 01-Jun-12 Approve Dividends Management Y For No
Garmin Ltd. GRMN G37260109 01-Jun-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Theodore M. Management Y For No
Armstrong
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Richard N. Cabela Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director James W. Cabela Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director John H. Edmondson Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director John Gottschalk Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Dennis Highby Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Reuben Mark Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Michael R. McCarthy Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Thomas L. Millner Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Elect Director Beth M. Pritchard Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Ratify Auditors Management Y For No
Cabela's Incorporated CAB 126804301 06-Jun-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Robert F. Bernstock Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Michael F. Devine, III Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Michael J. Hagan Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Warren V. (Pete) Management Y For No
Musser
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Joseph M. Redling Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Brian P. Tierney Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Elect Director Stephen T. Zarrilli Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Ratify Auditors Management Y For No
Nutrisystem, Inc. NTRI 67069D108 06-Jun-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
tw telecom inc. TWTC 87311L104 07-Jun-12 Elect Director Gregory J. Attorri Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Elect Director Spencer B. Hays Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Elect Director Larissa L. Herda Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Elect Director Kevin W. Mooney Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Elect Director Kirby G. Pickle Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Elect Director Roscoe C. Young, II Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Ratify Auditors Management Y For No
tw telecom inc. TWTC 87311L104 07-Jun-12 Require Independent Board Share Holder Y For Yes
Chairman
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Thomas L. Monahan, Management Y For No
Board Company III
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Gregor S. Bailar Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Stephen M. Carter Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Gordon J. Coburn Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director L. Kevin Cox Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Nancy J. Karch Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Daniel O. Leemon Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Elect Director Jeffrey R. Tarr Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Ratify Auditors Management Y For No
Board Company
The Corporate Executive EXBD 21988R102 07-Jun-12 Advisory Vote to Ratify Named Management Y For No
Board Company Executive Officers' Compensation
The Corporate Executive EXBD 21988R102 07-Jun-12 Approve Omnibus Stock Plan Management Y Against Yes
Board Company
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Carl Bass Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Crawford W. Management Y For No
Beveridge
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director J. Hallam Dawson Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Per-Kristian Management Y For No
Halvorsen
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Mary T. McDowell Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Lorrie M. Norrington Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Charles J. Robel Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Stacy J. Smith Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Elect Director Steven M. West Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Ratify Auditors Management Y For No
Autodesk, Inc. ADSK 052769106 07-Jun-12 Advisory Vote to Ratify Named Management Y Against Yes
Executive Officers' Compensation
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Zein Abdalla Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Jose B. Alvarez Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Alan M. Bennett Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Bernard Cammarata Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director David T. Ching Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Michael F. Hines Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Amy B. Lane Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Carol Meyrowitz Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director John F. O'Brien Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Elect Director Willow B. Shire Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Ratify Auditors Management Y For No
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Amend Executive Incentive Bonus Management Y For No
Plan
The TJX Companies, Inc. TJX 872540109 13-Jun-12 Advisory Vote to Ratify Named Management Y For No
Executive Officers' Compensation
GRANDEUR PEAK GLOBAL OPPORTUNITIES FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-8194
Reporting Period: 07/01/2011 - 06/30/2012
Grandeur Peak Global Advisors
=================== Grandeur Peak Global Opportunities Fund ====================
1000MERCIS
Ticker: ALMIL Security ID: F6734R104
Meeting Date: JUN 06, 2012 Meeting Type: Annual/Special
Record Date: MAY 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Discharge Directors and Auditors
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.30 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Acknowledge Absence of Non-Tax For For Management
Deductible Expenses
6 Reelect Yseulys Costes as Director For Against Management
7 Reelect Thibaut Munier as Director For Against Management
8 Reelect Cecile Moulard as Director For Against Management
9 Renew Appointment of Bellot Mullenbach For For Management
& Associes as Auditor
10 Renew Appointment of Jean-Luc Loir as For For Management
Alternate Auditor
11 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 6,000
12 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
13 Authorize Directed Share Repurchase For Against Management
Program in Order to Reduce Capital
14 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
3D SYSTEMS CORPORATION
Ticker: DDD Security ID: 88554D205
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William E. Curran For For Management
1.2 Elect Director Charles W. Hull For For Management
1.3 Elect Director Jim D. Kever For For Management
1.4 Elect Director G.w. Loewenbaum, II For For Management
1.5 Elect Director Kevin S. Moore For For Management
1.6 Elect Director Abraham N. Reichental For For Management
1.7 Elect Director Daniel S. Van Riper For For Management
1.8 Elect Director Karen E. Welke For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ABCAM PLC
Ticker: ABC Security ID: G0060R118
Meeting Date: OCT 21, 2011 Meeting Type: Annual
Record Date: OCT 19, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
5 Re-elect Tony Kouzarides as Director For For Management
6 Re-elect Jim Warwick as Director For For Management
7 Elect Tony Martin as Director For For Management
8 Authorise Issue of Equity with For For Management
Pre-emptive Rights
9 Authorise Issue of Equity without For For Management
Pre-emptive Rights
10 Authorise Market Purchase For For Management
--------------------------------------------------------------------------------
ADVTECH LTD
Ticker: ADH Security ID: S0065B115
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAY 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 December 2011
2 Elect Christopher Boulle as Alternate For Against Management
Director
3 Receive Retirement of David Ferreira For For Management
4 Re-elect Jonathan Jansen as Director For For Management
5 Re-elect Hymie Levin as Director For Against Management
6 Re-elect Didier Oesch as Director For For Management
7 Elect Christopher Boulle and Re-elect For Against Management
Brenda Gourley, Jeffrey Livingstone
and Hymie Levin as Members of the
Audit Committee
8 Reappoint Deloitte & Touche as For For Management
Auditors of the Company and S Nelson
as the Designated Auditor
9 Approve Cash Distribution to For For Management
Shareholders by Way of Reduction of
Share Premium Account
10 Approve Remuneration Policy For Against Management
1 Approve Non-Executive Directors Fees For For Management
2 Approve Financial Assistance to For For Management
Subsidiaries and Related or
Inter-related Companies
3 Adopt New Memorandum of Incorporation For For Management
4 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
5 Approve Cancellation of N Ordinary For For Management
Shares
--------------------------------------------------------------------------------
AEON CREDIT SERVICE (M) BHD
Ticker: AEONCR Security ID: Y0018E102
Meeting Date: JUN 19, 2012 Meeting Type: Annual
Record Date: JUN 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.168 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Takatoshi Ikenishi as Director For For Management
5 Elect Clarence Chai as Director For For Management
6 Elect Abdullah bin Mohd Yusof as For For Management
Director
7 Elect Ramli bin Ibrahim as Director For For Management
8 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
10 Approve Implementation of For For Management
Shareholders' Mandate for Recurrent
Related Party Transactions
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
ALLEGIANT TRAVEL COMPANY
Ticker: ALGT Security ID: 01748X102
Meeting Date: JUN 05, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Montie R. Brewer For Withhold Management
1.2 Elect Director Gary Ellmer For Withhold Management
1.3 Elect Director Timothy P. Flynn For Withhold Management
1.4 Elect Director Maurice J. Gallagher, For Withhold Management
Jr.
1.5 Elect Director Charles W. Pollard For Withhold Management
1.6 Elect Director John Redmond For Withhold Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
AMADEUS FIRE AG
Ticker: AAD Security ID: D0349N105
Meeting Date: MAY 31, 2012 Meeting Type: Annual
Record Date: MAY 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 2.84 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify Ernst & Young as Auditors for For For Management
Fiscal 2012
6 Elect Karl Graf zu Eltz to the For For Management
Supervisory Board
--------------------------------------------------------------------------------
AMPHENOL CORPORATION
Ticker: APH Security ID: 032095101
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Edward G. Jepsen For For Management
1.2 Elect Director John R. Lord For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Declassify the Board of Directors For For Management
5 Reduce Supermajority Vote Requirement For For Management
6 Approve Non-Employee Director For For Management
Restricted Stock Plan
7 Reduce Supermajority Vote Requirement Against For Shareholder
--------------------------------------------------------------------------------
AMSURG CORP.
Ticker: AMSG Security ID: 03232P405
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: APR 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas G. Cigarran For Withhold Management
1.2 Elect Director John W. Popp, Jr. For For Management
1.3 Elect Director Cynthia S. Miller For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Adopt Majority Voting for Uncontested For For Management
Election of Directors
4 Amend Omnibus Stock Plan For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ARA ASSET MANAGEMENT LTD.
Ticker: D1R Security ID: G04512102
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.027 For For Management
Per Share
3 Reelect Lim Hwee Chiang John as For For Management
Director
4 Reelect Ip Tak Chuen Edmond as Director For For Management
5 Reelect Lee Yock Suan as Director For For Management
6 Approve Directors' Fees of SGD 490,000 For For Management
for the Financial Year Ending Dec. 31,
2012
7 Reappoint KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Mandate for Transactions with For For Management
Related Parties
10 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
Ticker: ARCC Security ID: 04010L103
Meeting Date: JUN 04, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Gregory W. Penske For For Management
1.2 Elect Director Robert L. Rosen For For Management
1.3 Elect Director Bennett Rosenthal For For Management
2 Ratify Auditors For For Management
3 Approve Issuance of Shares Below Net For For Management
Asset Value (NAV)
--------------------------------------------------------------------------------
ATHENAHEALTH, INC.
Ticker: ATHN Security ID: 04685W103
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: APR 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James L. Mann For For Management
1.2 Elect Director David E. Robinson For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ATRICURE, INC.
Ticker: ATRC Security ID: 04963C209
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mark A. Collar For Withhold Management
1.2 Elect Director David J. Drachman For For Management
1.3 Elect Director Donald C. Harrison For For Management
1.4 Elect Director Michael D. Hooven For For Management
1.5 Elect Director Richard M. Johnston For For Management
1.6 Elect Director Elizabeth D. Krell For For Management
1.7 Elect Director Mark R. Lanning For For Management
1.8 Elect Director Karen P. Robards For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ATRIUM INNOVATIONS INC.
Ticker: ATB Security ID: 04963Y102
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yvon Bolduc For For Management
1.2 Elect Director Alain Bouchard For For Management
1.3 Elect Director Eric Dupont For For Management
1.4 Elect Director Pierre Fitzgibbon For For Management
1.5 Elect Director Jacques Gauthier For For Management
1.6 Elect Director Yves Julien For For Management
1.7 Elect Director Claude Lamoureux For For Management
1.8 Elect Director Pierre Laurin For For Management
1.9 Elect Director Gerard Limoges For For Management
1.10 Elect Director Carole St-Charles For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
AUDIKA GROUPE
Ticker: ADI Security ID: F0490T107
Meeting Date: JUN 13, 2012 Meeting Type: Annual/Special
Record Date: JUN 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.27 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Reelect Dominique Baudouin Tonnard as For Against Management
Director
6 Reelect European Capital SA Sicar as For Against Management
Director
7 Authorize Repurchase of Up to 10 For Against Management
Percent of Issued Share Capital
8 Authorize Share Repurchase Program and For Against Management
Cancellation of Repurchased Shares
9 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of 20 Pecrcent of
Capital
10 Authorize Board to Increase Capital in For For Management
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Above
11 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of 20 Pecrcent of
Capital
12 Approve Issuance of up to 20 Percent For Against Management
of Issued Capital Per Year for a
Private Placement
13 Authorize Capital Increase of up to 10 For Against Management
Percent of Issued Capital for Future
Acquisitions
14 Approve Employee Stock Purchase Plan Against For Management
15 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
AUSENCO LTD.
Ticker: AAX Security ID: Q0704C104
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date: APR 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.a Elect Hank Tuten as Director For For Management
1.b Elect Wayne Goss as Director For For Management
2 Approve Remuneration Report For For Management
3.a Approve the Ausenco Limited Stock For Against Management
Option Plan
3.b Approve the Ausenco Limited For For Management
Performance Rights Plan
3.c Approve the Ausenco Limited Employee For For Management
Share Acquisition Plan
--------------------------------------------------------------------------------
BANCO ABC BRASIL S.A.
Ticker: ABCB4 Security ID: P0763M135
Meeting Date: APR 30, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Directors For Against Management
4 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
BEAZLEY PLC
Ticker: BEZ Security ID: G1143Q101
Meeting Date: MAR 27, 2012 Meeting Type: Annual
Record Date: MAR 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Second Interim Dividend For For Management
4 Re-elect George Blunden as Director For For Management
5 Re-elect Martin Bride as Director For For Management
6 Re-elect Adrian Cox as Director For For Management
7 Re-elect Jonathan Gray as Director For For Management
8 Re-elect Gordon Hamilton as Director For For Management
9 Elect Dennis Holt as Director For For Management
10 Re-elect Andrew Horton as Director For For Management
11 Re-elect Neil Maidment as Director For For Management
12 Re-elect Padraic O'Connor as Director For For Management
13 Re-elect Vincent Sheridan as Director For For Management
14 Re-elect Ken Sroka as Director For For Management
15 Re-elect Rolf Tolle as Director For For Management
16 Re-elect Clive Washbourn as Director For For Management
17 Reappoint KPMG as Auditors For For Management
18 Authorise Board to Fix Remuneration of For For Management
Auditors
19 Authorise Issue of Equity with For For Management
Pre-emptive Rights
20 Approve Long Term Incentive Plan For For Management
21 Approve Save As You Earn Share Option For For Management
Plan
22 Authorise Issue of Equity without For For Management
Pre-emptive Rights
23 Authorise Market Purchase For For Management
24 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BERTRANDT AG
Ticker: BDT Security ID: D1014N107
Meeting Date: FEB 15, 2012 Meeting Type: Annual
Record Date: JAN 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2010/2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 1.70 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2010/2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2010/2011
5 Amend Articles Re: Remuneration of For For Management
Supervisory Board
6 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2011/2012
--------------------------------------------------------------------------------
BIG 5 SPORTING GOODS CORPORATION
Ticker: BGFV Security ID: 08915P101
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: APR 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director G. Michael Brown For Withhold Management
1.2 Elect Director Dominic P. DeMarco For For Management
1.3 Elect Director David R. Jessick For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
BREADTALK GROUP LTD
Ticker: 5DA Security ID: Y0969F108
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For Against Management
Directors' and Auditors' Reports
2 Declare First and Final Dividend of For For Management
SGD 0.01 Per Share and Special
Dividend of SGD 0.005 Per Share
3 Reelect George Quek Meng Tong as For Against Management
Director
4 Reelect Ong Kian Min as Director For Against Management
5 Approve Directors' Fees of SGD 168,000 For For Management
for the Year Ended Dec. 31, 2011
6 Reappoint Ernst & Young LLP as For Against Management
Auditors and Authorize Board to Fix
Their Remuneration
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
8 Approve Issuance of Shares and Grant For Against Management
of Options Under the BreadTalk Group
Limited Employees' Share Option Scheme
9 Approve Issuance of Shares and Grant For Against Management
of Awards Pursuant to the BreadTalk
Group Limited Restricted Share Grant
Plan
10 Approve Grant of Awards of Up to For Against Management
65,000 Shares to George Quek Meng Tong
Pursuant to the BreadTalk Group
Limited Restricted Share Grant Plan
11 Approve Grant of Awards of Up to For Against Management
65,000 Shares to Katherine Lee Lih
Leng Pursuant to the BreadTalk Group
Limited Restricted Share Grant Plan
12 Approve Grant of Awards of Up to For Against Management
25,000 Shares to Frankie Quek Swee
Heng Pursuant to the BreadTalk Group
Limited Restricted Share Grant Plan
13 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
BRUNEL INTERNATIONAL
Ticker: BRNL Security ID: N1677J103
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: APR 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Receive Report of Management Board None None Management
(Non-Voting)
3 Adopt Financial Statements For For Management
4 Approve Discharge of Management Board For For Management
5 Approve Discharge of Supervisory Board For For Management
6 Receive Explanation on Company's None None Management
Reserves and Dividend Policy
7 Approve Allocation of Income and For For Management
Dividends of EUR 0.90 per Share
8a Grant Board Authority to Issue Shares For For Management
Up To 5 Percent of Issued Capital
8b Authorize Board to Exclude Preemptive For For Management
Rights from Issuance under Item 8a
9 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
10 Discussion on Company's Corporate None None Management
Governance Structure
11 Ratify Deloitte Accountants B.V. as For For Management
Auditors
12 Allow Questions None None Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
CAPSTEAD MORTGAGE CORPORATION
Ticker: CMO Security ID: 14067E506
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: FEB 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jack Biegler For For Management
1.2 Elect Director Andrew F. Jacobs For For Management
1.3 Elect Director Gary Keiser For For Management
1.4 Elect Director Paul M. Low For For Management
1.5 Elect Director Christopher W. Mahowald For For Management
1.6 Elect Director Michael G. O'Neil For For Management
1.7 Elect Director Mark S. Whiting For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CARSALES.COM LTD.
Ticker: CRZ Security ID: Q21411105
Meeting Date: OCT 26, 2011 Meeting Type: Annual
Record Date: OCT 24, 2011
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Richard Collins as a Director For For Management
4 Elect Walter Pisciotta as a Director For For Management
5 Elect Ian Law as a Director For For Management
6 Approve the Grant of Share Options and For For Management
Performance Rights to Managing
Director Greg Roebuck
--------------------------------------------------------------------------------
CARTER'S, INC.
Ticker: CRI Security ID: 146229109
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Paul Fulton For For Management
2 Elect Director John R. Welch For For Management
3 Elect Director Thomas E. Whiddon For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CEMPRA INC.
Ticker: CEMP Security ID: 15130J109
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: APR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Prabhavathi Fernandes For Withhold Management
1.2 Elect Director David Gill For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CETIP S.A. BALCAO ORGANIZADO DE ATIVOS E DERIVATIVOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: APR 17, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Executive For For Management
Officers and Non-Executive Directors
4 Elect Directors For For Management
--------------------------------------------------------------------------------
CHINA LILANG LTD
Ticker: 01234 Security ID: G21141109
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: APR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final dividend and Special For For Management
Final Dividend
3a Reelect Wang Dong Xing as Executive For For Management
Director
3b Reelect Hu Cheng Chu as Executive For For Management
Director
3c Reelect Wang Ru Ping as Executive For For Management
Director
3d Reelect Nie Xing as Independent For For Management
Non-Executive Director
3e Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint KPMG as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CHINA MEDICAL SYSTEM HOLDINGS LTD.
Ticker: 00867 Security ID: G21108124
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of $0.008 Per For For Management
Share for the Year Ended Dec. 31, 2011
3a Reelect Chen Hongbing as Executive For For Management
Director
3b Reelect Hui Ki Fat as Executive For For Management
Director
3c Reelect Hou Xiaoxuan as Non-Executive For For Management
Director
3d Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Bonus Issue For For Management
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
8 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CLICKS GROUP LTD
Ticker: CLS Security ID: S17249111
Meeting Date: JAN 17, 2012 Meeting Type: Annual
Record Date: JAN 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Year Ended 31
August 2011
2 Reappoint KPMG Inc as Auditors of the For For Management
Company and David Friedland as the
Individual Registered Auditor
3 Re-elect Fatima Abrahams as Director For For Management
4 Re-elect John Bester as Director For For Management
5 Re-elect Bertina Engelbrecht as For For Management
Director
6 Elect Michael Fleming as Director For For Management
7.1 Re-elect John Bester as Member of the For For Management
Audit and Risk Committee
7.2 Re-elect Fatima Jakoet as Member of For For Management
the Audit and Risk Committee
7.3 Elect Nkaki Matlala as Member of the For For Management
Audit and Risk Committee
7.4 Re-elect David Nurek as Member of the For For Management
Audit and Risk Committee
8 Approve Distributions to Shareholders For For Management
by Way of Reduction of Share Premium
Account
9 Approve Remuneration Policy For For Management
10 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
11 Approve Remuneration of Non-Executive For For Management
Directors
12 Approve Financial Assistance to For For Management
Related or Inter-related Companies or
Corporations
--------------------------------------------------------------------------------
COASTAL ENERGY COMPANY
Ticker: CEO Security ID: G22404118
Meeting Date: JUN 19, 2012 Meeting Type: Annual
Record Date: MAY 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Randy Bartley as Director For For Management
1.2 Elect C. Robert Black as Director For Withhold Management
1.3 Elect Andrew Cochran as Director For Withhold Management
1.4 Elect Olivier de Montal as Director For Withhold Management
1.5 Elect William Phelps as Director For For Management
1.6 Elect Lloyd Smith as Director For For Management
1.7 Elect John Zaozirny as Director For Withhold Management
2 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
COLONY FINANCIAL, INC.
Ticker: CLNY Security ID: 19624R106
Meeting Date: MAY 02, 2012 Meeting Type: Annual
Record Date: MAR 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas J. Barrack, Jr. For For Management
1.2 Elect Director Richard B. Saltzman For For Management
1.3 Elect Director George G. C. Parker For For Management
1.4 Elect Director John A. Somers For For Management
1.5 Elect Director John L. Steffens For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
COMPUGROUP MEDICAL AG
Ticker: COP Security ID: D15813211
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.25 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2012
6 Approve Issuance of Warrants/Bonds For Against Management
with Warrants Attached/Convertible
Bonds without Preemptive Rights up to
Aggregate Nominal Amount of EUR 500
Million; Approve Creation of EUR 26.6
Million Pool of Capital to Guarantee
Conversion Rights
--------------------------------------------------------------------------------
COMTEC SOLAR SYSTEMS GROUP LTD.
Ticker: 00712 Security ID: G23420105
Meeting Date: MAR 13, 2012 Meeting Type: Special
Record Date: MAR 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Warrant Subscription Agreement For For Management
and Related Transactions
--------------------------------------------------------------------------------
CONNECTA AB
Ticker: CNTA Security ID: W5682T105
Meeting Date: APR 04, 2012 Meeting Type: Annual
Record Date: MAR 29, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For Did Not Vote Management
3 Prepare and Approve List of For Did Not Vote Management
Shareholders
4 Approve Agenda of Meeting For Did Not Vote Management
5 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
6 Acknowledge Proper Convening of Meeting For Did Not Vote Management
7 Receive Financial Statements and None None Management
Statutory Reports; Receive Auditor's
Report
8a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
8b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 5.90 per Share
8c Approve Discharge of Board and For Did Not Vote Management
President
9 Approve Remuneration of Directors in For Did Not Vote Management
the Ammount of SEK 400,000 for
Chairman and SEK 200,000 for Other
Directors; Approve Remuneration for
Committee Work; Approve Remuneration
of Auditors
10 Reelect Mikael Nachemson (Chair), Lars For Did Not Vote Management
Gronberg, Marianne Hamilton, and
Caroline af Ugglas as Directors; Elect
Soren Belin, and Christer Hellstrom as
New Directors
11 Ratify Deloitte as Auditors For Did Not Vote Management
12 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
13 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Five of Company's
Largest Shareholders to Serve on
Nominating Committee
14 Approve Stock Option Plan for Key For Did Not Vote Management
Employees
15 Authorize Repurchase of up to 10 For Did Not Vote Management
Percent of Issued Share Capital
16 Close Meeting None None Management
--------------------------------------------------------------------------------
COPART, INC.
Ticker: CPRT Security ID: 217204106
Meeting Date: DEC 14, 2011 Meeting Type: Annual
Record Date: OCT 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Willis J. Johnson For Withhold Management
1.2 Elect Director A. Jayson Adair For Withhold Management
1.3 Elect Director Matt Blunt For For Management
1.4 Elect Director Steven D. Cohan For For Management
1.5 Elect Director Daniel J. Englander For For Management
1.6 Elect Director James E. Meeks For Withhold Management
1.7 Elect Director Vincent W. Mitz For Withhold Management
2 Change State of Incorporation [from For For Management
California to Delaware]
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
COVANCE INC.
Ticker: CVD Security ID: 222816100
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert Barchi For For Management
1.2 Elect Director Joseph C. Scodari For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Deferred Compensation Plan For For Management
4 Ratify Auditors For For Management
5 Report on Animal Welfare Act Violations Against Against Shareholder
--------------------------------------------------------------------------------
CRA INTERNATIONAL, INC.
Ticker: CRAI Security ID: 12618T105
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: APR 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Nancy Rose For For Management
1.2 Elect Director Ronald Maheu For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For Against Management
4 Amend Executive Incentive Bonus Plan For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CSE GLOBAL LTD (FRMLY CSE SYSTEMS & ENGINEERING LTD)
Ticker: 544 Security ID: Y8346J107
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare First and Final Dividend of For For Management
SGD 0.02 Per Share
3 Reelect Lim Ming Seong as Director For For Management
4 Reelect Lee Soo Hoon as Director For For Management
5 Reelect Sin Boon Ann as Director For For Management
6 Reelect Richard Last as Director For For Management
7 Approve Directors' Fees of SGD 309,328 For For Management
For the Year Ended Dec. 31, 2011
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
--------------------------------------------------------------------------------
CSG LTD.
Ticker: CSV Security ID: Q30209102
Meeting Date: NOV 24, 2011 Meeting Type: Annual
Record Date: NOV 22, 2011
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Philip Bullock as a Director For For Management
4 Elect Josef Czyzewski as a Director For For Management
5 Ratify the Past Issuance of 9.09 For For Management
Million Shares to Professional and
Sophisticated Investors
6 Approve the Increase in the Maximum For For Management
Aggregate Amount Payable to
Non-Executive Directors
7 Approve the CSG Directors and Employee For For Management
Benefits Plan
8 Approve the Grant of Performance For For Management
Rights Up to a Maximum Value of
$200,000 to Denis Mackenzie, Managing
Director
--------------------------------------------------------------------------------
CUB ELECPARTS INC.
Ticker: 2231 Security ID: Y1823N105
Meeting Date: JUN 19, 2012 Meeting Type: Annual
Record Date: APR 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve to Amend the Articles of For For Management
Association
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
--------------------------------------------------------------------------------
CVS GROUP PLC
Ticker: CVSG Security ID: G27234106
Meeting Date: DEC 08, 2011 Meeting Type: Annual
Record Date: DEC 06, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
3 Authorise Board to Fix Remuneration of For For Management
Auditors
4 Approve Final Dividend For For Management
5 Re-elect Richard Connell as Director For For Management
6 Re-elect Simon Innes as Director For For Management
7 Re-elect Paul Coxon as Director For For Management
8 Re-elect David Timmins as Director For For Management
9 Authorise Issue of Equity with For For Management
Pre-emptive Rights
10 Authorise Issue of Equity without For For Management
Pre-emptive Rights
11 Authorise Market Purchase For For Management
--------------------------------------------------------------------------------
DAEWOONG PHARMACEUTICAL CO.
Ticker: 069620 Security ID: Y1915W104
Meeting Date: MAR 16, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 800 per Share
2 Amend Articles of Incorporation For Against Management
3 Elect Three Inside Directors and One For For Management
Outiside Director (Bundled)
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
DAIKEN MEDICAL CO., LTD.
Ticker: 7775 Security ID: J11299104
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles To Expand Board For For Management
Eligibility
2.1 Elect Director Yamada, Mitsuru For Against Management
2.2 Elect Director Yamada, Keiichi For Against Management
2.3 Elect Director Yamada, Masayuki For For Management
2.4 Elect Director Ohama, Masahiko For For Management
2.5 Elect Director Tokuyama, Heiretsu For For Management
2.6 Elect Director Yanagihori, Shinji For For Management
2.7 Elect Director Koga, Yoshihisa For For Management
3.1 Appoint Statutory Auditor Kambaru, For For Management
Yasushi
3.2 Appoint Statutory Auditor Daikuya, For Against Management
Hiroshi
3.3 Appoint Statutory Auditor Iwaki, Motomi For For Management
--------------------------------------------------------------------------------
DIAMOND HILL INVESTMENT GROUP, INC.
Ticker: DHIL Security ID: 25264R207
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: MAR 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director R. H. Dillon For For Management
1.2 Elect Director James F. Laird For For Management
1.3 Elect Director David P. Lauer For For Management
1.4 Elect Director Peter J. Moran For For Management
1.5 Elect Director Donald B. Shackelford For For Management
1.6 Elect Director Frances A. Skinner For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
DIBS PAYMENT SERVICES AB
Ticker: DIBS Security ID: W2145F103
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: MAY 03, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Elect Lars Widhagen as For Did Not Vote Management
Chairman of Meeting
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Approve Agenda of Meeting For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Acknowledge Proper Convening of Meeting For Did Not Vote Management
6 Receive Financial Statements and None None Management
Statutory Reports; Receive Auditor's
Report
7a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
7b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 2.00 per Share
7c Approve Discharge of Board and For Did Not Vote Management
President
8 Determine Number of Members (5) and For Did Not Vote Management
Deputy Members (0) of Board; Determine
Number of Auditors (1) and Deputy
Auditors (0)
9 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 300,000 for Chairman
and SEK 150,000 for Other Directors;
Approve Remuneration of Auditors
10 Reelect Thord Wilkne, Peter For Did Not Vote Management
Sjunnesson, and Christoffer Haggblom
as Directors; Elect Staffan Persson
and Cecilia Lager as New Directors;
Appoint Ernst & Young as Auditors
11 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
12 Approve Stock Option Plan For Did Not Vote Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
DROGASIL S.A
Ticker: DROG3 Security ID: P3587W107
Meeting Date: NOV 10, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger between the Company and For For Management
Raia SA
2 Approve Merger Agreement between the For For Management
Company and Raia SA
3 Appoint Independent Firm to Appraise For For Management
Proposed Merger
4 Approve Independent Firm's Appraisal For For Management
5 Approve Issuance of 142.07 Million New For For Management
Shares in Connection with Merger
6 Amend Articles For Against Management
7 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
8 Elect Directors For For Management
9 Elect Board Chairman For For Management
10 Cancel 2007 Stock Option Plan For For Management
11 Approve New Stock Option Plan For Against Management
--------------------------------------------------------------------------------
EOH HOLDINGS LIMITED
Ticker: EOH Security ID: S2593K104
Meeting Date: MAR 06, 2012 Meeting Type: Annual
Record Date: FEB 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 July 2011
2 Re-elect Lucky Khumalo as Director For Against Management
3 Re-elect Nakedi Phosa as Director For For Management
4 Re-elect Tebogo Skwambane as Director For For Management
5 Re-elect Robert Sporen as Chairman of For Against Management
Audit Committee
6 Re-elect Tebogo Skwambane as Member of For For Management
Audit Committee
7 Elect Tshilidzi Marwala as Member of For For Management
Audit Committee
8 Appoint PKF (Gauteng) Chartered For Against Management
Accountants as Auditors and Sanjay
Ranchhoojee as the Individual
Registered Auditor and Authorise the
Board to Determine Their Remuneration
9 Approve Remuneration of Non-executive For For Management
Directors
10 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
11 Approve Conversion of the Ordinary For For Management
Shares in the Company's Authorised
Share Capital from Par Value Shares to
Shares of No Par Value
12 Approve Increase in Authorised Share For Against Management
Capital
13 Approve Financial Assistance for For Against Management
Subscription of Securities
14 Approve Financial Assistance to a For For Management
Director or Prescribed Officer of the
Company, or to a Related or
Inter-related Company or Corporation
15 Approve Remuneration Policy For Against Management
16 Place Authorised but Unissued Shares For Against Management
Under Control of Directors
17 Authorise Board to Issue Shares for For Against Management
Cash up to a Maximum of 15 Percent of
Issued Share Capital
18 Amend EOH Share Participation Scheme For For Management
19 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
EUGENE TECHNOLOGY CO.
Ticker: 084370 Security ID: Y2347W100
Meeting Date: NOV 22, 2011 Meeting Type: Special
Record Date: OCT 28, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Kim Sung-Woo as Inside Director For For Management
--------------------------------------------------------------------------------
EUGENE TECHNOLOGY CO.
Ticker: 084370 Security ID: Y2347W100
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 150 per Share
2.1 Reelect Um Pyung-Yong as Inside For For Management
Director
2.2 Reelect Hong Soon-Myung as Outside For Against Management
Director
3 Appoint Kang Seok-Jin as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For Against Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
EXAMWORKS GROUP, INC.
Ticker: EXAM Security ID: 30066A105
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: MAR 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter B. Bach For For Management
1.2 Elect Director Peter M. Graham For For Management
1.3 Elect Director William A. Shutzer For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
EXILLON ENERGY PLC
Ticker: EXI Security ID: G3310L105
Meeting Date: JUN 06, 2012 Meeting Type: Annual
Record Date: JUN 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Re-elect Dr David Herbert as Director For For Management
4 Elect Mark Martin as Director For For Management
5 Re-elect L. Stuard Detmer as Director For For Management
6 Re-elect Anne Belveze as Director For For Management
7 Re-elect Ezio Bracco as Director For For Management
8 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
9 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
10 Authorise Issue of Equity with For For Management
Pre-emptive Rights
11 Authorise Issue of Equity without For For Management
Pre-emptive Rights
12 Authorise Market Purchase of Ordinary For For Management
Shares
13 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
14 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
EXLSERVICE HOLDINGS, INC.
Ticker: EXLS Security ID: 302081104
Meeting Date: JUN 15, 2012 Meeting Type: Annual
Record Date: MAY 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Steven B. Gruber For For Management
1.2 Elect Director Mohanbir Sawhney For For Management
1.3 Elect Director Garen K. Staglin For For Management
2 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FIDESSA GROUP PLC
Ticker: FDSA Security ID: G3469C104
Meeting Date: APR 24, 2012 Meeting Type: Annual
Record Date: APR 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Special Dividend For For Management
4 Approve Remuneration Report For For Management
5 Re-elect John Hamer as Director For For Management
6 Re-elect Chris Aspinwall as Director For For Management
7 Re-elect Andy Malpass as Director For For Management
8 Re-elect Ron Mackintosh as Director For For Management
9 Re-elect Philip Hardaker as Director For For Management
10 Re-elect Elizabeth Lake as Director For For Management
11 Reappoint KPMG Audit plc as Auditors For For Management
12 Authorise Board to Fix Remuneration of For For Management
Auditors
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase For For Management
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
FIRST CASH FINANCIAL SERVICES, INC.
Ticker: FCFS Security ID: 31942D107
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: APR 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Rick L. Wessel For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FIRST REPUBLIC BANK
Ticker: FRC Security ID: 33616C100
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: APR 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James H. Herbert, II For For Management
1.2 Elect Director K. August-dewilde For For Management
1.3 Elect Director Thomas J. Barrack, Jr. For Withhold Management
1.4 Elect Director F.J. Fahrenkopf, Jr. For For Management
1.5 Elect Director William E. Ford For For Management
1.6 Elect Director L. Martin Gibbs For For Management
1.7 Elect Director Sandra R. Hernandez For For Management
1.8 Elect Director Pamela J. Joyner For For Management
1.9 Elect Director Jody S. Lindell For For Management
1.10 Elect Director George G.C. Parker For For Management
2 Approve Executive Incentive Bonus Plan For For Management
3 Amend Omnibus Stock Plan For Against Management
4 Ratify Auditors For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FLEURY S.A.
Ticker: FLRY3 Security ID: P418BW104
Meeting Date: OCT 31, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Ratify Acquisition of 50 Percent of For For Management
Labs Cardiolab Exames Complementares S.
A.
2 Appoint Independent Firm to Appraise For For Management
Proposed Acquisition
3 Approve Independent Firm's Appraisal For For Management
4 Approve Acquisition Agreement between For For Management
the Company and Labs Cardiolab Exames
Complementares S.A., Including Share
Exchange Ratio
5 Amend Articles to Reflect Changes in For For Management
Capital
6 Approve Increase in Authorized Capital For For Management
and Amend Article 6
7 Increase Maximum Board Size to 10 and For For Management
Amend Article 13
8 Elect Two Directors and One Alternate For For Management
Director; Appoint Chair and Vice-Chair
9 Amend Articles Re: Novo Mercado For For Management
Regulations
10 Consolidate Bylaws For For Management
--------------------------------------------------------------------------------
FLEURY S.A.
Ticker: FLRY3 Security ID: P418BW104
Meeting Date: DEC 30, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Appoint Independent Firm to Appraise For For Management
Proposed Absorption
2 Approve Independent Firm's Appraisal For For Management
3 Approve Agreement to Absorb Labs For For Management
Cardiolab Exames Complementares S.A.
4 Approve Absorption of Labs Cardiolab For For Management
Exames Complementares S.A.
5 Transfer Subsidiary's Offices to the For For Management
Company
6 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
FLEURY S.A.
Ticker: FLRY3 Security ID: P418BW104
Meeting Date: APR 02, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Executive For Against Management
Officers, Non-Executive Directors, and
Fiscal Council Members
--------------------------------------------------------------------------------
FORWARD AIR CORPORATION
Ticker: FWRD Security ID: 349853101
Meeting Date: MAY 07, 2012 Meeting Type: Annual
Record Date: MAR 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ronald W. Allen For Withhold Management
1.2 Elect Director Bruce A. Campbell For For Management
1.3 Elect Director C. Robert Campbell For For Management
1.4 Elect Director C. John Langley, Jr. For For Management
1.5 Elect Director Tracy A. Leinbach For For Management
1.6 Elect Director Larry D. Leinweber For For Management
1.7 Elect Director G. Michael Lynch For For Management
1.8 Elect Director Ray A. Mundy For For Management
1.9 Elect Director Gary L. Paxton For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FTI CONSULTING, INC.
Ticker: FCN Security ID: 302941109
Meeting Date: JUN 06, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Denis J. Callaghan For For Management
1.2 Elect Director Jack B. Dunn, IV For For Management
1.3 Elect Director Gerard E. Holthaus For Withhold Management
1.4 Elect Director Claudio Costamagna For For Management
1.5 Elect Director Sir Vernon Ellis For For Management
1.6 Elect Director Marc Holtzman For For Management
1.7 Elect Director Henrique de Campos For For Management
Meirelles
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FUTURE ARCHITECT, INC.
Ticker: 4722 Security ID: J16832107
Meeting Date: MAR 22, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 750
2.1 Elect Director Kanemaru, Yasufumi For Against Management
2.2 Elect Director Ishibashi, Kunihito For For Management
2.3 Elect Director Higashi, Yuji For For Management
2.4 Elect Director Amma, Yutaka For For Management
2.5 Elect Director Yasunobe, Shin For For Management
2.6 Elect Director Harada, Yasuhiro For For Management
--------------------------------------------------------------------------------
GARDNER DENVER, INC.
Ticker: GDI Security ID: 365558105
Meeting Date: MAY 01, 2012 Meeting Type: Annual
Record Date: MAR 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Michael C. Arnold For For Management
1.2 Elect Director Barry L. Pennypacker For For Management
1.3 Elect Director Richard L. Thompson For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GCA SAVVIAN GROUP CORP
Ticker: 2174 Security ID: J1766D103
Meeting Date: MAR 28, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles To Streamline Board For For Management
Structure
2.1 Elect Director Watanabe, Akihiro For For Management
2.2 Elect Director James B. Avery For For Management
2.3 Elect Director Sayama, Nobuo For For Management
2.4 Elect Director Todd J. Carter For For Management
2.5 Elect Director Geoffrey D. Baldwin For For Management
2.6 Elect Director Kato, Hiroyasu For For Management
2.7 Elect Director Yone, Masatake For For Management
3.1 Appoint Statutory Auditor Inoue, Osamu For For Management
3.2 Appoint Statutory Auditor Iwasaki, Jiro For For Management
3.3 Appoint Statutory Auditor Fujishima, For For Management
Takashi
--------------------------------------------------------------------------------
GERRY WEBER INTERNATIONAL AG
Ticker: GWI1 Security ID: D95473225
Meeting Date: JUN 05, 2012 Meeting Type: Annual
Record Date: MAY 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2010/2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.65 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2010/2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2010/2011
5 Ratify Mazars GmbH as Auditors for For For Management
Fiscal 2011/2012
--------------------------------------------------------------------------------
GILDAN ACTIVEWEAR INC.
Ticker: GIL Security ID: 375916103
Meeting Date: FEB 09, 2012 Meeting Type: Annual
Record Date: DEC 12, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William D. Anderson For For Management
1.2 Elect Director Glenn J. Chamandy For For Management
1.3 Elect Director Russell Goodman For For Management
1.4 Elect Director George Heller For For Management
1.5 Elect Director Sheila O'Brien For For Management
1.6 Elect Director Pierre Robitaille For For Management
1.7 Elect Director James R. Scarborough For For Management
1.8 Elect Director Richard P. Strubel For For Management
1.9 Elect Director Gonzalo F. Valdes-Fauli For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Approve Employee Share Purchase Plan For For Management
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
GLOBAL MIXED-MODE TECHNOLOGY INC.
Ticker: 8081 Security ID: Y2717S101
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Cash Dividend Distribution For For Management
through Capital Reserve
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Amend Articles of Association For For Management
6 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
and Their Representatives
--------------------------------------------------------------------------------
GOLDEN EAGLE RETAIL GROUP LTD.
Ticker: 03308 Security ID: G3958R109
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAY 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend RMB0.188 Per For For Management
Share
3a Reelect Zheng Shu Yun as Director For For Management
3b Reelect Wang Yao as Director For For Management
3c Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 27, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 27, 2011 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.02 Per For For Management
Share
3 Declare Special Dividend of SGD 0.01 For For Management
Per Share
4 Reelect Liew Yew Pin as Director For For Management
5 Reelect Mah Kim Loong Leslie as For For Management
Director
6 Approve Directors' Fees of SGD 145,000 For For Management
for the Financial Year Ended June 30,
2011
7 Appoint Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Grant of Options and Issuance For Against Management
of Shares Pursuant to the Goodpack
Performance Share Option Scheme
--------------------------------------------------------------------------------
GRACO INC.
Ticker: GGG Security ID: 384109104
Meeting Date: APR 20, 2012 Meeting Type: Annual
Record Date: FEB 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William J. Carroll For Withhold Management
1.2 Elect Director Jack W. Eugster For Withhold Management
1.3 Elect Director R. William Van Sant For Withhold Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Qualified Employee Stock For For Management
Purchase Plan
5 Approve Executive Incentive Bonus Plan For For Management
6 Require a Majority Vote for the Against For Shareholder
Election of Directors
--------------------------------------------------------------------------------
HANMI SEMICONDUCTOR CO.
Ticker: 042700 Security ID: Y3R62P107
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 100 per Share
2 Amend Articles of Incorporation For Against Management
3 Appoint Chang Young-Ho as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
HCC INSURANCE HOLDINGS, INC.
Ticker: HCC Security ID: 404132102
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Emmanuel T. Ballases For For Management
1.2 Elect Director Judy C. Bozeman For For Management
1.3 Elect Director Frank J. Bramanti For For Management
1.4 Elect Director Walter M. Duer For For Management
1.5 Elect Director James C. Flagg For For Management
1.6 Elect Director Thomas M. Hamilton For For Management
1.7 Elect Director Leslie S. Heisz For For Management
1.8 Elect Director John N. Molbeck, Jr. For For Management
1.9 Elect Director Robert A. Rosholt For For Management
1.10 Elect Director J. Mikesell Thomas For For Management
1.11 Elect Director Christopher J. B. For For Management
Williams
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
HIBBETT SPORTS, INC.
Ticker: HIBB Security ID: 428567101
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAR 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jane F. Aggers For For Management
1.2 Elect Director Terrance G. Finley For For Management
1.3 Elect Director Alton E. Yother For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Non-Employee Director Omnibus For For Management
Stock Plan
5 Establish Range For Board Size For For Management
--------------------------------------------------------------------------------
HIGHLAND GOLD MINING LTD
Ticker: HGM Security ID: G4472X101
Meeting Date: JUN 14, 2012 Meeting Type: Annual
Record Date: JUN 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Reelect Duncan Baxter as Director For Against Management
3 Reelect Olga Pokrovskaya as Director For Against Management
4 Reappoint Ernst & Young LLP as Auditors For For Management
5 Authorize Board to Fix Remuneration of For For Management
Auditors
--------------------------------------------------------------------------------
HIQ INTERNATIONAL AB
Ticker: HIQ Security ID: W4091V108
Meeting Date: MAR 28, 2012 Meeting Type: Annual
Record Date: MAR 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Anders Ljungh as Chairman of For Did Not Vote Management
Meeting
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Approve Agenda of Meeting For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Acknowledge Proper Convening of Meeting For Did Not Vote Management
6 Receive President's Report None None Management
7 Receive Financial Statements and None None Management
Statutory Reports; Receive
Consolidated Financial Statements and
Statutory Reports; Receive Auditor's
Report
8a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
8b Approve Allocation of Income and For Did Not Vote Management
Omission of Dividends
8c Approve Discharge of Board and For Did Not Vote Management
President
9 Determine Number of Members (8) and For Did Not Vote Management
Deputy Members (0) of Board
10 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 475,000 for Chairman
and SEK 210,000 for Other Directors;
Approve Remuneration of Auditors
11 Reelect Ken Gerhardsen, Johanna For Did Not Vote Management
Kohler, Lars Stugemo, Anders Ljungh
(Chairman), Jukka Norokorpi, and
Gunnel Duveblad as Directors; Elect
Ulrika Hagdahl and Erik Hallberg as
New Directors
12 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
13 Approve 1:2 Stock Split in Connection For Did Not Vote Management
with Redemption Program; Approve SEK 2.
64 Million Reduction in Share Capital
via Share Cancellation; Approve
Capitalization of Reserves of SEK 2.64
Million in Connection with Redemption
Program
14 Authorize Share Repurchase Program and For Did Not Vote Management
Reissuance of Repurchased Shares
15 Approve Stock Option Plan for Key For Did Not Vote Management
Employees
16 Approve Issuance of up to 5 Million For Did Not Vote Management
Shares without Preemptive Rights
17 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
18 Other Business None None Management
--------------------------------------------------------------------------------
HOME CAPITAL GROUP INC
Ticker: HCG Security ID: 436913107
Meeting Date: MAY 16, 2012 Meeting Type: Annual/Special
Record Date: MAR 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James C. Baillie For For Management
1.2 Elect Director William G. Davis For For Management
1.3 Elect Director William F. Falk For For Management
1.4 Elect Director John M. Marsh For For Management
1.5 Elect Director Robert A. Mitchell For For Management
1.6 Elect Director Kevin P.D. Smith For For Management
1.7 Elect Director Gerald M. Soloway For For Management
1.8 Elect Director Bonita J. Then For For Management
1.9 Elect Director F. Leslie Thompson For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
HOUSTON WIRE & CABLE COMPANY
Ticker: HWCC Security ID: 44244K109
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James L. Pokluda, III For For Management
1.2 Elect Director Michael T. Campbell For For Management
1.3 Elect Director I. Stewart Farwell For For Management
1.4 Elect Director Peter M. Gotsch For For Management
1.5 Elect Director Wilson B. Sexton For For Management
1.6 Elect Director William H. Sheffield For For Management
1.7 Elect Director Scott L. Thompson For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
HU LANE ASSOCIATE INC.
Ticker: 6279 Security ID: Y3759R100
Meeting Date: JUN 28, 2012 Meeting Type: Annual
Record Date: APR 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve the Issuance of New Shares by For For Management
Capitalization of 2011 Profit
4 Amend the Articles of Association For For Management
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
6 Approve Amendment to Rules and For For Management
Procedure for Election of Directors
and Supervisors
7 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
--------------------------------------------------------------------------------
HY-LOK CORP.
Ticker: 013030 Security ID: Y3852P100
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 150 per Share
2 Amend Articles of Incorporation For Against Management
3 Reelect One Inside Director and One For For Management
Outside Director (Bundled)
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
ICU MEDICAL, INC.
Ticker: ICUI Security ID: 44930G107
Meeting Date: MAY 11, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jack W. Brown For For Management
1.2 Elect Director Richard H. Sherman For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
IDEX CORPORATION
Ticker: IEX Security ID: 45167R104
Meeting Date: APR 10, 2012 Meeting Type: Annual
Record Date: FEB 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William M. Cook For For Management
1.2 Elect Director Michael T. Tokarz For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
IMARKETKOREA INC.
Ticker: 122900 Security ID: Y3884J106
Meeting Date: DEC 23, 2011 Meeting Type: Special
Record Date: NOV 28, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Two Inside Directors (Bundled) For For Management
1.2 Elect Two Inside Directors For For Management
(Non-Independent Non-Executive
Directors) (Bundled)
1.3 Elect Two Outside Directors (Bundled) For For Management
2 Appoint Kim Nam-Geun as Internal For For Management
Auditor
--------------------------------------------------------------------------------
IMARKETKOREA INC.
Ticker: 122900 Security ID: Y3884J106
Meeting Date: MAR 16, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
INCONTACT, INC.
Ticker: SAAS Security ID: 45336E109
Meeting Date: JUN 14, 2012 Meeting Type: Annual
Record Date: APR 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Theodore Stern For For Management
1.2 Elect Director Paul Jarman For For Management
1.3 Elect Director Steve Barnett For For Management
1.4 Elect Director Mark J. Emkjer For For Management
1.5 Elect Director Blake O. Fisher, Jr. For For Management
1.6 Elect Director Paul F. Koeppe For For Management
1.7 Elect Director Hamid Akhavan For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
INDUTRADE AB
Ticker: INDT Security ID: W4939U106
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: APR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Klaes Edhall as Chairman of For For Management
Meeting
3 Prepare and Approve List of For For Management
Shareholders
4 Approve Agenda of Meeting For For Management
5 Designate Inspector(s) of Minutes of For For Management
Meeting
6 Acknowledge Proper Convening of Meeting For For Management
7 Receive Board's Report None None Management
8 Receive Financial Statements and None None Management
Statutory Reports; Receive CEO's Report
9 Receive Auditor's Report; Receive None None Management
Auditor's Report on Application of
Guidelines for Remuneration for
Executive Management
10a Approve Financial Statements and For For Management
Statutory Reports
10b Approve Allocation of Income and For For Management
Dividends of SEK 6.75 per Share
10c Approve May 8, 2012, as Record Date For For Management
for Dividend
10d Approve Discharge of Board and For For Management
President
11 Receive Report on Work of Nominating None None Management
Committee
12 Determine Number of Members (7) and For For Management
Deputy Members of Board (0)
13 Approve Remuneration of Directors in For For Management
the Amount of SEK 450,000 for Chair
and SEK 225,000 for Other Directors;
Approve Additional Compensation for
Chairman of Audit Committee
14 Reelect Ulf Lundahl, Eva Farnstrand, For For Management
Bengt Kjell (Chair), Mats Olsson,
Martin Lindqvist, and Johnny Alvarsson
as Directors; Elect Krister Mellve as
New Director
15 Approve Remuneration of Auditors For For Management
16 Authorize Chairman of Board and For For Management
Representatives of Four of Company's
Largest Shareholders to Serve on
Nominating Committee
17 Approve Remuneration Policy And Other For For Management
Terms of Employment For Executive
Management
18 Close Meeting None None Management
--------------------------------------------------------------------------------
INMET MINING CORPORATION
Ticker: IMN Security ID: 457983104
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date: MAR 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yilmaz Arguden For For Management
1.2 Elect Director David R. Beatty For For Management
1.3 Elect Director John H. Clappison For For Management
1.4 Elect Director John C. Eby For For Management
1.5 Elect Director Paul E. Gagne For For Management
1.6 Elect Director Gerald W. Grandey For For Management
1.7 Elect Director Oyvind Hushovd For For Management
1.8 Elect Director Thomas E. Mara For For Management
1.9 Elect Director Jochen Tilk For For Management
1.10 Elect Director Douglas W.G. Whitehead For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
INNERWORKINGS, INC.
Ticker: INWK Security ID: 45773Y105
Meeting Date: JUN 21, 2012 Meeting Type: Annual
Record Date: APR 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Eric D. Belcher For For Management
1.2 Elect Director Jack M. Greenberg For Withhold Management
1.3 Elect Director Linda S. Wolf For Withhold Management
1.4 Elect Director Eric P. Lefkofsky For For Management
1.5 Elect Director Charles K. Bobrinskoy For Withhold Management
1.6 Elect Director J. Patrick Gallagher, For Withhold Management
Jr.
1.7 Elect Director David Fisher For Withhold Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For Against Management
--------------------------------------------------------------------------------
INTEVAC, INC.
Ticker: IVAC Security ID: 461148108
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Norman H. Pond For For Management
1.2 Elect Director Kevin Fairbairn For For Management
1.3 Elect Director David S. Dury For For Management
1.4 Elect Director Stanley J. Hill For For Management
1.5 Elect Director Thomas M. Rohrs For For Management
1.6 Elect Director John F. Schaefer For For Management
1.7 Elect Director Ping Yang For For Management
2 Amend Qualified Employee Stock For For Management
Purchase Plan
3 Approve Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
IPC THE HOSPITALIST COMPANY, INC.
Ticker: IPCM Security ID: 44984A105
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: APR 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mark J. Brooks For For Management
1.2 Elect Director Woodrin Grossman For For Management
1.3 Elect Director R. Jeffrey Taylor For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
5 Approve Executive Incentive Bonus Plan For For Management
--------------------------------------------------------------------------------
ISTA PHARMACEUTICALS, INC.
Ticker: ISTA Security ID: 45031X204
Meeting Date: DEC 05, 2011 Meeting Type: Annual
Record Date: OCT 21, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Vicente Anido, Jr. For For Management
1.2 Elect Director Richard C. Williams For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
JOBSTREET CORPORATION BHD
Ticker: JOBST Security ID: Y44474107
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAY 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.005 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Yang Chi-Kuan as Director For For Management
5 Elect Lin See Yan as Director For For Management
6 Elect Chang Mun Kee as Director For For Management
7 Elect Ali bin Abdul Kadir as Director For For Management
8 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
10 Approve Share Repurchase Program For For Management
--------------------------------------------------------------------------------
KAKAKU.COM INC
Ticker: 2371 Security ID: J29258100
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 25
2 Amend Articles To Clarify Terms of For For Management
Alternate Statutory Auditors -
Increase Maximum Board Size
3.1 Elect Director Hayashi, Kaoru For For Management
3.2 Elect Director Tanaka, Minoru For For Management
3.3 Elect Director Hata, Shonosuke For For Management
3.4 Elect Director Ieuji, Taizo For For Management
3.5 Elect Director Fujiwara, Kenji For For Management
3.6 Elect Director Uemura, Hajime For For Management
3.7 Elect Director Yuuki, Shingo For For Management
3.8 Elect Director Murakami, Atsuhiro For For Management
3.9 Elect Director Matsumoto, Oki For For Management
3.10 Elect Director Hayakawa, Yoshiharu For For Management
3.11 Elect Director Akiyama, Ryuuhei For For Management
4 Approve Stock Option Plan For For Management
--------------------------------------------------------------------------------
KATHMANDU HOLDINGS LTD.
Ticker: KMD Security ID: Q5213W103
Meeting Date: NOV 18, 2011 Meeting Type: Annual
Record Date: NOV 16, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect M Todd as Director For Against Management
2 Elect S McPhee as Director For For Management
3 Authorize Board to Fix Remuneration of For For Management
the Auditors
4 Approve Grant of Performance Rights to For For Management
P Halkett
5 Approve Grant of Performance Rights to For For Management
M Todd
6 Approve Increase in Directors' Fees For For Management
--------------------------------------------------------------------------------
KBW, INC.
Ticker: KBW Security ID: 482423100
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John G. Duffy For For Management
1.2 Elect Director Daniel M. Healy For For Management
1.3 Elect Director Michael J. Zimmerman For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For Against Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
KNIGHT TRANSPORTATION, INC.
Ticker: KNX Security ID: 499064103
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Gary J. Knight For For Management
1.2 Elect Director G.D. Madden For For Management
1.3 Elect Director Kathryn L. Munro For For Management
2 Approve Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
KOH YOUNG TECHNOLOGY INC.
Ticker: 098460 Security ID: Y4810R105
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 200 per Share
2 Approve Stock Option Grants For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
LG FASHION CORP.
Ticker: 093050 Security ID: Y5275J108
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 400 per Share
2 Elect Four Inside Directors and Two For For Management
Outside Directors (Bundled)
3 Elect Cho Gyu-Won as Member of Audit For For Management
Committee
4 Elect Two Members of Audit Committee For For Management
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
6 Amend Terms of Severance Payments to For Against Management
Executives
--------------------------------------------------------------------------------
LIFE HEALTHCARE GROUP HOLDINGS LTD.
Ticker: LHC Security ID: S4682C100
Meeting Date: JAN 26, 2012 Meeting Type: Annual
Record Date: JAN 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the year ended
30 September 2011
2 Re-elect Jakes Gerwel as Director For For Management
3 Re-elect Mustaq Brey as Director For For Management
4 Re-elect Garth Solomon as Director For For Management
5 Reappoint PricewaterhouseCoopers Inc For For Management
as Auditors of the Company and FJ
Lombard as the Designated Audit Partner
6 Re-elect Peter Golesworthy as Member For For Management
of Audit Committee
7 Re-elect Trevor Munday as Member of For For Management
Audit Committee
8 Re-elect Louisa Mojela as Member of For For Management
Audit Committee
9 Elect Francine-Ann du Plessis as For For Management
Member of Audit Committee
10 Approve Remuneration Policy For For Management
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Place Authorised but Unissued Shares For Against Management
Under Control of Directors
13 Authorise Any One Executive Director For For Management
to Ratify and Execute Approved
Resolutions
14 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
15 Approve Remuneration of Non-Executive For For Management
Directors for the Year Ending 30
September 2012
16 Approve Financial Assistance to For For Management
Related and Inter-related Companies
17 Approve Increase in Authorised Share For For Management
Capital
18 Amend Articles of Association Re: For For Management
Cumulative Redeemable Preference Shares
19 Amend Articles of Association Re: For For Management
Cumulative Non-redeemable Preference
Shares
--------------------------------------------------------------------------------
LKQ CORPORATION
Ticker: LKQX Security ID: 501889208
Meeting Date: MAY 07, 2012 Meeting Type: Annual
Record Date: MAR 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director A. Clinton Allen For For Management
1.2 Elect Director Kevin F. Flynn For For Management
1.3 Elect Director Ronald G. Foster For For Management
1.4 Elect Director Joseph M. Holsten For For Management
1.5 Elect Director Blythe J. McGarvie For For Management
1.6 Elect Director Paul M. Meister For For Management
1.7 Elect Director John F. O'Brien For For Management
1.8 Elect Director Robert L. Wagman For For Management
1.9 Elect Director William M. Webster, IV For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
4 Amend Executive Incentive Bonus Plan For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
LMA INTERNATIONAL NV
Ticker: L24 Security ID: N2879J107
Meeting Date: APR 24, 2012 Meeting Type: Annual/Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For Did Not Vote Management
Statutory Reports (Voting)
2 Approve Final Dividend of SGD 0.01 Per For Did Not Vote Management
Share
3 Reelect Trevor Swete as Director For Did Not Vote Management
4 Reelect David Chew Heng Ching as For Did Not Vote Management
Director
5 Reelect Lim Hock Beng as Director For Did Not Vote Management
6 Approve Directors' Fees of $422,500 For Did Not Vote Management
for the Year Ending Dec. 31, 2012
7 Reappoint PricewaterhouseCoopers LLP For Did Not Vote Management
Singapore as Auditors and Authorize
Board to Fix Their Remuneration
8 Approve Issuance of Equity or For Did Not Vote Management
Equity-Linked Securities with or
without Preemptive Rights
9 Authorize Share Repurchase Program For Did Not Vote Management
10 Approve FMT Mandate For Did Not Vote Management
11 Approve Venner and Chelle Mandate For Did Not Vote Management
12 Amend Articles of Association For Did Not Vote Management
13 Approve Issuance of Shares and Grant For Did Not Vote Management
of Options Pursuant to the LMA
International N.V. Executive Share
Option Plan and/or the Non-Executive
Directors' Share Option Plan
--------------------------------------------------------------------------------
LYCOPODIUM LTD.
Ticker: LYL Security ID: Q56515101
Meeting Date: NOV 23, 2011 Meeting Type: Annual
Record Date: NOV 21, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Remuneration Report For For Management
2 Elect Peter De Leo as a Director For Against Management
--------------------------------------------------------------------------------
MAGELLAN FINANCIAL GROUP
Ticker: MFG Security ID: Q5713S107
Meeting Date: NOV 15, 2011 Meeting Type: Annual
Record Date: NOV 13, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Remuneration Report For For Management
2 Extend Repayment Period of Loans For For Management
Provided to Non-Executive Directors
3 Elect Chris Mackay as a Director For For Management
--------------------------------------------------------------------------------
MARCOPOLO S.A.
Ticker: POMO4 Security ID: P64331104
Meeting Date: MAR 29, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Directors For For Management
4 Elect Fiscal Council Members and For For Management
Approve Their Remuneration
5 Approve Remuneration of Executive For For Management
Officers and Non-Executive Directors
--------------------------------------------------------------------------------
MARCOPOLO S.A.
Ticker: POMO4 Security ID: P64331104
Meeting Date: MAR 29, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles Re: Nivel 2 Regulations For For Management
2 Amend Article 19.m For For Management
3 Amend Chapter IV For For Management
4 Amend Articles 19, 20, and 22 For For Management
5 Amend Articles 19.v, 21.f, and 27 For For Management
6 Amend Article 25 For For Management
7 Consolidate Bylaws For For Management
--------------------------------------------------------------------------------
MEDNAX, INC.
Ticker: MD Security ID: 58502B106
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: MAR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Cesar L. Alvarez For For Management
1.2 Elect Director Waldemar A. Carlo For For Management
1.3 Elect Director Michael B. Fernandez For For Management
1.4 Elect Director Roger K. Freeman For For Management
1.5 Elect Director Paul G. Gabos For For Management
1.6 Elect Director Pascal J. Goldschmidt For For Management
1.7 Elect Director Manuel Kadre For For Management
1.8 Elect Director Roger J. Medel For For Management
1.9 Elect Director Donna E. Shalala For For Management
1.10 Elect Director Enrique J. Sosa For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MELEXIS
Ticker: MELE Security ID: B59283109
Meeting Date: APR 20, 2012 Meeting Type: Annual
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Directors' Reports None None Management
2 Announcements on Company's Corporate None None Management
Governance Structure
3 Receive Auditors' Reports None None Management
4 Adopt Financial Statements For Did Not Vote Management
5 Approve Allocation of Income For Did Not Vote Management
6 Approve Remuneration Report For Did Not Vote Management
7 Approve Discharge of Directors For Did Not Vote Management
8 Approve Discharge of Auditors For Did Not Vote Management
9 Approve Resignation of S.R. Hix as For Did Not Vote Management
Director
10 Elect Phix Focus Inc., Permanently For Did Not Vote Management
Represented by S.R. Hix as Independent
Director and Approve Remuneration EUR
15,000
11 Approve Remuneration of Directors For Did Not Vote Management
--------------------------------------------------------------------------------
MELEXIS
Ticker: MELE Security ID: B59283109
Meeting Date: APR 20, 2012 Meeting Type: Special
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Receive Information on Cancellation of None None Management
Repurchased Shares Re: Item 1.3
1.2 Receive Information on Authorization None None Management
to Cancel Shares Re: Item 1.3
1.3 Approve Cancellation of Repurchased For Did Not Vote Management
Shares
2.1 Amend Article 27 Re: Convocation For Did Not Vote Management
General Meetings
2.2 Amend Article 28 Re: Participation For Did Not Vote Management
General Meetings
2.3 Amend Article 29 Re: Representation For Did Not Vote Management
2.4 Amend Article 31 Re: Adjournment For Did Not Vote Management
2.5 Amend Article 33 Re: Right to Ask For Did Not Vote Management
Questions
3.1 Receive Information on Authorization None None Management
to Repurchase Shares Re: Item 3.3
3.2 Receive Information on Authorization None None Management
to Reissue Shares Re: Item 3.3
3.3 Authorize Board to Repurchase Shares For Did Not Vote Management
in the Event of a Serious and Imminent
Harm and Under Normal Conditions
--------------------------------------------------------------------------------
MERIDIAN BIOSCIENCE, INC.
Ticker: VIVO Security ID: 589584101
Meeting Date: JAN 25, 2012 Meeting Type: Annual
Record Date: NOV 28, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James M. Anderson For For Management
1.2 Elect Director John A. Kraeutler For For Management
1.3 Elect Director William J. Motto For For Management
1.4 Elect Director David C. Phillips For For Management
1.5 Elect Director Robert J. Ready For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Ratify Auditors For For Management
5 Amend Omnibus Stock Plan For For Management
6 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
MICHAEL PAGE INTERNATIONAL PLC
Ticker: MPI Security ID: G68694119
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Elect Robin Buchanan as Director For For Management
4 Re-elect Steve Ingham as Director For For Management
5 Elect Andrew Bracey as Director For For Management
6 Re-elect Ruby McGregor-Smith as For For Management
Director
7 Re-elect Tim Miller as Director For For Management
8 Re-elect Reg Sindall as Director For For Management
9 Approve Remuneration Report For For Management
10 Appoint Ernst & Young LLP as Auditors For For Management
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Authorise EU Political Donations and For For Management
Expenditure
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase For For Management
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
MICREL, INCORPORATED
Ticker: MCRL Security ID: 594793101
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Raymond D. Zinn For For Management
1.2 Elect Director John E. Bourgoin For For Management
1.3 Elect Director Michael J. Callahan For For Management
1.4 Elect Director Daniel Heneghan For For Management
1.5 Elect Director Neil J. Miotto For For Management
1.6 Elect Director Frank W. Schneider For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
MINTH GROUP LTD.
Ticker: 00425 Security ID: G6145U109
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAY 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Reelect Mu Wei Zhong as Non-Executive For Against Management
Director
4 Reelect Wang Ching as Independent For For Management
Non-Executive Director
5 Reelect Zhang Liren as Independent For For Management
Non-Executive Director
6 Reelect Wu Fred Fong as Independent For For Management
Non-Executive Director
7 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Zhao Feng
8 Authorize Board to Approve and Confirm For Against Management
Terms of Appointment, Including
Remuneration, for Mu Wei Zhong
9 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Yu Zheng
10 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for He Dong Han
11 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Wang Ching
12 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Zhang Liren
13 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Wu Fred Fong
14 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
15 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
16 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
17 Authorize Reissuance of Repurchased For Against Management
Shares
18 Adopt New Share Option Scheme and For Against Management
Terminate the Existing Share Option
Scheme
--------------------------------------------------------------------------------
MK TREND CO LTD.
Ticker: 069640 Security ID: Y6166V101
Meeting Date: MAR 30, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 300 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
MONOTARO CO LTD
Ticker: 3064 Security ID: J46583100
Meeting Date: MAR 22, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 7
2 Amend Articles To Amend Business Lines For For Management
- Increase Maximum Board Size -
Increase Maximum Number of Executive
Officers
3.1 Elect Director Seto, Kinya For For Management
3.2 Elect Director Suzuki, Masaya For For Management
3.3 Elect Director Miyajima, Masanori For Against Management
3.4 Elect Director Yamagata, Yasuo For Against Management
3.5 Elect Director Kitamura, Haruo For For Management
3.6 Elect Director Kishida, Masahiro For For Management
3.7 Elect Director Ronald Louis Jadin For Against Management
--------------------------------------------------------------------------------
MSC INDUSTRIAL DIRECT CO., INC.
Ticker: MSM Security ID: 553530106
Meeting Date: JAN 12, 2012 Meeting Type: Annual
Record Date: NOV 23, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mitchell Jacobson For For Management
1.2 Elect Director David Sandler For For Management
1.3 Elect Director Jonathan Byrnes For For Management
1.4 Elect Director Roger Fradin For For Management
1.5 Elect Director Erik Gershwind For For Management
1.6 Elect Director Louise Goeser For For Management
1.7 Elect Director Denis Kelly For For Management
1.8 Elect Director Philip Peller For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
NAVIGANT CONSULTING, INC.
Ticker: NCI Security ID: 63935N107
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Thomas A. Gildehaus For For Management
2 Elect Director Cynthia A. Glassman For For Management
3 Elect Director Peter B. Pond For For Management
4 Declassify the Board of Directors For For Management
5 Approve Omnibus Stock Plan For For Management
6 Approve Executive Incentive Bonus Plan For For Management
7 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
8 Ratify Auditors For For Management
--------------------------------------------------------------------------------
NAVITAS LTD.
Ticker: NVT Security ID: Q6630H109
Meeting Date: NOV 22, 2011 Meeting Type: Annual
Record Date: NOV 20, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect Peter Larsen as a Director For For Management
3 Elect Harvey Collins as a Director For For Management
4 Approve the Possible Provision of For For Management
Financial Assistance
--------------------------------------------------------------------------------
NEURONES SA
Ticker: NRO Security ID: F6523H101
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: JUN 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Consolidated Financial For For Management
Statements and Statutory Reports
2 Approve Financial Statements and For For Management
Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.06 per Share
4 Approve Auditors' Special Report on For Against Management
Related-Party Transactions
5 Approve Discharge of Directors For For Management
6 Reelect Luc de Chammard as Director For Against Management
7 Reelect Bertrand Ducurtil as Director For Against Management
8 Reelect Marie-Francoise Jaubert as For For Management
Director
9 Reelect Jean-Louis Pacquement as For For Management
Director
10 Reelect Herve Pichard as Director For For Management
11 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
12 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
NEWPARK RESOURCES, INC.
Ticker: NR Security ID: 651718504
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: APR 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David C. Anderson For For Management
1.2 Elect Director Jerry W. Box For For Management
1.3 Elect Director G. Stephen Finley For For Management
1.4 Elect Director Paul L. Howes For For Management
1.5 Elect Director James W. McFarland For For Management
1.6 Elect Director Gary L. Warren For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
NIHON M&A CENTER INC
Ticker: 2127 Security ID: J50883107
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 5000
2 Amend Articles To Limit Rights of For For Management
Odd-Lot Holders
3.1 Elect Director Wakebayashi, Yasuhiro For For Management
3.2 Elect Director Miyake, Suguru For For Management
3.3 Elect Director Naraki, Takamaro For For Management
3.4 Elect Director Oyama, Takayoshi For For Management
3.5 Elect Director Otsuki, Masahiko For For Management
3.6 Elect Director Shimada, Naoki For For Management
--------------------------------------------------------------------------------
OSLO BORS VPS HOLDING ASA
Ticker: Security ID: R6890P105
Meeting Date: MAY 21, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Registration of Attending Shareholders None None Management
and Proxies
2 Elect Chairman of Meeting; Designate None None Management
Inspector(s) of Minutes of Meeting
3 Approve Notice of Meeting and Agenda None None Management
4 Receive Information for 2011 by the None None Management
Control Committees for
Verdipapirsentralen ASA and Oslo
Clearing ASA
5 Approve Financial Statements and For Did Not Vote Management
Statutory Reports; Approve Allocation
of Income and Dividends of NOK 6.00
per Share
6 Approve Remuneration of Directors and For Did Not Vote Management
Committees
7 Approve Remuneration of Auditors For Did Not Vote Management
8 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
9 Amend Articles Re: Director and For Did Not Vote Management
Committee Election Term
10.1 Reelect Harald Espedal as Director For Did Not Vote Management
10.2 Elect Wenche Agerup as Director For Did Not Vote Management
10.3 Elect Benedicte Fasmer as Vice Chairman For Did Not Vote Management
11.1 Elect Leif Teksum (Chair) as Member of For Did Not Vote Management
Nominating Committee
11.2 Elect Toril Ressem as Member of For Did Not Vote Management
Nominating Committee
11.3 Elect Ola Wessel-Aas Member of For Did Not Vote Management
Nominating Committee
12 Presentation of Nominations to the For Did Not Vote Management
Board of Directors of
Verdipapirsentralen ASA and the
Control Committees of
Verdipapirsentralen ASA and Oslo
Clearing ASA
13 Ratify KPMG as Auditors For Did Not Vote Management
14 Authorize Share Repurchase and For Did Not Vote Management
Reissuance of up to One Percent of
Share Capital
--------------------------------------------------------------------------------
PACIFIC HOSPITAL SUPPLY CO., LTD.
Ticker: 4126 Security ID: Y6610N101
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Allocation of Dividend with For For Management
the Company's 2011 Profit
4 Approve Issuance of New Shares by For For Management
Capitalization of Profits
5 Approve to Amend the Articles of For For Management
Association
6 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
7 Approve Amendment to Rules of For For Management
Procedure for Election of Directors
and Supervisors
8 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
--------------------------------------------------------------------------------
PACIFIC ONLINE LTD.
Ticker: 00543 Security ID: G9684P101
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Dividends of RMB 0.1478 Per For For Management
Share
3 Reelect Wang Ta-Hsing as Executive For For Management
Director
4 Reelect Tsui Yiu Wa, Alec as For For Management
Independent Non-Executive Director
5 Authorize Board to Fix Directors' For For Management
Remuneration
6 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
8 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
9 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PADINI HOLDINGS BHD.
Ticker: PADINI Security ID: Y6649L100
Meeting Date: DEC 23, 2011 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Financial
Year Ended June 30, 2011
2 Approve Remuneration of Directors in For For Management
the Amount of MYR 120,000 for the
Financial Year Ended June 30, 2011
3 Elect Yong Pang Chuan as Director For For Management
4 Elect Chan Kwai Heng as Director For Against Management
5 Elect Yeap Tien Ching as Director For For Management
6 Approve Peter Chong & Co. as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAR 26, 2012 Meeting Type: Special
Record Date: FEB 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Acquisition of Minefinders For For Management
Corporation Ltd.
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAY 15, 2012 Meeting Type: Annual/Special
Record Date: APR 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ross J. Beaty For For Management
1.2 Elect Director Geoffrey A. Burns For For Management
1.3 Elect Director Michael Carroll For For Management
1.4 Elect Director Michael J. J. Maloney For For Management
1.5 Elect Director Robert P. Pirooz For For Management
1.6 Elect Director David C. Press For For Management
1.7 Elect Director Walter T. Segsworth For For Management
1.8 Elect Director Christopher Noel Dunn For For Management
2 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
PEGASYSTEMS INC.
Ticker: PEGA Security ID: 705573103
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Peter Gyenes For For Management
2 Elect Director Richard H. Jones For For Management
3 Elect Director Steven F. Kaplan For For Management
4 Elect Director James P. O'Halloran For For Management
5 Elect Director Alan Trefler For For Management
6 Elect Director William W. Wyman For For Management
7 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
8 Increase Authorized Common Stock For For Management
9 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PERFICIENT, INC.
Ticker: PRFT Security ID: 71375U101
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jeffrey S. Davis For For Management
1.2 Elect Director Ralph C. Derrickson For For Management
1.3 Elect Director John S. Hamlin For For Management
1.4 Elect Director James R. Kackley For For Management
1.5 Elect Director David S. Lundeen For For Management
1.6 Elect Director David D. May For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Approve Executive Incentive Bonus Plan For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PETRA FOODS LTD
Ticker: P34 Security ID: Y6804G102
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Reelect Anthony Michael Dean as For For Management
Director
3 Reelect Davinder Singh as Director For For Management
4 Reelect Koh Poh Tiong as Director For For Management
5 Approve Directors' Fees $343,200 for For For Management
the Year Ending Dec. 31, 2012
6 Declare Final Dividend of $0.0212 Per For For Management
Share
7 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Issuance of Shares, and Grant For Against Management
of Options and Awards Pursuant to the
Petra Foods Share Option Scheme and
Petra Foods Share Incentive Plan
10 Approve Issuance of Shares Pursuant to For For Management
the Petra Foods Limited Scrip Dividend
Scheme
11 Approve Mandate for Transactions with For For Management
Related Parties
--------------------------------------------------------------------------------
PETROMINERALES LTD.
Ticker: PMG Security ID: 71673R107
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: APR 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alastair Macdonald For For Management
1.2 Elect Director Kenneth R. McKinnon For For Management
1.3 Elect Director Jerald L. Oaks For For Management
1.4 Elect Director Ernesto Sarpi For For Management
1.5 Elect Director Enrique Umana-Valenzuela For For Management
1.6 Elect Director John D. Wright For For Management
1.7 Elect Director Geir Ytreland For For Management
2 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Amend Stock Option Plan For For Management
4 Re-approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
POLYTRONICS TECHNOLOGY CORP.
Ticker: 6224 Security ID: Y7063Y107
Meeting Date: JUN 15, 2012 Meeting Type: Annual
Record Date: APR 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Trading Procedures For For Management
Governing Derivatives Products
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
6 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
7 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
8 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
POOL CORPORATION
Ticker: POOL Security ID: 73278L105
Meeting Date: MAY 02, 2012 Meeting Type: Annual
Record Date: MAR 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Wilson B. Sexton For For Management
1.2 Elect Director Andrew W. Code For For Management
1.3 Elect Director James J. Gaffney For For Management
1.4 Elect Director George T. Haymaker, Jr. For For Management
1.5 Elect Director Manuel J. Perez de la For For Management
Mesa
1.6 Elect Director Harlan F. Seymour For For Management
1.7 Elect Director Robert C. Sledd For For Management
1.8 Elect Director John E. Stokely For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
PORTFOLIO RECOVERY ASSOCIATES, INC.
Ticker: PRAA Security ID: 73640Q105
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 28, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Steven D. Fredrickson For For Management
1.2 Elect Director Penelope W. Kyle For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PORTS DESIGN LTD.
Ticker: 00589 Security ID: G71848124
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: JUN 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend of RMB 0.24 Per For For Management
Share
3a Reelect Ian Hylton as Non-Executive For For Management
Director
3b Reelect Peter Bromberger as For Against Management
Independent Non-Executive Director
3c Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint KPMG as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
POWER INTEGRATIONS, INC.
Ticker: POWI Security ID: 739276103
Meeting Date: JUN 18, 2012 Meeting Type: Annual
Record Date: APR 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Balu Balakrishnan For For Management
1.2 Elect Director Alan D. Bickell For For Management
1.3 Elect Director Nicholas E. Brathwaite For For Management
1.4 Elect Director William George For For Management
1.5 Elect Director Balakrishnan S. Iyer For For Management
1.6 Elect Director E. Floyd Kvamme For For Management
1.7 Elect Director Steven J. Sharp For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PREMIER OIL PLC
Ticker: PMO Security ID: G7216B178
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Robin Allan as Director For For Management
4 Re-elect Joe Darby as Director For For Management
5 Re-elect Tony Durrant as Director For For Management
6 Re-elect Neil Hawkings as Director For For Management
7 Re-elect Jane Hinkley as Director For For Management
8 Re-elect David Lindsell as Director For For Management
9 Re-elect Simon Lockett as Director For For Management
10 Re-elect Andrew Lodge as Director For For Management
11 Re-elect David Roberts as Director For For Management
12 Re-elect Michel Romieu as Director For For Management
13 Re-elect Mike Welton as Director For For Management
14 Reappoint Deloitte LLP as Auditors and For Abstain Management
Authorise Their Remuneration
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Authorise Issue of Equity without For For Management
Pre-emptive Rights
17 Authorise Market Purchase For For Management
18 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
RAIA DROGASIL S.A
Ticker: RADL3 Security ID: P7987N104
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Executive For For Management
Officers, Non-Executive Directors
--------------------------------------------------------------------------------
REACHLOCAL, INC.
Ticker: RLOC Security ID: 75525F104
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: APR 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James Geiger For For Management
1.2 Elect Director Habib Kairouz For For Management
2 Approve Repricing of Options For Against Management
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
RICHELIEU HARDWARE LTD.
Ticker: RCH Security ID: 76329W103
Meeting Date: MAR 29, 2012 Meeting Type: Annual
Record Date: FEB 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pierre Bourgie For For Management
1.2 Elect Director Robert Chevrier For For Management
1.3 Elect Director Denyse Chicoyne For For Management
1.4 Elect Director Robert Courteau For For Management
1.5 Elect Director Jean Douville For For Management
1.6 Elect Director Mathieu Gauvin For For Management
1.7 Elect Director Richard Lord For For Management
1.8 Elect Director Jocelyn Proteau For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
RICHTEK TECHNOLOGY CORP.
Ticker: 6286 Security ID: Y7286Y108
Meeting Date: JUN 13, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
5 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
6 Elect Liu Jionglang, with ID No. For For Shareholder
S1248XXXXX as Independent Director
7 Approve Release of Restrictions of For Against Management
Competitive Activities of Directors
8 Transact Other Business None None Management
--------------------------------------------------------------------------------
ROBERT HALF INTERNATIONAL INC.
Ticker: RHI Security ID: 770323103
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: APR 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Andrew S. Berwick, Jr. For For Management
1.2 Elect Director Harold M. Messmer, Jr. For For Management
1.3 Elect Director Barbara J. Novogradac For For Management
1.4 Elect Director Robert J. Pace For For Management
1.5 Elect Director Frederick A. Richman For For Management
1.6 Elect Director M. Keith Waddell For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ROBERT WALTERS PLC
Ticker: RWA Security ID: G7608T118
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAY 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect Philip Aiken as Director For For Management
5 Re-elect Alan Bannatyne as Director For For Management
6 Re-elect Giles Daubeney as Director For For Management
7 Re-elect Martin Griffiths as Director For For Management
8 Elect Carol Hui as Director For For Management
9 Re-elect Andrew Kemp as Director For For Management
10 Re-elect Robert Walters as Director For For Management
11 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
12 Authorise Issue of Equity with For For Management
Pre-emptive Rights
13 Authorise Issue of Equity without For For Management
Pre-emptive Rights
14 Authorise Market Purchase For For Management
15 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
ROSS STORES, INC.
Ticker: ROST Security ID: 778296103
Meeting Date: MAY 16, 2012 Meeting Type: Annual
Record Date: MAR 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Michael Balmuth For For Management
1.2 Elect Director K. Gunnar Bjorklund For For Management
1.3 Elect Director Sharon D. Garrett For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
4 Require a Majority Vote for the Against For Shareholder
Election of Directors
--------------------------------------------------------------------------------
RPS GROUP PLC
Ticker: RPS Security ID: G7701P104
Meeting Date: MAY 04, 2012 Meeting Type: Annual
Record Date: MAY 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Elect Tracey Graham as Director For For Management
5 Re-elect John Bennett as Director For For Management
6 Re-elect Louise Charlton as Director For For Management
7 Re-elect Robert Miller-Bakewell as For For Management
Director
8 Re-elect Alan Hearne as Director For For Management
9 Re-elect Brook Land as Director For For Management
10 Re-elect Phil Williams as Director For For Management
11 Re-elect Gary Young as Director For For Management
12 Appoint Ernst & Young LLP as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase For For Management
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
RUE21, INC.
Ticker: RUE Security ID: 781295100
Meeting Date: JUN 08, 2012 Meeting Type: Annual
Record Date: APR 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John Megrue For For Management
1.2 Elect Director Macon Brock For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
SARTORIUS STEDIM BIOTECH
Ticker: DIM Security ID: F8005V111
Meeting Date: APR 17, 2012 Meeting Type: Annual/Special
Record Date: APR 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Consolidated Financial Statements, and
Discharge Directors
2 Approve Allocation of Income and For For Management
Dividends of EUR 1.00 per Share
3 Approve Auditors' Special Report on For Against Management
Related-Party Transactions
4 Approve Remuneration of Directors in For Against Management
the Aggregate Amount of EUR 160,000
5 Reelect Oscar Werner Reif as Director For Against Management
6 Renew Appointments of Deloitte et For For Management
Associes as Auditor, and Beas as
Alternate Auditor
7 Amend Bylaws to Comply With New For Against Management
Legislation
8 Approve Employee Stock Purchase Plan For For Management
9 Delegation of Powers to the Board to For For Management
Execute all Formalities Pursuant to
Employee Stock Purchase Plan
10 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
SEI INVESTMENTS COMPANY
Ticker: SEIC Security ID: 784117103
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Richard B. Lieb For For Management
2 Elect Director Carmen V. Romeo For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
SHAWCOR LTD.
Ticker: SCL.A Security ID: 820904209
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John T. Baldwin For For Management
1.2 Elect Director Derek S. Blackwood For For Management
1.3 Elect Director William P. Buckley For For Management
1.4 Elect Director James W. Derrick For For Management
1.5 Elect Director Dennis H. Freeman For For Management
1.6 Elect Director Leslie W. J. Hutchison For For Management
1.7 Elect Director John F. Petch For For Management
1.8 Elect Director Robert J. Ritchie For For Management
1.9 Elect Director Paul G. Robinson For For Management
1.10 Elect Director Heather A. Shaw For For Management
1.11 Elect Director Virginia L. Shaw For For Management
1.12 Elect Director Zoltan D. Simo For For Management
1.13 Elect Director E. Charlene Valiquette For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
SHINSEGAE FOOD CO.
Ticker: 031440 Security ID: Y7753W106
Meeting Date: MAR 02, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 750 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
SILICON LABORATORIES INC.
Ticker: SLAB Security ID: 826919102
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date: FEB 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Harvey B. Cash For For Management
1.2 Elect Director G. Tyson Tuttle For For Management
1.3 Elect Director David R. Welland For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SIMPLEX HOLDINGS INC.
Ticker: 4340 Security ID: J7552G101
Meeting Date: JUN 17, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 500
2.1 Elect Director Kaneko, Hideki For For Management
2.2 Elect Director Igarashi, Mitsuru For For Management
2.3 Elect Director Tanaka, Kenichi For For Management
2.4 Elect Director Fukui, Yasuhito For For Management
2.5 Elect Director Yotsuzuka, Toshiki For For Management
3.1 Appoint Statutory Auditor Miyachi, Iwao For Against Management
3.2 Appoint Statutory Auditor Chuujo, For Against Management
Toshio
3.3 Appoint Statutory Auditor Ogasawara, For Against Management
Noriyuki
4 Approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
SPORTON INTERNATIONAL INC.
Ticker: 6146 Security ID: Y8129X109
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Issuance of New Shares through For For Management
Capitalization of Profit and Employee
Bonus
4 Amend Articles of Association For For Management
5 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
6.1 Elect Huang Wen-Liang with Shareholder None Against Shareholder
No.1 as Director
6.2 Elect Wang Xin-Tian with Shareholder None Against Shareholder
No.14 as Director
6.3 Elect Yang Zhi-Xiang with Shareholder None Against Shareholder
No.4361 as Director
6.4 Elect Su Ming-Ze with Shareholder No. None Against Shareholder
328 as Director
6.5 Elect Chang Zhao-Bin with Shareholder None Against Shareholder
No.63 as Director
6.6 Elect Huang Shu-Hua with Shareholder None Against Shareholder
No.3 as Supervisor
6.7 Elect Lin Yan-Shan with Shareholder No. None Against Shareholder
2862 as Supervisor
6.8 Elect Wu Da-Ren with Shareholder No.76 None Against Shareholder
as Supervisor
7 Approve Release of Restrictions of For Against Management
Competitive Activities of Directors
--------------------------------------------------------------------------------
SPS COMMERCE, INC.
Ticker: SPSC Security ID: 78463M107
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAR 29, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Archie C. Black For For Management
1.2 Elect Director George H. Spencer, III For For Management
2 Ratify Auditors For For Management
3 Declassify the Board of Directors For For Management
4 Approve Qualified Employee Stock For For Management
Purchase Plan
--------------------------------------------------------------------------------
STANTEC INC.
Ticker: STN Security ID: 85472N109
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: MAR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Douglas K. Ammerman For For Management
1.2 Elect Director Robert J. Bradshaw For For Management
1.3 Elect Director David L. Emerson For For Management
1.4 Elect Director Delores M. Etter For For Management
1.5 Elect Director Anthony P. Franceschini For For Management
1.6 Elect Director Robert J. Gomes For For Management
1.7 Elect Director Susan E. Hartman For For Management
1.8 Elect Director Aram H. Keith For For Management
1.9 Elect Director Ivor M. Ruste For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
START TODAY CO LTD
Ticker: 3092 Security ID: J7665M102
Meeting Date: JUN 24, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 15
2.1 Appoint Statutory Auditor Morita, Junko For For Management
2.2 Appoint Statutory Auditor Hatakeyama, For For Management
Seiji
--------------------------------------------------------------------------------
STHREE PLC
Ticker: STHR Security ID: G8499E103
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Clay Brendish as Director For For Management
5 Re-elect Russell Clements as Director For For Management
6 Re-elect Alex Smith as Director For For Management
7 Re-elect Gary Elden as Director For For Management
8 Re-elect Alicja Lesniak as Director For For Management
9 Re-elect Tony Ward as Director For For Management
10 Re-elect Paul Bowtell as Director For For Management
11 Re-elect Nadhim Zahawi as Director For For Management
12 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise EU Political Donations and For For Management
Expenditure
15 Authorise the Company to Offer Key For For Management
Individuals the Opportunity to
Purchase Shareholdings in Certain of
the Company's Subsidiaries
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase For For Management
--------------------------------------------------------------------------------
SUPER RETAIL GROUP LTD.
Ticker: SUL Security ID: Q88006103
Meeting Date: JAN 09, 2012 Meeting Type: Special
Record Date: JAN 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Financial Assistance For For Management
--------------------------------------------------------------------------------
SWEDOL AB
Ticker: SWOL B Security ID: W95676107
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAY 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Elect Henrik Wetzenstein For Did Not Vote Management
as Chairman of Meeting
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
4 Acknowledge Proper Convening of Meeting For Did Not Vote Management
5 Approve Agenda of Meeting For Did Not Vote Management
6 Receive Financial Statements and None None Management
Statutory Reports; Receive Auditor's
Report; Receive Report by Chairman of
the Board; Receive Report be the CEO
7a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
7b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 0.55 per Share;
Approve May 28, 2012, as Record Date
for Dividends
7c Approve Discharge of Board and For Did Not Vote Management
President
8 Determine Number of Members (6) and For Did Not Vote Management
Deputy Members (0) of Board
9 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 190,000 for Chairman
and SEK 140,000 for Other Directors;
Approve Remuneration of Chairman of
Audit Committee; Approve Remuneration
of Auditors
10 Reelect Gert Karnberger, Lotta Lunden, For Did Not Vote Management
Jon Petterson, John Zetterberg, Rolf
Zetterberg, and Markku Piippo as
Directors, Ratify
PricewaterhouseCoopers as Auditors
11 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
12 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
TAIWAN HON CHUAN ENTERPRISE CO. LTD.
Ticker: 9939 Security ID: Y8421M108
Meeting Date: JUN 20, 2012 Meeting Type: Annual
Record Date: APR 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
--------------------------------------------------------------------------------
TED BAKER PLC
Ticker: TED Security ID: G8725V101
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: JUN 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Approve Final Dividend For For Management
4 Re-elect Raymond Kelvin as Director For For Management
5 Re-elect Lindsay Page as Director For For Management
6 Re-elect Robert Breare as Director For For Management
7 Re-elect David Bernstein as Director For For Management
8 Re-elect Ron Stewart as Director For For Management
9 Re-elect Anne Sheinfield as Director For For Management
10 Reappoint KPMG Audit plc as Auditors For For Management
11 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
12 Authorise Issue of Equity with For For Management
Pre-emptive Rights
13 Authorise Issue of Equity without For For Management
Pre-emptive Rights
14 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
TEGMA GESTAO LOGISTICA S.A
Ticker: TGMA3 Security ID: P90284103
Meeting Date: DEC 15, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Stock Option Plan For Against Management
2 Amend Articles Re: Novo Mercado For For Management
Regulations
3 Amend Article 2 to Update Addresses of For For Management
Company's New Offices
--------------------------------------------------------------------------------
TEGMA GESTAO LOGISTICA S.A
Ticker: TGMA3 Security ID: P90284103
Meeting Date: APR 10, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Fiscal Council Members and For For Management
Approve Their Remuneration
--------------------------------------------------------------------------------
TEST RESEARCH CO., LTD.
Ticker: 3030 Security ID: Y8591M102
Meeting Date: JUN 06, 2012 Meeting Type: Annual
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Issuance of New Shares by For For Management
Capitalization of Profit
4 Approve to Amend the Articles of For For Management
Association
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
6 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
7 Approve Amendments on the Procedures For For Management
for Lending Funds to Other Parties
--------------------------------------------------------------------------------
TETRA TECH, INC.
Ticker: TTEK Security ID: 88162G103
Meeting Date: FEB 28, 2012 Meeting Type: Annual
Record Date: JAN 03, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dan L. Batrack For For Management
1.2 Elect Director Hugh M. Grant For For Management
1.3 Elect Director Patrick C. Haden For For Management
1.4 Elect Director J. Christopher Lewis For For Management
1.5 Elect Director Albert E. Smith For For Management
1.6 Elect Director J. Kenneth Thompson For For Management
1.7 Elect Director Richard H. Truly For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
THE CHURCHILL CORPORATION
Ticker: CUQ Security ID: 17143D103
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Ten For For Management
2 Elect Director Albrecht W.A. Bellstedt For For Management
3 Elect Director Wendy L. Hanrahan For For Management
4 Elect Director James C. Houck For For Management
5 Elect Director Harry A. King For For Management
6 Elect Director Carmen R. Loberg For For Management
7 Elect Director Allister J. McPherson For For Management
8 Elect Director Henry R. Reid For For Management
9 Elect Director Ian M. Reid For For Management
10 Elect Director George M. Schneider For For Management
11 Elect Director Brian W. L. Tod For For Management
12 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
THE FIRST OF LONG ISLAND CORPORATION
Ticker: FLIC Security ID: 320734106
Meeting Date: APR 17, 2012 Meeting Type: Annual
Record Date: FEB 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Allen E. Busching For For Management
1.2 Elect Director Paul T. Canarick For For Management
1.3 Elect Director Alexander L. Cover For For Management
1.4 Elect Director J. Douglas Maxwell, Jr. For For Management
1.5 Elect Director Stephen V. Murphy For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
THERMADOR GROUPE
Ticker: THEP Security ID: F91651103
Meeting Date: APR 02, 2012 Meeting Type: Annual/Special
Record Date: MAR 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 6.10 per Share
4 Approve Auditors' Special Report For For Management
Regarding New Related-Party Transaction
5 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 30,000
6 Approve 2 for 1 Stock Split and Amend For For Management
Articles 6 and 7 of the Bylaws
Accordingly
7 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
TRANCOM CO. LTD.
Ticker: 9058 Security ID: J9297N102
Meeting Date: JUN 21, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 45
2 Amend Articles To Amend Business Lines For For Management
3.1 Elect Director Takebe, Hiroshi For For Management
3.2 Elect Director Shimizu, Masahisa For For Management
3.3 Elect Director Numata, Masakazu For For Management
3.4 Elect Director Kawamura, Masahiko For For Management
3.5 Elect Director Osawa, Takashi For For Management
3.6 Elect Director Kuchiwaki, Yasuo For For Management
3.7 Elect Director Tsunekawa, Yutaka For For Management
3.8 Elect Director Takeuchi, Kazuhiko For For Management
4.1 Appoint Statutory Auditor Nagamine, For For Management
Hisatoshi
4.2 Appoint Statutory Auditor Kawamura, For For Management
Kazuo
4.3 Appoint Statutory Auditor Hayakawa, For For Management
Yasuhisa
--------------------------------------------------------------------------------
TRANSGLOBE ENERGY CORPORATION
Ticker: TGL Security ID: 893662106
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Eight For For Management
2.1 Elect Director Robert A. Halpin For For Management
2.2 Elect Director Ross G. Clarkson For For Management
2.3 Elect Director Lloyd W. Herrick For For Management
2.4 Elect Director Erwin L. Noyes For For Management
2.5 Elect Director Geoffrey C. Chase For For Management
2.6 Elect Director Fred J. Dyment For For Management
2.7 Elect Director Gary S. Guidry For For Management
2.8 Elect Director Robert G. Jennings For For Management
3 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
TRINITY LTD.
Ticker: 00891 Security ID: G90624100
Meeting Date: MAY 11, 2012 Meeting Type: Annual
Record Date: MAY 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Reelect Jose Hosea Cheng Hor Yin as For For Management
Director
3b Reelect Cassian Cheung Ka Sing as For For Management
Director
3c Reelect Eva Li Kam Fun as Director For For Management
3d Reelect Patrick Sun as Director For For Management
3e Reelect Wong Yat Ming as Director For For Management
4 Reappoint PricewaterhouseCoopers as For For Management
Auditor and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
TTM TECHNOLOGIES, INC.
Ticker: TTMI Security ID: 87305R109
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date: FEB 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ronald W. Iverson For For Management
1.2 Elect Director Robert E. Klatell For For Management
1.3 Elect Director John G. Mayer For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
TXC CORP.
Ticker: 3042 Security ID: Y90156103
Meeting Date: JUN 13, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Approve to Issue the Restricted Stock For Against Management
6 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
--------------------------------------------------------------------------------
ULTRA ELECTRONICS HOLDINGS PLC
Ticker: ULE Security ID: G9187G103
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date: APR 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Douglas Caster as Director For For Management
5 Re-elect Christopher Bailey as Director For For Management
6 Re-elect Ian Griffiths as Director For For Management
7 Re-elect Sir Robert Walmsley as For For Management
Director
8 Re-elect Paul Dean as Director For For Management
9 Re-elect Rakesh Sharma as Director For For Management
10 Elect Mark Anderson as Director For For Management
11 Reappoint Deloitte LLP as Auditors For For Management
12 Authorise Board to Fix Remuneration of For For Management
Auditors
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase For For Management
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
UNIVERSAL TRUCKLOAD SERVICES, INC.
Ticker: UACL Security ID: 91388P105
Meeting Date: JUN 08, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Donald B. Cochran For For Management
1.2 Elect Director Matthew T. Moroun For For Management
1.3 Elect Director Manuel J. Moroun For For Management
1.4 Elect Director Frederick P. Calderone For For Management
1.5 Elect Director Joseph J. Casaroll For For Management
1.6 Elect Director Daniel J. Deane For For Management
1.7 Elect Director Daniel C. Sullivan For For Management
1.8 Elect Director Richard P. Urban For For Management
1.9 Elect Director Ted B. Wahby For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
UZMA BHD
Ticker: UZMA Security ID: Y93246109
Meeting Date: JUN 28, 2012 Meeting Type: Annual
Record Date: JUN 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration of Directors For For Management
3 Elect Ali bin Tan Sri Syed Abbas For For Management
Alhabshee as Director
4 Elect Peter Angus Knowles as Director For For Management
5 Approve Crowe Horwath as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
6 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
UZMA BHD
Ticker: UZMA Security ID: Y93246109
Meeting Date: JUN 28, 2012 Meeting Type: Special
Record Date: JUN 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Bonus Issue For For Management
--------------------------------------------------------------------------------
VISCOM AG
Ticker: V6C Security ID: D9506H108
Meeting Date: JUN 14, 2012 Meeting Type: Annual
Record Date: MAY 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.50 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2012
--------------------------------------------------------------------------------
VOLTERRA SEMICONDUCTOR CORPORATION
Ticker: VLTR Security ID: 928708106
Meeting Date: APR 20, 2012 Meeting Type: Annual
Record Date: MAR 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Christopher Paisley For For Management
1.2 Elect Director Stephen Smith For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
WESTFIRE ENERGY LTD.
Ticker: WFE Security ID: 960254100
Meeting Date: MAY 29, 2012 Meeting Type: Annual/Special
Record Date: APR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Seven For For Management
2.1 Elect Director Lowell E. Jackson For For Management
2.2 Elect Director Christopher L. Fong For For Management
2.3 Elect Director John A. Brussa For For Management
2.4 Elect Director Michael Y. McGovern For For Management
2.5 Elect Director Raymond T. Chan For For Management
2.6 Elect Director Roger Thomas For For Management
2.7 Elect Director Ed Chwyl For For Management
3 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
4 Re-approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
WIRECARD AG
Ticker: WDI Security ID: D22359133
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: JUN 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.10 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify Ernst & Young GmbH as Auditors For For Management
for Fiscal 2012
6 Approve Affiliation Agreements with For For Management
Wire Card Beteiligungs GmbH
7 Approve Affiliation Agreements with For For Management
Trustpay International GmbH
8 Approve Creation of EUR 30 Million For For Management
Pool of Authorized Capital with
Partial Exclusion of Preemptive Rights
9 Approve Issuance of Warrants/Bonds For For Management
with Warrants Attached/Convertible
Bonds with Partial Exclusion of
Preemptive Rights up to Aggregate
Nominal Amount of EUR 300 Million;
Approve Creation of EUR 25 Million
Pool of Capital to Guarantee
Conversion Rights
--------------------------------------------------------------------------------
YINGDE GASES GROUP CO., LTD.
Ticker: 02168 Security ID: G98430104
Meeting Date: JUN 15, 2012 Meeting Type: Annual
Record Date: JUN 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a1 Reelect Zhao Xiangti as Director For For Management
3a2 Reelect Wang Ching as Director For For Management
3b Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint KPMG as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
ZOOPLUS AG
Ticker: ZO1 Security ID: D9866J108
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: APR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Discharge of Management Board For For Management
for Fiscal 2011
3 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
4 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2012
5 Amend Articles Re: Increase Size of For For Management
Board to Six Members; Term of Office
6a Elect Joerg Luebcke to the Supervisory For For Management
Board
6b Elect Stefan Winners to the For For Management
Supervisory Board
6c Elect Rolf-Christian Wentz to the For For Management
Supervisory Board
7 Amend Articles Re: Approve For For Management
Remuneration of Supervisory Board
8 Approve Creation of EUR 3.1 Million For For Management
Pool of Capital with Partial Exclusion
of Preemptive Rights
9 Approve Cancellation of Capital For For Management
Authorization
10 Approve Stock Option Plan for Key For For Management
Employees; Approve Creation of EUR
100,000 Pool of Conditional Capital to
Guarantee Conversion Rights
11 Amend Corporate Purpose For For Management
12 Amend Articles Re: Participation in For For Management
General Meetings
13 Authorize Management Board Not to For Against Management
Disclose Individualized Remuneration
of its Members
--------------------------------------------------------------------------------
ZUMIEZ INC.
Ticker: ZUMZ Security ID: 989817101
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Richard M. Brooks For For Management
2 Elect Director Matthew L. Hyde For For Management
3 Elect Director James M. Weber For For Management
4 Approve Executive Incentive Bonus Plan For For Management
5 Ratify Auditors For For Management
========== END NPX REPORT
GRANDEUR PEAK INTERNATIONAL OPPORTUNITIES FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-8194
Reporting Period: 07/01/2011 - 06/30/2012
Grandeur Peak Global Advisors
================ Grandeur Peak International Opportunities Fund ================
1000MERCIS
Ticker: ALMIL Security ID: F6734R104
Meeting Date: JUN 06, 2012 Meeting Type: Annual/Special
Record Date: MAY 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Discharge Directors and Auditors
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.30 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Acknowledge Absence of Non-Tax For For Management
Deductible Expenses
6 Reelect Yseulys Costes as Director For Against Management
7 Reelect Thibaut Munier as Director For Against Management
8 Reelect Cecile Moulard as Director For Against Management
9 Renew Appointment of Bellot Mullenbach For For Management
& Associes as Auditor
10 Renew Appointment of Jean-Luc Loir as For For Management
Alternate Auditor
11 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 6,000
12 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
13 Authorize Directed Share Repurchase For Against Management
Program in Order to Reduce Capital
14 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
ABCAM PLC
Ticker: ABC Security ID: G0060R118
Meeting Date: OCT 21, 2011 Meeting Type: Annual
Record Date: OCT 19, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
5 Re-elect Tony Kouzarides as Director For For Management
6 Re-elect Jim Warwick as Director For For Management
7 Elect Tony Martin as Director For For Management
8 Authorise Issue of Equity with For For Management
Pre-emptive Rights
9 Authorise Issue of Equity without For For Management
Pre-emptive Rights
10 Authorise Market Purchase For For Management
--------------------------------------------------------------------------------
ADVTECH LTD
Ticker: ADH Security ID: S0065B115
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAY 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 December 2011
2 Elect Christopher Boulle as Alternate For Against Management
Director
3 Receive Retirement of David Ferreira For For Management
4 Re-elect Jonathan Jansen as Director For For Management
5 Re-elect Hymie Levin as Director For Against Management
6 Re-elect Didier Oesch as Director For For Management
7 Elect Christopher Boulle and Re-elect For Against Management
Brenda Gourley, Jeffrey Livingstone
and Hymie Levin as Members of the
Audit Committee
8 Reappoint Deloitte & Touche as For For Management
Auditors of the Company and S Nelson
as the Designated Auditor
9 Approve Cash Distribution to For For Management
Shareholders by Way of Reduction of
Share Premium Account
10 Approve Remuneration Policy For Against Management
1 Approve Non-Executive Directors Fees For For Management
2 Approve Financial Assistance to For For Management
Subsidiaries and Related or
Inter-related Companies
3 Adopt New Memorandum of Incorporation For For Management
4 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
5 Approve Cancellation of N Ordinary For For Management
Shares
--------------------------------------------------------------------------------
AEON CREDIT SERVICE (M) BHD
Ticker: AEONCR Security ID: Y0018E102
Meeting Date: JUN 19, 2012 Meeting Type: Annual
Record Date: JUN 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.168 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Takatoshi Ikenishi as Director For For Management
5 Elect Clarence Chai as Director For For Management
6 Elect Abdullah bin Mohd Yusof as For For Management
Director
7 Elect Ramli bin Ibrahim as Director For For Management
8 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
10 Approve Implementation of For For Management
Shareholders' Mandate for Recurrent
Related Party Transactions
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
AMADEUS FIRE AG
Ticker: AAD Security ID: D0349N105
Meeting Date: MAY 31, 2012 Meeting Type: Annual
Record Date: MAY 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 2.84 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify Ernst & Young as Auditors for For For Management
Fiscal 2012
6 Elect Karl Graf zu Eltz to the For For Management
Supervisory Board
--------------------------------------------------------------------------------
ARA ASSET MANAGEMENT LTD.
Ticker: D1R Security ID: G04512102
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.027 For For Management
Per Share
3 Reelect Lim Hwee Chiang John as For For Management
Director
4 Reelect Ip Tak Chuen Edmond as Director For For Management
5 Reelect Lee Yock Suan as Director For For Management
6 Approve Directors' Fees of SGD 490,000 For For Management
for the Financial Year Ending Dec. 31,
2012
7 Reappoint KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Mandate for Transactions with For For Management
Related Parties
10 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
ATRIUM INNOVATIONS INC.
Ticker: ATB Security ID: 04963Y102
Meeting Date: MAY 15, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yvon Bolduc For For Management
1.2 Elect Director Alain Bouchard For For Management
1.3 Elect Director Eric Dupont For For Management
1.4 Elect Director Pierre Fitzgibbon For For Management
1.5 Elect Director Jacques Gauthier For For Management
1.6 Elect Director Yves Julien For For Management
1.7 Elect Director Claude Lamoureux For For Management
1.8 Elect Director Pierre Laurin For For Management
1.9 Elect Director Gerard Limoges For For Management
1.10 Elect Director Carole St-Charles For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
AUDIKA GROUPE
Ticker: ADI Security ID: F0490T107
Meeting Date: JUN 13, 2012 Meeting Type: Annual/Special
Record Date: JUN 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.27 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Reelect Dominique Baudouin Tonnard as For Against Management
Director
6 Reelect European Capital SA Sicar as For Against Management
Director
7 Authorize Repurchase of Up to 10 For Against Management
Percent of Issued Share Capital
8 Authorize Share Repurchase Program and For Against Management
Cancellation of Repurchased Shares
9 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of 20 Pecrcent of
Capital
10 Authorize Board to Increase Capital in For For Management
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Above
11 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of 20 Pecrcent of
Capital
12 Approve Issuance of up to 20 Percent For Against Management
of Issued Capital Per Year for a
Private Placement
13 Authorize Capital Increase of up to 10 For Against Management
Percent of Issued Capital for Future
Acquisitions
14 Approve Employee Stock Purchase Plan Against For Management
15 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
AUSENCO LTD.
Ticker: AAX Security ID: Q0704C104
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date: APR 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.a Elect Hank Tuten as Director For For Management
1.b Elect Wayne Goss as Director For For Management
2 Approve Remuneration Report For For Management
3.a Approve the Ausenco Limited Stock For Against Management
Option Plan
3.b Approve the Ausenco Limited For For Management
Performance Rights Plan
3.c Approve the Ausenco Limited Employee For For Management
Share Acquisition Plan
--------------------------------------------------------------------------------
BANCO ABC BRASIL S.A.
Ticker: ABCB4 Security ID: P0763M135
Meeting Date: APR 30, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Directors For Against Management
4 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
BEAZLEY PLC
Ticker: BEZ Security ID: G1143Q101
Meeting Date: MAR 27, 2012 Meeting Type: Annual
Record Date: MAR 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Second Interim Dividend For For Management
4 Re-elect George Blunden as Director For For Management
5 Re-elect Martin Bride as Director For For Management
6 Re-elect Adrian Cox as Director For For Management
7 Re-elect Jonathan Gray as Director For For Management
8 Re-elect Gordon Hamilton as Director For For Management
9 Elect Dennis Holt as Director For For Management
10 Re-elect Andrew Horton as Director For For Management
11 Re-elect Neil Maidment as Director For For Management
12 Re-elect Padraic O'Connor as Director For For Management
13 Re-elect Vincent Sheridan as Director For For Management
14 Re-elect Ken Sroka as Director For For Management
15 Re-elect Rolf Tolle as Director For For Management
16 Re-elect Clive Washbourn as Director For For Management
17 Reappoint KPMG as Auditors For For Management
18 Authorise Board to Fix Remuneration of For For Management
Auditors
19 Authorise Issue of Equity with For For Management
Pre-emptive Rights
20 Approve Long Term Incentive Plan For For Management
21 Approve Save As You Earn Share Option For For Management
Plan
22 Authorise Issue of Equity without For For Management
Pre-emptive Rights
23 Authorise Market Purchase For For Management
24 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BENEFIT ONE INC.
Ticker: 2412 Security ID: J0447X108
Meeting Date: JUN 28, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 3000
2.1 Elect Director Nambu, Yasuyuki For Against Management
2.2 Elect Director Shiraishi, Norio For Against Management
2.3 Elect Director Suzuki, Masako For For Management
2.4 Elect Director Ota, Tsutomu For For Management
2.5 Elect Director Nosohara, Koji For For Management
2.6 Elect Director Hirasawa, Hajime For Against Management
2.7 Elect Director Wakamoto, Hirotaka For For Management
2.8 Elect Director Sakata, Yuuko For For Management
2.9 Elect Director Kamitomai, Akira For For Management
3 Appoint Statutory Auditor Fujiike, For For Management
Tomonori
--------------------------------------------------------------------------------
BERTRANDT AG
Ticker: BDT Security ID: D1014N107
Meeting Date: FEB 15, 2012 Meeting Type: Annual
Record Date: JAN 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2010/2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 1.70 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2010/2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2010/2011
5 Amend Articles Re: Remuneration of For For Management
Supervisory Board
6 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2011/2012
--------------------------------------------------------------------------------
BREADTALK GROUP LTD
Ticker: 5DA Security ID: Y0969F108
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For Against Management
Directors' and Auditors' Reports
2 Declare First and Final Dividend of For For Management
SGD 0.01 Per Share and Special
Dividend of SGD 0.005 Per Share
3 Reelect George Quek Meng Tong as For Against Management
Director
4 Reelect Ong Kian Min as Director For Against Management
5 Approve Directors' Fees of SGD 168,000 For For Management
for the Year Ended Dec. 31, 2011
6 Reappoint Ernst & Young LLP as For Against Management
Auditors and Authorize Board to Fix
Their Remuneration
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
8 Approve Issuance of Shares and Grant For Against Management
of Options Under the BreadTalk Group
Limited Employees' Share Option Scheme
9 Approve Issuance of Shares and Grant For Against Management
of Awards Pursuant to the BreadTalk
Group Limited Restricted Share Grant
Plan
10 Approve Grant of Awards of Up to For Against Management
65,000 Shares to George Quek Meng Tong
Pursuant to the BreadTalk Group
Limited Restricted Share Grant Plan
11 Approve Grant of Awards of Up to For Against Management
65,000 Shares to Katherine Lee Lih
Leng Pursuant to the BreadTalk Group
Limited Restricted Share Grant Plan
12 Approve Grant of Awards of Up to For Against Management
25,000 Shares to Frankie Quek Swee
Heng Pursuant to the BreadTalk Group
Limited Restricted Share Grant Plan
13 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
BRUNEL INTERNATIONAL
Ticker: BRNL Security ID: N1677J103
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: APR 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Receive Report of Management Board None None Management
(Non-Voting)
3 Adopt Financial Statements For For Management
4 Approve Discharge of Management Board For For Management
5 Approve Discharge of Supervisory Board For For Management
6 Receive Explanation on Company's None None Management
Reserves and Dividend Policy
7 Approve Allocation of Income and For For Management
Dividends of EUR 0.90 per Share
8a Grant Board Authority to Issue Shares For For Management
Up To 5 Percent of Issued Capital
8b Authorize Board to Exclude Preemptive For For Management
Rights from Issuance under Item 8a
9 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
10 Discussion on Company's Corporate None None Management
Governance Structure
11 Ratify Deloitte Accountants B.V. as For For Management
Auditors
12 Allow Questions None None Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
CARSALES.COM LTD.
Ticker: CRZ Security ID: Q21411105
Meeting Date: OCT 26, 2011 Meeting Type: Annual
Record Date: OCT 24, 2011
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Richard Collins as a Director For For Management
4 Elect Walter Pisciotta as a Director For For Management
5 Elect Ian Law as a Director For For Management
6 Approve the Grant of Share Options and For For Management
Performance Rights to Managing
Director Greg Roebuck
--------------------------------------------------------------------------------
CETIP S.A. BALCAO ORGANIZADO DE ATIVOS E DERIVATIVOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: APR 17, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Executive For For Management
Officers and Non-Executive Directors
4 Elect Directors For For Management
--------------------------------------------------------------------------------
CHINA LILANG LTD
Ticker: 01234 Security ID: G21141109
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: APR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final dividend and Special For For Management
Final Dividend
3a Reelect Wang Dong Xing as Executive For For Management
Director
3b Reelect Hu Cheng Chu as Executive For For Management
Director
3c Reelect Wang Ru Ping as Executive For For Management
Director
3d Reelect Nie Xing as Independent For For Management
Non-Executive Director
3e Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint KPMG as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CHINA MEDICAL SYSTEM HOLDINGS LTD.
Ticker: 00867 Security ID: G21108124
Meeting Date: APR 25, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of $0.008 Per For For Management
Share for the Year Ended Dec. 31, 2011
3a Reelect Chen Hongbing as Executive For For Management
Director
3b Reelect Hui Ki Fat as Executive For For Management
Director
3c Reelect Hou Xiaoxuan as Non-Executive For For Management
Director
3d Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Bonus Issue For For Management
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
8 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CLICKS GROUP LTD
Ticker: CLS Security ID: S17249111
Meeting Date: JAN 17, 2012 Meeting Type: Annual
Record Date: JAN 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Year Ended 31
August 2011
2 Reappoint KPMG Inc as Auditors of the For For Management
Company and David Friedland as the
Individual Registered Auditor
3 Re-elect Fatima Abrahams as Director For For Management
4 Re-elect John Bester as Director For For Management
5 Re-elect Bertina Engelbrecht as For For Management
Director
6 Elect Michael Fleming as Director For For Management
7.1 Re-elect John Bester as Member of the For For Management
Audit and Risk Committee
7.2 Re-elect Fatima Jakoet as Member of For For Management
the Audit and Risk Committee
7.3 Elect Nkaki Matlala as Member of the For For Management
Audit and Risk Committee
7.4 Re-elect David Nurek as Member of the For For Management
Audit and Risk Committee
8 Approve Distributions to Shareholders For For Management
by Way of Reduction of Share Premium
Account
9 Approve Remuneration Policy For For Management
10 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
11 Approve Remuneration of Non-Executive For For Management
Directors
12 Approve Financial Assistance to For For Management
Related or Inter-related Companies or
Corporations
--------------------------------------------------------------------------------
COASTAL ENERGY COMPANY
Ticker: CEO Security ID: G22404118
Meeting Date: JUN 19, 2012 Meeting Type: Annual
Record Date: MAY 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Randy Bartley as Director For For Management
1.2 Elect C. Robert Black as Director For Withhold Management
1.3 Elect Andrew Cochran as Director For Withhold Management
1.4 Elect Olivier de Montal as Director For Withhold Management
1.5 Elect William Phelps as Director For For Management
1.6 Elect Lloyd Smith as Director For For Management
1.7 Elect John Zaozirny as Director For Withhold Management
2 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
COMPUGROUP MEDICAL AG
Ticker: COP Security ID: D15813211
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.25 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2012
6 Approve Issuance of Warrants/Bonds For Against Management
with Warrants Attached/Convertible
Bonds without Preemptive Rights up to
Aggregate Nominal Amount of EUR 500
Million; Approve Creation of EUR 26.6
Million Pool of Capital to Guarantee
Conversion Rights
--------------------------------------------------------------------------------
COMTEC SOLAR SYSTEMS GROUP LTD.
Ticker: 00712 Security ID: G23420105
Meeting Date: MAR 13, 2012 Meeting Type: Special
Record Date: MAR 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Warrant Subscription Agreement For For Management
and Related Transactions
--------------------------------------------------------------------------------
CONNECTA AB
Ticker: CNTA Security ID: W5682T105
Meeting Date: APR 04, 2012 Meeting Type: Annual
Record Date: MAR 29, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For Did Not Vote Management
3 Prepare and Approve List of For Did Not Vote Management
Shareholders
4 Approve Agenda of Meeting For Did Not Vote Management
5 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
6 Acknowledge Proper Convening of Meeting For Did Not Vote Management
7 Receive Financial Statements and None None Management
Statutory Reports; Receive Auditor's
Report
8a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
8b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 5.90 per Share
8c Approve Discharge of Board and For Did Not Vote Management
President
9 Approve Remuneration of Directors in For Did Not Vote Management
the Ammount of SEK 400,000 for
Chairman and SEK 200,000 for Other
Directors; Approve Remuneration for
Committee Work; Approve Remuneration
of Auditors
10 Reelect Mikael Nachemson (Chair), Lars For Did Not Vote Management
Gronberg, Marianne Hamilton, and
Caroline af Ugglas as Directors; Elect
Soren Belin, and Christer Hellstrom as
New Directors
11 Ratify Deloitte as Auditors For Did Not Vote Management
12 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
13 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Five of Company's
Largest Shareholders to Serve on
Nominating Committee
14 Approve Stock Option Plan for Key For Did Not Vote Management
Employees
15 Authorize Repurchase of up to 10 For Did Not Vote Management
Percent of Issued Share Capital
16 Close Meeting None None Management
--------------------------------------------------------------------------------
CSE GLOBAL LTD (FRMLY CSE SYSTEMS & ENGINEERING LTD)
Ticker: 544 Security ID: Y8346J107
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare First and Final Dividend of For For Management
SGD 0.02 Per Share
3 Reelect Lim Ming Seong as Director For For Management
4 Reelect Lee Soo Hoon as Director For For Management
5 Reelect Sin Boon Ann as Director For For Management
6 Reelect Richard Last as Director For For Management
7 Approve Directors' Fees of SGD 309,328 For For Management
For the Year Ended Dec. 31, 2011
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
--------------------------------------------------------------------------------
CSG LTD.
Ticker: CSV Security ID: Q30209102
Meeting Date: NOV 24, 2011 Meeting Type: Annual
Record Date: NOV 22, 2011
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Philip Bullock as a Director For For Management
4 Elect Josef Czyzewski as a Director For For Management
5 Ratify the Past Issuance of 9.09 For For Management
Million Shares to Professional and
Sophisticated Investors
6 Approve the Increase in the Maximum For For Management
Aggregate Amount Payable to
Non-Executive Directors
7 Approve the CSG Directors and Employee For For Management
Benefits Plan
8 Approve the Grant of Performance For For Management
Rights Up to a Maximum Value of
$200,000 to Denis Mackenzie, Managing
Director
--------------------------------------------------------------------------------
CUB ELECPARTS INC.
Ticker: 2231 Security ID: Y1823N105
Meeting Date: JUN 19, 2012 Meeting Type: Annual
Record Date: APR 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve to Amend the Articles of For For Management
Association
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
--------------------------------------------------------------------------------
CVS GROUP PLC
Ticker: CVSG Security ID: G27234106
Meeting Date: DEC 08, 2011 Meeting Type: Annual
Record Date: DEC 06, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
3 Authorise Board to Fix Remuneration of For For Management
Auditors
4 Approve Final Dividend For For Management
5 Re-elect Richard Connell as Director For For Management
6 Re-elect Simon Innes as Director For For Management
7 Re-elect Paul Coxon as Director For For Management
8 Re-elect David Timmins as Director For For Management
9 Authorise Issue of Equity with For For Management
Pre-emptive Rights
10 Authorise Issue of Equity without For For Management
Pre-emptive Rights
11 Authorise Market Purchase For For Management
--------------------------------------------------------------------------------
DAEWOONG PHARMACEUTICAL CO.
Ticker: 069620 Security ID: Y1915W104
Meeting Date: MAR 16, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 800 per Share
2 Amend Articles of Incorporation For Against Management
3 Elect Three Inside Directors and One For For Management
Outiside Director (Bundled)
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
DAIKEN MEDICAL CO., LTD.
Ticker: 7775 Security ID: J11299104
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles To Expand Board For For Management
Eligibility
2.1 Elect Director Yamada, Mitsuru For Against Management
2.2 Elect Director Yamada, Keiichi For Against Management
2.3 Elect Director Yamada, Masayuki For For Management
2.4 Elect Director Ohama, Masahiko For For Management
2.5 Elect Director Tokuyama, Heiretsu For For Management
2.6 Elect Director Yanagihori, Shinji For For Management
2.7 Elect Director Koga, Yoshihisa For For Management
3.1 Appoint Statutory Auditor Kambaru, For For Management
Yasushi
3.2 Appoint Statutory Auditor Daikuya, For Against Management
Hiroshi
3.3 Appoint Statutory Auditor Iwaki, Motomi For For Management
--------------------------------------------------------------------------------
DIBS PAYMENT SERVICES AB
Ticker: DIBS Security ID: W2145F103
Meeting Date: MAY 09, 2012 Meeting Type: Annual
Record Date: MAY 03, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Elect Lars Widhagen as For Did Not Vote Management
Chairman of Meeting
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Approve Agenda of Meeting For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Acknowledge Proper Convening of Meeting For Did Not Vote Management
6 Receive Financial Statements and None None Management
Statutory Reports; Receive Auditor's
Report
7a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
7b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 2.00 per Share
7c Approve Discharge of Board and For Did Not Vote Management
President
8 Determine Number of Members (5) and For Did Not Vote Management
Deputy Members (0) of Board; Determine
Number of Auditors (1) and Deputy
Auditors (0)
9 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 300,000 for Chairman
and SEK 150,000 for Other Directors;
Approve Remuneration of Auditors
10 Reelect Thord Wilkne, Peter For Did Not Vote Management
Sjunnesson, and Christoffer Haggblom
as Directors; Elect Staffan Persson
and Cecilia Lager as New Directors;
Appoint Ernst & Young as Auditors
11 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
12 Approve Stock Option Plan For Did Not Vote Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
DROGASIL S.A
Ticker: DROG3 Security ID: P3587W107
Meeting Date: NOV 10, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger between the Company and For For Management
Raia SA
2 Approve Merger Agreement between the For For Management
Company and Raia SA
3 Appoint Independent Firm to Appraise For For Management
Proposed Merger
4 Approve Independent Firm's Appraisal For For Management
5 Approve Issuance of 142.07 Million New For For Management
Shares in Connection with Merger
6 Amend Articles For Against Management
7 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
8 Elect Directors For For Management
9 Elect Board Chairman For For Management
10 Cancel 2007 Stock Option Plan For For Management
11 Approve New Stock Option Plan For Against Management
--------------------------------------------------------------------------------
ECOGREEN FINE CHEMICALS GROUP LTD.
Ticker: 02341 Security ID: G29190108
Meeting Date: JUN 28, 2012 Meeting Type: Annual
Record Date: JUN 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of HK$0.0348 For For Management
Per Share
3a Reelect Feng Tao as Director For Against Management
3b Reelect Gong Xionghui as Director For For Management
3c Reelect Han Huan Guang as Director For For Management
3d Reelect Lin Zhigang as Director For For Management
3e Reelect Lau Wang Yip, Derrick as For For Management
Director
3f Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
EOH HOLDINGS LIMITED
Ticker: EOH Security ID: S2593K104
Meeting Date: MAR 06, 2012 Meeting Type: Annual
Record Date: FEB 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 July 2011
2 Re-elect Lucky Khumalo as Director For Against Management
3 Re-elect Nakedi Phosa as Director For For Management
4 Re-elect Tebogo Skwambane as Director For For Management
5 Re-elect Robert Sporen as Chairman of For Against Management
Audit Committee
6 Re-elect Tebogo Skwambane as Member of For For Management
Audit Committee
7 Elect Tshilidzi Marwala as Member of For For Management
Audit Committee
8 Appoint PKF (Gauteng) Chartered For Against Management
Accountants as Auditors and Sanjay
Ranchhoojee as the Individual
Registered Auditor and Authorise the
Board to Determine Their Remuneration
9 Approve Remuneration of Non-executive For For Management
Directors
10 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
11 Approve Conversion of the Ordinary For For Management
Shares in the Company's Authorised
Share Capital from Par Value Shares to
Shares of No Par Value
12 Approve Increase in Authorised Share For Against Management
Capital
13 Approve Financial Assistance for For Against Management
Subscription of Securities
14 Approve Financial Assistance to a For For Management
Director or Prescribed Officer of the
Company, or to a Related or
Inter-related Company or Corporation
15 Approve Remuneration Policy For Against Management
16 Place Authorised but Unissued Shares For Against Management
Under Control of Directors
17 Authorise Board to Issue Shares for For Against Management
Cash up to a Maximum of 15 Percent of
Issued Share Capital
18 Amend EOH Share Participation Scheme For For Management
19 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
EUGENE TECHNOLOGY CO.
Ticker: 084370 Security ID: Y2347W100
Meeting Date: NOV 22, 2011 Meeting Type: Special
Record Date: OCT 28, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Kim Sung-Woo as Inside Director For For Management
--------------------------------------------------------------------------------
EUGENE TECHNOLOGY CO.
Ticker: 084370 Security ID: Y2347W100
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 150 per Share
2.1 Reelect Um Pyung-Yong as Inside For For Management
Director
2.2 Reelect Hong Soon-Myung as Outside For Against Management
Director
3 Appoint Kang Seok-Jin as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For Against Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
EXILLON ENERGY PLC
Ticker: EXI Security ID: G3310L105
Meeting Date: JUN 06, 2012 Meeting Type: Annual
Record Date: JUN 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Re-elect Dr David Herbert as Director For For Management
4 Elect Mark Martin as Director For For Management
5 Re-elect L. Stuard Detmer as Director For For Management
6 Re-elect Anne Belveze as Director For For Management
7 Re-elect Ezio Bracco as Director For For Management
8 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
9 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
10 Authorise Issue of Equity with For For Management
Pre-emptive Rights
11 Authorise Issue of Equity without For For Management
Pre-emptive Rights
12 Authorise Market Purchase of Ordinary For For Management
Shares
13 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
14 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
FIDESSA GROUP PLC
Ticker: FDSA Security ID: G3469C104
Meeting Date: APR 24, 2012 Meeting Type: Annual
Record Date: APR 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Special Dividend For For Management
4 Approve Remuneration Report For For Management
5 Re-elect John Hamer as Director For For Management
6 Re-elect Chris Aspinwall as Director For For Management
7 Re-elect Andy Malpass as Director For For Management
8 Re-elect Ron Mackintosh as Director For For Management
9 Re-elect Philip Hardaker as Director For For Management
10 Re-elect Elizabeth Lake as Director For For Management
11 Reappoint KPMG Audit plc as Auditors For For Management
12 Authorise Board to Fix Remuneration of For For Management
Auditors
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase For For Management
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
FLEURY S.A.
Ticker: FLRY3 Security ID: P418BW104
Meeting Date: OCT 31, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Ratify Acquisition of 50 Percent of For For Management
Labs Cardiolab Exames Complementares S.
A.
2 Appoint Independent Firm to Appraise For For Management
Proposed Acquisition
3 Approve Independent Firm's Appraisal For For Management
4 Approve Acquisition Agreement between For For Management
the Company and Labs Cardiolab Exames
Complementares S.A., Including Share
Exchange Ratio
5 Amend Articles to Reflect Changes in For For Management
Capital
6 Approve Increase in Authorized Capital For For Management
and Amend Article 6
7 Increase Maximum Board Size to 10 and For For Management
Amend Article 13
8 Elect Two Directors and One Alternate For For Management
Director; Appoint Chair and Vice-Chair
9 Amend Articles Re: Novo Mercado For For Management
Regulations
10 Consolidate Bylaws For For Management
--------------------------------------------------------------------------------
FLEURY S.A.
Ticker: FLRY3 Security ID: P418BW104
Meeting Date: DEC 30, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Appoint Independent Firm to Appraise For For Management
Proposed Absorption
2 Approve Independent Firm's Appraisal For For Management
3 Approve Agreement to Absorb Labs For For Management
Cardiolab Exames Complementares S.A.
4 Approve Absorption of Labs Cardiolab For For Management
Exames Complementares S.A.
5 Transfer Subsidiary's Offices to the For For Management
Company
6 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
FLEURY S.A.
Ticker: FLRY3 Security ID: P418BW104
Meeting Date: APR 02, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Executive For Against Management
Officers, Non-Executive Directors, and
Fiscal Council Members
--------------------------------------------------------------------------------
FUTURE ARCHITECT, INC.
Ticker: 4722 Security ID: J16832107
Meeting Date: MAR 22, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 750
2.1 Elect Director Kanemaru, Yasufumi For Against Management
2.2 Elect Director Ishibashi, Kunihito For For Management
2.3 Elect Director Higashi, Yuji For For Management
2.4 Elect Director Amma, Yutaka For For Management
2.5 Elect Director Yasunobe, Shin For For Management
2.6 Elect Director Harada, Yasuhiro For For Management
--------------------------------------------------------------------------------
GCA SAVVIAN GROUP CORP
Ticker: 2174 Security ID: J1766D103
Meeting Date: MAR 28, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles To Streamline Board For For Management
Structure
2.1 Elect Director Watanabe, Akihiro For For Management
2.2 Elect Director James B. Avery For For Management
2.3 Elect Director Sayama, Nobuo For For Management
2.4 Elect Director Todd J. Carter For For Management
2.5 Elect Director Geoffrey D. Baldwin For For Management
2.6 Elect Director Kato, Hiroyasu For For Management
2.7 Elect Director Yone, Masatake For For Management
3.1 Appoint Statutory Auditor Inoue, Osamu For For Management
3.2 Appoint Statutory Auditor Iwasaki, Jiro For For Management
3.3 Appoint Statutory Auditor Fujishima, For For Management
Takashi
--------------------------------------------------------------------------------
GERRY WEBER INTERNATIONAL AG
Ticker: GWI1 Security ID: D95473225
Meeting Date: JUN 05, 2012 Meeting Type: Annual
Record Date: MAY 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2010/2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.65 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2010/2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2010/2011
5 Ratify Mazars GmbH as Auditors for For For Management
Fiscal 2011/2012
--------------------------------------------------------------------------------
GLOBAL MIXED-MODE TECHNOLOGY INC.
Ticker: 8081 Security ID: Y2717S101
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Cash Dividend Distribution For For Management
through Capital Reserve
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Amend Articles of Association For For Management
6 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
and Their Representatives
--------------------------------------------------------------------------------
GOLDEN EAGLE RETAIL GROUP LTD.
Ticker: 03308 Security ID: G3958R109
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAY 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend RMB0.188 Per For For Management
Share
3a Reelect Zheng Shu Yun as Director For For Management
3b Reelect Wang Yao as Director For For Management
3c Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 27, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 27, 2011 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.02 Per For For Management
Share
3 Declare Special Dividend of SGD 0.01 For For Management
Per Share
4 Reelect Liew Yew Pin as Director For For Management
5 Reelect Mah Kim Loong Leslie as For For Management
Director
6 Approve Directors' Fees of SGD 145,000 For For Management
for the Financial Year Ended June 30,
2011
7 Appoint Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Grant of Options and Issuance For Against Management
of Shares Pursuant to the Goodpack
Performance Share Option Scheme
--------------------------------------------------------------------------------
HANMI SEMICONDUCTOR CO.
Ticker: 042700 Security ID: Y3R62P107
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 100 per Share
2 Amend Articles of Incorporation For Against Management
3 Appoint Chang Young-Ho as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
HIGHLAND GOLD MINING LTD
Ticker: HGM Security ID: G4472X101
Meeting Date: JUN 14, 2012 Meeting Type: Annual
Record Date: JUN 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Reelect Duncan Baxter as Director For Against Management
3 Reelect Olga Pokrovskaya as Director For Against Management
4 Reappoint Ernst & Young LLP as Auditors For For Management
5 Authorize Board to Fix Remuneration of For For Management
Auditors
--------------------------------------------------------------------------------
HIQ INTERNATIONAL AB
Ticker: HIQ Security ID: W4091V108
Meeting Date: MAR 28, 2012 Meeting Type: Annual
Record Date: MAR 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Anders Ljungh as Chairman of For Did Not Vote Management
Meeting
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Approve Agenda of Meeting For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Acknowledge Proper Convening of Meeting For Did Not Vote Management
6 Receive President's Report None None Management
7 Receive Financial Statements and None None Management
Statutory Reports; Receive
Consolidated Financial Statements and
Statutory Reports; Receive Auditor's
Report
8a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
8b Approve Allocation of Income and For Did Not Vote Management
Omission of Dividends
8c Approve Discharge of Board and For Did Not Vote Management
President
9 Determine Number of Members (8) and For Did Not Vote Management
Deputy Members (0) of Board
10 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 475,000 for Chairman
and SEK 210,000 for Other Directors;
Approve Remuneration of Auditors
11 Reelect Ken Gerhardsen, Johanna For Did Not Vote Management
Kohler, Lars Stugemo, Anders Ljungh
(Chairman), Jukka Norokorpi, and
Gunnel Duveblad as Directors; Elect
Ulrika Hagdahl and Erik Hallberg as
New Directors
12 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
13 Approve 1:2 Stock Split in Connection For Did Not Vote Management
with Redemption Program; Approve SEK 2.
64 Million Reduction in Share Capital
via Share Cancellation; Approve
Capitalization of Reserves of SEK 2.64
Million in Connection with Redemption
Program
14 Authorize Share Repurchase Program and For Did Not Vote Management
Reissuance of Repurchased Shares
15 Approve Stock Option Plan for Key For Did Not Vote Management
Employees
16 Approve Issuance of up to 5 Million For Did Not Vote Management
Shares without Preemptive Rights
17 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
18 Other Business None None Management
--------------------------------------------------------------------------------
HOME CAPITAL GROUP INC
Ticker: HCG Security ID: 436913107
Meeting Date: MAY 16, 2012 Meeting Type: Annual/Special
Record Date: MAR 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James C. Baillie For For Management
1.2 Elect Director William G. Davis For For Management
1.3 Elect Director William F. Falk For For Management
1.4 Elect Director John M. Marsh For For Management
1.5 Elect Director Robert A. Mitchell For For Management
1.6 Elect Director Kevin P.D. Smith For For Management
1.7 Elect Director Gerald M. Soloway For For Management
1.8 Elect Director Bonita J. Then For For Management
1.9 Elect Director F. Leslie Thompson For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
HU LANE ASSOCIATE INC.
Ticker: 6279 Security ID: Y3759R100
Meeting Date: JUN 28, 2012 Meeting Type: Annual
Record Date: APR 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve the Issuance of New Shares by For For Management
Capitalization of 2011 Profit
4 Amend the Articles of Association For For Management
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
6 Approve Amendment to Rules and For For Management
Procedure for Election of Directors
and Supervisors
7 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
--------------------------------------------------------------------------------
HY-LOK CORP.
Ticker: 013030 Security ID: Y3852P100
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 150 per Share
2 Amend Articles of Incorporation For Against Management
3 Reelect One Inside Director and One For For Management
Outside Director (Bundled)
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
IMARKETKOREA INC.
Ticker: 122900 Security ID: Y3884J106
Meeting Date: DEC 23, 2011 Meeting Type: Special
Record Date: NOV 28, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Two Inside Directors (Bundled) For For Management
1.2 Elect Two Inside Directors For For Management
(Non-Independent Non-Executive
Directors) (Bundled)
1.3 Elect Two Outside Directors (Bundled) For For Management
2 Appoint Kim Nam-Geun as Internal For For Management
Auditor
--------------------------------------------------------------------------------
IMARKETKOREA INC.
Ticker: 122900 Security ID: Y3884J106
Meeting Date: MAR 16, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
INDUTRADE AB
Ticker: INDT Security ID: W4939U106
Meeting Date: MAY 03, 2012 Meeting Type: Annual
Record Date: APR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Klaes Edhall as Chairman of For For Management
Meeting
3 Prepare and Approve List of For For Management
Shareholders
4 Approve Agenda of Meeting For For Management
5 Designate Inspector(s) of Minutes of For For Management
Meeting
6 Acknowledge Proper Convening of Meeting For For Management
7 Receive Board's Report None None Management
8 Receive Financial Statements and None None Management
Statutory Reports; Receive CEO's Report
9 Receive Auditor's Report; Receive None None Management
Auditor's Report on Application of
Guidelines for Remuneration for
Executive Management
10a Approve Financial Statements and For For Management
Statutory Reports
10b Approve Allocation of Income and For For Management
Dividends of SEK 6.75 per Share
10c Approve May 8, 2012, as Record Date For For Management
for Dividend
10d Approve Discharge of Board and For For Management
President
11 Receive Report on Work of Nominating None None Management
Committee
12 Determine Number of Members (7) and For For Management
Deputy Members of Board (0)
13 Approve Remuneration of Directors in For For Management
the Amount of SEK 450,000 for Chair
and SEK 225,000 for Other Directors;
Approve Additional Compensation for
Chairman of Audit Committee
14 Reelect Ulf Lundahl, Eva Farnstrand, For For Management
Bengt Kjell (Chair), Mats Olsson,
Martin Lindqvist, and Johnny Alvarsson
as Directors; Elect Krister Mellve as
New Director
15 Approve Remuneration of Auditors For For Management
16 Authorize Chairman of Board and For For Management
Representatives of Four of Company's
Largest Shareholders to Serve on
Nominating Committee
17 Approve Remuneration Policy And Other For For Management
Terms of Employment For Executive
Management
18 Close Meeting None None Management
--------------------------------------------------------------------------------
INMET MINING CORPORATION
Ticker: IMN Security ID: 457983104
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date: MAR 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yilmaz Arguden For For Management
1.2 Elect Director David R. Beatty For For Management
1.3 Elect Director John H. Clappison For For Management
1.4 Elect Director John C. Eby For For Management
1.5 Elect Director Paul E. Gagne For For Management
1.6 Elect Director Gerald W. Grandey For For Management
1.7 Elect Director Oyvind Hushovd For For Management
1.8 Elect Director Thomas E. Mara For For Management
1.9 Elect Director Jochen Tilk For For Management
1.10 Elect Director Douglas W.G. Whitehead For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
JOBSTREET CORPORATION BHD
Ticker: JOBST Security ID: Y44474107
Meeting Date: MAY 17, 2012 Meeting Type: Annual
Record Date: MAY 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.005 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Yang Chi-Kuan as Director For For Management
5 Elect Lin See Yan as Director For For Management
6 Elect Chang Mun Kee as Director For For Management
7 Elect Ali bin Abdul Kadir as Director For For Management
8 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
10 Approve Share Repurchase Program For For Management
--------------------------------------------------------------------------------
KAKAKU.COM INC
Ticker: 2371 Security ID: J29258100
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 25
2 Amend Articles To Clarify Terms of For For Management
Alternate Statutory Auditors -
Increase Maximum Board Size
3.1 Elect Director Hayashi, Kaoru For For Management
3.2 Elect Director Tanaka, Minoru For For Management
3.3 Elect Director Hata, Shonosuke For For Management
3.4 Elect Director Ieuji, Taizo For For Management
3.5 Elect Director Fujiwara, Kenji For For Management
3.6 Elect Director Uemura, Hajime For For Management
3.7 Elect Director Yuuki, Shingo For For Management
3.8 Elect Director Murakami, Atsuhiro For For Management
3.9 Elect Director Matsumoto, Oki For For Management
3.10 Elect Director Hayakawa, Yoshiharu For For Management
3.11 Elect Director Akiyama, Ryuuhei For For Management
4 Approve Stock Option Plan For For Management
--------------------------------------------------------------------------------
KATHMANDU HOLDINGS LTD.
Ticker: KMD Security ID: Q5213W103
Meeting Date: NOV 18, 2011 Meeting Type: Annual
Record Date: NOV 16, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect M Todd as Director For Against Management
2 Elect S McPhee as Director For For Management
3 Authorize Board to Fix Remuneration of For For Management
the Auditors
4 Approve Grant of Performance Rights to For For Management
P Halkett
5 Approve Grant of Performance Rights to For For Management
M Todd
6 Approve Increase in Directors' Fees For For Management
--------------------------------------------------------------------------------
KOH YOUNG TECHNOLOGY INC.
Ticker: 098460 Security ID: Y4810R105
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 200 per Share
2 Approve Stock Option Grants For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
LEADTREND TECHNOLOGY CORP
Ticker: 3588 Security ID: Y5217P105
Meeting Date: JUN 27, 2012 Meeting Type: Annual
Record Date: APR 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Approve Release of Restrictions of For For Management
Competitive Activities of Newly
Appointed Directors and Representatives
6 Transact Other Business None None Management
--------------------------------------------------------------------------------
LG FASHION CORP.
Ticker: 093050 Security ID: Y5275J108
Meeting Date: MAR 23, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 400 per Share
2 Elect Four Inside Directors and Two For For Management
Outside Directors (Bundled)
3 Elect Cho Gyu-Won as Member of Audit For For Management
Committee
4 Elect Two Members of Audit Committee For For Management
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
6 Amend Terms of Severance Payments to For Against Management
Executives
--------------------------------------------------------------------------------
LIFE HEALTHCARE GROUP HOLDINGS LTD.
Ticker: LHC Security ID: S4682C100
Meeting Date: JAN 26, 2012 Meeting Type: Annual
Record Date: JAN 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the year ended
30 September 2011
2 Re-elect Jakes Gerwel as Director For For Management
3 Re-elect Mustaq Brey as Director For For Management
4 Re-elect Garth Solomon as Director For For Management
5 Reappoint PricewaterhouseCoopers Inc For For Management
as Auditors of the Company and FJ
Lombard as the Designated Audit Partner
6 Re-elect Peter Golesworthy as Member For For Management
of Audit Committee
7 Re-elect Trevor Munday as Member of For For Management
Audit Committee
8 Re-elect Louisa Mojela as Member of For For Management
Audit Committee
9 Elect Francine-Ann du Plessis as For For Management
Member of Audit Committee
10 Approve Remuneration Policy For For Management
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Place Authorised but Unissued Shares For Against Management
Under Control of Directors
13 Authorise Any One Executive Director For For Management
to Ratify and Execute Approved
Resolutions
14 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
15 Approve Remuneration of Non-Executive For For Management
Directors for the Year Ending 30
September 2012
16 Approve Financial Assistance to For For Management
Related and Inter-related Companies
17 Approve Increase in Authorised Share For For Management
Capital
18 Amend Articles of Association Re: For For Management
Cumulative Redeemable Preference Shares
19 Amend Articles of Association Re: For For Management
Cumulative Non-redeemable Preference
Shares
--------------------------------------------------------------------------------
LMA INTERNATIONAL NV
Ticker: L24 Security ID: N2879J107
Meeting Date: APR 24, 2012 Meeting Type: Annual/Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For Did Not Vote Management
Statutory Reports (Voting)
2 Approve Final Dividend of SGD 0.01 Per For Did Not Vote Management
Share
3 Reelect Trevor Swete as Director For Did Not Vote Management
4 Reelect David Chew Heng Ching as For Did Not Vote Management
Director
5 Reelect Lim Hock Beng as Director For Did Not Vote Management
6 Approve Directors' Fees of $422,500 For Did Not Vote Management
for the Year Ending Dec. 31, 2012
7 Reappoint PricewaterhouseCoopers LLP For Did Not Vote Management
Singapore as Auditors and Authorize
Board to Fix Their Remuneration
8 Approve Issuance of Equity or For Did Not Vote Management
Equity-Linked Securities with or
without Preemptive Rights
9 Authorize Share Repurchase Program For Did Not Vote Management
10 Approve FMT Mandate For Did Not Vote Management
11 Approve Venner and Chelle Mandate For Did Not Vote Management
12 Amend Articles of Association For Did Not Vote Management
13 Approve Issuance of Shares and Grant For Did Not Vote Management
of Options Pursuant to the LMA
International N.V. Executive Share
Option Plan and/or the Non-Executive
Directors' Share Option Plan
--------------------------------------------------------------------------------
LYCOPODIUM LTD.
Ticker: LYL Security ID: Q56515101
Meeting Date: NOV 23, 2011 Meeting Type: Annual
Record Date: NOV 21, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Remuneration Report For For Management
2 Elect Peter De Leo as a Director For Against Management
--------------------------------------------------------------------------------
MAGELLAN FINANCIAL GROUP
Ticker: MFG Security ID: Q5713S107
Meeting Date: NOV 15, 2011 Meeting Type: Annual
Record Date: NOV 13, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Remuneration Report For For Management
2 Extend Repayment Period of Loans For For Management
Provided to Non-Executive Directors
3 Elect Chris Mackay as a Director For For Management
--------------------------------------------------------------------------------
MARCOPOLO S.A.
Ticker: POMO4 Security ID: P64331104
Meeting Date: MAR 29, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Directors For For Management
4 Elect Fiscal Council Members and For For Management
Approve Their Remuneration
5 Approve Remuneration of Executive For For Management
Officers and Non-Executive Directors
--------------------------------------------------------------------------------
MARCOPOLO S.A.
Ticker: POMO4 Security ID: P64331104
Meeting Date: MAR 29, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles Re: Nivel 2 Regulations For For Management
2 Amend Article 19.m For For Management
3 Amend Chapter IV For For Management
4 Amend Articles 19, 20, and 22 For For Management
5 Amend Articles 19.v, 21.f, and 27 For For Management
6 Amend Article 25 For For Management
7 Consolidate Bylaws For For Management
--------------------------------------------------------------------------------
MELEXIS
Ticker: MELE Security ID: B59283109
Meeting Date: APR 20, 2012 Meeting Type: Annual
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Directors' Reports None None Management
2 Announcements on Company's Corporate None None Management
Governance Structure
3 Receive Auditors' Reports None None Management
4 Adopt Financial Statements For Did Not Vote Management
5 Approve Allocation of Income For Did Not Vote Management
6 Approve Remuneration Report For Did Not Vote Management
7 Approve Discharge of Directors For Did Not Vote Management
8 Approve Discharge of Auditors For Did Not Vote Management
9 Approve Resignation of S.R. Hix as For Did Not Vote Management
Director
10 Elect Phix Focus Inc., Permanently For Did Not Vote Management
Represented by S.R. Hix as Independent
Director and Approve Remuneration EUR
15,000
11 Approve Remuneration of Directors For Did Not Vote Management
--------------------------------------------------------------------------------
MELEXIS
Ticker: MELE Security ID: B59283109
Meeting Date: APR 20, 2012 Meeting Type: Special
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Receive Information on Cancellation of None None Management
Repurchased Shares Re: Item 1.3
1.2 Receive Information on Authorization None None Management
to Cancel Shares Re: Item 1.3
1.3 Approve Cancellation of Repurchased For Did Not Vote Management
Shares
2.1 Amend Article 27 Re: Convocation For Did Not Vote Management
General Meetings
2.2 Amend Article 28 Re: Participation For Did Not Vote Management
General Meetings
2.3 Amend Article 29 Re: Representation For Did Not Vote Management
2.4 Amend Article 31 Re: Adjournment For Did Not Vote Management
2.5 Amend Article 33 Re: Right to Ask For Did Not Vote Management
Questions
3.1 Receive Information on Authorization None None Management
to Repurchase Shares Re: Item 3.3
3.2 Receive Information on Authorization None None Management
to Reissue Shares Re: Item 3.3
3.3 Authorize Board to Repurchase Shares For Did Not Vote Management
in the Event of a Serious and Imminent
Harm and Under Normal Conditions
--------------------------------------------------------------------------------
MICHAEL PAGE INTERNATIONAL PLC
Ticker: MPI Security ID: G68694119
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Elect Robin Buchanan as Director For For Management
4 Re-elect Steve Ingham as Director For For Management
5 Elect Andrew Bracey as Director For For Management
6 Re-elect Ruby McGregor-Smith as For For Management
Director
7 Re-elect Tim Miller as Director For For Management
8 Re-elect Reg Sindall as Director For For Management
9 Approve Remuneration Report For For Management
10 Appoint Ernst & Young LLP as Auditors For For Management
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Authorise EU Political Donations and For For Management
Expenditure
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase For For Management
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
MINTH GROUP LTD.
Ticker: 00425 Security ID: G6145U109
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: MAY 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Reelect Mu Wei Zhong as Non-Executive For Against Management
Director
4 Reelect Wang Ching as Independent For For Management
Non-Executive Director
5 Reelect Zhang Liren as Independent For For Management
Non-Executive Director
6 Reelect Wu Fred Fong as Independent For For Management
Non-Executive Director
7 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Zhao Feng
8 Authorize Board to Approve and Confirm For Against Management
Terms of Appointment, Including
Remuneration, for Mu Wei Zhong
9 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Yu Zheng
10 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for He Dong Han
11 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Wang Ching
12 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Zhang Liren
13 Authorize Board to Approve and Confirm For For Management
Terms of Appointment, Including
Remuneration, for Wu Fred Fong
14 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
15 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
16 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
17 Authorize Reissuance of Repurchased For Against Management
Shares
18 Adopt New Share Option Scheme and For Against Management
Terminate the Existing Share Option
Scheme
--------------------------------------------------------------------------------
MK TREND CO LTD.
Ticker: 069640 Security ID: Y6166V101
Meeting Date: MAR 30, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Appropriation of Income and Dividend
of KRW 300 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
MONOTARO CO LTD
Ticker: 3064 Security ID: J46583100
Meeting Date: MAR 22, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 7
2 Amend Articles To Amend Business Lines For For Management
- Increase Maximum Board Size -
Increase Maximum Number of Executive
Officers
3.1 Elect Director Seto, Kinya For For Management
3.2 Elect Director Suzuki, Masaya For For Management
3.3 Elect Director Miyajima, Masanori For Against Management
3.4 Elect Director Yamagata, Yasuo For Against Management
3.5 Elect Director Kitamura, Haruo For For Management
3.6 Elect Director Kishida, Masahiro For For Management
3.7 Elect Director Ronald Louis Jadin For Against Management
--------------------------------------------------------------------------------
NAVITAS LTD.
Ticker: NVT Security ID: Q6630H109
Meeting Date: NOV 22, 2011 Meeting Type: Annual
Record Date: NOV 20, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect Peter Larsen as a Director For For Management
3 Elect Harvey Collins as a Director For For Management
4 Approve the Possible Provision of For For Management
Financial Assistance
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NEURONES SA
Ticker: NRO Security ID: F6523H101
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: JUN 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Consolidated Financial For For Management
Statements and Statutory Reports
2 Approve Financial Statements and For For Management
Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.06 per Share
4 Approve Auditors' Special Report on For Against Management
Related-Party Transactions
5 Approve Discharge of Directors For For Management
6 Reelect Luc de Chammard as Director For Against Management
7 Reelect Bertrand Ducurtil as Director For Against Management
8 Reelect Marie-Francoise Jaubert as For For Management
Director
9 Reelect Jean-Louis Pacquement as For For Management
Director
10 Reelect Herve Pichard as Director For For Management
11 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
12 Authorize Filing of Required For For Management
Documents/Other Formalities
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NIHON M&A CENTER INC
Ticker: 2127 Security ID: J50883107
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 5000
2 Amend Articles To Limit Rights of For For Management
Odd-Lot Holders
3.1 Elect Director Wakebayashi, Yasuhiro For For Management
3.2 Elect Director Miyake, Suguru For For Management
3.3 Elect Director Naraki, Takamaro For For Management
3.4 Elect Director Oyama, Takayoshi For For Management
3.5 Elect Director Otsuki, Masahiko For For Management
3.6 Elect Director Shimada, Naoki For For Management
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OSLO BORS VPS HOLDING ASA
Ticker: Security ID: R6890P105
Meeting Date: MAY 21, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Registration of Attending Shareholders None None Management
and Proxies
2 Elect Chairman of Meeting; Designate None None Management
Inspector(s) of Minutes of Meeting
3 Approve Notice of Meeting and Agenda None None Management
4 Receive Information for 2011 by the None None Management
Control Committees for
Verdipapirsentralen ASA and Oslo
Clearing ASA
5 Approve Financial Statements and For Did Not Vote Management
Statutory Reports; Approve Allocation
of Income and Dividends of NOK 6.00
per Share
6 Approve Remuneration of Directors and For Did Not Vote Management
Committees
7 Approve Remuneration of Auditors For Did Not Vote Management
8 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
9 Amend Articles Re: Director and For Did Not Vote Management
Committee Election Term
10.1 Reelect Harald Espedal as Director For Did Not Vote Management
10.2 Elect Wenche Agerup as Director For Did Not Vote Management
10.3 Elect Benedicte Fasmer as Vice Chairman For Did Not Vote Management
11.1 Elect Leif Teksum (Chair) as Member of For Did Not Vote Management
Nominating Committee
11.2 Elect Toril Ressem as Member of For Did Not Vote Management
Nominating Committee
11.3 Elect Ola Wessel-Aas Member of For Did Not Vote Management
Nominating Committee
12 Presentation of Nominations to the For Did Not Vote Management
Board of Directors of
Verdipapirsentralen ASA and the
Control Committees of
Verdipapirsentralen ASA and Oslo
Clearing ASA
13 Ratify KPMG as Auditors For Did Not Vote Management
14 Authorize Share Repurchase and For Did Not Vote Management
Reissuance of up to One Percent of
Share Capital
--------------------------------------------------------------------------------
PACIFIC HOSPITAL SUPPLY CO., LTD.
Ticker: 4126 Security ID: Y6610N101
Meeting Date: MAY 30, 2012 Meeting Type: Annual
Record Date: MAR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Allocation of Dividend with For For Management
the Company's 2011 Profit
4 Approve Issuance of New Shares by For For Management
Capitalization of Profits
5 Approve to Amend the Articles of For For Management
Association
6 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
7 Approve Amendment to Rules of For For Management
Procedure for Election of Directors
and Supervisors
8 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
--------------------------------------------------------------------------------
PACIFIC ONLINE LTD.
Ticker: 00543 Security ID: G9684P101
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Dividends of RMB 0.1478 Per For For Management
Share
3 Reelect Wang Ta-Hsing as Executive For For Management
Director
4 Reelect Tsui Yiu Wa, Alec as For For Management
Independent Non-Executive Director
5 Authorize Board to Fix Directors' For For Management
Remuneration
6 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
8 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
9 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PADINI HOLDINGS BHD.
Ticker: PADINI Security ID: Y6649L100
Meeting Date: DEC 23, 2011 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Financial
Year Ended June 30, 2011
2 Approve Remuneration of Directors in For For Management
the Amount of MYR 120,000 for the
Financial Year Ended June 30, 2011
3 Elect Yong Pang Chuan as Director For For Management
4 Elect Chan Kwai Heng as Director For Against Management
5 Elect Yeap Tien Ching as Director For For Management
6 Approve Peter Chong & Co. as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAR 26, 2012 Meeting Type: Special
Record Date: FEB 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Acquisition of Minefinders For For Management
Corporation Ltd.
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAY 15, 2012 Meeting Type: Annual/Special
Record Date: APR 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ross J. Beaty For For Management
1.2 Elect Director Geoffrey A. Burns For For Management
1.3 Elect Director Michael Carroll For For Management
1.4 Elect Director Michael J. J. Maloney For For Management
1.5 Elect Director Robert P. Pirooz For For Management
1.6 Elect Director David C. Press For For Management
1.7 Elect Director Walter T. Segsworth For For Management
1.8 Elect Director Christopher Noel Dunn For For Management
2 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
PETRA FOODS LTD
Ticker: P34 Security ID: Y6804G102
Meeting Date: APR 26, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Reelect Anthony Michael Dean as For For Management
Director
3 Reelect Davinder Singh as Director For For Management
4 Reelect Koh Poh Tiong as Director For For Management
5 Approve Directors' Fees $343,200 for For For Management
the Year Ending Dec. 31, 2012
6 Declare Final Dividend of $0.0212 Per For For Management
Share
7 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Issuance of Shares, and Grant For Against Management
of Options and Awards Pursuant to the
Petra Foods Share Option Scheme and
Petra Foods Share Incentive Plan
10 Approve Issuance of Shares Pursuant to For For Management
the Petra Foods Limited Scrip Dividend
Scheme
11 Approve Mandate for Transactions with For For Management
Related Parties
--------------------------------------------------------------------------------
PETROAMERICA OIL CORP.
Ticker: PTA Security ID: 71647B105
Meeting Date: NOV 29, 2011 Meeting Type: Annual/Special
Record Date: OCT 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Five For For Management
2.1 Elect Director Jeffrey S. Boyce For Withhold Management
2.2 Elect Director Nelson Navarrete For For Management
2.3 Elect Director John Zaozirny For For Management
2.4 Elect Director Augusto Lopez For For Management
2.5 Elect Director Michael E. Beckett For For Management
3 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
4 Re-approve Stock Option Plan For Against Management
5 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
PETROMINERALES LTD.
Ticker: PMG Security ID: 71673R107
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: APR 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alastair Macdonald For For Management
1.2 Elect Director Kenneth R. McKinnon For For Management
1.3 Elect Director Jerald L. Oaks For For Management
1.4 Elect Director Ernesto Sarpi For For Management
1.5 Elect Director Enrique Umana-Valenzuela For For Management
1.6 Elect Director John D. Wright For For Management
1.7 Elect Director Geir Ytreland For For Management
2 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Amend Stock Option Plan For For Management
4 Re-approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
PINNACLE TECHNOLOGY HOLDINGS LTD
Ticker: PNC Security ID: S61058103
Meeting Date: JAN 06, 2012 Meeting Type: Special
Record Date: DEC 30, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorise the Company to Repurchase For For Management
the Sale Shares
2 Approve Scheme of Arrangement For For Management
3 Approve Financial Assistance to PHL For For Management
4 Approve Financial Assistance to Any For For Management
Banks or Financial Institutions
1 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
PINNACLE TECHNOLOGY HOLDINGS LTD
Ticker: PNC Security ID: S61058103
Meeting Date: MAY 18, 2012 Meeting Type: Special
Record Date: MAY 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend the Share Purchase Scheme For For Management
2 Authorise Board to Ratify and Execute For For Management
Approved Resolution
--------------------------------------------------------------------------------
POLYTRONICS TECHNOLOGY CORP.
Ticker: 6224 Security ID: Y7063Y107
Meeting Date: JUN 15, 2012 Meeting Type: Annual
Record Date: APR 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Trading Procedures For For Management
Governing Derivatives Products
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
6 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
7 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
8 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
PORTS DESIGN LTD.
Ticker: 00589 Security ID: G71848124
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: JUN 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend of RMB 0.24 Per For For Management
Share
3a Reelect Ian Hylton as Non-Executive For For Management
Director
3b Reelect Peter Bromberger as For Against Management
Independent Non-Executive Director
3c Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint KPMG as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PREMIER OIL PLC
Ticker: PMO Security ID: G7216B178
Meeting Date: MAY 18, 2012 Meeting Type: Annual
Record Date: MAY 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Robin Allan as Director For For Management
4 Re-elect Joe Darby as Director For For Management
5 Re-elect Tony Durrant as Director For For Management
6 Re-elect Neil Hawkings as Director For For Management
7 Re-elect Jane Hinkley as Director For For Management
8 Re-elect David Lindsell as Director For For Management
9 Re-elect Simon Lockett as Director For For Management
10 Re-elect Andrew Lodge as Director For For Management
11 Re-elect David Roberts as Director For For Management
12 Re-elect Michel Romieu as Director For For Management
13 Re-elect Mike Welton as Director For For Management
14 Reappoint Deloitte LLP as Auditors and For Abstain Management
Authorise Their Remuneration
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Authorise Issue of Equity without For For Management
Pre-emptive Rights
17 Authorise Market Purchase For For Management
18 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
PRESTIGE INTERNATIONAL INC.
Ticker: 4290 Security ID: J6401L105
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles To Limit Rights of For For Management
Odd-Lot Holders - Amend Business Lines
2.1 Elect Director Tamagami, Shinichi For For Management
2.2 Elect Director Yakubo, Katsuya For For Management
2.3 Elect Director Hashimoto, Mikio For For Management
2.4 Elect Director Sekine, Hiroshi For For Management
2.5 Elect Director Nakamura, Tateki For For Management
2.6 Elect Director Akai, Hiroshi For For Management
3 Appoint Statutory Auditor Kaneyama, For For Management
Takeshi
--------------------------------------------------------------------------------
RAIA DROGASIL S.A
Ticker: RADL3 Security ID: P7987N104
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Executive For For Management
Officers, Non-Executive Directors
--------------------------------------------------------------------------------
RICHELIEU HARDWARE LTD.
Ticker: RCH Security ID: 76329W103
Meeting Date: MAR 29, 2012 Meeting Type: Annual
Record Date: FEB 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pierre Bourgie For For Management
1.2 Elect Director Robert Chevrier For For Management
1.3 Elect Director Denyse Chicoyne For For Management
1.4 Elect Director Robert Courteau For For Management
1.5 Elect Director Jean Douville For For Management
1.6 Elect Director Mathieu Gauvin For For Management
1.7 Elect Director Richard Lord For For Management
1.8 Elect Director Jocelyn Proteau For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
RICHTEK TECHNOLOGY CORP.
Ticker: 6286 Security ID: Y7286Y108
Meeting Date: JUN 13, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
5 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
6 Elect Liu Jionglang, with ID No. For For Shareholder
S1248XXXXX as Independent Director
7 Approve Release of Restrictions of For Against Management
Competitive Activities of Directors
8 Transact Other Business None None Management
--------------------------------------------------------------------------------
ROBERT WALTERS PLC
Ticker: RWA Security ID: G7608T118
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: MAY 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect Philip Aiken as Director For For Management
5 Re-elect Alan Bannatyne as Director For For Management
6 Re-elect Giles Daubeney as Director For For Management
7 Re-elect Martin Griffiths as Director For For Management
8 Elect Carol Hui as Director For For Management
9 Re-elect Andrew Kemp as Director For For Management
10 Re-elect Robert Walters as Director For For Management
11 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
12 Authorise Issue of Equity with For For Management
Pre-emptive Rights
13 Authorise Issue of Equity without For For Management
Pre-emptive Rights
14 Authorise Market Purchase For For Management
15 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
RPS GROUP PLC
Ticker: RPS Security ID: G7701P104
Meeting Date: MAY 04, 2012 Meeting Type: Annual
Record Date: MAY 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Elect Tracey Graham as Director For For Management
5 Re-elect John Bennett as Director For For Management
6 Re-elect Louise Charlton as Director For For Management
7 Re-elect Robert Miller-Bakewell as For For Management
Director
8 Re-elect Alan Hearne as Director For For Management
9 Re-elect Brook Land as Director For For Management
10 Re-elect Phil Williams as Director For For Management
11 Re-elect Gary Young as Director For For Management
12 Appoint Ernst & Young LLP as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase For For Management
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
SARTORIUS STEDIM BIOTECH
Ticker: DIM Security ID: F8005V111
Meeting Date: APR 17, 2012 Meeting Type: Annual/Special
Record Date: APR 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Consolidated Financial Statements, and
Discharge Directors
2 Approve Allocation of Income and For For Management
Dividends of EUR 1.00 per Share
3 Approve Auditors' Special Report on For Against Management
Related-Party Transactions
4 Approve Remuneration of Directors in For Against Management
the Aggregate Amount of EUR 160,000
5 Reelect Oscar Werner Reif as Director For Against Management
6 Renew Appointments of Deloitte et For For Management
Associes as Auditor, and Beas as
Alternate Auditor
7 Amend Bylaws to Comply With New For Against Management
Legislation
8 Approve Employee Stock Purchase Plan For For Management
9 Delegation of Powers to the Board to For For Management
Execute all Formalities Pursuant to
Employee Stock Purchase Plan
10 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
SHAWCOR LTD.
Ticker: SCL.A Security ID: 820904209
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John T. Baldwin For For Management
1.2 Elect Director Derek S. Blackwood For For Management
1.3 Elect Director William P. Buckley For For Management
1.4 Elect Director James W. Derrick For For Management
1.5 Elect Director Dennis H. Freeman For For Management
1.6 Elect Director Leslie W. J. Hutchison For For Management
1.7 Elect Director John F. Petch For For Management
1.8 Elect Director Robert J. Ritchie For For Management
1.9 Elect Director Paul G. Robinson For For Management
1.10 Elect Director Heather A. Shaw For For Management
1.11 Elect Director Virginia L. Shaw For For Management
1.12 Elect Director Zoltan D. Simo For For Management
1.13 Elect Director E. Charlene Valiquette For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
SHINSEGAE FOOD CO.
Ticker: 031440 Security ID: Y7753W106
Meeting Date: MAR 02, 2012 Meeting Type: Annual
Record Date: DEC 31, 2011
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Appropriation of Income and For For Management
Dividend of KRW 750 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
SIMPLEX HOLDINGS INC.
Ticker: 4340 Security ID: J7552G101
Meeting Date: JUN 17, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 500
2.1 Elect Director Kaneko, Hideki For For Management
2.2 Elect Director Igarashi, Mitsuru For For Management
2.3 Elect Director Tanaka, Kenichi For For Management
2.4 Elect Director Fukui, Yasuhito For For Management
2.5 Elect Director Yotsuzuka, Toshiki For For Management
3.1 Appoint Statutory Auditor Miyachi, Iwao For Against Management
3.2 Appoint Statutory Auditor Chuujo, For Against Management
Toshio
3.3 Appoint Statutory Auditor Ogasawara, For Against Management
Noriyuki
4 Approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
SPORTON INTERNATIONAL INC.
Ticker: 6146 Security ID: Y8129X109
Meeting Date: JUN 07, 2012 Meeting Type: Annual
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Issuance of New Shares through For For Management
Capitalization of Profit and Employee
Bonus
4 Amend Articles of Association For For Management
5 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
6.1 Elect Huang Wen-Liang with Shareholder None Against Shareholder
No.1 as Director
6.2 Elect Wang Xin-Tian with Shareholder None Against Shareholder
No.14 as Director
6.3 Elect Yang Zhi-Xiang with Shareholder None Against Shareholder
No.4361 as Director
6.4 Elect Su Ming-Ze with Shareholder No. None Against Shareholder
328 as Director
6.5 Elect Chang Zhao-Bin with Shareholder None Against Shareholder
No.63 as Director
6.6 Elect Huang Shu-Hua with Shareholder None Against Shareholder
No.3 as Supervisor
6.7 Elect Lin Yan-Shan with Shareholder No. None Against Shareholder
2862 as Supervisor
6.8 Elect Wu Da-Ren with Shareholder No.76 None Against Shareholder
as Supervisor
7 Approve Release of Restrictions of For Against Management
Competitive Activities of Directors
--------------------------------------------------------------------------------
STANTEC INC.
Ticker: STN Security ID: 85472N109
Meeting Date: MAY 10, 2012 Meeting Type: Annual
Record Date: MAR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Douglas K. Ammerman For For Management
1.2 Elect Director Robert J. Bradshaw For For Management
1.3 Elect Director David L. Emerson For For Management
1.4 Elect Director Delores M. Etter For For Management
1.5 Elect Director Anthony P. Franceschini For For Management
1.6 Elect Director Robert J. Gomes For For Management
1.7 Elect Director Susan E. Hartman For For Management
1.8 Elect Director Aram H. Keith For For Management
1.9 Elect Director Ivor M. Ruste For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
START TODAY CO LTD
Ticker: 3092 Security ID: J7665M102
Meeting Date: JUN 24, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 15
2.1 Appoint Statutory Auditor Morita, Junko For For Management
2.2 Appoint Statutory Auditor Hatakeyama, For For Management
Seiji
--------------------------------------------------------------------------------
STHREE PLC
Ticker: STHR Security ID: G8499E103
Meeting Date: APR 19, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Clay Brendish as Director For For Management
5 Re-elect Russell Clements as Director For For Management
6 Re-elect Alex Smith as Director For For Management
7 Re-elect Gary Elden as Director For For Management
8 Re-elect Alicja Lesniak as Director For For Management
9 Re-elect Tony Ward as Director For For Management
10 Re-elect Paul Bowtell as Director For For Management
11 Re-elect Nadhim Zahawi as Director For For Management
12 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise EU Political Donations and For For Management
Expenditure
15 Authorise the Company to Offer Key For For Management
Individuals the Opportunity to
Purchase Shareholdings in Certain of
the Company's Subsidiaries
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase For For Management
--------------------------------------------------------------------------------
SUPER RETAIL GROUP LTD.
Ticker: SUL Security ID: Q88006103
Meeting Date: JAN 09, 2012 Meeting Type: Special
Record Date: JAN 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Financial Assistance For For Management
--------------------------------------------------------------------------------
SWEDOL AB
Ticker: SWOL B Security ID: W95676107
Meeting Date: MAY 23, 2012 Meeting Type: Annual
Record Date: MAY 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Elect Henrik Wetzenstein For Did Not Vote Management
as Chairman of Meeting
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
4 Acknowledge Proper Convening of Meeting For Did Not Vote Management
5 Approve Agenda of Meeting For Did Not Vote Management
6 Receive Financial Statements and None None Management
Statutory Reports; Receive Auditor's
Report; Receive Report by Chairman of
the Board; Receive Report be the CEO
7a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
7b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 0.55 per Share;
Approve May 28, 2012, as Record Date
for Dividends
7c Approve Discharge of Board and For Did Not Vote Management
President
8 Determine Number of Members (6) and For Did Not Vote Management
Deputy Members (0) of Board
9 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 190,000 for Chairman
and SEK 140,000 for Other Directors;
Approve Remuneration of Chairman of
Audit Committee; Approve Remuneration
of Auditors
10 Reelect Gert Karnberger, Lotta Lunden, For Did Not Vote Management
Jon Petterson, John Zetterberg, Rolf
Zetterberg, and Markku Piippo as
Directors, Ratify
PricewaterhouseCoopers as Auditors
11 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
12 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
TAIWAN HON CHUAN ENTERPRISE CO. LTD.
Ticker: 9939 Security ID: Y8421M108
Meeting Date: JUN 20, 2012 Meeting Type: Annual
Record Date: APR 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
--------------------------------------------------------------------------------
TECHNOS SA
Ticker: TECN3 Security ID: P90188106
Meeting Date: DEC 15, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Change Location of Company Headquarters For For Management
2 Designate Newspapers to Publish For For Management
Company Announcements
3 Approve Agreement to Absorb SD For For Management
Participacoes S.A.
4 Appoint Independent Firm to Appraise For For Management
Proposed Absorption
5 Approve Independent Firm's Appraisal For For Management
6 Approve Absorption of SD Participacoes For For Management
S.A.
7 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
TED BAKER PLC
Ticker: TED Security ID: G8725V101
Meeting Date: JUN 12, 2012 Meeting Type: Annual
Record Date: JUN 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Approve Final Dividend For For Management
4 Re-elect Raymond Kelvin as Director For For Management
5 Re-elect Lindsay Page as Director For For Management
6 Re-elect Robert Breare as Director For For Management
7 Re-elect David Bernstein as Director For For Management
8 Re-elect Ron Stewart as Director For For Management
9 Re-elect Anne Sheinfield as Director For For Management
10 Reappoint KPMG Audit plc as Auditors For For Management
11 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
12 Authorise Issue of Equity with For For Management
Pre-emptive Rights
13 Authorise Issue of Equity without For For Management
Pre-emptive Rights
14 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
TEGMA GESTAO LOGISTICA S.A
Ticker: TGMA3 Security ID: P90284103
Meeting Date: DEC 15, 2011 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Stock Option Plan For Against Management
2 Amend Articles Re: Novo Mercado For For Management
Regulations
3 Amend Article 2 to Update Addresses of For For Management
Company's New Offices
--------------------------------------------------------------------------------
TEGMA GESTAO LOGISTICA S.A
Ticker: TGMA3 Security ID: P90284103
Meeting Date: APR 10, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2011
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Fiscal Council Members and For For Management
Approve Their Remuneration
--------------------------------------------------------------------------------
TEST RESEARCH CO., LTD.
Ticker: 3030 Security ID: Y8591M102
Meeting Date: JUN 06, 2012 Meeting Type: Annual
Record Date: APR 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Approve Issuance of New Shares by For For Management
Capitalization of Profit
4 Approve to Amend the Articles of For For Management
Association
5 Approve to Amend Rules and Procedures For For Management
Regarding Shareholder's General Meeting
6 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
7 Approve Amendments on the Procedures For For Management
for Lending Funds to Other Parties
--------------------------------------------------------------------------------
THE CHURCHILL CORPORATION
Ticker: CUQ Security ID: 17143D103
Meeting Date: MAY 24, 2012 Meeting Type: Annual
Record Date: APR 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Ten For For Management
2 Elect Director Albrecht W.A. Bellstedt For For Management
3 Elect Director Wendy L. Hanrahan For For Management
4 Elect Director James C. Houck For For Management
5 Elect Director Harry A. King For For Management
6 Elect Director Carmen R. Loberg For For Management
7 Elect Director Allister J. McPherson For For Management
8 Elect Director Henry R. Reid For For Management
9 Elect Director Ian M. Reid For For Management
10 Elect Director George M. Schneider For For Management
11 Elect Director Brian W. L. Tod For For Management
12 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
THERMADOR GROUPE
Ticker: THEP Security ID: F91651103
Meeting Date: APR 02, 2012 Meeting Type: Annual/Special
Record Date: MAR 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 6.10 per Share
4 Approve Auditors' Special Report For For Management
Regarding New Related-Party Transaction
5 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 30,000
6 Approve 2 for 1 Stock Split and Amend For For Management
Articles 6 and 7 of the Bylaws
Accordingly
7 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
TRANCOM CO. LTD.
Ticker: 9058 Security ID: J9297N102
Meeting Date: JUN 21, 2012 Meeting Type: Annual
Record Date: MAR 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 45
2 Amend Articles To Amend Business Lines For For Management
3.1 Elect Director Takebe, Hiroshi For For Management
3.2 Elect Director Shimizu, Masahisa For For Management
3.3 Elect Director Numata, Masakazu For For Management
3.4 Elect Director Kawamura, Masahiko For For Management
3.5 Elect Director Osawa, Takashi For For Management
3.6 Elect Director Kuchiwaki, Yasuo For For Management
3.7 Elect Director Tsunekawa, Yutaka For For Management
3.8 Elect Director Takeuchi, Kazuhiko For For Management
4.1 Appoint Statutory Auditor Nagamine, For For Management
Hisatoshi
4.2 Appoint Statutory Auditor Kawamura, For For Management
Kazuo
4.3 Appoint Statutory Auditor Hayakawa, For For Management
Yasuhisa
--------------------------------------------------------------------------------
TRANSGLOBE ENERGY CORPORATION
Ticker: TGL Security ID: 893662106
Meeting Date: MAY 08, 2012 Meeting Type: Annual
Record Date: MAR 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Eight For For Management
2.1 Elect Director Robert A. Halpin For For Management
2.2 Elect Director Ross G. Clarkson For For Management
2.3 Elect Director Lloyd W. Herrick For For Management
2.4 Elect Director Erwin L. Noyes For For Management
2.5 Elect Director Geoffrey C. Chase For For Management
2.6 Elect Director Fred J. Dyment For For Management
2.7 Elect Director Gary S. Guidry For For Management
2.8 Elect Director Robert G. Jennings For For Management
3 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
TRINITY LTD.
Ticker: 00891 Security ID: G90624100
Meeting Date: MAY 11, 2012 Meeting Type: Annual
Record Date: MAY 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Reelect Jose Hosea Cheng Hor Yin as For For Management
Director
3b Reelect Cassian Cheung Ka Sing as For For Management
Director
3c Reelect Eva Li Kam Fun as Director For For Management
3d Reelect Patrick Sun as Director For For Management
3e Reelect Wong Yat Ming as Director For For Management
4 Reappoint PricewaterhouseCoopers as For For Management
Auditor and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
TXC CORP.
Ticker: 3042 Security ID: Y90156103
Meeting Date: JUN 13, 2012 Meeting Type: Annual
Record Date: APR 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2011 Business Operations For For Management
Report and Financial Statements
2 Approve Plan on 2011 Profit For For Management
Distribution
3 Amend the Articles of Association For For Management
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Approve to Issue the Restricted Stock For Against Management
6 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
--------------------------------------------------------------------------------
ULTRA ELECTRONICS HOLDINGS PLC
Ticker: ULE Security ID: G9187G103
Meeting Date: APR 27, 2012 Meeting Type: Annual
Record Date: APR 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Douglas Caster as Director For For Management
5 Re-elect Christopher Bailey as Director For For Management
6 Re-elect Ian Griffiths as Director For For Management
7 Re-elect Sir Robert Walmsley as For For Management
Director
8 Re-elect Paul Dean as Director For For Management
9 Re-elect Rakesh Sharma as Director For For Management
10 Elect Mark Anderson as Director For For Management
11 Reappoint Deloitte LLP as Auditors For For Management
12 Authorise Board to Fix Remuneration of For For Management
Auditors
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase For For Management
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
UZMA BHD
Ticker: UZMA Security ID: Y93246109
Meeting Date: JUN 28, 2012 Meeting Type: Annual
Record Date: JUN 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration of Directors For For Management
3 Elect Ali bin Tan Sri Syed Abbas For For Management
Alhabshee as Director
4 Elect Peter Angus Knowles as Director For For Management
5 Approve Crowe Horwath as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
6 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
UZMA BHD
Ticker: UZMA Security ID: Y93246109
Meeting Date: JUN 28, 2012 Meeting Type: Special
Record Date: JUN 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Bonus Issue For For Management
--------------------------------------------------------------------------------
VISCOM AG
Ticker: V6C Security ID: D9506H108
Meeting Date: JUN 14, 2012 Meeting Type: Annual
Record Date: MAY 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.50 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2012
--------------------------------------------------------------------------------
WESTFIRE ENERGY LTD.
Ticker: WFE Security ID: 960254100
Meeting Date: MAY 29, 2012 Meeting Type: Annual/Special
Record Date: APR 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Seven For For Management
2.1 Elect Director Lowell E. Jackson For For Management
2.2 Elect Director Christopher L. Fong For For Management
2.3 Elect Director John A. Brussa For For Management
2.4 Elect Director Michael Y. McGovern For For Management
2.5 Elect Director Raymond T. Chan For For Management
2.6 Elect Director Roger Thomas For For Management
2.7 Elect Director Ed Chwyl For For Management
3 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
4 Re-approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
WIRECARD AG
Ticker: WDI Security ID: D22359133
Meeting Date: JUN 26, 2012 Meeting Type: Annual
Record Date: JUN 04, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.10 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
5 Ratify Ernst & Young GmbH as Auditors For For Management
for Fiscal 2012
6 Approve Affiliation Agreements with For For Management
Wire Card Beteiligungs GmbH
7 Approve Affiliation Agreements with For For Management
Trustpay International GmbH
8 Approve Creation of EUR 30 Million For For Management
Pool of Authorized Capital with
Partial Exclusion of Preemptive Rights
9 Approve Issuance of Warrants/Bonds For For Management
with Warrants Attached/Convertible
Bonds with Partial Exclusion of
Preemptive Rights up to Aggregate
Nominal Amount of EUR 300 Million;
Approve Creation of EUR 25 Million
Pool of Capital to Guarantee
Conversion Rights
--------------------------------------------------------------------------------
YINGDE GASES GROUP CO., LTD.
Ticker: 02168 Security ID: G98430104
Meeting Date: JUN 15, 2012 Meeting Type: Annual
Record Date: JUN 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a1 Reelect Zhao Xiangti as Director For For Management
3a2 Reelect Wang Ching as Director For For Management
3b Authorize Board to Fix Remuneration of For For Management
Directors
4 Reappoint KPMG as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
ZOOPLUS AG
Ticker: ZO1 Security ID: D9866J108
Meeting Date: MAY 22, 2012 Meeting Type: Annual
Record Date: APR 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011
(Non-Voting)
2 Approve Discharge of Management Board For For Management
for Fiscal 2011
3 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011
4 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2012
5 Amend Articles Re: Increase Size of For For Management
Board to Six Members; Term of Office
6a Elect Joerg Luebcke to the Supervisory For For Management
Board
6b Elect Stefan Winners to the For For Management
Supervisory Board
6c Elect Rolf-Christian Wentz to the For For Management
Supervisory Board
7 Amend Articles Re: Approve For For Management
Remuneration of Supervisory Board
8 Approve Creation of EUR 3.1 Million For For Management
Pool of Capital with Partial Exclusion
of Preemptive Rights
9 Approve Cancellation of Capital For For Management
Authorization
10 Approve Stock Option Plan for Key For For Management
Employees; Approve Creation of EUR
100,000 Pool of Conditional Capital to
Guarantee Conversion Rights
11 Amend Corporate Purpose For For Management
12 Amend Articles Re: Participation in For For Management
General Meetings
13 Authorize Management Board Not to For Against Management
Disclose Individualized Remuneration
of its Members
========== END NPX REPORT
REDMONT RESOLUTE FUND I
With or
A brief identification of the Against
Company Ticker CUSIP Meeting Date matter voted on Proposed by Voted Vote Cast Management
------------------- ------ ---------- ------------ ----------------------------- ----------- ----- --------- ----------
The RBB Fund, Inc. BPIRX 74925K281 6/19/2012 Directors, ratification of Fund NO vote was
(BP Research Fd) Accountants Company cast
REDMONT RESOLUTE FUND II
With or
A brief identification of the Against
Company Ticker CUSIP Meeting Date matter voted on Proposed by Voted Vote Cast Management
------------------- ------ ---------- ------------ ----------------------------- ----------- ----- --------- ----------
The RBB Fund, Inc. BPIRX 74925K281 6/19/2012 Directors, ratification of Fund NO vote was
(BP Research Fd) Accountants Company cast
SEAFARER OVERSEAS GROWTH AND INCOME FUND
Investment Company Report
ASYA KATILIM BANKASI AS, ISTANBUL
SECURITY M15323104 MEETING TYPE Ordinary General Meeting
TICKER SYMBOL MEETING DATE 31-Mar-2012
ISIN TREAYKB00014 AGENDA 703640551 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT IMPORTANT MARKET PROCESSING Non-Voting
REQUIREMENT: POWER OF ATTORNEY
(POA) REQUIRMENTS-VARY BY
CUSTODIAN. GLOBAL CUSTODIANS MAY
HAVE A POA IN PLACE WHICH
WOULD-ELIMINATE THE NEED FOR THE
INDIVIDUAL BENEFICIAL OWNER POA. IN
THE ABSENCE OF-THIS ARRANGEMENT, AN
INDIVIDUAL BENEFICIAL OWNER POA MAY
BE REQUIRED. IF YOU- HAVE ANY
QUESTIONS PLEASE CONTACT YOUR
CLIENT SERVICE REPRESENTATIVE.
THANK-YOU.
1 Opening and election of Management For For
chairmanship council of the general
assembly
2 Granting authorization to the Management For For
chairmanship council for signing
the meeting minutes
3 Reading and deliberation of Management For For
auditor's report and board of
directors activity report and
independent audit reports
4 Deliberation and approval of the Management For For
2011 balance sheet ,profit and loss
statement, and decision on
distribution of profit that whether
it will be executed or not
5 Submitting the new appointments in Management For For
replacement of abdicated board of
directors members for general
assembly
6 Absolving the members of the board Management Abstain Against
of directors and the auditors
7 Deliberation and decision on Management For For
amendments of the articles of
association of the article 32th
which is about organization of
board of director
8 Election of member of board of Management For For
directors and auditors and
determination their duty period
9 Determination and decision on Management For For
remuneration and attendance fee of
member of board of directors and
auditors
10 Granting authorization to board of Management For For
directors for election of committee
council and determination of their
remuneration
11 Submitting the independent audit Management For For
firm which have been elected for
accounting period for the year of
2011 ( for 1 year) by board of
directors for approval
12 Providing information about the Management For For
donations and contributions which
are executed in 2011
13 Deliberation and reading the Management For For
amendments on the disclosure policy
adherence to corporate governance
principles
14 Granting permission to members of Management For For
the board of directors in
accordance with the articles 334
and 335 of the Turkish commercial
code
15 Wishes Management For For
ODONTOPREV SA, BARUERI, SP
SECURITY P7344M104 MEETING TYPE ExtraOrdinary General
Meeting
TICKER SYMBOL MEETING DATE 02-Apr-2012
ISIN BRODPVACNOR4 AGENDA 703636300 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT IMPORTANT MARKET PROCESSING Non-Voting
REQUIREMENT: A BENEFICIAL OWNER
SIGNED POWER OF-ATTORNEY (POA) IS
REQUIRED IN ORDER TO LODGE AND
EXECUTE YOUR VOTING-INSTRUCTIONS IN
THIS MARKET. ABSENCE OF A POA, MAY
CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY
QUESTIONS, PLEASE CONTACT YOUR
CLIENT SERVICE- REPRESENTATIVE
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' Non-Voting
AND 'AGAINST' IN THE SAME AGENDA
ITEM ARE- NOT ALLOWED. ONLY VOTES
IN FAVOR AND/OR ABSTAIN OR AGAINST
AND/ OR ABSTAIN-ARE ALLOWED. THANK
YOU
I Consideration of the proposal for Management For For
the amendment of the corporate
bylaws to adapt them to the Novo
Mercado regulations and the changes
in Law 6044.76
II Consideration of the proposal for a Management For For
split of the shares issued by the
company, under which each existing
share will come to be represented
by three shares, and the consequent
amendment of the corporate bylaws
in such a way as to reflect the new
number of shares into which the
share capital will be divided
ODONTOPREV SA, BARUERI, SP
SECURITY P7344M104 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 02-Apr-2012
ISIN BRODPVACNOR4 AGENDA 703638328 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT IMPORTANT MARKET PROCESSING Non-Voting
REQUIREMENT: A BENEFICIAL OWNER
SIGNED POWER OF-ATTORNEY (POA) IS
REQUIRED IN ORDER TO LODGE AND
EXECUTE YOUR VOTING-INSTRUCTIONS IN
THIS MARKET. ABSENCE OF A POA, MAY
CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY
QUESTIONS, PLEASE CONTACT YOUR
CLIENT SERVICE- REPRESENTATIVE
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' Non-Voting
AND 'AGAINST' IN THE SAME AGENDA
ITEM ARE- NOT ALLOWED. ONLY VOTES
IN FAVOR AND/OR ABSTAIN OR AGAINST
AND/ OR ABSTAIN-ARE ALLOWED. THANK
YOU
CMMT PLEASE NOTE THAT SHAREHOLDERS Non-Voting
SUBMITTING A VOTE TO ELECT A MEMBER
MUST-INCLUDE THE NAME OF THE
CANDIDATE TO BE ELECTED. IF
INSTRUCTIONS TO VOTE ON-THIS ITEM
IS RECEIVED WITHOUT A CANDIDATE'S
NAME, YOUR VOTE WILL BE
PROCESSED-IN FAVOR OR AGAINST OF
THE DEFAULT COMPANY'S CANDIDATE.
THANK YOU.
1 To receive the accounts of the Management For For
board of directors, to examine,
discuss and vote on the financial
statements, for the fiscal year
that ended on December 31, 2011
2 To decide on the allocation of net Management For For
income, including the proposed
capital budget and the distribution
of dividends
3 Establishment of the limit amount Management For For
for the aggregate annual
compensation of the managers of the
company
4 Election of the members of the Management For For
board of directors and finance
committee
PTT PUBLIC COMPANY LIMITED
SECURITY Y6883U113 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 10-Apr-2012
ISIN TH0646010015 AGENDA 703661428 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT IN THE SITUATION WHERE THE CHAIRMAN Non-Voting
OF THE MEETING SUDDENLY CHANGE THE
AGENDA-AND/OR ADD NEW AGENDA DURING
THE MEETING, WE WILL VOTE THAT
AGENDA AS-ABSTAIN.
1 To certify the 2011 AGM minutes on Management For For
April 20, 2011
2 To approve the 2011 performance Management For For
statement and the 2011 financial
statement, end up on December 31,
2011
3 To approve 2011 net profit Management For For
allocation plan and dividend policy
4 To appoint an auditor and to Management For For
consider the 2012 auditor fees
5 To consider the board of directors' Management For For
remuneration for 2012
6.A To elect a director to replace Management For For
those retiring directors: Mr.
Norkun Sitthiphong
6.B To elect a director to replace Management For For
those retiring directors: Mr.
Watcharakiti Watcharothai
6.C To elect a director to replace Management For For
those retiring directors: Mr.
Arkhom Termpittayapaisith
6.D To elect a director to replace Management For For
those retiring directors: Mr.
Pailin Chuchottaworn
6.E To elect a director to replace Management For For
those retiring directors: Mr.
Insorn Buakeow
7 Other matters (if any) Management For Against
HANG LUNG PROPERTIES LTD
SECURITY Y30166105 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 18-Apr-2012
ISIN HK0101000591 AGENDA 703655324 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------ ----------- --------- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET Non-Voting
THAT A VOTE OF "ABSTAIN" WILL BE
TREATED-THE SAME AS A "TAKE NO
ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK2012/0314/LTN20120314283.pdf
2012/0314/LTN20120314283.pdf:-
http://www.hkexnews.hk/listedco/
listconews/sehk/
2012/0314/LTN20120314283.pdf
1 To receive and consider the audited Management For For
financial statements and reports of
the directors and auditor for the
six-month period ended 31 December
2011
2 To declare a final dividend Management For For
3.a To re-elect Mr. Ronald Joseph Management For For
Arculli as a director
3.b To re-elect Mr. Ronnie Chichung Management For For
Chan as a director
3.c To re-elect Mr. Henry Tze Yin Yiu Management For For
as a director
3.d To re-elect Mr. Hau Cheong Ho as a Management For For
director
3.e To authorize the board of directors Management For For
to fix directors' fees
4 To re-appoint KPMG as auditor of Management For For
the Company and authorize the
directors to fix auditor's
remuneration
5 To give general mandate to Management For For
directors to purchase the Company's
shares
6 To give general mandate to Management Against Against
directors to issue additional shares
Comments-Voting against unrestricted issuance of new stock without
a prior rights offering, pursuant to "Project 'Vote Against Mandate
for Placings, Issues by Rights Excepted'" in Hong Kong ("Project
VAMPIRE," http://www.webb- site.com/articles/vampire1.asp).
7 To approve the addition of Management For For
repurchased shares to be included
under the general mandate in
resolution 6
8 To approve the adoption of new Management For For
share option scheme of the Company
PLEASE NOTE THAT THIS IS A REVISION Non-Voting
DUE TO CHANGE IN RECORD DATE FROM
17 APR 2-012 TO 13 APR 2012. IF YOU
HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETU-RN THIS PROXY
FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THAN-K
YOU.
SINGAPORE TECHNOLOGIES ENGINEERING LTD
SECURITY Y7996W103 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 19-Apr-2012
ISIN SG1F60858221 AGENDA 703663927 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 To receive and adopt the Directors Management For For
Report and Audited Accounts for the
year ended 31 December 2011 and the
Auditors Report thereon
2 To declare a final ordinary tax Management For For
exempt (one-tier) dividend of 4.0
cents per share and a special tax
exempt (one-tier) dividend of 8.5
cents per share for the year ended
31 December 2011
3 To re-elect Mr Peter Seah Lim Huat Management For For
as a director, who will retire by
rotation pursuant to Article 98 of
the Articles of Association of the
Company and who, being eligible,
offer himself for re-election
4 To re-elect Mr Tan Pheng Hock as a Management For For
director ,who will retire by
rotation pursuant to Article 98 of
the Articles of Association of the
Company and who, being eligible,
offer himself for re-election
5 To re-elect Mr Koh Beng Seng as a Management For For
director, who will retire by
rotation pursuant to Article 98 of
the Articles of Association of the
Company and who, being eligible,
offer himself for re-election
6 To re-elect Mr Venkatachalam Management For For
Krishnakumar as a director, who
will retire by rotation pursuant to
Article 98 of the Articles of
Association of the Company and who,
being eligible, offer himself for
re-election
7 To approve the sum of SGD1,076,346 Management For For
as Directors compensation for the
year ended 31 December 2011
comprising: (i) SGD774,949 to be
paid in cash (2010: SGD833,540);
and (ii) SGD301,397 to be paid in
the form of restricted share awards
pursuant to the Singapore
Technologies Engineering Restricted
Share Plan 2010, with the number of
shares to be awarded rounded down
to the nearest hundred and any
residual balance settled in cash
(2010: SGD 308,937 )
8 To re-appoint KPMG LLP as Auditors Management For For
of the Company and to authorise the
Directors to fix their remuneration
9 That authority be and is hereby Management For For None
given to the Directors to: (a) (i)
issue shares in the capital of the
Company (shares) whether by way of
rights, bonus or otherwise; and/or
(ii) make or grant offers,
agreements or options
(collectively, Instruments) that
might or would require shares to be
issued, including but not limited
to the creation and issue of (as
well as adjustments to) warrants,
debentures or other instruments
convertible into shares, at any
time and upon such terms and
conditions and for such purposes
and to such persons as the
Directors may, in their absolute
discretion, deem fit; and (b)
(notwithstanding the authority
conferred by this Resolution may
have ceased to be in force) issue
shares in pursuance of any
Instrument made or granted by the
Directors while this Resolution was
in force, provided that: CONTD
CONT CONTD (1) the aggregate number of Non-Voting
shares to be issued pursuant to
this-Resolution (including shares
to be issued in pursuance of
Instruments made or-granted
pursuant to this Resolution) does
not exceed 50 per cent. of
the-total number of issued shares
in the capital of the Company
excluding-treasury shares (as
calculated in accordance with
subparagraph (2) below), of- which
the aggregate number of shares to
be issued other than on a pro
rata-basis to shareholders of the
Company (including shares to be
issued in-pursuance of Instruments
made or granted pursuant to this
Resolution) shall-not exceed five
per cent. of the total number of
issued shares in the capital-of the
Company excluding treasury shares
(as calculated in accordance
with-sub-paragraph (2) below); (2)
(subject to such manner of
calculation as may-be prescribed
CONTD
CONT CONTD by the SGX-ST) for the Non-Voting
purpose of determining the
aggregate number of-shares that may
be issued under sub-paragraph (1)
above, the percentage of-issued
shares shall be based on the total
number of issued shares in the-
capital of the Company excluding
treasury shares at the time this
Resolution-is passed, after
adjusting for: (i) new shares
arising from the conversion
or-exercise of any convertible
securities or share options or
vesting of share- awards which are
outstanding or subsisting at the
time this Resolution is-passed; and
(ii) any subsequent bonus issue or
consolidation or subdivision-of
shares; (3) in exercising the
authority conferred by this
Resolution, the- Company shall
comply with the provisions of the
Listing Manual of the SGX-ST-for
the time being in force (unless
such compliance has been waived by
CONTD
CONT CONTD the SGX-ST) and the Articles Non-Voting
of Association for the time being
of the-Company; and (4) (unless
revoked or varied by the Company in
General Meeting)-the authority
conferred by this Resolution shall
continue in force until
the-conclusion of the next Annual
General Meeting of the Company or
the date by- which the next Annual
General Meeting of the Company is
required by law to be-held,
whichever is the earlier
10 That approval be and is hereby Management For For None
given to the Directors to: (i)
grant awards in accordance with the
provisions of the Singapore
Technologies Engineering
Performance Share Plan 2010 (the
PSP2010) and/or the Singapore
Technologies Engineering Restricted
Share Plan 2010 (the RSP2010) (the
PSP2010 and the RSP2010, together
the Share Plans); and (ii) allot
and issue from time to time such
number of fully paid ordinary
shares in the capital of the
Company as may be required to be
issued pursuant to the vesting of
awards under the PSP2010 and/or the
RSP2010, provided that the
aggregate number of new ordinary
shares allotted and issued and/or
to be allotted and issued, when
aggregated with existing ordinary
shares (including ordinary shares
held in treasury) delivered and/or
to be delivered, pursuant to the
Share Plans shall CONTD
CONT CONTD not exceed eight per cent. of Non-Voting
the total number of issued
ordinary-shares in the capital of
the Company (excluding treasury
shares) from time to-time
SINGAPORE TECHNOLOGIES ENGINEERING LTD
SECURITY Y7996W103 MEETING TYPE ExtraOrdinary General
Meeting
TICKER SYMBOL MEETING DATE 19-Apr-2012
ISIN SG1F60858221 AGENDA 703665010 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 The Proposed Renewal of the Management For For
Shareholders Mandate
2 The Proposed Renewal of the Share Management For For
Purchase Mandate
HONG LEONG FINANCE LTD
SECURITY Y36795113 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 26-Apr-2012
ISIN SG1M04001939 AGENDA 703709836 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
A.1 To receive and adopt the Audited Management For For
Financial Statements and Reports of
the Directors and Auditors for the
year ended 31 December 2011
A.2 To declare a tax exempt (1-tier) Management For For
final dividend of 8 cents per share
for the year ended 31 December 2011
as recommended by the Directors
A.3 To approve Directors' Fees of USD Management For For
487,584 for the year ended 31
December 2011 (year 2010: USD
495,668), Fees to the Audit
Committee and Risk Management
Committee of USD 25,000 (2011: USD
25,000 per quarter) and USD 45,000
(2011: USD 50,000 per quarter) each
per quarter respectively for the
year ending 31 December 2012
A.4.a To re-elect Mr Kwek Leng Joo as a Management For For
Director retiring in accordance
with the Articles of Association of
the Company and who, being
eligible, offers himself for
re-election
A.4.b To re-elect Po'ad bin Shaik Abu Management For For
Bakar Mattar as Director who is
retiring in accordance with the
Articles of Association of the
Company and who, being eligible,
offer themselves for re-election
A.4.c To re-elect Mr Raymond Lim Siang Management For For
Keat (appointed on 1 March 2012) as
a Director retiring in accordance
with the Articles of Association of
the Company and who, being
eligible, offers himself for
re-election
A.5.a To re-appoint Mr Kwek Leng Beng as Management For For
Director pursuant to Section 153(6)
of the Companies Act, Chapter 50 to
hold office from the date of this
Meeting until the next Annual
General Meeting
A.5.b To re-appoint Mr Cheng Shao Shiong Management For For
@ Bertie Cheng as Director pursuant
to Section 153(6) of the Companies
Act, Chapter 50 to hold office from
the date of this Meeting until the
next Annual General Meeting
A.6 To re-appoint KPMG LLP as Auditors Management For For
and to authorise the Directors to
fix their remuneration
B.7 That authority be and is hereby Management For For None
given to the Directors to: (a) (i)
issue shares in the capital of the
Company ("shares") whether by way
of rights, bonus or otherwise;
and/or (ii) make or grant offers,
agreements or options
(collectively, "Instruments") that
might or would require shares to be
issued, including but not limited
to the creation and issue of (as
well as adjustments to) warrants,
debentures or other Instruments
convertible into shares, at any
time and upon such terms and
conditions and for such purposes
and to such persons as the
Directors may in their absolute
discretion deem fit; and (b)
(notwithstanding the authority
conferred by this Ordinary
Resolution may have ceased to be in
force) issue shares in pursuance of
any Instrument made or granted by
the Directors while this Ordinary
Resolution was in force, CONTD
CONT CONTD provided that: (1) the Non-Voting
aggregate number of shares to be
issued pursuant-to this Ordinary
Resolution (including shares to be
issued in pursuance of-Instruments
made or granted pursuant to this
Ordinary Resolution but- excluding
shares which may be issued pursuant
to any adjustments effected-under
any relevant Instrument), does not
exceed 50% of the total number
of-issued shares in the capital of
the Company (as calculated in
accordance with-sub- paragraph (2)
below), of which the aggregate
number of shares to be-issued other
than on a pro rata basis to
shareholders of the Company-
(including shares to be issued in
pursuance of Instruments made or
granted-pursuant to this Ordinary
Resolution but excluding shares
which may be issued-pursuant to any
adjustments effected under any
relevant Instrument) does not-
exceed 20% CONTD
CONT CONTD of the total number of issued Non-Voting
shares in the capital of the
Company (as-calculated in
accordance with sub-paragraph (2)
below); (2) (subject to such-manner
of calculation as may be prescribed
by the Singapore
Exchange-Securities Trading Limited
("SGX-ST")) for the purpose of
determining the-aggregate number of
shares that may be issued under
sub-paragraph (1) above,- the total
number of issued shares in the
capital of the Company shall
be-based on the total number of
issued shares in the capital of the
Company at- the time this Ordinary
Resolution is passed, after
adjusting for: (i) new-shares
arising from the conversion or
exercise of any convertible
securities-or share options which
are outstanding or subsisting at
the time this-Ordinary Resolution
is passed; and (ii) any subsequent
bonus issue,- consolidation or CONTD
CONT CONTD subdivision of shares. (3) in Non-Voting
exercising the authority conferred
by-this Ordinary Resolution, the
Company shall comply with the
provisions of the-SGX-ST Listing
Manual for the time being in force
(unless such compliance has- been
waived by the SGX-ST) and the
Articles of Association for the
time being-of the Company; and (4)
(unless revoked or varied by the
Company in General-Meeting) the
authority conferred by this
Ordinary Resolution shall
continue-in force until the
conclusion of the next Annual
General Meeting of the-Company or
the date by which the next Annual
General Meeting of the Company-is
required by law to be held,
whichever is the earlier
B.8 (a) That approval be and is hereby Management For For
given to the Directors to offer and
grant options in accordance with
the provisions of the Hong Leong
Finance Share Option Scheme 2001
(the "Share Option Scheme") to
eligible participants under the
Share Option Scheme other than
Parent Group Employees and Parent
Group Non-Executive Directors (each
as defined under the terms of the
Share Option Scheme) and to allot
and issue from time to time such
number of shares in the capital of
the Company as may be required to
be issued pursuant to the exercise
of the options granted under the
Share Option Scheme provided that:
(i) the aggregate number of shares
to be issued pursuant to the Share
Option Scheme shall not exceed 15%
of the total number of issued
shares in the capital of the
Company from time to time; and (ii)
the aggregate number of CONTD
CONT CONTD shares to be issued during Non-Voting
the entire operation of the Share
Option-Scheme (subject to
adjustments, if any, made under the
Share Option Scheme)-shall not
exceed such limits or (as the case
may be) sublimits as may
be-prescribed in the Share Option
Scheme. (b) That approval be and is
hereby-given to the Directors to
offer and grant options in
accordance with the-provisions of
the Share Option Scheme to eligible
participants under the-Share Option
Scheme who are Parent Group
Employees and Parent Group-
Non-Executive Directors (each as
defined under the terms of the
Share Option-Scheme) and to allot
and issue from time to time such
number of shares in the-capital of
the Company as may be required to
be issued pursuant to the-exercise
of the options granted under the
Share Option Scheme, provided
that:-(i) the aggregate CONTD
CONT CONTD number of shares to be issued Non-Voting
to Parent Group Employees and
Parent-Group Non-Executive
Directors shall not exceed 3% of
the total number of-issued shares
in the capital of the Company from
time to time; (ii) the-aggregate
number of shares to be issued to
all participants (including
Parent-Group Employees and Parent
Group Non-Executive Directors)
pursuant to the-Share Option Scheme
shall not exceed 15% of the total
number of issued shares-in the
capital of the Company from time to
time; and (iii) the
aggregate-number of shares to be
issued during the entire operation
of the Share Option-Scheme (subject
to adjustments, if any, made under
the Share Option Scheme)-shall not
exceed such limits or (as the case
may be) sublimits as may
be-prescribed in the Share Option
Scheme
C To transact any other ordinary Management For Against
business
CEREBOS PACIFIC LTD
SECURITY Y1256B107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 27-Apr-2012
ISIN SG1M85907533 AGENDA 703734310 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE Non-Voting
ALLOWED TO VOTE 'IN FAVOR' OR
'AGAINST'-ONLY FOR ALL RESOLUTIONS.
THANK YOU.
1 To adopt the Directors' Report and Management For For
Audited Accounts
2a To declare a First and Final Management For For
dividend
2b To declare a bonus dividend Management For For
3a To re-elect Eiji Koike as Director Management For For
3b To re-elect Ramlee Bin Buang as Management For For
Director
3c To re-elect Lackana Management For For
Leelayouthayotin as Director
4 To re-appoint Raja M Alias as Management For For
Director
5 To approve payment of Directors' Management For For
Fees
6 To re-appoint Management For For
PricewaterhouseCoopers as Auditors
and authorise Directors to fix
their remuneration
7a To approve the authority to issue Management Against Against
additional shares: general power to
issue shares and convertible
securities
Comments-Voting against unrestricted issuance of new stock without a
prior rights offering, pursuant to "Project 'Vote Against Mandate for
Placings, Issues by Rights Excepted'" in Hong Kong ("Project VAMPIRE,"
http://www.webb-site.com/articles/vampire1.asp).
7b To approve the authority to issue Management For For
additional shares: power to grant
options and issue shares pursuant
to the 1998 Scheme
8 To approve the proposed renewal of Management For For
Shareholders' Mandate for
Interested Person Transaction
CITIC TELECOM INTERNATIONAL HOLDINGS LTD
SECURITY Y1640H109 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 27-Apr-2012
ISIN HK1883037637 AGENDA 703663915 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK:- http://www.hkexnews.hk/
listedco/listconews/sehk/
2012/0319/LTN20120319056.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET Non-Voting
THAT A VOTE OF "ABSTAIN" WILL BE
TREATED-THE SAME AS A "TAKE NO
ACTION" VOTE.
1 To adopt the audited accounts and Management For For
the Reports of the Directors and
the Auditor for the year ended
31 December 2011
2 To declare a final dividend for the Management For For
year ended 31 December 2011
3a) To re-elect the following retiring Management For For
Director: Dr. David Chan Tin Wai
3b) To re-elect the following retiring Management For For
Director: Mr. Fei Yiping
3c) To re-elect the following retiring Management For For
Director: Mr. Yang Xianzu
4 To re-appoint Messrs KPMG as Management For For
Auditor and authorise the Board of
Directors to fix their remuneration
5 To grant a general mandate to the Management For For
Directors to issue and dispose of
additional shares not exceeding 20%
of the issued share capital of the
Company as at the date of this
resolution
6 To grant a general mandate to the Management For For
Directors to purchase or otherwise
acquire shares in the capital of
the Company not exceeding 10% of
the issued share capital of the
Company as at the date of this
resolution
7 To add the aggregate nominal amount Management For For
of the shares which are purchased
or otherwise acquired under the
general mandate in Resolution (6)
to the aggregate nominal amount of
the shares which may be issued
under the general mandate in
Resolution (5)
8 To fix the remuneration to be Management For For
payable to Independent
Non-Executive Directors serving on
the Nomination Committee
9 To amend the Articles of Management For For
Association of the Company. Article
numbers 40, 73, 75, 76, 77, 78,
103(H)(iii), 103, 108, 126, 135,
146(A)(i), 169, 172, and 174
10 To adopt the new Articles of Management For For
Association of the Company
HARTALEGA HOLDINGS BHD
SECURITY Y31139101 MEETING TYPE ExtraOrdinary General
Meeting
TICKER SYMBOL MEETING DATE 03-May-2012
ISIN MYL5168OO009 AGENDA 703735932 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Proposed bonus issue of up to Management For For
371,654,940 ordinary shares of RM
0.50 each in HHB ("share(s)")
("bonus share(s)") on the basis of
one bonus share for every one
existing share held on a date to be
determined and announced later
("proposed bonus issue")
2 Proposed issue of up to 74,330,988 Management For For
free warrants in HHB ("free
warrant(s)") on the basis of one
free warrant for every five
existing shares held on the same
entitlement date as the proposed
bonus issue ("proposed free
warrants issue")
3 Proposed increase in authorised Management For For
share capital
CLP HOLDINGS LTD
SECURITY Y1660Q104 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 08-May-2012
ISIN HK0002007356 AGENDA 703681595 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET Non-Voting
THAT A VOTE OF "ABSTAIN" WILL BE
TREATED-THE SAME AS A "TAKE NO
ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK:- http://www.hkexnews.hk/
listedco/listconews/sehk/
2012/0327/LTN20120327558.pdf
1 To adopt the audited Financial Management For For
Statements for the year ended 31
December 2011 and the Reports of
the Directors and Independent
Auditor thereon
2a To elect Mr. Cheng Hoi Chuen, Management For For
Vincent as Director
2b To elect Mrs. Law Fan Chiu Fun Management For For
Fanny as Director
2c To re-elect Mr. William Elkin Management For For
Mocatta as Director
2d To re-elect Dr. Lee Yui Bor as Management For For
Director
2e To re-elect Mr. Peter William Management For For
Greenwood as Director
2f To re-elect Mr. Vernon Francis Management For For
Moore as Director
3 To re-appoint Management For For
PricewaterhouseCoopers as
Independent Auditor of the Company
and authorise the Directors to fix
Auditor's remuneration for the year
ended 31 December 2012
4 To amend the Articles of Management For For
Association of the Company as set
out in Resolution (4) in the Notice
of AGM
5 To give a general mandate to the Management For For
Directors to issue and dispose of
additional shares in the Company;
not exceeding five per cent of the
issued share capital at the date of
this Resolution
6 To give a general mandate to the Management For For
Directors to exercise all the
powers of the Company to purchase
or otherwise acquire shares of HKD
5.00 each in the capital of the
Company; not exceeding ten per cent
of the issued share capital at the
date of this Resolution
7 To add the aggregate nominal amount Management For For
of the shares which are purchased
or otherwise acquired under the
general mandate in Resolution (6)
to the aggregate nominal amount of
the shares which may be issued
under the general mandate in
Resolution (5)
TELEVISION BROADCASTS LTD
SECURITY Y85830100 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 16-May-2012
ISIN HK0511001957 AGENDA 703734043 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------ ---------- --------- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET Non-Voting
THAT A VOTE OF "ABSTAIN" WILL BE
TREATED-THE SAME AS A "TAKE NO
ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK:- http://www.hkexnews.hk/
listedco/listconews/sehk/
2012/0412/LTN20120412204.pdf
1 To receive the Audited Financial Management For For
Statements and the Report of the
Directors and the Independent
Auditor's Report for the year ended
31 December 2011
2 To declare a final dividend for the Management For For
year ended 31 December 2011
3.i To elect Director: Mr. Anthony Lee Management For For
Hsien Pin
3.ii To elect Director: Mr. Chen Wen Chi Management For For
4 To re-elect retiring Director: Ms. Management For For
Mona Fong
5 To re-appoint Auditor and authorise Management For For
Directors to fix its remuneration
6 To give a general mandate to Management For For
Directors to issue additional shares
Comments-Per the AGM notice, the resolution is for 10% of share
capital, therefore reasonable. From the AGM Notice:
"the aggregate nominal amount of share capital allotted or agreed
conditionally or unconditionally to be allotted or issued
(whether pursuant to an option or otherwise) by Directors of the
Company pursuant to the approval in paragraph (a) above,
otherwise than pursuant to (i) a Rights Issue; or (ii) any scrip
dividend or similar arrangement providing for allotment of shares
in lieu of the whole or part of a dividend on the ordinary shares
in the Company (such ordinary shares being defined in this and
the following Resolution (7), "Shares") in accordance with the
Articles of Association of the Company ("Articles"), shall not
exceed the aggregate of:
(i) 10 per cent of the aggregate nominal amount of the share
capital of the Company in issue at the date of passing of this
Resolution; "
7 To give a general mandate to Management For For
Directors to repurchase issued
shares
8 To extend the authority given to Management For For
the Directors under Resolution 6 to
shares repurchased under the
authority under Resolution 7
9 To extend the book close period Management For For
from 30 days to 60 days
10 Amendments to Articles of Management For For
Association
PLEASE NOTE THAT IF ON 25 APR 2012, Non-Voting
YOU ARE OR WILL BE A QUALIFIED OR
UNQUALIFIED VOTING CONTROLLER OF
ANY TVB SHARES, AS RESPECTIVELY
DEFINED IN NOTES 2 AND 4 OF THE
EXPLANATORY NOTES, PLEASE COMPLETE
PART C OF THE DECLARATION AND
RETURN THE SAME TO TVB NOT LATER
THAN 04 MAY 2012. THANK YOU
PLEASE NOTE THAT THIS IS A REVISION Non-Voting
DUE TO RECEIPT OF ADDITIONAL
COMMENT. IF YOU HAVE ALREADY SENT
IN YOUR VOTES, PLEASE DO NOT RETURN
THIS PROXY FORM UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
SHANDONG WEIGAO GROUP MEDICAL POLYMER CO LTD
SECURITY Y76810103 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 21-May-2012
ISIN CNE100000171 AGENDA 703690049 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE Non-Voting
ALLOWED TO VOTE 'IN FAVOR' OR
'AGAINST'-ONLY FOR ALL RESOLUTIONS.
THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK:- http://www.hkexnews.hk/
listedco/listconews/sehk/
2012/0329/LTN201203292389.pdf
1 To consider and approve the audited Management For For
consolidated financial statements
of the Group (including the Company
and its subsidiaries) for the year
ended 31 December 2011
2 To consider and approve the report Management For For
of the board of directors of the
Company (the "Board") for the year
ended 31 December 2011
3 To consider and approve the report Management For For
of the Supervisory Committee of the
Company for the year ended 31
December 2011
4 To declare a final dividend of Management For For
RMB0.03 per share of RMB0.1 each in
the Company for the year ended 31
December 2011
5 To consider and approve the Management For For
proposal for the re- appointment of
Deloitte Touche Tohmatsu as the
auditor of the Company for the year
ending 31 December 2012, and to
authorise the Board to determine
his remuneration
6 To consider and authorise the Board Management For For
to approve the remuneration of the
directors, supervisors and senior
management of the Company for the
year ending 31 December 2012
7 To consider and approve the Management For For
appointment of Mr. Christopher J.
O' Connell as non-executive
director of the Company
8 To consider and approve the Management For For
appointment of Mrs. Wang Jin Xia as
independent non-executive director
of the Company
9 To consider and approve the Management For For
re-election of Mr. Lo Wai Hung as
independent non-executive director
of the Company
10 To consider and approve the Management For For
establishment of nomination
committee (with the terms of
reference); and
11 To consider and approve the general Management For For
mandate to be granted to the Board
to issue new shares
PT PERUSAHAAN GAS NEGARA (PERSERO) TBK
SECURITY Y7136Y118 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-May-2012
ISIN ID1000111602 AGENDA 703803432 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 To approve the annual report of the Management For For
company for 2011 and the annual
report of the partnership and
community development program for
2011 as well as the board of
commissioners supervisory report
for 2011
2 To ratify the annual financial Management For For
statements of the company for 2011
and the financial statements of the
partnership and community
development program for 2011, and
to release and discharge the member
of the board of directors and board
of commissioners of their
responsibilities for their actions
and supervision during 2011
3 To approve the profit allocation Management For For
for 2011, including the dividend
4 To approve the appointment of a Management For For
public accountant to audit the
company financial statements for
2012
5 Approve the remuneration of the Management For For
board of commissioners and board of
directors
6 To change the composition of the Management For For
board member
SINOCOM SOFTWARE GROUP LTD
SECURITY G81697123 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-May-2012
ISIN KYG816971231 AGENDA 703739865 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE Non-Voting
ALLOWED TO VOTE 'IN FAVOR' OR
'AGAINST'-ONLY FOR ALL RESOLUTIONS.
THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK:- http://www.hkexnews.hk/
listedco/listconews/sehk/
2012/0419/LTN20120419502.pdf
1 To receive and consider the audited Management For For
consolidated financial statements
and the reports of the directors
and auditors for the year ended 31
December 2011
2 To declare final dividend for the Management For For
year ended 31 December 2011
3.1 To re-elect Mr. Wang Zhiqiang as a Management For For
director and authorise the board of
directors of the Company to fix his
remuneration
3.2 To re-elect Mr. Wang Xubing as a Management For For
director and authorise the board of
directors of the Company to fix his
remuneration
3.3 To re-elect Dr. Shi Chongming as a Management For For
director and authorise the board of
directors of the Company to fix his
remuneration
3.4 To re-elect Mr. Siu Kwok Leung as a Management For For
director and authorise the board of
directors of the Company to fix his
remuneration
3.5 To re-elect Mr. Lee Kit Wah as a Management For For
director and authorise the board of
directors of the Company to fix his
remuneration
3.6 To re-elect Professor Liang Neng as Management For For
a director and authorise the board
of directors of the Company to fix
his remuneration
4 To re-appoint Deloitte Touche Management For For
Tohmatsu as the auditors of the
Company and authorise the board of
directors of the Company to fix
their remuneration
5.A Ordinary resolution no. 5(A) set Management For For
out in the notice of the Annual
General Meeting (to give a general
mandate to the directors to issue
shares in the Company)
5.B Ordinary resolution no. 5(B) set Management For For
out in the notice of the Annual
General Meeting (to give a general
mandate to the directors to
repurchase shares in the Company)
5.C Ordinary resolution no. 5(C) set Management For For
out in the notice of the Annual
General Meeting (to extend the
general mandate to the directors to
issue shares in the Company)
HISAMITSU PHARMACEUTICAL CO., INC.
SECURITY J20076121 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 24-May-2012
ISIN JP3784600003 AGENDA 703805739 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Approve Appropriation of Surplus Management For For
2.1 Appoint a Director Management For For
2.2 Appoint a Director Management For For
2.3 Appoint a Director Management For For
2.4 Appoint a Director Management For For
2.5 Appoint a Director Management For For
2.6 Appoint a Director Management For For
2.7 Appoint a Director Management For For
2.8 Appoint a Director Management For For
2.9 Appoint a Director Management For For
2.10 Appoint a Director Management For For
3.1 Appoint a Corporate Auditor Management For For
3.2 Appoint a Corporate Auditor Management For For
3.3 Appoint a Corporate Auditor Management For For
3.4 Appoint a Corporate Auditor Management For For
4 Approve Provision of Retirement Management For For
Allowance for Directors
CHINA PHARMACEUTICAL GROUP LTD
SECURITY Y15018131 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 25-May-2012
ISIN HK1093012172 AGENDA 703750718 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------ ----------- --------- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET Non-Voting
THAT A VOTE OF "ABSTAIN" WILL BE
TREATED-THE SAME AS A "TAKE NO
ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINK:- http://www.hkexnews.hk/
listedco/listconews/sehk/
2012/0423/LTN20120423489.pdf
1 To receive and consider the audited Management For For
financial statements, the report of
the directors and the independent
auditor's report for the year ended
31 December 2011
2ai To re-elect Mr. Feng Zhenying as Management For For
Director
2aii To re-elect Mr. Zhao John Huan as Management For For
Director
2aiii To re-elect Mr. Wang Shunlong as Management For For
Director
2aiv To re-elect Mr. Wang Zhenguo as Management For For
Director
2av To re-elect Mr. Lee Ka Sze, Carmelo Management For For
as Director
2b To re-elect Mr. QI Moujia (who has Management For For
served as an independent
non-executive Director for more
than 9 years) as an independent
non-executive Director of the
Company
2c To authorise the board of directors Management For For
to fix the remuneration of directors
3 To re-appoint Deloitte Touche Management For For
Tohmatsu as auditor and authorize
the Directors to fix its
remuneration
4 To give a general mandate to the Management For For
Directors to repurchase shares of
the Company (ordinary resolution in
item No. 4 of the Notice of Annual
General Meeting)
5 To give a general mandate to the Management For For
Directors to issue new shares of
the Company (ordinary resolution in
item No. 5 of the Notice of Annual
General Meeting)
6 To extend the general mandate to be Management For For
given to the Directors to issue
shares (ordinary resolution in item
No. 6 of the Notice of Annual
General Meeting)
CMMT PLEASE NOTE THAT THIS IS A REVISION Non-Voting
DUE TO RECEIPT OF ACTUAL RECORD
DATE. IF Y-OU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT RETURN
THIS PROXY FORM UNLES-S YOU DECIDE
TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
HSBC HOLDINGS PLC
SECURITY 404280406 MEETING TYPE Annual
TICKER SYMBOL HBC MEETING DATE 25-May-2012
ISIN US4042804066 AGENDA 933594625 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ------------------------------------ ----------- --------- -----------
1. TO RECEIVE THE ANNUAL REPORT AND Management For For
ACCOUNTS 2011
2. TO APPROVE THE DIRECTORS' Management For For
REMUNERATION REPORT FOR 2011
3A. TO RE-ELECT S A CATZ A DIRECTOR Management For For
3B. TO RE-ELECT L M L CHA A DIRECTOR Management For For
3C. TO RE-ELECT M K T CHEUNG A DIRECTOR Management For For
3D. TO RE-ELECT J D COOMBE A DIRECTOR Management For For
3E. TO ELECT J FABER A DIRECTOR Management For For
3F. TO RE-ELECT R A FAIRHEAD A DIRECTOR Management For For
3G. TO RE-ELECT D J FLINT A DIRECTOR Management For For
3H. TO RE-ELECT A A FLOCKHART A DIRECTOR Management For For
3I. TO RE-ELECT S T GULLIVER A DIRECTOR Management For For
3J. TO RE-ELECT J W J HUGHES-HALLETT A Management For For
DIRECTOR
3K. TO RE-ELECT W S H LAIDLAW A DIRECTOR Management For For
3L. TO ELECT J P LIPSKY A DIRECTOR Management For For
3M. TO RE-ELECT J R LOMAX A DIRECTOR Management For For
3N. TO RE-ELECT I J MACKAY A DIRECTOR Management For For
3O. TO RE-ELECT N R N MURTHY A DIRECTOR Management For For
3P. TO RE-ELECT SIR SIMON ROBERTSON A Management For For
DIRECTOR
3Q. TO RE-ELECT J L THORNTON A DIRECTOR Management For For
4. TO REAPPOINT THE AUDITOR AT Management For For
REMUNERATION TO BE DETERMINED BY
THE GROUP AUDIT COMMITTEE
5. TO AUTHORISE THE DIRECTORS TO ALLOT Management For For
SHARES
S6. TO DISAPPLY PRE-EMPTION RIGHTS Management For For
(SPECIAL RESOLUTION)
7. TO AUTHORISE THE COMPANY TO Management For For
PURCHASE ITS OWN ORDINARY SHARES
8. TO AUTHORISE THE DIRECTORS TO OFFER Management For For
A SCRIP DIVIDEND ALTERNATIVE
S9. TO APPROVE GENERAL MEETINGS (OTHER Management For For
THAN ANNUAL GENERAL MEETINGS) BEING
CALLED ON 14 CLEAR DAYS' NOTICE
(SPECIAL RESOLUTION)
INFOSYS TECHNOLOGIES LIMITED
SECURITY 456788108 MEETING TYPE Annual
TICKER SYMBOL INFY MEETING DATE 09-Jun-2012
ISIN US4567881085 AGENDA 933637538 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
O1 TO RECEIVE, CONSIDER AND ADOPT THE Management For For
BALANCE SHEET AS AT MARCH 31, 2012,
THE PROFIT AND LOSS ACCOUNT FOR THE
YEAR ENDED ON THAT DATE AND THE
REPORT OF THE DIRECTORS & AUDITORS
THEREON.
O2 TO DECLARE THE FINAL AND SPECIAL Management For For
DIVIDEND FOR THE FINANCIAL YEAR
ENDED MARCH 31, 2012.
O3 TO APPOINT A DIRECTOR IN PLACE OF Management For For
S. GOPALAKRISHNAN, WHO RETIRES BY
ROTATION AND, BEING ELIGIBLE, SEEKS
RE-APPOINTMENT.
O4 TO APPOINT A DIRECTOR IN PLACE OF Management For For
K.V. KAMATH, WHO RETIRES BY
ROTATION AND, BEING ELIGIBLE, SEEKS
RE-APPOINTMENT.
O5 TO APPOINT A DIRECTOR IN PLACE OF Management For For
DAVID L. BOYLES, WHO RETIRES BY
ROTATION AND, BEING ELIGIBLE, SEEKS
RE-APPOINTMENT.
O6 TO APPOINT A DIRECTOR IN PLACE OF Management For For
PROF. JEFFREY S. LEHMAN, WHO
RETIRES BY ROTATION AND, BEING
ELIGIBLE, SEEKS RE-APPOINTMENT.
O7 TO APPOINT AUDITORS TO HOLD OFFICE Management For For
FROM THE CONCLUSION OF THIS ANNUAL
GENERAL MEETING UNTIL THE
CONCLUSION OF THE NEXT ANNUAL
GENERAL MEETING AND TO FIX THEIR
REMUNERATION.
S8 TO APPOINT ANN M. FUDGE AS A Management For For
DIRECTOR, LIABLE TO RETIRE BY
ROTATION.
S9 TO APPOINT V. BALAKRISHNAN AS A Management For For
DIRECTOR, LIABLE TO RETIRE BY
ROTATION AND ALSO AS A WHOLE-TIME
DIRECTOR.
S10 TO APPOINT ASHOK VEMURI AS A Management For For
DIRECTOR, LIABLE TO RETIRE BY
ROTATION AND ALSO AS A WHOLE-TIME
DIRECTOR.
S11 TO APPOINT B.G. SRINIVAS AS A Management For For
DIRECTOR, LIABLE TO RETIRE BY
ROTATION AND ALSO AS A WHOLE-TIME
DIRECTOR.
S12 REMUNERATION IN THE FORM OF Management For For
COMMISSION FOR NON-EXECUTIVE
DIRECTORS.
TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD, HSINCHU
SECURITY Y84629107 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 12-Jun-2012
ISIN TW0002330008 AGENDA 703828725 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT IN CASES WHERE THE Non-Voting
CLIENT INSTRUCTS US TO VOTE AGAINST
ANY-PROPOSAL TO BE DISCUSSED AT A
SHAREHOLDERS MEETING AND THE VOTING
WITH-RESPECT TO SUCH PROPOSAL IS
DONE BY BALLOT, WE OR OUR DESIGNEE
WILL FILL OUT-THE BALLOT IN RESPECT
OF SUCH PROPOSAL IN ACCORDANCE WITH
THE CLIENTS-INSTRUCTIONS. HOWEVER,
IF THE VOTING AT THE SHAREHOLDERS
MEETING IS DONE BY-ACCLAMATION,
WE/OUR DESIGNEE WILL NOT TAKE ANY
ACTION IN RESPECT OF THE-RELEVANT
PROPOSAL. THANK YOU
A.1 The 2011 business operations Non-Voting
A.2 The 2011 audited reports Non-Voting
A.3 The status of unsecured corporate Non-Voting
bonds
B.1 The 2011 business reports and Management For For
financial statements
B.2 The 2011 profit distribution. Management For For
Proposed cash dividend: TWD 3 per
share
B.3 The revision to the articles of Management For For
incorporation
B.4 The revision to the rules of the Management For For
election of directors
B.5.1 Elect Morris Chang, Shareholder No Management For For
4515, as director
B.5.2 Elect F.C. Tseng, Shareholder No Management For For
104, as director
B.5.3 Elect Representative of National Management For For
Development Fund, Executive Yuan
Johnsee Lee, Shareholder No 1, as
director
B.5.4 Elect Rick Tsai, Shareholder no Management For For
7252, as director
B.5.5 Elect Sir Peter Leahy Bonfield, Management For For
Shareholder No 93180657 (Passport
No.), as independent director
B.5.6 Elect Stan Shih, Shareholder No Management For For
534770, as independent director
B.5.7 Elect Thomas J. Engibous, Management For For
Shareholder No 135021464, as
independent director
B.5.8 Elect Gregory C. Chow, Shareholder Management For For
No 214553970, as independent
director
B.5.9 Elect Kok-Choo Chen, Shareholder No Management For For
9546, as independent director
B.6 Extraordinary motions Management For Against
TAIWAN HON CHUAN ENTERPRISE CO LTD
SECURITY Y8421M108 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 20-Jun-2012
ISIN TW0009939009 AGENDA 703855897 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT IN CASES WHERE THE Non-Voting
CLIENT INSTRUCTS US TO VOTE AGAINST
ANY-PROPOSAL TO BE DISCUSSED AT A
SHAREHOLDERS MEETING AND THE VOTING
WITH-RESPECT TO SUCH PROPOSAL IS
DONE BY BALLOT, WE OR OUR DESIGNEE
WILL FILL OUT-THE BALLOT IN RESPECT
OF SUCH PROPOSAL IN ACCORDANCE WITH
THE CLIENTS-INSTRUCTIONS. HOWEVER,
IF THE VOTING AT THE SHAREHOLDERS
MEETING IS DONE BY-ACCLAMATION,
WE/OUR DESIGNEE WILL NOT TAKE ANY
ACTION IN RESPECT OF THE-RELEVANT
PROPOSAL. THANK YOU
A.1 The 2011 business operations Non-Voting
A.2 The 2011 audited reports Non-Voting
A.3 The status of the 2011 local Non-Voting
unsecured convertible corporate
bonds
A.4 The rules of the board meeting Non-Voting
B.1 The 2011 financial statements Management For For
B.2 The 2011 profit distribution. Management For For
proposed cash dividend: TWD3 per
share
B.3 The revision to the articles of Management For For
incorporation
B.4 The revision to the procedures of Management For For
asset acquisition or disposal
B.5 Extraordinary motions Management For Against
CYBERLINK CO LTD
SECURITY Y1853F105 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 22-Jun-2012
ISIN TW0005203004 AGENDA 703874708 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT IN CASES WHERE THE Non-Voting
CLIENT INSTRUCTS US TO VOTE AGAINST
ANY-PROPOSAL TO BE DISCUSSED AT A
SHAREHOLDERS MEETING AND THE VOTING
WITH-RESPECT TO SUCH PROPOSAL IS
DONE BY BALLOT, WE OR OUR DESIGNEE
WILL FILL OUT-THE BALLOT IN RESPECT
OF SUCH PROPOSAL IN ACCORDANCE WITH
THE CLIENTS-INSTRUCTIONS. HOWEVER,
IF THE VOTING AT THE SHAREHOLDERS
MEETING IS DONE BY-ACCLAMATION,
WE/OUR DESIGNEE WILL NOT TAKE ANY
ACTION IN RESPECT OF THE-RELEVANT
PROPOSAL. THANK YOU.
A.1 The 2011 business operations Non-Voting
A.2 The 2011 audited reports Non-Voting
B.1 The 2011 business reports and Management For For
financial statements
B.2 The 2011 profit distribution. Management For For
Proposed cash dividend: TWD7 per
share
B.3 The revision to the articles of Management For For
incorporation
B.4 The revision to the rules of Management For For
shareholder meeting
B.5 The revision to the procedures of Management For For
asset acquisition or disposal
B.6 Extraordinary motions Management For Against
OBIC BUSINESS CONSULTANTS CO.,LTD.
SECURITY J59469106 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 26-Jun-2012
ISIN JP3173500004 AGENDA 703889355 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Approve Appropriation of Surplus Management For For
2 Approve Payment of Bonuses to Management For For
Corporate Officers
CHINA COMMUNICATIONS SERVICES CORPORATION LTD, BEI
SECURITY Y1436A102 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 28-Jun-2012
ISIN CNE1000002G3 AGENDA 703929363 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
CMMT PLEASE NOTE THAT THIS IS AN Non-Voting
AMENDMENT TO MEETING ID 968145 DUE
TO ADDITION OF-RESOLUTION. ALL
VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AND-YOU
WILL NEED TO REINSTRUCT ON THIS
MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE Non-Voting
ALLOWED TO VOTE 'IN FAVOR' OR
'AGAINST' FOR-ALL RESOLUTIONS.
THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE Non-Voting
IS AVAILABLE BY CLICKING ON THE URL
LINKS:-
http://www.hkexnews.hk/listedco/
listconews/sehk/
2012/0419/LTN20120419210.pdf-and
http://www.hkexnews.hk/listedco/
listconews/sehk/
2012/0613/LTN20120613179.-pdf
1 That the consolidated financial Management For For
statements of the Company, the
report of the Directors, the report
of the Supervisory Committee and
the report of the international
auditors for the year ended 31
December 2011 be considered and
approved, and the board of
directors of the Company (the
"Board") be authorized to prepare
the budget of the Company for the
year 2012
2 That the profit distribution Management For For
proposal and the declaration and
payment of a final dividend for the
year ended 31 December 2011 be
considered and approved
3 That the reappointment of KPMG and Management For For
KPMG Huazhen as the international
auditors and domestic auditors of
the Company, respectively, for the
year ending 31 December 2012 be
considered and approved, and the
Board be authorized to fix the
remuneration of the auditors
4.1 That the re-election of Li Ping as Management For For
an executive director of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015;
That any director of the Company be
and is hereby authorized to sign on
behalf of the Company the
director's service contract with Li
Ping, and That the Board be and is
hereby authorized to determine his
remuneration
4.2 That the re-election of Zheng Qibao Management For For
as an executive director of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015;
That any director of the Company be
and is hereby authorized to sign on
behalf of the Company the
director's service contract with
Zheng Qibao, and that the Board be
and is hereby authorized to
determine his remuneration
4.3 That the re-election of Yuan Management For For
Jianxing as an executive director
of the Company be and is hereby
considered and approved, with
effect from date of this resolution
for a term of three years until the
annual general meeting of the
Company for the year 2014 to be
held in 2015; that any director of
the Company be and is hereby
authorized to sign on behalf of the
Company the director's service
contract with Yuan Jianxing, and
that the Board be and is hereby
authorized to determine his
remuneration
4.4 That the re-election of Hou Rui as Management For For
an executive director of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015;
That any director of the Company be
and is hereby authorized to sign on
behalf of the Company the
director's service contract with
Hou Rui, and That the Board be and
is hereby authorized to determine
her remuneration
4.5 That the re-election of Liu Aili as Management For For
a non-executive director of the
company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the company for
the year 2014 to be held in 2015;
That any director of the company be
and is hereby authorized to sign on
behalf of the company the
director's service contract with
Liu Aili, and that the board be and
is hereby authorized to determine
his remuneration
4.6 That the re-election of Zhang Junan Management For For
as a non- executive director of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015;
That any director of the Company be
and is hereby authorized to sign on
behalf of the Company the
director's service contract with
Zhang Junan, and that the Board be
and is hereby authorized to
determine his remuneration
4.7 That the re-election of Wang Jun as Management For For
an independent non-executive
director of the Company be and is
hereby considered and approved,
with effect from date of this
resolution for a term of three
years until the annual general
meeting of the Company for the year
2014 to be held in 2015; That any
director of the Company be and is
hereby authorized to sign on behalf
of the Company the director's
service contract with Wang Jun, and
that the Board be and is hereby
authorized to determine his
remuneration
4.8 That the re-election of Chan Mo Po, Management For For
Paul as an independent
non-executive director of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015;
That any director of the Company be
and is hereby authorized to sign on
behalf of the Company the
director's service contract with
Chan Mo Po, Paul, and that the
Board be and is hereby authorized
to determine his remuneration
4.9 That the re-election of Zhao Management For For
Chunjun as an independent
non-executive director of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015;
That any director of the Company be
and is hereby authorized to sign on
behalf of the Company the
director's service contract with
Zhao Chunjun, and that the Board be
and is hereby authorized to
determine his remuneration
4.10 That the election of Wei Leping as Management For For
an independent non-executive
director of the Company be and is
hereby considered and approved,
with effect from date of this
resolution for a term of three
years until the annual general
meeting of the Company for the year
2014 to be held in 2015; That any
director of the Company be and is
hereby authorized to sign on behalf
of the Company the director's
service contract with Wei Leping,
and that the Board be and is hereby
authorized to determine his
remuneration
4.11 That the election of Siu Wai Keung Management For For
as an independent non-executive
director of the Company be and is
hereby considered and approved,
with effect from date of this
resolution for a term of three
years until the annual general
meeting of the Company for the year
2014 to be held in 2015; That any
director of the Company be and is
hereby authorized to sign on behalf
of the Company the director's
service contract with Siu Wai
Keung, and that the Board be and is
hereby authorized to determine his
remuneration
5.1 That the re-election of Xia Management For For
Jianghua as a supervisor of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015
5.2 That the re-election of Hai Management For For
Liancheng as a supervisor of the
Company be and is hereby considered
and approved, with effect from date
of this resolution for a term of
three years until the annual
general meeting of the Company for
the year 2014 to be held in 2015
5.3 That any director of the Company be Management For For
and is hereby authorized to sign on
behalf of the Company the
supervisor's service contract with
each supervisor, and that the
supervisory committee of the
Company be and is hereby authorized
to determine the supervisor's
remuneration
6 That the grant of a general mandate Management For For
to the Board to issue, allot and
deal with the additional shares in
the Company not exceeding 20% of
each of the existing domestic
Shares and H shares (as the case
may be) in issue be considered and
approved
7 That the authorization to the Board Management For For
to increase the registered capital
of the Company to reflect the issue
of shares in the Company authorized
under special resolution 6, and to
make such appropriate and necessary
amendments to the Articles of
Association as they think fit to
reflect such increases in the
registered capital of the Company
and to take any other action and
complete any formality required to
effect such increase of the
registered capital of the Company
8 That the amendments to the articles Management For For
of association of the Company be
considered and approved: Articles
2.2, 3.5, 3.6 and 3.9
SIA ENGINEERING COMPANY LTD
SECURITY Y78599100 MEETING TYPE Annual General Meeting
TICKER SYMBOL MEETING DATE 19-Jul-2012
ISIN SG1I53882771 AGENDA 703945052 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 To receive and adopt the Directors' Management For For
Report and Audited Financial
Statements for the year ended 31
March 2012 and the Auditors' Report
thereon
2 To declare a final ordinary Management For For
dividend of 15 cents per ordinary
share for the financial year ended
31 March 2012
3.1 To re-elect the Director who are Management For For
retiring by rotation pursuant to
Article 83 of the Company's
Articles of Association and who,
being eligible, offer themselves
for re-election pursuant to Article
84 of the Company's Articles of
Association: Mr Paul Chan Kwai Wah
3.2 To re-elect the Director who are Management For For
retiring by rotation pursuant to
Article 83 of the Company's
Articles of Association and who,
being eligible, offer themselves
for re-election pursuant to Article
84 of the Company's Articles of
Association: Mr Ron Foo Siang Guan
4 To approve the Directors' fees of Management For For
up to SGD946,000 for the financial
year ending 31 March 2013
(FY2011/12: up to SGD 946,000)
5 To re-appoint Messrs Ernst & Young Management For For
as Auditors of the Company to hold
office until the next Annual
General Meeting and to authorise
the Directors to fix their
remuneration
6.1 That pursuant to Section 161 of the Management For For
Companies Act, Cap. 50, authority
be and is hereby given to the
Directors of the Company to: (a)
(i) issue shares in the capital of
the Company ("shares") whether by
way of rights, bonus or otherwise;
and/or (ii) make or grant offers,
agreements or options
(collectively, "Instruments") that
might or would require shares to be
issued, including but not limited
to the creation and issue of (as
well as adjustments to) warrants,
debentures or other instruments
convertible into shares, at any
time and upon such terms and
conditions and for such purposes
and to such persons as the
Directors may in their absolute
discretion deem fit; and (b)
(notwithstanding the authority
conferred by this Resolution may
have ceased to be in force) issue
shares in pursuance of any
Instrument made or granted CONTD
CONT CONTD by the Directors while this Non-Voting None
Resolution was in force, provided
that: (1)-the aggregate number of
shares to be issued pursuant to
this Resolution-(including shares
to be issued in pursuance of
Instruments made or granted-
pursuant to this Resolution) does
not exceed fifty (50) per cent of
the total-number of issued shares
(excluding treasury shares) in the
capital of the- Company (as
calculated in accordance with sub-
paragraph (2) below), of which-the
aggregate number of shares to be
issued other than on a pro rata
basis to-shareholders of the
Company (including shares to be
issued in pursuance of- Instruments
made or granted pursuant to this
Resolution) does not exceed
ten-(10) per cent of the total
number of issued shares (excluding
treasury-shares) in the capital of
the Company (as calculated in
accordance with-sub-CONTD
CONT CONTD paragraph (2) below); (2) Non-Voting
(subject to such manner of
calculation as may-be prescribed by
the Singapore Exchange Securities
Trading Limited-("SGX-ST")) for the
purpose of determining the
aggregate number of shares-that may
be issued under sub-paragraph (1)
above, the percentage of
issued-shares shall be based on the
total number of issued shares
(excluding- treasury shares) in the
capital of the Company at the time
this Resolution is-passed, after
adjusting for: (i) new shares
arising from the conversion or-
exercise of any convertible
securities or share options or
vesting of share-awards which are
outstanding or subsisting at the
time this Resolution is-passed; and
(ii) any subsequent bonus issue or
consolidation or subdivision-of
shares; (3) in exercising the
authority conferred by this
Resolution, the-Company CONTD
CONT CONTD shall comply with the Non-Voting
provisions of the Listing Manual of
the SGX-ST-for the time being in
force (unless such compliance has
been waived by the-SGX-ST) and the
Articles of Association for the
time being of the Company;- and (4)
(unless revoked or varied by the
Company in general meeting)
the-authority conferred by this
Resolution shall continue in force
until the-conclusion of the next
Annual General Meeting of the
Company or the date by- which the
next Annual General Meeting of the
Company is required by law to
be-held, whichever is the earlier
6.2 That the Directors be and are Management For For
hereby authorised to: (a) grant
awards in accordance with the
provisions of the SIAEC Performance
Share Plan and/or the SIAEC
Restricted Share Plan; and (b)
allot and issue from time to time
such number of fully paid ordinary
shares as may be required to be
issued pursuant to the vesting of
awards under the SIAEC Performance
Share Plan and/or the SIAEC
Restricted Share Plan, provided
that the maximum number of new
ordinary shares under awards to be
granted pursuant to the SIAEC
Performance Share Plan and the
SIAEC Restricted Share Plan during
the period commencing from the date
of this Annual General Meeting of
the Company and ending on the date
of the next Annual General Meeting
of the Company or the date by which
the next Annual General Meeting of
the Company is required by law to
be held, CONTD
CONT CONTD whichever is the earlier, Non-Voting
(excluding new ordinary shares
arising from-any adjustments made
from time to time pursuant to the
SIAEC Performance-Share Plan and
the SIAEC Restricted Share Plan)
shall not exceed 8,232,266-ordinary
shares, which represents 0.75 per
cent of the total number of issued-
ordinary shares (excluding treasury
shares) in the capital of the
Company as-at 31 March 2012
6.3 That: (a) approval be and is hereby Management For For
given, for the purposes of Chapter
9 of the Listing Manual ("Chapter
9") of the SGX-ST, for the Company,
its subsidiaries and associated
companies that are "entities at
risk" (as that term is used in
Chapter 9), or any of them to enter
into any of the transactions
falling within the types of
interested person transactions
described in the appendix (the
"Appendix") to the Letter to
Shareholders dated 25 June 2012
(the "Letter") with any party who
is of the class of interested
persons described in the Appendix,
provided that such transactions are
made on normal commercial terms and
in accordance with the review
procedures for such interested
person transactions; (b) the
approval given in paragraph (a)
above (the "IPT Mandate") shall,
unless revoked or varied by the
Company in general CONTD
CONT CONTD meeting, continue in force Non-Voting
until the conclusion of the next
Annual-General Meeting of the
Company; and (c) the Directors of
the Company and/or-any of them be
and are hereby authorised to
complete and do all such acts and-
things (including executing all
such documents as may be required),
as they-and/or he may consider
expedient or necessary or in the
interests of the-Company to give
effect to the transactions
contemplated and/or authorised by-
the IPT Mandate and/or this
Resolution
7 To transact any other business of Management For Against
the Company which may arise and can
be transacted at an Annual General
Meeting
EMERALD BANKING AND FINANCE FUND
Investment Company Report
GUARANTY BANCORP
SECURITY 40075T102 MEETING TYPE Special
TICKER SYMBOL GBNK MEETING DATE 29-Sep-2011
ISIN US40075T1025 AGENDA 933501315 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Stock Conversion Management For For
02 Approve Charter Amendment Management For For
03 Approve Charter Amendment Management For For
04 Approve Charter Amendment Management For For
05 Approve Motion to Adjourn Meeting Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 89,490 07-Sep-2011 07-Sep-2011
HARRIMAN & CO.
CALIFORNIA UNITED BANK
SECURITY 130781107 MEETING TYPE Annual
TICKER SYMBOL CUNB MEETING DATE 25-Oct-2011
ISIN US1307811075 AGENDA 933505779 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 ROBERTO E. BARRAGAN For For
2 KENNETH L. BERNSTEIN For For
3 ROBERT C. BILLS For For
4 STEPHEN G. CARPENTER For For
5 RONALD W. JONES For For
6 DAVID I. RAINER For For
7 ROY A. SALTER For For
8 DANIEL F. SELLECK For For
9 LESTER M. SUSSMAN For For
10 CHARLES H. SWEETMAN For For
11 ANNE A. WILLIAMS For For
02 Authorize Common Stock Increase Management For For
03 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 57,300 28-Sep-2011 28-Sep-2011
HARRIMAN & CO.
SUSQUEHANNA BANCSHARES, INC.
SECURITY 869099101 MEETING TYPE Special
TICKER SYMBOL SUSQ MEETING DATE 16-Nov-2011
ISIN US8690991018 AGENDA 933513625 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Approve Merger Agreement Management For For
02 Approve Motion to Adjourn Meeting Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 25,276 17-Oct-2011 17-Oct-2011
HARRIMAN & CO.
TOWER BANCORP, INC.
SECURITY 891709107 MEETING TYPE Special
TICKER SYMBOL TOBC MEETING DATE 16-Nov-2011
ISIN US8917091071 AGENDA 933514588 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Approve Merger Agreement Management For For
02 Approve Motion to Adjourn Meeting Management For For
03 14A Extraordinary Transaction Management For For
Executive Compensation
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 9,976 19-Oct-2011 19-Oct-2011
HARRIMAN & CO.
CAPITOL FEDERAL FINANCIAL INC
SECURITY 14057J101 MEETING TYPE Annual
TICKER SYMBOL CFFN MEETING DATE 24-Jan-2012
ISIN US14057J1016 AGENDA 933538615 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
I Election of Directors Management
1 MORRIS J. HUEY, II Withheld Against
2 REGINALD L. ROBINSON Withheld Against
II 14A Executive Compensation Management For For
III Approve Stock Compensation Plan Management For For
IV Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 22,635 09-Jan-2012 09-Jan-2012
HARRIMAN & CO.
TECHE HOLDING COMPANY
SECURITY 878330109 MEETING TYPE Annual
TICKER SYMBOL TSH MEETING DATE 25-Jan-2012
ISIN US8783301091 AGENDA 933541472 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 WILLIAM THOMAS ALLEN Withheld Against
2 HENRY L. FRIEDMAN Withheld Against
3 W. ROSS LITTLE, JR. Withheld Against
4 ROBERT L. WOLFE, JR. Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 20,800 23-Jan-2012 23-Jan-2012
HARRIMAN & CO.
MITEK SYSTEMS, INC.
SECURITY 606710200 MEETING TYPE Annual
TICKER SYMBOL MITK MEETING DATE 22-Feb-2012
ISIN US6067102003 AGENDA 933545406 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 JOHN M. THORNTON For For
2 JAMES B. DEBELLO For For
3 GERALD I. FARMER, PH.D. For For
4 VINTON P. CUNNINGHAM For For
5 SALLY B. THORNTON For For
6 WILLIAM P. TUDOR For For
7 ALEX W. 'PETE' HART For For
02 Approve Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Management For For
Auditors
04 Transact Other Business Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 19,000 01-Feb-2012 01-Feb-2012
HARRIMAN & CO.
RAYMOND JAMES FINANCIAL, INC.
SECURITY 754730109 MEETING TYPE Annual
TICKER SYMBOL RJF MEETING DATE 23-Feb-2012
ISIN US7547301090 AGENDA 933546751 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 SHELLEY G. BROADER For For
2 FRANCIS S. GODBOLD For For
3 H.W. HABERMEYER, JR. For For
4 CHET HELCK For For
5 THOMAS A. JAMES For For
6 GORDON L. JOHNSON For For
7 PAUL C. REILLY For For
8 ROBERT P. SALTZMAN For For
9 HARDWICK SIMMONS For For
10 SUSAN N. STORY For For
02 Ratify Appointment of Independent Management For For
Auditors
03 Approve Stock Compensation Plan Management For For
04 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 6,000 06-Feb-2012 06-Feb-2012
HARRIMAN & CO.
URSTADT BIDDLE PROPERTIES INC.
SECURITY 917286205 MEETING TYPE Annual
TICKER SYMBOL UBA MEETING DATE 06-Mar-2012
ISIN US9172862057 AGENDA 933549896 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 RICHARD GRELLIER* Withheld Against
2 ROBERT R. DOUGLASS** Withheld Against
3 GEORGE H.C. LAWRENCE** Withheld Against
4 CHARLES J. URSTADT** Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 27,780 13-Feb-2012 13-Feb-2012
HARRIMAN & CO.
HANCOCK HOLDING COMPANY
SECURITY 410120109 MEETING TYPE Annual
TICKER SYMBOL HBHC MEETING DATE 05-Apr-2012
ISIN US4101201097 AGENDA 933559758 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 RICHARD B. CROWELL* Withheld Against
2 HARDY B. FOWLER* Withheld Against
3 ERIC J. NICKELSEN* Withheld Against
4 TERENCE E. HALL** Withheld Against
5 JOHN M. HAIRSTON*** Withheld Against
6 JAMES H. HORNE*** Withheld Against
7 JERRY L. LEVENS*** Withheld Against
8 R. KING MILLING*** Withheld Against
9 CHRISTINE PICKERING*** Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 11,416 12-Mar-2012 12-Mar-2012
HARRIMAN & CO.
LAKELAND FINANCIAL CORPORATION
SECURITY 511656100 MEETING TYPE Annual
TICKER SYMBOL LKFN MEETING DATE 10-Apr-2012
ISIN US5116561003 AGENDA 933557108 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DANIEL F. EVANS, JR. For For
2 DAVID M. FINDLAY For For
3 EMILY E. PICHON For For
2. Approve Charter Amendment Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 29,063 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
CASS INFORMATION SYSTEMS, INC.
SECURITY 14808P109 MEETING TYPE Annual
TICKER SYMBOL CASS MEETING DATE 16-Apr-2012
ISIN US14808P1093 AGENDA 933567919 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT A. EBEL Withheld Against
2 JOHN L. GILLIS, JR. Withheld Against
3 RANDALL L. SCHILLING Withheld Against
4 FRANKLIN D. WICKS, JR. Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 29,131 28-Mar-2012 28-Mar-2012
HARRIMAN & CO.
BANK OF THE OZARKS, INC.
SECURITY 063904106 MEETING TYPE Annual
TICKER SYMBOL OZRK MEETING DATE 17-Apr-2012
ISIN US0639041062 AGENDA 933556031 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GEORGE GLEASON For For
2 MARK ROSS For For
3 JEAN AREHART For For
4 NICHOLAS BROWN For For
5 RICHARD CISNE For For
6 ROBERT EAST For For
7 LINDA GLEASON For For
8 HENRY MARIANI For For
9 ROBERT PROOST For For
10 R.L. QUALLS For For
11 JOHN REYNOLDS For For
12 KENNITH SMITH For For
13 SHERECE WEST For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 48,358 19-Mar-2012 19-Mar-2012
HARRIMAN & CO.
CITIZENS FINANCIAL SERVICES, INC.
SECURITY 174615104 MEETING TYPE Annual
TICKER SYMBOL CZFS MEETING DATE 17-Apr-2012
ISIN US1746151042 AGENDA 933558299 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT W. CHAPPELL Withheld Against
2 ROGER C. GRAHAM, JR. Withheld Against
3 E. GENE KOSA Withheld Against
4 R. JOSEPH LANDY Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Management 1 Year Against
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 7,140 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
AMERICAN BUSINESS BANK
SECURITY 02475L105 MEETING TYPE Annual
TICKER SYMBOL AMBZ MEETING DATE 17-Apr-2012
ISIN US02475L1052 AGENDA 933562488 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DONALD P. JOHNSON For For
2 TRENT D. MERRILL For For
3 RAYMOND V. O'BRIEN, III For For
4 ROBERT F. SCHACK For For
5 WESLEY E. SCHAEFER For For
6 JON H. SCHLOBOHM For For
7 D. VAN DIEST SKILLING For For
8 ROBERT I. USDAN For For
9 LEON BLANKSTEIN For For
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 18,920 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
PINNACLE FINANCIAL PARTNERS, INC.
SECURITY 72346Q104 MEETING TYPE Annual
TICKER SYMBOL PNFP MEETING DATE 17-Apr-2012
ISIN US72346Q1040 AGENDA 933566068 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 COLLEEN CONWAY-WELCH Withheld Against
2 HAL N. PENNINGTON Withheld Against
3 ED C. LOUGHRY, JR. Withheld Against
4 M. TERRY TURNER Withheld Against
2. Amend Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 16,460 28-Mar-2012 28-Mar-2012
HARRIMAN & CO.
PROSPERITY BANCSHARES, INC.
SECURITY 743606105 MEETING TYPE Annual
TICKER SYMBOL PB MEETING DATE 17-Apr-2012
ISIN US7436061052 AGENDA 933567743 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES A. BOULIGNY Withheld Against
2 ROBERT STEELHAMMER Withheld Against
3 H.E. TIMANUS, JR. Withheld Against
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 16,870 28-Mar-2012 28-Mar-2012
HARRIMAN & CO.
THE FIRST OF LONG ISLAND CORPORATION
SECURITY 320734106 MEETING TYPE Annual
TICKER SYMBOL FLIC MEETING DATE 17-Apr-2012
ISIN US3207341062 AGENDA 933571540 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ALLEN E. BUSCHING Withheld Against
2 PAUL T. CANARICK Withheld Against
3 ALEXANDER L. COVER Withheld Against
4 J. DOUGLAS MAXWELL JR. Withheld Against
5 STEPHEN V. MURPHY Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 30,190 02-Apr-2012 02-Apr-2012
HARRIMAN & CO.
HOME BANCSHARES, INC.
SECURITY 436893200 MEETING TYPE Annual
TICKER SYMBOL HOMB MEETING DATE 19-Apr-2012
ISIN US4368932004 AGENDA 933561537 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN W. ALLISON For For
2 C. RANDALL SIMS For For
3 RANDY E. MAYOR For For
4 MILBURN ADAMS For For
5 ROBERT H. ADCOCK, JR. For For
6 RICHARD H. ASHLEY For For
7 DALE A. BRUNS For For
8 RICHARD A. BUCKHEIM For For
9 JACK E. ENGELKES For For
10 JAMES G. HINKLE For For
11 ALEX R. LIEBLONG For For
12 WILLIAM G. THOMPSON For For
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Management 1 Year For
Frequency
4. Amend Stock Compensation Plan Management For For
5. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 6,100 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
CARDINAL FINANCIAL CORPORATION
SECURITY 14149F109 MEETING TYPE Annual
TICKER SYMBOL CFNL MEETING DATE 20-Apr-2012
ISIN US14149F1093 AGENDA 933576184 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 STEVEN M. WILTSE* For For
2 BERNARD H. CLINEBURG# For For
3 MICHAEL A. GARCIA# For For
4 J. HAMILTON LAMBERT# For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 60,020 09-Apr-2012 09-Apr-2012
HARRIMAN & CO.
FIRST CITIZENS BANCSHARES, INC.
SECURITY 31946M103 MEETING TYPE Annual
TICKER SYMBOL FCNCA MEETING DATE 23-Apr-2012
ISIN US31946M1036 AGENDA 933567337 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN M. ALEXANDER, JR. For For
2 CARMEN HOLDING AMES For For
3 VICTOR E. BELL III For For
4 HOPE HOLDING CONNELL For For
5 HUBERT M. CRAIG III For For
6 H. LEE DURHAM, JR. For For
7 DANIEL L. HEAVNER For For
8 FRANK B. HOLDING For For
9 FRANK B. HOLDING, JR. For For
10 LUCIUS S. JONES For For
11 ROBERT E. MASON IV For For
12 ROBERT T. NEWCOMB For For
13 JAMES M. PARKER For For
14 RALPH K. SHELTON For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. S/H Proposal - Adopt Cumulative Shareholder Against For
Voting
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 3,371 28-Mar-2012 28-Mar-2012
HARRIMAN & CO.
FIRST FINANCIAL BANKSHARES, INC.
SECURITY 32020R109 MEETING TYPE Annual
TICKER SYMBOL FFIN MEETING DATE 24-Apr-2012
ISIN US32020R1095 AGENDA 933559847 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 STEVEN L. BEAL For For
2 TUCKER S. BRIDWELL For For
3 JOSEPH E. CANON For For
4 DAVID COPELAND For For
5 F. SCOTT DUESER For For
6 MURRAY EDWARDS For For
7 RON GIDDIENS For For
8 KADE L. MATTHEWS For For
9 JOHNNY E. TROTTER For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Approve Stock Compensation Plan Management For For
5. Authorize Common Stock Increase Management Against Against
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 21,150 19-Mar-2012 19-Mar-2012
HARRIMAN & CO.
FIRST COMMUNITY BANCSHARES, INC.
SECURITY 31983A103 MEETING TYPE Annual
TICKER SYMBOL FCBC MEETING DATE 24-Apr-2012
ISIN US31983A1034 AGENDA 933560410 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 I. NORRIS KANTOR For For
2 WILLIAM P. STAFFORD, II For For
2. Ratify Appointment of Independent Management For For
Auditors
3. Adopt Omnibus Stock Option Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 6,140 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
CHEVIOT FINANCIAL CORP.
SECURITY 16677X105 MEETING TYPE Annual
TICKER SYMBOL CHEV MEETING DATE 24-Apr-2012
ISIN US16677X1054 AGENDA 933561690 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 STEVEN R. HAUSFELD For For
2 THOMAS J. LINNEMAN For For
02 Ratify Appointment of Independent Management Against Against
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 30,000 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
UMB FINANCIAL CORPORATION
SECURITY 902788108 MEETING TYPE Annual
TICKER SYMBOL UMBF MEETING DATE 24-Apr-2012
ISIN US9027881088 AGENDA 933561830 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 NANCY K. BUESE For For
2 J. MARINER KEMPER For For
3 THOMAS D. SANDERS For For
4 L. JOSHUA SOSLAND For For
2 Ratify Appointment of Independent Management For For
Auditors
3 S/H Proposal - Proxy Shareholder For Against
Process/Statement
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 4,760 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
WESTERN ALLIANCE BANCORPORATION
SECURITY 957638109 MEETING TYPE Annual
TICKER SYMBOL WAL MEETING DATE 24-Apr-2012
ISIN US9576381092 AGENDA 933570598 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 BRUCE BEACH Withheld Against
2 WILLIAM S. BOYD Withheld Against
3 STEVEN J. HILTON Withheld Against
4 MARIANNE BOYD JOHNSON Withheld Against
5 KENNETH A. VECCHIONE Withheld Against
2 Amend Stock Compensation Plan Management Against Against
3 14A Executive Compensation Management Against Against
4 14A Executive Compensation Vote Management 1 Year For
Frequency
5 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 58,387 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
SCBT FINANCIAL CORPORATION
SECURITY 78401V102 MEETING TYPE Annual
TICKER SYMBOL SCBT MEETING DATE 24-Apr-2012
ISIN US78401V1026 AGENDA 933575346 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 M. OSWALD FOGLE Withheld Against
2 HERBERT G. GRAY Withheld Against
3 CYNTHIA A. HARTLEY Withheld Against
4 THOMAS E. SUGGS Withheld Against
5 KEVIN P. WALKER Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. Adopt Omnibus Stock Option Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 12,740 18-Apr-2012 18-Apr-2012
HARRIMAN & CO.
SIGNATURE BANK
SECURITY 82669G104 MEETING TYPE Annual
TICKER SYMBOL SBNY MEETING DATE 25-Apr-2012
ISIN US82669G1040 AGENDA 933558679 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 KATHRYN A. BYRNE For For
2 ALFONSE M. D'AMATO For For
3 JEFFREY W. MESHEL For For
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 25,229 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
CITIZENS REPUBLIC BANCORP, INC.
SECURITY 174420307 MEETING TYPE Annual
TICKER SYMBOL CRBC MEETING DATE 25-Apr-2012
ISIN US1744203076 AGENDA 933562678 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 LIZABETH A. ARDISANA For For
2 GEORGE J. BUTVILAS For For
3 ROBERT S. CUBBIN For For
4 GARY J. HURAND For For
5 BENJAMIN W. LAIRD For For
6 STEPHEN J. LAZAROFF For For
7 CATHLEEN H. NASH For For
8 KENDALL B. WILLIAMS For For
9 JAMES L. WOLOHAN For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 7,720 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
ORIENTAL FINANCIAL GROUP INC.
SECURITY 68618W100 MEETING TYPE Annual
TICKER SYMBOL OFG MEETING DATE 25-Apr-2012
ISIN PR68618W1001 AGENDA 933562743 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JULIAN S. INCLAN Withheld Against
2 PEDRO MORAZZANI Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 14,500 28-Mar-2012 28-Mar-2012
HARRIMAN & CO.
VIRGINIA COMMERCE BANCORP, INC.
SECURITY 92778Q109 MEETING TYPE Annual
TICKER SYMBOL VCBI MEETING DATE 25-Apr-2012
ISIN US92778Q1094 AGENDA 933571792 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LEONARD ADLER For For
2 MICHAEL G. ANZILOTTI For For
3 THOMAS E. BURDETTE For For
4 PETER A. CONVERSE For For
5 W. DOUGLAS FISHER For For
6 DAVID M. GUERNSEY For For
7 KENNETH R. LEHMAN For For
8 NORRIS E. MITCHELL For For
9 TODD A. STOTTLEMYER For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 10,930 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
S.Y. BANCORP, INC.
SECURITY 785060104 MEETING TYPE Annual
TICKER SYMBOL SYBT MEETING DATE 25-Apr-2012
ISIN US7850601045 AGENDA 933573176 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1) Fix Number of Directors Management For For
2) Election of Directors Management
1 DAVID H. BROOKS For For
2 CHARLES R. EDINGER, III For For
3 DAVID P. HEINTZMAN For For
4 CARL G. HERDE For For
5 JAMES A. HILLEBRAND For For
6 RICHARD A. LECHLEITER For For
7 BRUCE P. MADISON For For
8 RICHARD NORTHERN For For
9 NICHOLAS X. SIMON For For
10 NORMAN TASMAN For For
11 KATHY C. THOMPSON For For
3) Ratify Appointment of Independent Management For For
Auditors
4) 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 4,260 10-Apr-2012 10-Apr-2012
HARRIMAN & CO.
GLACIER BANCORP, INC.
SECURITY 37637Q105 MEETING TYPE Annual
TICKER SYMBOL GBCI MEETING DATE 25-Apr-2012
ISIN US37637Q1058 AGENDA 933577073 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL J. BLODNICK For For
2 SHERRY L. CLADOUHOS For For
3 JAMES M. ENGLISH For For
4 ALLEN J. FETSCHER For For
5 DALLAS I. HERRON For For
6 CRAIG A. LANGEL For For
7 L. PETER LARSON For For
8 DOUGLAS J. MCBRIDE For For
9 JOHN W. MURDOCH For For
10 EVERIT A. SLITER For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 11,480 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
SVB FINANCIAL GROUP
SECURITY 78486Q101 MEETING TYPE Annual
TICKER SYMBOL SIVB MEETING DATE 26-Apr-2012
ISIN US78486Q1013 AGENDA 933562248 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GREG W. BECKER For For
2 ERIC A. BENHAMOU For For
3 DAVID M. CLAPPER For For
4 ROGER F. DUNBAR For For
5 JOEL P. FRIEDMAN For For
6 C. RICHARD KRAMLICH For For
7 LATA KRISHNAN For For
8 JEFFREY N. MAGGIONCALDA For For
9 KATE D. MITCHELL For For
10 JOHN F. ROBINSON For For
11 GAREN K. STAGLIN For For
12 KYUNG H. YOON For For
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
5. Transact Other Business Management
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 11,858 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
FARMERS NATIONAL BANC CORP.
SECURITY 309627107 MEETING TYPE Annual
TICKER SYMBOL FMNB MEETING DATE 26-Apr-2012
ISIN US3096271073 AGENDA 933570346 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LANCE J. CIROLI Withheld Against
2 DAVID Z. PAULL Withheld Against
3 ANNE F. CRAWFORD Withheld Against
2. Eliminate Pre-Emptive Rights Management For For
3. 14A Executive Compensation Management For For
4. Approve Stock Compensation Plan Management For For
5. Ratify Appointment of Independent Management For For
Auditors
6. Approve Motion to Adjourn Meeting Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 74,530 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
EVANS BANCORP, INC.
SECURITY 29911Q208 MEETING TYPE Annual
TICKER SYMBOL EVBN MEETING DATE 26-Apr-2012
ISIN US29911Q2084 AGENDA 933575029 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT G. MILLER, JR. Withheld Against
2 JOHN R. O'BRIEN Withheld Against
3 MICHAEL J. ROGERS Withheld Against
2. Amend Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 14,050 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
NBT BANCORP INC.
SECURITY 628778102 MEETING TYPE Annual
TICKER SYMBOL NBTB MEETING DATE 01-May-2012
ISIN US6287781024 AGENDA 933582492 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Fix Number of Directors Management For For
2. Election of Directors Management
1 MARTIN A. DIETRICH Withheld Against
2 JOHN C. MITCHELL Withheld Against
3 MICHAEL M. MURPHY Withheld Against
4 JOSEPH G. NASSER Withheld Against
3. Authorize Common Stock Increase Management Against Against
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 6,320 10-Apr-2012 10-Apr-2012
HARRIMAN & CO.
ORRSTOWN FINANCIAL SERVICES, INC.
SECURITY 687380105 MEETING TYPE Annual
TICKER SYMBOL ORRF MEETING DATE 01-May-2012
ISIN US6873801053 AGENDA 933591794 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANTHONY F. CEDDIA Withheld Against
2 ANDREA PUGH Withheld Against
3 FLOYD E. STONER Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. S/H Proposal - Proxy Shareholder For Against
Process/Statement
5. Transact Other Business Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 10,492 11-Apr-2012 11-Apr-2012
HARRIMAN & CO.
HERITAGE FINANCIAL CORPORATION
SECURITY 42722X106 MEETING TYPE Annual
TICKER SYMBOL HFWA MEETING DATE 02-May-2012
ISIN US42722X1063 AGENDA 933565129 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GARY B. CHRISTENSEN Withheld Against
2 JOHN A. CLEES Withheld Against
3 KIMBERLY T. ELLWANGER Withheld Against
4 PHILIP S. WEIGAND Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 25,050 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
SANDY SPRING BANCORP, INC.
SECURITY 800363103 MEETING TYPE Annual
TICKER SYMBOL SASR MEETING DATE 02-May-2012
ISIN US8003631038 AGENDA 933579863 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 SUSAN D. GOFF Withheld Against
2 ROBERT L. ORNDORFF Withheld Against
3 DANIEL J. SCHRIDER Withheld Against
4 GARY G. NAKAMOTO Withheld Against
5 ROBERT E. HENEL, JR. Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 10,943 09-Apr-2012 09-Apr-2012
HARRIMAN & CO.
BRYN MAWR BANK CORPORATION
SECURITY 117665109 MEETING TYPE Annual
TICKER SYMBOL BMTC MEETING DATE 02-May-2012
ISIN US1176651099 AGENDA 933585121 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANDREA F. GILBERT Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 12,180 10-Apr-2012 10-Apr-2012
HARRIMAN & CO.
TOWER GROUP, INC.
SECURITY 891777104 MEETING TYPE Annual
TICKER SYMBOL TWGP MEETING DATE 03-May-2012
ISIN US8917771045 AGENDA 933568555 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 JAN R. VAN GORDER Withheld Against
2 AUSTIN P. YOUNG, III Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 12,090 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
HORIZON BANCORP
SECURITY 440407104 MEETING TYPE Annual
TICKER SYMBOL HBNC MEETING DATE 03-May-2012
ISIN US4404071049 AGENDA 933570144 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 LAWRENCE E. BURNELL Withheld Against
2 ROBERT C. DABAGIA Withheld Against
3 PETER L. PAIRITZ Withheld Against
4 SPERO W. VALAVANIS Withheld Against
2 14A Executive Compensation Management For For
3 14A Executive Compensation Vote Management 1 Year For
Frequency
4 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 45,399 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
AXIS CAPITAL HOLDINGS LIMITED
SECURITY G0692U109 MEETING TYPE Annual
TICKER SYMBOL AXS MEETING DATE 03-May-2012
ISIN BMG0692U1099 AGENDA 933571502 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL A. BUTT Withheld Against
2 JOHN R. CHARMAN Withheld Against
3 CHARLES A. DAVIS Withheld Against
4 SIR ANDREW LARGE Withheld Against
2. 14A Executive Compensation Management For For
3. Amend Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 6,840 02-Apr-2012 02-Apr-2012
HARRIMAN & CO.
AMERICAN CAMPUS COMMUNITIES, INC.
SECURITY 024835100 MEETING TYPE Annual
TICKER SYMBOL ACC MEETING DATE 03-May-2012
ISIN US0248351001 AGENDA 933577706 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 WILLIAM C. BAYLESS JR. For For
2 R.D. BURCK For For
3 G. STEVEN DAWSON For For
4 CYDNEY C. DONNELL For For
5 EDWARD LOWENTHAL For For
6 WINSTON W. WALKER For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 13,090 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
WASHINGTON BANKING COMPANY
SECURITY 937303105 MEETING TYPE Annual
TICKER SYMBOL WBCO MEETING DATE 03-May-2012
ISIN US9373031056 AGENDA 933591578 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MARK D. CRAWFORD For For
2 JAY T. LIEN For For
3 GRAGG E. MILLER For For
4 ANTHONY B. PICKERING For For
5 ROBERT T. SEVERNS For For
6 JOHN L. WAGNER For For
7 EDWARD J. WALLGREN For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 28,463 23-Apr-2012 23-Apr-2012
HARRIMAN & CO.
SUSQUEHANNA BANCSHARES, INC.
SECURITY 869099101 MEETING TYPE Annual
TICKER SYMBOL SUSQ MEETING DATE 04-May-2012
ISIN US8690991018 AGENDA 933566121 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANTHONY J. AGNONE, SR. For For
2 WAYNE E. ALTER, JR. For For
3 EDDIE L. DUNKLEBARGER For For
4 HENRY R. GIBBEL For For
5 BRUCE A. HEPBURN For For
6 DONALD L. HOFFMAN For For
7 SARA G. KIRKLAND For For
8 JEFFREY F. LEHMAN For For
9 MICHAEL A. MORELLO For For
10 SCOTT J. NEWKAM For For
11 ROBERT E. POOLE, JR. For For
12 WILLIAM J. REUTER For For
13 ANDREW S. SAMUEL For For
14 CHRISTINE SEARS For For
15 JAMES A. ULSH For For
16 ROBERT W. WHITE For For
17 ROGER V. WIEST, SR. For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 25,276 23-Apr-2012 23-Apr-2012
HARRIMAN & CO.
BRIDGE BANCORP, INC.
SECURITY 108035106 MEETING TYPE Annual
TICKER SYMBOL BDGE MEETING DATE 04-May-2012
ISIN US1080351067 AGENDA 933584751 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DENNIS A. SUSKIND Withheld Against
2 ANTONIA M. DONOHUE Withheld Against
3 ALBERT E. MCCOY, JR. Withheld Against
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 3,500 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
THE BANCORP, INC.
SECURITY 05969A105 MEETING TYPE Annual
TICKER SYMBOL TBBK MEETING DATE 07-May-2012
ISIN US05969A1051 AGENDA 933573126 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1.A Election of Directors (Majority Management For For
Voting)
1.B Election of Directors (Majority Management For For
Voting)
1.C Election of Directors (Majority Management For For
Voting)
1.D Election of Directors (Majority Management For For
Voting)
1.E Election of Directors (Majority Management For For
Voting)
1.F Election of Directors (Majority Management For For
Voting)
1.G Election of Directors (Majority Management For For
Voting)
1.H Election of Directors (Majority Management For For
Voting)
1.I Election of Directors (Majority Management For For
Voting)
1.J Election of Directors (Majority Management For For
Voting)
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 36,630 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
GUARANTY BANCORP
SECURITY 40075T102 MEETING TYPE Annual
TICKER SYMBOL GBNK MEETING DATE 08-May-2012
ISIN US40075T1025 AGENDA 933582973 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1.1 Election of Directors (Majority Management For For
Voting)
1.2 Election of Directors (Majority Management For For
Voting)
1.3 Election of Directors (Majority Management For For
Voting)
1.4 Election of Directors (Majority Management For For
Voting)
1.5 Election of Directors (Majority Management For For
Voting)
1.6 Election of Directors (Majority Management For For
Voting)
1.7 Election of Directors (Majority Management For For
Voting)
1.8 Election of Directors (Majority Management For For
Voting)
1.9 Election of Directors (Majority Management For For
Voting)
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 50,660 09-Apr-2012 09-Apr-2012
HARRIMAN & CO.
CAROLINA TRUST BANK
SECURITY 144200102 MEETING TYPE Annual
TICKER SYMBOL CART MEETING DATE 08-May-2012
ISIN US1442001020 AGENDA 933602612 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GEORGE W. BROOKINS Withheld Against
2 SCOTT C. DAVIS Withheld Against
3 JOHN MICHAEL CLINE Withheld Against
4 PAMELA C. HUSKEY Withheld Against
5 JOHNATHAN L. RHYNE, JR Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 40,000 23-Apr-2012 23-Apr-2012
FINANCIAL INSTITUTIONS, INC.
SECURITY 317585404 MEETING TYPE Annual
TICKER SYMBOL FISI MEETING DATE 09-May-2012
ISIN US3175854047 AGENDA 933581325 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 KARL V. ANDERSON, JR. Withheld Against
2 ERLAND E. KAILBOURNE Withheld Against
3 ROBERT N. LATELLA Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 18,400 09-Apr-2012 09-Apr-2012
HARRIMAN & CO.
OLD NATIONAL BANCORP
SECURITY 680033107 MEETING TYPE Annual
TICKER SYMBOL ONB MEETING DATE 10-May-2012
ISIN US6800331075 AGENDA 933571778 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1) Election of Directors Management
1 ALAN W. BRAUN For For
2 LARRY E. DUNIGAN For For
3 NIEL C. ELLERBROOK For For
4 ANDREW E. GOEBEL For For
5 ROBERT G. JONES For For
6 PHELPS L. LAMBERT For For
7 ARTHUR H. MCELWEE, JR. For For
8 JAMES T. MORRIS For For
9 MARJORIE Z. SOYUGENC For For
10 KELLY N. STANLEY For For
11 LINDA E. WHITE For For
2) Amend Stock Compensation Plan Management For For
3) 14A Executive Compensation Management For For
4) Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 19,950 09-Apr-2012 09-Apr-2012
HARRIMAN & CO.
BERKSHIRE HILLS BANCORP, INC.
SECURITY 084680107 MEETING TYPE Annual
TICKER SYMBOL BHLB MEETING DATE 10-May-2012
ISIN US0846801076 AGENDA 933582721 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LAWRENCE A. BOSSIDY Withheld Against
2 ROBERT M. CURLEY Withheld Against
3 BARTON D. RASER Withheld Against
4 D. JEFFREY TEMPLETON Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 6,810 09-Apr-2012 09-Apr-2012
HARRIMAN & CO.
HOPFED BANCORP, INC.
SECURITY 439734104 MEETING TYPE Annual
TICKER SYMBOL HFBC MEETING DATE 16-May-2012
ISIN US4397341045 AGENDA 933607547 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
I Election of Directors Management
1 TED S. KINSEY Withheld Against
2 JOHN E. PECK Withheld Against
II Ratify Appointment of Independent Management For For
Auditors
III 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 16,003 30-Apr-2012 30-Apr-2012
IBERIABANK CORPORATION
SECURITY 450828108 MEETING TYPE Annual
TICKER SYMBOL IBKC MEETING DATE 16-May-2012
ISIN US4508281080 AGENDA 933608993 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ERNEST P. BREAUX, JR. Withheld Against
2 JOHN N. CASBON Withheld Against
3 DARYL G. BYRD Withheld Against
4 JOHN E. KOERNER III Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 9,404 30-Apr-2012 30-Apr-2012
MEADOWBROOK INSURANCE GROUP, INC.
SECURITY 58319P108 MEETING TYPE Annual
TICKER SYMBOL MIG MEETING DATE 17-May-2012
ISIN US58319P1084 AGENDA 933609212 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT S. CUBBIN Withheld Against
2 ROBERT F. FIX Withheld Against
3 HUGH W. GREENBERG Withheld Against
4 FLORINE MARK Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 40,823 25-Apr-2012 25-Apr-2012
SOUTHERN NATIONAL BANCORP OF VA, INC.
SECURITY 843395104 MEETING TYPE Annual
TICKER SYMBOL SONA MEETING DATE 17-May-2012
ISIN US8433951048 AGENDA 933616584 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GEORGIA S. DERRICO Withheld Against
2 CHARLES A. KABBASH Withheld Against
3 W. BRUCE JENNINGS Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 31,188 01-May-2012 01-May-2012
FIRST FINANCIAL BANCORP.
SECURITY 320209109 MEETING TYPE Annual
TICKER SYMBOL FFBC MEETING DATE 22-May-2012
ISIN US3202091092 AGENDA 933606418 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DAVID S. BARKER For For
2 CYNTHIA O. BOOTH For For
3 MARK A. COLLAR For For
4 CLAUDE E. DAVIS For For
5 MURPH KNAPKE For For
6 SUSAN L. KNUST For For
7 WILLIAM J. KRAMER For For
8 MARIBETH S. RAHE For For
2. Approve Stock Compensation Plan Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Management For For
Auditors
5. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 28,866 23-Apr-2012 23-Apr-2012
INVESTORS BANCORP, INC.
SECURITY 46146P102 MEETING TYPE Annual
TICKER SYMBOL ISBC MEETING DATE 22-May-2012
ISIN US46146P1021 AGENDA 933611231 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT M. CASHILL Withheld Against
2 BRIAN D. DITTENHAFER Withheld Against
3 KEVIN CUMMINGS Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 28,473 25-Apr-2012 25-Apr-2012
WHITESTONE REIT
SECURITY 966084204 MEETING TYPE Annual
TICKER SYMBOL WSR MEETING DATE 22-May-2012
ISIN US9660842041 AGENDA 933613223 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JACK L. MAHAFFEY Withheld Against
2 JAMES C. MASTANDREA Withheld Against
2. Approve Reclassification of Common Management For For
Stock
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 50,000 30-Apr-2012 30-Apr-2012
EAST WEST BANCORP, INC.
SECURITY 27579R104 MEETING TYPE Annual
TICKER SYMBOL EWBC MEETING DATE 22-May-2012
ISIN US27579R1041 AGENDA 933616837 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 IRIS S. CHAN For For
2 RUDOLPH I. ESTRADA For For
3 JULIA S. GOUW For For
4 PAUL H. IRVING For For
5 ANDREW S. KANE For For
6 JOHN LEE For For
7 HERMAN Y. LI For For
8 JACK C. LIU For For
9 DOMINIC NG For For
10 KEITH W. RENKEN For For
2. Ratify Appointment of Independent Management For For
Auditors
3. Amend Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 27,440 30-Apr-2012 30-Apr-2012
MIDSOUTH BANCORP, INC.
SECURITY 598039105 MEETING TYPE Annual
TICKER SYMBOL MSL MEETING DATE 23-May-2012
ISIN US5980391057 AGENDA 933602268 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 C.R. CLOUTIER Withheld Against
2 J.B. HARGRODER, M.D. Withheld Against
3 TIMOTHY J. LEMOINE Withheld Against
4 WILLIAM M. SIMMONS Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 24,033 23-Apr-2012 23-Apr-2012
HARRIMAN & CO.
STATE BANK FINANCIAL CORPORATION
SECURITY 856190103 MEETING TYPE Annual
TICKER SYMBOL STBZ MEETING DATE 23-May-2012
ISIN US8561901039 AGENDA 933606230 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A. Election of Directors (Majority Management For For
Voting)
1B. Election of Directors (Majority Management For For
Voting)
1C. Election of Directors (Majority Management For For
Voting)
1D. Election of Directors (Majority Management For For
Voting)
1E. Election of Directors (Majority Management For For
Voting)
1F. Election of Directors (Majority Management For For
Voting)
1G. Election of Directors (Majority Management For For
Voting)
1H. Election of Directors (Majority Management For For
Voting)
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 8,750 23-Apr-2012 23-Apr-2012
TERRITORIAL BANCORP INC
SECURITY 88145X108 MEETING TYPE Annual
TICKER SYMBOL TBNK MEETING DATE 23-May-2012
ISIN US88145X1081 AGENDA 933609337 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ALLAN S. KITAGAWA Withheld Against
2 RICHARD I. MURAKAMI Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Approve Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 8,830 25-Apr-2012 25-Apr-2012
DIME COMMUNITY BANCSHARES, INC.
SECURITY 253922108 MEETING TYPE Annual
TICKER SYMBOL DCOM MEETING DATE 24-May-2012
ISIN US2539221083 AGENDA 933602701 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL P. DEVINE Withheld Against
2 ANTHONY BERGAMO Withheld Against
3 JOSEPH J. PERRY Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 19,800 25-Apr-2012 25-Apr-2012
MID-AMERICA APARTMENT COMMUNITIES, INC.
SECURITY 59522J103 MEETING TYPE Annual
TICKER SYMBOL MAA MEETING DATE 24-May-2012
ISIN US59522J1034 AGENDA 933605668 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 H. ERIC BOLTON, JR. For For
2 ALAN B. GRAF, JR. For For
3 JOHN S. GRINALDS For For
4 RALPH HORN For For
5 PHILIP W. NORWOOD For For
6 W. REID SANDERS For For
7 WILLIAM B. SANSOM For For
8 GARY SHORB For For
2. Authorize Common Stock Increase Management Against Against
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- --------- --------------- ------ ----------- ----------- -----------
6169684 6169684 BROWN BROTHERS 3,310 25-Apr-2012 25-Apr-2012
HARRIMAN & CO.
NATIONAL RETAIL PROPERTIES, INC.
SECURITY 637417106 MEETING TYPE Annual
TICKER SYMBOL NNN MEETING DATE 24-May-2012
ISIN US6374171063 AGENDA 933605719 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DON DEFOSSET For For
2 DAVID M. FICK For For
3 EDWARD J. FRITSCH For For
4 KEVIN B. HABICHT For For
5 RICHARD B. JENNINGS For For
6 TED B. LANIER For For
7 ROBERT C. LEGLER For For
8 CRAIG MACNAB For For
9 ROBERT MARTINEZ For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Authorize Common Stock Increase Management For For
5. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 10,670 30-Apr-2012 30-Apr-2012
HERSHA HOSPITALITY TRUST
SECURITY 427825104 MEETING TYPE Annual
TICKER SYMBOL HT MEETING DATE 24-May-2012
ISIN US4278251040 AGENDA 933610962 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A. Election of Directors (Majority Management Abstain Against
Voting)
1B. Election of Directors (Majority Management Abstain Against
Voting)
1C. Election of Directors (Majority Management Abstain Against
Voting)
1D. Election of Directors (Majority Management Abstain Against
Voting)
1E. Election of Directors (Majority Management Abstain Against
Voting)
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 21,255 30-Apr-2012 30-Apr-2012
WINTRUST FINANCIAL CORPORATION
SECURITY 97650W108 MEETING TYPE Annual
TICKER SYMBOL WTFC MEETING DATE 24-May-2012
ISIN US97650W1080 AGENDA 933627359 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 PETER D. CRIST For For
2 BRUCE K. CROWTHER For For
3 JOSEPH F. DAMICO For For
4 BERT A. GETZ, JR. For For
5 H. PATRICK HACKETT, JR. For For
6 SCOTT K. HEITMANN For For
7 CHARLES H. JAMES III For For
8 ALBIN F. MOSCHNER For For
9 THOMAS J. NEIS For For
10 CHRISTOPHER J. PERRY For For
11 INGRID S. STAFFORD For For
12 SHEILA G. TALTON For For
13 EDWARD J. WEHMER For For
2 Amend Employee Stock Purchase Plan Management For For
3 14A Executive Compensation Management For For
4 Authorize Common Stock Increase Management Against Against
5 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 18,020 23-May-2012 23-May-2012
PACIFIC PREMIER BANCORP, INC.
SECURITY 69478X105 MEETING TYPE Annual
TICKER SYMBOL PPBI MEETING DATE 30-May-2012
ISIN US69478X1054 AGENDA 933613324 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN D. GODDARD Withheld Against
2 JOSEPH L. GARRETT Withheld Against
2. Declassify Board Management For For
3. Miscellaneous Corporate Actions Management For For
4. Miscellaneous Corporate Actions Management For For
5. Approve Charter Amendment Management For For
6. Approve Charter Amendment Management For For
7. Authorize Common Stock Increase Management Against Against
8. 14A Executive Compensation Management For For
9. 14A Executive Compensation Vote Management 1 Year For
Frequency
10. Approve Stock Compensation Plan Management For For
11. Ratify Appointment of Independent Management For For
Auditors
12. Approve Motion to Adjourn Meeting Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 38,910 30-Apr-2012 30-Apr-2012
ENTERPRISE FINANCIAL SERVICES CORP
SECURITY 293712105 MEETING TYPE Annual
TICKER SYMBOL EFSC MEETING DATE 04-Jun-2012
ISIN US2937121059 AGENDA 933616027 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 PETER F. BENOIST For For
2 JAMES J. MURPHY, JR. For For
3 MICHAEL A. DECOLA For For
4 WILLIAM H. DOWNEY For For
5 JOHN S. EULICH For For
6 ROBERT E. GUEST, JR. For For
7 JUDITH S. HEETER For For
8 LEWIS A. LEVEY For For
9 BIRCH M. MULLINS For For
10 BRENDA D. NEWBERRY For For
11 JOHN M. TRACY For For
12 SANDRA A. VAN TREASE For For
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
4 Amend Stock Compensation Plan Management For For
5 Amend Stock Compensation Plan Management For For
6 Amend Cash/Stock Bonus Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 11,356 11-May-2012 11-May-2012
STIFEL FINANCIAL CORP.
SECURITY 860630102 MEETING TYPE Annual
TICKER SYMBOL SF MEETING DATE 06-Jun-2012
ISIN US8606301021 AGENDA 933619174 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 CHARLES A. DILL Withheld Against
2 RICHARD J. HIMELFARB Withheld Against
3 ALTON F. IRBY III Withheld Against
4 VICTOR J. NESI Withheld Against
5 JAMES M. ZEMLYAK Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. S/H Proposal - Proxy Shareholder For For
Process/Statement
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 5,431 02-May-2012 02-May-2012
WALKER & DUNLOP INC
SECURITY 93148P102 MEETING TYPE Annual
TICKER SYMBOL WD MEETING DATE 13-Jun-2012
ISIN US93148P1021 AGENDA 933631877 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ALAN BOWERS For For
2 MITCHELL GAYNOR For For
3 CYNTHIA HALLENBECK For For
4 JOHN RICE For For
5 DANA SCHMALTZ For For
6 HOWARD SMITH For For
7 EDMUND TAYLOR For For
8 WILLIAM WALKER For For
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 41,410 14-May-2012 14-May-2012
BANKRATE INC DEL
SECURITY 06647F102 MEETING TYPE Annual
TICKER SYMBOL RATE MEETING DATE 13-Jun-2012
ISIN US06647F1021 AGENDA 933639796 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BRUCE NELSON Withheld Against
2 RICHARD J. PINOLA Withheld Against
3 JAMES TIENG Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Management 1 Year Against
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 17,050 30-May-2012 30-May-2012
AFFILIATED MANAGERS GROUP, INC.
SECURITY 008252108 MEETING TYPE Annual
TICKER SYMBOL AMG MEETING DATE 18-Jun-2012
ISIN US0082521081 AGENDA 933622474 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A. Election of Directors (Majority Management For For
Voting)
1B. Election of Directors (Majority Management For For
Voting)
1C. Election of Directors (Majority Management For For
Voting)
1D. Election of Directors (Majority Management For For
Voting)
1E. Election of Directors (Majority Management For For
Voting)
1F. Election of Directors (Majority Management For For
Voting)
1G. Election of Directors (Majority Management For For
Voting)
1H. Election of Directors (Majority Management For For
Voting)
1I. Election of Directors (Majority Management For For
Voting)
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- ---------- --------------- ------ ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 4,580 11-May-2012 11-May-2012
With or
Meeting A brief identification of the matter Against
Company Ticker CUSIP Date voted on Proposed by Voted Vote Cast Management
------- ------ --------- -------- ------------------------------------- ----------- ----- --------- ----------
community bank systems cbu 203607106 05/09/12 vote for election of the nominees management yes withhold against
all
nominees
community bank systems cbu 203607106 05/09/12 advisory vote on executive management yes for with
compensation
community bank systems cbu 203607106 05/09/12 ratify the appointment of management yes for with
pricewaterhousecoopers llp as
independent audtior
eagle bancorp inc egbn 268948106 05/12/12 vote for election of the nominees management yes for all with
nominees
eagle bancorp inc egbn 268948106 05/12/12 proposal to approve the amendment to management yes for with
2006 stock plan to increase the
number of shares subject to the plan
eagle bancorp inc egbn 268948106 05/12/12 proposal to ratify the appointment management yes for with
of stegman & co as the company's
independent registered public
accounting firm
eagle bancorp inc egbn 268948106 05/12/12 non-binding advisory resolution management yes for with
approving the compensation of our
executive officers
eagle bancorp inc egbn 268948106 05/12/12 non-binding advisory vote on the management yes for with
frequency of advisory votes on the
compensation of executive officers
viewpoint financial group vpfg 92672a101 05/15/12 vote for the election of the nominees management yes withhold against
all
nominees
viewpoint financial group vpfg 92672a101 05/15/12 ratify the appointment of management yes for with
ernst&young as independent
registered public account firm
viewpoint financial group vpfg 92672a101 05/15/12 shareholder advisory vote as to the management yes for with
compensation of executives
viewpoint financial group vpfg 92672a101 05/15/12 approval of the viewpoint financial management yes for with
group incentive plan
amtrust financial services afsi 32359309 05/23/12 vote for election of the nominees management yes for with
amtrust financial services afsi 32359309 05/23/12 ratification of the appointment of management yes for with
bdo usa, llp and independent auditor
amtrust financial services afsi 32359309 05/23/12 approval of amendments to the 2010 management yes for with
omnibus incentive plan
first california group inc fcal 319395109 05/07/12 vote for election of the nominees management yes for with
first california group inc fcal 319395109 05/07/12 ratify the appointment of moss adams management yes for with
llp as the company's independent
registered public accounting firm
first california group inc fcal 319395109 05/07/12 approve a non-binding advisory management yes for with
proposal on the company's executive
compensation
independent bank corp indb 453836108 05/17/12 vote for election of the nominees management yes withhold against
all
nominees
independent bank corp indb 453836108 05/17/12 ratify the appointment of management yes for with
ernst&young as independent
registered public account firm
independent bank corp indb 453836108 05/17/12 approve on an adivory basis the management yes for with
compensation of our named executive
officers
tanger factory outlet skt 875465106 05/18/12 vote for election of the nominees management yes for with
tanger factory outlet skt 875465106 05/18/12 ratify the appointment of management yes for with
pricewaterhousecoopers llp as
independent audtior
tanger factory outlet skt 875465106 05/18/12 amend articles of incorporation to management yes for with
implement a majority vote standard
for uncontested elections of
directors
tanger factory outlet skt 875465106 05/18/12 approve on a non-binding basis named management yes for with
executive officer compensation
privatebancorp, inc pvtb 742962103 05/24/12 vote for election of the nominees management yes withhold against
all
nominees
privatebancorp, inc pvtb 742962103 05/24/12 proposal to ratify the selection of management yes for with
ernst & young llp as the company's
independent registered public
accounting firm
privatebancorp, inc pvtb 742962103 05/24/12 advisory non-binding vote to approve management yes for with
2011 executive compensation
EMERALD GROWTH FUND
Investment Company Report
FINISH LINE, INC.
SECURITY 317923100 MEETING TYPE Annual
TICKER SYMBOL FINL MEETING DATE 21-Jul-2011
ISIN US3179231002 AGENDA 933483353 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 GLENN S. LYON Withheld Against
2 DOLORES A. KUNDA Withheld Against
3 MARK S. LANDAU Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Management 1 Year Against
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 56,930 05-Jul-2011 05-Jul-2011
HARRIMAN & CO.
BLUEGREEN CORPORATION
SECURITY 096231105 MEETING TYPE Annual
TICKER SYMBOL BXG MEETING DATE 27-Jul-2011
ISIN US0962311058 AGENDA 933484189 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 ALAN B. LEVAN For For
2 JOHN E. ABDO For For
3 JAMES R. ALLMAND, III For For
4 LAWRENCE A. CIRILLO For For
5 MARK A. NERENHAUSEN For For
6 ORLANDO SHARPE For For
02 Amend Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------- ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 130,480 15-Jul-2011 15-Jul-2011
HARRIMAN & CO.
INTRALINKS HOLDINGS INC
SECURITY 46118H104 MEETING TYPE Annual
TICKER SYMBOL IL MEETING DATE 27-Jul-2011
ISIN US46118H1041 AGENDA 933484470 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ---------- --------- -----------
01 Election of Directors Management
1 THOMAS HALE Withheld Against
2 J. CHRIS SCALET Withheld Against
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Management 1 Year For
Frequency
04 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 52,555 06-Jul-2011 06-Jul-2011
HARRIMAN & CO.
TRIUMPH GROUP, INC.
SECURITY 896818101 MEETING TYPE Annual
TICKER SYMBOL TGI MEETING DATE 27-Jul-2011
ISIN US8968181011 AGENDA 933484519 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 PAUL BOURGON For For
2 ELMER L. DOTY For For
3 RALPH E. EBERHART For For
4 RICHARD C. GOZON For For
5 RICHARD C. ILL For For
6 CLAUDE F. KRONK For For
7 ADAM J. PALMER For For
8 JOSEPH M. SILVESTRI For For
9 GEORGE SIMPSON For For
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Management 1 Year For
Frequency
04 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 20,848 05-Jul-2011 05-Jul-2011
HARRIMAN & CO.
DEMANDTEC, INC.
SECURITY 24802R506 MEETING TYPE Annual
TICKER SYMBOL DMAN MEETING DATE 03-Aug-2011
ISIN US24802R5063 AGENDA 933483884 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors (Majority Management Abstain Against
Voting)
02 Election of Directors (Majority Management Abstain Against
Voting)
03 Ratify Appointment of Independent Management For For
Auditors
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------- ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 116,736 06-Jul-2011 06-Jul-2011
HARRIMAN & CO.
QUALITY SYSTEMS, INC.
SECURITY 747582104 MEETING TYPE Annual
TICKER SYMBOL QSII MEETING DATE 11-Aug-2011
ISIN US7475821044 AGENDA 933484204 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 CRAIG A. BARBAROSH For For
2 MURRAY F. BRENNAN, M.D. For For
3 GEORGE H. BRISTOL For For
4 PATRICK B. CLINE For For
5 AHMED D. HUSSEIN For For
6 D. RUSSELL PFLUEGER For For
7 STEVEN T. PLOCHOCKI For For
8 SHELDON RAZIN For For
9 MAUREEN A. SPIVACK For For
02 Approve Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Management For For
Auditors
04 14A Executive Compensation Management For For
05 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 9,980 06-Jul-2011 06-Jul-2011
HARRIMAN & CO.
THE FRESH MARKET, INC.
SECURITY 35804H106 MEETING TYPE Annual
TICKER SYMBOL TFM MEETING DATE 18-Aug-2011
ISIN US35804H1068 AGENDA 933489723 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ---------- --------- -----------
01 Election of Directors Management
1 RICHARD NOLL Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 19,161 22-Jul-2011 22-Jul-2011
HARRIMAN & CO.
ALKERMES, INC.
SECURITY 01642T108 MEETING TYPE Special
TICKER SYMBOL ALKS MEETING DATE 08-Sep-2011
ISIN US01642T1088 AGENDA 933496019 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Approve Merger Agreement Management For For
02 Miscellaneous Corporate Actions Management For For
03 Approve Motion to Adjourn Meeting Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 72,328 22-Aug-2011 22-Aug-2011
HARRIMAN & CO.
3D SYSTEMS CORPORATION
SECURITY 88554D205 MEETING TYPE Special
TICKER SYMBOL DDD MEETING DATE 07-Oct-2011
ISIN US88554D2053 AGENDA 933500969 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Authorize Common Stock Increase Management Against Against
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 89,277 19-Sep-2011 19-Sep-2011
HARRIMAN & CO.
ALLIED NEVADA GOLD CORP
SECURITY 019344100 MEETING TYPE Annual
TICKER SYMBOL ANV MEETING DATE 19-Oct-2011
ISIN US0193441005 AGENDA 933514817 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A Election of Directors (Majority Management For For
Voting)
1B Election of Directors (Majority Management For For
Voting)
1C Election of Directors (Majority Management For For
Voting)
1D Election of Directors (Majority Management For For
Voting)
1E Election of Directors (Majority Management For For
Voting)
1F Election of Directors (Majority Management For For
Voting)
1G Election of Directors (Majority Management For For
Voting)
1H Election of Directors (Majority Management For For
Voting)
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Management 1 Year Against
Frequency
04 Ratify Appointment of Independent Management For For
Auditors
05 Authorize Common Stock Increase Management Against Against
06 Adopt Stock Option Plan Management For For
07 Adopt Stock Option Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 40,868 19-Oct-2011 13-Oct-2011
HARRIMAN & CO.
APPLIED INDUSTRIAL TECHNOLOGIES, INC.
SECURITY 03820C105 MEETING TYPE Annual
TICKER SYMBOL AIT MEETING DATE 25-Oct-2011
ISIN US03820C1053 AGENDA 933505262 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 THOMAS A. COMMES Withheld Against
2 JOHN F. MEIER Withheld Against
3 PETER C. WALLACE Withheld Against
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Management 1 Year For
Frequency
04 Approve Stock Compensation Plan Management For For
05 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 25,700 19-Sep-2011 19-Sep-2011
HARRIMAN & CO.
DIAMOND FOODS, INC.
SECURITY 252603105 MEETING TYPE Special
TICKER SYMBOL DMND MEETING DATE 27-Oct-2011
ISIN US2526031057 AGENDA 933511241 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Stock Issuance Management For For
02 Authorize Common Stock Increase Management For For
03 Approve Motion to Adjourn Meeting Management For For
04 Adopt Employee Stock Purchase Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 22,148 10-Oct-2011 10-Oct-2011
HARRIMAN & CO.
II-VI INCORPORATED
SECURITY 902104108 MEETING TYPE Annual
TICKER SYMBOL IIVI MEETING DATE 04-Nov-2011
ISIN US9021041085 AGENDA 933508371 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 CARL J. JOHNSON* Withheld Against
2 THOMAS E. MISTLER* Withheld Against
3 JOSEPH J. CORASANTI* Withheld Against
4 HOWARD H. XIA** Withheld Against
03 Authorize Common Stock Increase Management Against Against
04 Amend Articles-Board Related Management For For
05 Approve Charter Amendment Management For For
06 14A Executive Compensation Management For For
07 14A Executive Compensation Vote Management 1 Year For
Frequency
08 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 85,100 03-Oct-2011 03-Oct-2011
HARRIMAN & CO.
SHORETEL, INC.
SECURITY 825211105 MEETING TYPE Annual
TICKER SYMBOL SHOR MEETING DATE 15-Nov-2011
ISIN US8252111054 AGENDA 933516164 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 PETER BLACKMORE Withheld Against
2 KENNETH D. DENMAN Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------- ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 142,845 02-Nov-2011 02-Nov-2011
HARRIMAN & CO.
FUSION-IO
SECURITY 36112J107 MEETING TYPE Annual
TICKER SYMBOL FIO MEETING DATE 18-Nov-2011
ISIN US36112J1079 AGENDA 933512750 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 CHRISTOPHER J. SCHAEPE Withheld Against
2 RICK C. WHITE Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 5,572 19-Oct-2011 19-Oct-2011
HARRIMAN & CO.
FINISAR CORPORATION
SECURITY 31787A507 MEETING TYPE Annual
TICKER SYMBOL FNSR MEETING DATE 28-Nov-2011
ISIN US31787A5074 AGENDA 933516190 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 EITAN GERTEL Withheld Against
2 THOMAS E. PARDUN Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 37,980 26-Oct-2011 26-Oct-2011
HARRIMAN & CO.
PAREXEL INTERNATIONAL CORPORATION
SECURITY 699462107 MEETING TYPE Annual
TICKER SYMBOL PRXL MEETING DATE 08-Dec-2011
ISIN US6994621075 AGENDA 933519766 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 PATRICK J. FORTUNE Withheld Against
2 ELLEN M. ZANE Withheld Against
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Management 1 Year For
Frequency
04 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 28,724 16-Nov-2011 16-Nov-2011
HARRIMAN & CO.
ALKERMES PLC
SECURITY G01767105 MEETING TYPE Special
TICKER SYMBOL ALKS MEETING DATE 08-Dec-2011
ISIN IE00B56GVS15 AGENDA 933524604 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Approve Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 74,666 16-Nov-2011 16-Nov-2011
HARRIMAN & CO.
JAZZ PHARMACEUTICALS, INC.
SECURITY 472147107 MEETING TYPE Special
TICKER SYMBOL JAZZ MEETING DATE 12-Dec-2011
ISIN US4721471070 AGENDA 933526432 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Approve Merger Agreement Management For For
02 14A Extraordinary Transaction Management For For
Executive Compensation
03 Approve Stock Compensation Plan Management For For
04 Adopt Employee Stock Purchase Plan Management For For
05 Miscellaneous Corporate Actions Management For For
06 Approve Motion to Adjourn Meeting Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 3,940 22-Nov-2011 22-Nov-2011
HARRIMAN & CO.
ARUBA NETWORKS, INC.
SECURITY 043176106 MEETING TYPE Annual
TICKER SYMBOL ARUN MEETING DATE 15-Dec-2011
ISIN US0431761065 AGENDA 933520531 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 DOMINIC P. ORR For For
2 KEERTI MELKOTE For For
3 BERNARD GUIDON For For
4 EMMANUEL HERNANDEZ For For
5 MICHAEL R. KOUREY For For
6 DOUGLAS LEONE For For
7 WILLEM P. ROELANDTS For For
8 JUERGEN ROTTLER For For
9 DANIEL WARMENHOVEN For For
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 55,468 16-Nov-2011 16-Nov-2011
HARRIMAN & CO.
AKORN, INC.
SECURITY 009728106 MEETING TYPE Special
TICKER SYMBOL AKRX MEETING DATE 29-Dec-2011
ISIN US0097281069 AGENDA 933536457 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Amend Stock Option Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------- ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 104,454 28-Dec-2011 28-Dec-2011
HARRIMAN & CO.
ROBBINS & MYERS, INC.
SECURITY 770196103 MEETING TYPE Annual
TICKER SYMBOL RBN MEETING DATE 05-Jan-2012
ISIN US7701961036 AGENDA 933534415 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 RICHARD J. GIROMINI Withheld Against
2 STEPHEN F. KIRK Withheld Against
3 PETER C. WALLACE Withheld Against
02 Amend Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Management For For
Auditors
04 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 24,314 04-Jan-2012 04-Jan-2012
HARRIMAN & CO.
LINDSAY CORPORATION
SECURITY 535555106 MEETING TYPE Annual
TICKER SYMBOL LNN MEETING DATE 30-Jan-2012
ISIN US5355551061 AGENDA 933539958 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 RICHARD W. PAROD Withheld Against
2 MICHAEL D. WALTER Withheld Against
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 8,740 18-Jan-2012 18-Jan-2012
HARRIMAN & CO.
MICROSEMI CORPORATION
SECURITY 595137100 MEETING TYPE Annual
TICKER SYMBOL MSCC MEETING DATE 31-Jan-2012
ISIN US5951371005 AGENDA 933537435 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 JAMES J. PETERSON For For
2 DENNIS R. LEIBEL For For
3 THOMAS R. ANDERSON For For
4 WILLIAM E. BENDUSH For For
5 WILLIAM L. HEALEY For For
6 PAUL F. FOLINO For For
7 MATTHEW E. MASSENGILL For For
02 14A Executive Compensation Management For For
03 14A Executive Compensation Vote Management 1 Year For
Frequency
04 Amend Stock Compensation Plan Management For For
05 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 47,155 04-Jan-2012 04-Jan-2012
HARRIMAN & CO.
MWI VETERINARY SUPPLY, INC.
SECURITY 55402X105 MEETING TYPE Annual
TICKER SYMBOL MWIV MEETING DATE 08-Feb-2012
ISIN US55402X1054 AGENDA 933536863 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 KEITH E. ALESSI For For
2 BRUCE C. BRUCKMANN For For
3 JAMES F. CLEARY, JR. For For
4 JOHN F. MCNAMARA For For
5 A. CRAIG OLSON For For
6 ROBERT N. REBHOLTZ, JR. For For
7 WILLIAM J. ROBISON For For
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 39,747 04-Jan-2012 04-Jan-2012
HARRIMAN & CO.
ZOLL MEDICAL CORPORATION
SECURITY 989922109 MEETING TYPE Annual
TICKER SYMBOL ZOLL MEETING DATE 09-Feb-2012
ISIN US9899221090 AGENDA 933538665 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 RICHARD A. PACKER Withheld Against
2 ROBERT J. HALLIDAY Withheld Against
02 14A Executive Compensation Management For For
03 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 15,120 04-Jan-2012 04-Jan-2012
HARRIMAN & CO.
MITEK SYSTEMS, INC.
SECURITY 606710200 MEETING TYPE Annual
TICKER SYMBOL MITK MEETING DATE 22-Feb-2012
ISIN US6067102003 AGENDA 933545406 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 JOHN M. THORNTON For For
2 JAMES B. DEBELLO For For
3 GERALD I. FARMER, PH.D. For For
4 VINTON P. CUNNINGHAM For For
5 SALLY B. THORNTON For For
6 WILLIAM P. TUDOR For For
7 ALEX W. 'PETE' HART For For
02 Approve Stock Compensation Plan Management For For
03 Ratify Appointment of Independent Management For For
Auditors
04 Transact Other Business Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 40,094 01-Feb-2012 01-Feb-2012
HARRIMAN & CO.
SIRONA DENTAL SYSTEMS, INC.
SECURITY 82966C103 MEETING TYPE Annual
TICKER SYMBOL SIRO MEETING DATE 23-Feb-2012
ISIN US82966C1036 AGENDA 933545165 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 DAVID K. BEECKEN For For
2 JOST FISCHER For For
3 ARTHUR D. KOWALOFF For For
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 8,520 12-Feb-2012 12-Feb-2012
HARRIMAN & CO.
SHUFFLE MASTER, INC.
SECURITY 825549108 MEETING TYPE Annual
TICKER SYMBOL SHFL MEETING DATE 15-Mar-2012
ISIN US8255491081 AGENDA 933547765 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GARRY W. SAUNDERS For For
2 JOHN R. BAILEY For For
3 DANIEL M. WADE For For
4 EILEEN F. RANEY For For
5 A. RANDALL THOMAN For For
6 MICHAEL GAVIN ISAACS For For
7 DAVID B. LOPEZ For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------- ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 132,147 13-Feb-2012 13-Feb-2012
HARRIMAN & CO.
BANK OF THE OZARKS, INC.
SECURITY 063904106 MEETING TYPE Annual
TICKER SYMBOL OZRK MEETING DATE 17-Apr-2012
ISIN US0639041062 AGENDA 933556031 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GEORGE GLEASON For For
2 MARK ROSS For For
3 JEAN AREHART For For
4 NICHOLAS BROWN For For
5 RICHARD CISNE For For
6 ROBERT EAST For For
7 LINDA GLEASON For For
8 HENRY MARIANI For For
9 ROBERT PROOST For For
10 R.L. QUALLS For For
11 JOHN REYNOLDS For For
12 KENNITH SMITH For For
13 SHERECE WEST For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 38,090 19-Mar-2012 19-Mar-2012
HARRIMAN & CO.
GNC HOLDINGS INC.
SECURITY 36191G107 MEETING TYPE Annual
TICKER SYMBOL GNC MEETING DATE 19-Apr-2012
ISIN US36191G1076 AGENDA 933558112 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANDREW CLAERHOUT Withheld Against
2 DAVID B. KAPLAN Withheld Against
3 AMY B. LANE Withheld Against
4 RICHARD J. WALLACE Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 46,603 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
SIGNATURE BANK
SECURITY 82669G104 MEETING TYPE Annual
TICKER SYMBOL SBNY MEETING DATE 25-Apr-2012
ISIN US82669G1040 AGENDA 933558679 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 KATHRYN A. BYRNE For For
2 ALFONSE M. D'AMATO For For
3 JEFFREY W. MESHEL For For
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 22,915 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
TENNANT COMPANY
SECURITY 880345103 MEETING TYPE Annual
TICKER SYMBOL TNC MEETING DATE 25-Apr-2012
ISIN US8803451033 AGENDA 933562197 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JEFFREY A. BALAGNA Withheld Against
2 STEVEN A. SONNENBERG Withheld Against
3 DAVID S. WICHMANN Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Amend Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 33,638 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
SVB FINANCIAL GROUP
SECURITY 78486Q101 MEETING TYPE Annual
TICKER SYMBOL SIVB MEETING DATE 26-Apr-2012
ISIN US78486Q1013 AGENDA 933562248 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GREG W. BECKER For For
2 ERIC A. BENHAMOU For For
3 DAVID M. CLAPPER For For
4 ROGER F. DUNBAR For For
5 JOEL P. FRIEDMAN For For
6 C. RICHARD KRAMLICH For For
7 LATA KRISHNAN For For
8 JEFFREY N. MAGGIONCALDA For For
9 KATE D. MITCHELL For For
10 JOHN F. ROBINSON For For
11 GAREN K. STAGLIN For For
12 KYUNG H. YOON For For
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
5. Transact Other Business Management
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 9,440 26-Mar-2012 26-Mar-2012
HARRIMAN & CO.
TIBCO SOFTWARE INC.
SECURITY 88632Q103 MEETING TYPE Annual
TICKER SYMBOL TIBX MEETING DATE 26-Apr-2012
ISIN US88632Q1031 AGENDA 933565143 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 VIVEK Y. RANADIVE For For
2 NANCI E. CALDWELL For For
3 ERIC C.W. DUNN For For
4 NARENDRA K. GUPTA For For
5 PETER J. JOB For For
6 PHILIP K. WOOD For For
2. Amend Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 49,676 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
THE GORMAN-RUPP COMPANY
SECURITY 383082104 MEETING TYPE Annual
TICKER SYMBOL GRC MEETING DATE 26-Apr-2012
ISIN US3830821043 AGENDA 933570207 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES C. GORMAN For For
2 JEFFREY S. GORMAN For For
3 M. ANN HARLAN For For
4 THOMAS E. HOAGLIN For For
5 CHRISTOPHER H. LAKE For For
6 DR. PETER B. LAKE For For
7 RICK R. TAYLOR For For
8 W. WAYNE WALSTON For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 17,326 03-Apr-2012 03-Apr-2012
HARRIMAN & CO.
BRAVO BRIO RESTAURANT GROUP, INC.
SECURITY 10567B109 MEETING TYPE Annual
TICKER SYMBOL BBRG MEETING DATE 01-May-2012
ISIN US10567B1098 AGENDA 933570803 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A. Election of Directors (Majority Management Abstain Against
Voting)
1B. Election of Directors (Majority Management Abstain Against
Voting)
1C. Election of Directors (Majority Management Abstain Against
Voting)
1D. Election of Directors (Majority Management Abstain Against
Voting)
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 60,716 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
RACKSPACE HOSTING, INC.
SECURITY 750086100 MEETING TYPE Annual
TICKER SYMBOL RAX MEETING DATE 02-May-2012
ISIN US7500861007 AGENDA 933581200 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A Election of Directors (Majority Management Abstain Against
Voting)
1B Election of Directors (Majority Management Abstain Against
Voting)
1C Election of Directors (Majority Management Abstain Against
Voting)
02 Ratify Appointment of Independent Management For For
Auditors
03 Amend Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 14,390 18-Apr-2012 18-Apr-2012
HARRIMAN & CO.
MOLINA HEALTHCARE, INC.
SECURITY 60855R100 MEETING TYPE Annual
TICKER SYMBOL MOH MEETING DATE 02-May-2012
ISIN US60855R1005 AGENDA 933582543 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GARREY E. CARRUTHERS Withheld Against
2 FRANK E. MURRAY, M.D. Withheld Against
3 JOHN P. SZABO, JR. Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 46,766 18-Apr-2012 18-Apr-2012
HARRIMAN & CO.
ALLIED NEVADA GOLD CORP
SECURITY 019344100 MEETING TYPE Annual
TICKER SYMBOL ANV MEETING DATE 03-May-2012
ISIN US0193441005 AGENDA 933591720 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT M. BUCHAN For For
2 SCOTT A. CALDWELL For For
3 JOHN W. IVANY For For
4 CAMERON A. MINGAY For For
5 TERRY M. PALMER For For
6 CARL PESCIO For For
7 D. BRUCE SINCLAIR For For
8 ROBERT G. WARDELL For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 38,938 10-Apr-2012 10-Apr-2012
ACME PACKET, INC.
SECURITY 004764106 MEETING TYPE Annual
TICKER SYMBOL APKT MEETING DATE 04-May-2012
ISIN US0047641065 AGENDA 933570726 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A Election of Directors (Majority Management Abstain Against
Voting)
1B Election of Directors (Majority Management Abstain Against
Voting)
1C Election of Directors (Majority Management Abstain Against
Voting)
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 14,448 29-Mar-2012 29-Mar-2012
HARRIMAN & CO.
AKORN, INC.
SECURITY 009728106 MEETING TYPE Annual
TICKER SYMBOL AKRX MEETING DATE 04-May-2012
ISIN US0097281069 AGENDA 933610760 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN N. KAPOOR, PHD For For
2 RONALD M. JOHNSON For For
3 BRIAN TAMBI For For
4 STEVEN J. MEYER For For
5 ALAN WEINSTEIN For For
6 KENNETH S. ABRAMOWITZ For For
7 ADRIENNE L. GRAVES, PHD For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 144,524 25-Apr-2012 25-Apr-2012
SYNCHRONOSS TECHNOLOGIES, INC.
SECURITY 87157B103 MEETING TYPE Annual
TICKER SYMBOL SNCR MEETING DATE 08-May-2012
ISIN US87157B1035 AGENDA 933594396 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 STEPHEN G. WALDIS Withheld Against
2 WILLIAM J. CADOGAN Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 43,970 18-Apr-2012 18-Apr-2012
HARRIMAN & CO.
TEREX CORPORATION
SECURITY 880779103 MEETING TYPE Annual
TICKER SYMBOL TEX MEETING DATE 10-May-2012
ISIN US8807791038 AGENDA 933578582 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 RONALD M. DE FEO For For
2 G. CHRIS ANDERSEN For For
3 PAULA H.J. CHOLMONDELEY For For
4 DON DEFOSSET For For
5 THOMAS J. HANSEN For For
6 DAVID A. SACHS For For
7 OREN G. SHAFFER For For
8 DAVID C. WANG For For
9 SCOTT W. WINE For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 40,880 10-Apr-2012 10-Apr-2012
HARRIMAN & CO.
THE MIDDLEBY CORPORATION
SECURITY 596278101 MEETING TYPE Annual
TICKER SYMBOL MIDD MEETING DATE 10-May-2012
ISIN US5962781010 AGENDA 933579421 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 SELIM A. BASSOUL For For
2 ROBERT B. LAMB For For
3 RYAN LEVENSON For For
4 JOHN R. MILLER III For For
5 GORDON O'BRIEN For For
6 PHILIP G. PUTNAM For For
7 SABIN C. STREETER For For
02 14A Executive Compensation Management For For
03 S/H Proposal - Election of Shareholder For
Directors By Majority Vote
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 14,072 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
TESCO CORPORATION
SECURITY 88157K101 MEETING TYPE Annual
TICKER SYMBOL TESO MEETING DATE 10-May-2012
ISIN CA88157K1012 AGENDA 933591972 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
01 Election of Directors Management
1 JOHN U. CLARKE For For
2 FRED J. DYMENT For For
3 GARY L. KOTT For For
4 R. VANCE MILLIGAN, Q.C. For For
5 JULIO M. QUINTANA For For
6 JOHN T. REYNOLDS For For
7 NORMAN W. ROBERTSON For For
8 MICHAEL W. SUTHERLIN Withheld Against
9 CLIFTON T. WEATHERFORD For For
02 Ratify Appointment of Independent Management For For
Auditors
03 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 39,446 27-Apr-2012 27-Apr-2012
REX ENERGY CORPORATION
SECURITY 761565100 MEETING TYPE Annual
TICKER SYMBOL REXX MEETING DATE 10-May-2012
ISIN US7615651004 AGENDA 933596340 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LANCE T. SHANER For For
2 THOMAS C. STABLEY For For
3 JOHN W. HIGBEE For For
4 JOHN A. LOMBARDI For For
5 ERIC L. MATTSON For For
6 JOHN J. ZAK For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 36,225 18-Apr-2012 18-Apr-2012
NEONODE INC
SECURITY 64051M402 MEETING TYPE Annual
TICKER SYMBOL NEON MEETING DATE 10-May-2012
ISIN US64051M4024 AGENDA 933596869 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PER BYSTEDT Withheld Against
2 THOMAS ERIKSSON Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Management 1 Year For
Frequency
4. Ratify Appointment of Independent Management For For
Auditors
5. Miscellaneous Corporate Actions Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 101,550 18-Apr-2012 18-Apr-2012
IXIA
SECURITY 45071R109 MEETING TYPE Annual
TICKER SYMBOL XXIA MEETING DATE 10-May-2012
ISIN US45071R1095 AGENDA 933607648 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 VICTOR ALSTON For For
2 LAURENT ASSCHER For For
3 JONATHAN FRAM For For
4 ERROL GINSBERG For For
5 GAIL HAMILTON For For
6 JON F. RAGER For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 65,747 25-Apr-2012 25-Apr-2012
HARRIMAN & CO.
LIZ CLAIBORNE, INC.
SECURITY 539320101 MEETING TYPE Annual
TICKER SYMBOL LIZ MEETING DATE 15-May-2012
ISIN US5393201018 AGENDA 933587783 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A Election of Directors (Majority Management For For
Voting)
1B Election of Directors (Majority Management For For
Voting)
1C Election of Directors (Majority Management For For
Voting)
1D Election of Directors (Majority Management For For
Voting)
1E Election of Directors (Majority Management For For
Voting)
1F Election of Directors (Majority Management For For
Voting)
1G Election of Directors (Majority Management For For
Voting)
1H Election of Directors (Majority Management For For
Voting)
1I Election of Directors (Majority Management For For
Voting)
1J Election of Directors (Majority Management For For
Voting)
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
4 S/H Proposal - Proxy Shareholder Against For
Process/Statement
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 42,530 18-Apr-2012 18-Apr-2012
HUB GROUP, INC.
SECURITY 443320106 MEETING TYPE Annual
TICKER SYMBOL HUBG MEETING DATE 15-May-2012
ISIN US4433201062 AGENDA 933592455 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DAVID P. YEAGER For For
2 MARK A. YEAGER For For
3 GARY D. EPPEN For For
4 CHARLES R. REAVES For For
5 MARTIN P. SLARK For For
6 JONATHAN P. WARD For For
2. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 25,703 18-Apr-2012 18-Apr-2012
RUSH ENTERPRISES, INC.
SECURITY 781846209 MEETING TYPE Annual
TICKER SYMBOL RUSHA MEETING DATE 15-May-2012
ISIN US7818462092 AGENDA 933606177 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1) Election of Directors Management
1 W. MARVIN RUSH For For
2 W.M. "RUSTY" RUSH For For
3 JAMES C. UNDERWOOD For For
4 HAROLD D. MARSHALL For For
5 THOMAS A. AKIN For For
6 GERALD R. SZCZEPANSKI For For
2) Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 34,339 23-Apr-2012 23-Apr-2012
QLIK TECHNOLOGIES INC.
SECURITY 74733T105 MEETING TYPE Annual
TICKER SYMBOL QLIK MEETING DATE 16-May-2012
ISIN US74733T1051 AGENDA 933585753 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 DEBORAH C. HOPKINS Withheld Against
2 PAUL WAHL Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 42,790 23-Apr-2012 23-Apr-2012
NPS PHARMACEUTICALS, INC.
SECURITY 62936P103 MEETING TYPE Annual
TICKER SYMBOL NPSP MEETING DATE 16-May-2012
ISIN US62936P1030 AGENDA 933593281 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 MICHAEL W. BONNEY For For
2 COLIN BROOM For For
3 GEORGES GEMAYEL For For
4 PEDRO GRANADILLO For For
5 JAMES G. GRONINGER For For
6 FRANCOIS NADER For For
7 RACHEL R. SELISKER For For
8 PETER G. TOMBROS For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 107,420 18-Apr-2012 18-Apr-2012
FARO TECHNOLOGIES, INC.
SECURITY 311642102 MEETING TYPE Annual
TICKER SYMBOL FARO MEETING DATE 16-May-2012
ISIN US3116421021 AGENDA 933603183 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LYNN BRUBAKER Withheld Against
2 SIMON RAAB Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 64,043 25-Apr-2012 25-Apr-2012
THE WET SEAL, INC.
SECURITY 961840105 MEETING TYPE Annual
TICKER SYMBOL WTSLA MEETING DATE 16-May-2012
ISIN US9618401056 AGENDA 933606115 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JONATHAN DUSKIN For For
2 SIDNEY M. HORN For For
3 HAROLD D. KAHN For For
4 SUSAN P. MCGALLA For For
5 KENNETH M. REISS For For
6 HENRY D. WINTERSTERN For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 179,682 23-Apr-2012 23-Apr-2012
TEXAS ROADHOUSE,INC.
SECURITY 882681109 MEETING TYPE Annual
TICKER SYMBOL TXRH MEETING DATE 17-May-2012
ISIN US8826811098 AGENDA 933579611 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 MARTIN T. HART Withheld Against
2 W. KENT TAYLOR Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 69,127 16-Apr-2012 16-Apr-2012
HARRIMAN & CO.
PAR PHARMACEUTICAL COMPANIES, INC.
SECURITY 69888P106 MEETING TYPE Annual
TICKER SYMBOL PRX MEETING DATE 17-May-2012
ISIN US69888P1066 AGENDA 933584573 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PETER S. KNIGHT Withheld Against
2 THOMAS P. RICE Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. Approve Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 3,035 18-Apr-2012 18-Apr-2012
TANGER FACTORY OUTLET CENTERS, INC.
SECURITY 875465106 MEETING TYPE Annual
TICKER SYMBOL SKT MEETING DATE 18-May-2012
ISIN US8754651060 AGENDA 933590007 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 JACK AFRICK For For
2 STEVEN B. TANGER For For
3 WILLIAM G. BENTON For For
4 BRIDGET RYAN BERMAN For For
5 DONALD G. DRAPKIN For For
6 THOMAS J. REDDIN For For
7 THOMAS E. ROBINSON For For
8 ALLAN L. SCHUMAN For For
2 Ratify Appointment of Independent Management For For
Auditors
3 Approve Charter Amendment Management For For
4 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 14,760 16-Apr-2012 16-Apr-2012
THE ULTIMATE SOFTWARE GROUP, INC.
SECURITY 90385D107 MEETING TYPE Annual
TICKER SYMBOL ULTI MEETING DATE 18-May-2012
ISIN US90385D1072 AGENDA 933591566 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 RICK A. WILBER Withheld Against
2 MARC D. SCHERR Withheld Against
3 JAMES A. FITZPATRICK Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
4 Amend Stock Compensation Plan Management For For
5 S/H Proposal - Election of Shareholder For Against
Directors By Majority Vote
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 32,613 18-Apr-2012 18-Apr-2012
GREATBATCH, INC.
SECURITY 39153L106 MEETING TYPE Annual
TICKER SYMBOL GB MEETING DATE 18-May-2012
ISIN US39153L1061 AGENDA 933616940 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PAMELA G. BAILEY For For
2 ANTHONY P. BIHL III For For
3 THOMAS J. HOOK For For
4 KEVIN C. MELIA For For
5 DR. J.A. MILLER, JR. For For
6 BILL R. SANFORD For For
7 PETER H. SODERBERG For For
8 WILLIAM B. SUMMERS, JR. For For
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 40,450 30-Apr-2012 30-Apr-2012
RAVEN INDUSTRIES, INC.
SECURITY 754212108 MEETING TYPE Annual
TICKER SYMBOL RAVN MEETING DATE 22-May-2012
ISIN US7542121089 AGENDA 933602547 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANTHONY W. BOUR For For
2 THOMAS S. EVERIST For For
3 MARK E. GRIFFIN For For
4 KEVIN T. KIRBY For For
5 MARC E. LEBARON For For
6 CYNTHIA H. MILLIGAN For For
7 DANIEL A. RYKHUS For For
2. 14A Executive Compensation Management For For
3. Amend Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Management For For
Auditors
5. Approve Charter Amendment Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 17,582 23-Apr-2012 23-Apr-2012
JIVE SOFTWARE INC.
SECURITY 47760A108 MEETING TYPE Annual
TICKER SYMBOL JIVE MEETING DATE 23-May-2012
ISIN US47760A1088 AGENDA 933593356 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 JONATHAN G. HEILIGER Withheld Against
2 SUNDAR PICHAI Withheld Against
3 MATTHEW A. TUCKER Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 22,849 23-Apr-2012 23-Apr-2012
WESCO INTERNATIONAL, INC.
SECURITY 95082P105 MEETING TYPE Annual
TICKER SYMBOL WCC MEETING DATE 23-May-2012
ISIN US95082P1057 AGENDA 933595146 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN J. ENGEL Withheld Against
2 STEVEN A. RAYMUND Withheld Against
3 LYNN M. UTTER Withheld Against
4 WILLIAM J. VARESCHI Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 35,010 18-Apr-2012 18-Apr-2012
MERIT MEDICAL SYSTEMS, INC.
SECURITY 589889104 MEETING TYPE Annual
TICKER SYMBOL MMSI MEETING DATE 23-May-2012
ISIN US5898891040 AGENDA 933595209 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 FRED P. LAMPROPOULOS Withheld Against
2 FRANKLIN J. MILLER, MD Withheld Against
3 A. SCOTT ANDERSON Withheld Against
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 45,749 23-Apr-2012 23-Apr-2012
SAGENT PHARMACEUTICALS, INC
SECURITY 786692103 MEETING TYPE Annual
TICKER SYMBOL SGNT MEETING DATE 23-May-2012
ISIN US7866921031 AGENDA 933596857 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JEFFREY M. YORDON Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 56,535 30-Apr-2012 30-Apr-2012
KRATON PERFORMANCE POLYMERS, INC.
SECURITY 50077C106 MEETING TYPE Annual
TICKER SYMBOL KRA MEETING DATE 23-May-2012
ISIN US50077C1062 AGENDA 933602016 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 STEVEN J. DEMETRIOU Withheld Against
2 KEVIN M. FOGARTY Withheld Against
3 KAREN A. TWITCHELL Withheld Against
2. 14A Executive Compensation Management For For
3. Approve Cash/Stock Bonus Plan Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 37,493 23-Apr-2012 23-Apr-2012
ROADRUNNER TRANSPORTATION SYSTEMS, INC.
SECURITY 76973Q105 MEETING TYPE Annual
TICKER SYMBOL RRTS MEETING DATE 23-May-2012
ISIN US76973Q1058 AGENDA 933622981 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 WILLIAM S. URKIEL Withheld Against
2 CHAD M. UTRUP Withheld Against
3 JUDITH A. VIJUMS Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 54,090 11-May-2012 11-May-2012
ACADIA HEALTHCARE COMPANY, INC.
SECURITY 00404A109 MEETING TYPE Annual
TICKER SYMBOL ACHC MEETING DATE 23-May-2012
ISIN US00404A1097 AGENDA 933625747 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 REEVE B. WAUD Withheld Against
2 MATTHEW W. CLARY Withheld Against
3 ERIC S. GORDON Withheld Against
4 DAVID O. NEIGHBOURS Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 52,691 11-May-2012 11-May-2012
RED ROBIN GOURMET BURGERS, INC.
SECURITY 75689M101 MEETING TYPE Annual
TICKER SYMBOL RRGB MEETING DATE 24-May-2012
ISIN US75689M1018 AGENDA 933597607 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Declassify Board Management For For
2.1 Election of Directors (Majority Management Against Against
Voting)
2.2 Election of Directors (Majority Management Against Against
Voting)
2.3 Election of Directors (Majority Management Against Against
Voting)
2.4 Election of Directors (Majority Management Against Against
Voting)
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 22,758 23-Apr-2012 23-Apr-2012
CLEAN ENERGY FUELS CORP.
SECURITY 184499101 MEETING TYPE Annual
TICKER SYMBOL CLNE MEETING DATE 24-May-2012
ISIN US1844991018 AGENDA 933597809 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANDREW J. LITTLEFAIR For For
2 WARREN I. MITCHELL For For
3 JOHN S. HERRINGTON For For
4 JAMES C. MILLER, III For For
5 JAMES E. O'CONNOR For For
6 BOONE PICKENS For For
7 KENNETH M. SOCHA For For
8 VINCENT C. TAORMINA For For
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 26,450 25-Apr-2012 25-Apr-2012
CHART INDUSTRIES, INC.
SECURITY 16115Q308 MEETING TYPE Annual
TICKER SYMBOL GTLS MEETING DATE 24-May-2012
ISIN US16115Q3083 AGENDA 933599966 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1) Election of Directors Management
1 SAMUEL F. THOMAS For For
2 W. DOUGLAS BROWN For For
3 RICHARD E. GOODRICH For For
4 STEVEN W. KRABLIN For For
5 MICHAEL W. PRESS For For
6 JAMES M. TIDWELL For For
7 THOMAS L. WILLIAMS For For
2) Ratify Appointment of Independent Management For For
Auditors
3) 14A Executive Compensation Management For For
4) Amend Omnibus Stock Option Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 20,695 23-Apr-2012 23-Apr-2012
NANOMETRICS INCORPORATED
SECURITY 630077105 MEETING TYPE Annual
TICKER SYMBOL NANO MEETING DATE 24-May-2012
ISIN US6300771051 AGENDA 933610796 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 HOWARD A. BAIN III For For
2 J. THOMAS BENTLEY For For
3 NORMAN V. COATES For For
4 WILLIAM G. OLDHAM, PHD For For
5 STEPHEN G. NEWBERRY For For
6 STEPHEN J SMITH, PHD For For
7 TIMOTHY J. STULTZ PHD For For
8 BRUCE C. RHINE For For
2 14A Executive Compensation Management For For
3 Approve Stock Compensation Plan Management For For
4 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 17,263 25-Apr-2012 25-Apr-2012
INPHI CORPORATION
SECURITY 45772F107 MEETING TYPE Annual
TICKER SYMBOL IPHI MEETING DATE 24-May-2012
ISIN US45772F1075 AGENDA 933618108 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DIOSDADO P. BANATAO Withheld Against
2 FORD TAMER Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 37,235 30-Apr-2012 30-Apr-2012
HIBBETT SPORTS, INC.
SECURITY 428567101 MEETING TYPE Annual
TICKER SYMBOL HIBB MEETING DATE 24-May-2012
ISIN US4285671016 AGENDA 933622006 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JANE F. AGGERS Withheld Against
2 TERRANCE G. FINLEY Withheld Against
3 ALTON E. YOTHER Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Adopt Non-Employee Director Plan Management For For
5. Amend Articles-Board Related Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 45,114 11-May-2012 11-May-2012
SELECT COMFORT CORPORATION
SECURITY 81616X103 MEETING TYPE Annual
TICKER SYMBOL SCSS MEETING DATE 30-May-2012
ISIN US81616X1037 AGENDA 933607395 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 STEPHEN L. GULIS, JR. Withheld Against
2 BRENDA J. LAUDERBACK Withheld Against
3 ERVIN R. SHAMES Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 25,830 30-Apr-2012 30-Apr-2012
INCYTE CORPORATION
SECURITY 45337C102 MEETING TYPE Annual
TICKER SYMBOL INCY MEETING DATE 30-May-2012
ISIN US45337C1027 AGENDA 933613336 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 RICHARD U. DE SCHUTTER For For
2 BARRY M. ARIKO For For
3 JULIAN C. BAKER For For
4 PAUL A. BROOKE For For
5 WENDY L. DIXON For For
6 PAUL A. FRIEDMAN For For
7 ROY A. WHITFIELD For For
2. Amend Stock Compensation Plan Management Against Against
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 51,000 30-Apr-2012 30-Apr-2012
SOURCEFIRE, INC.
SECURITY 83616T108 MEETING TYPE Annual
TICKER SYMBOL FIRE MEETING DATE 31-May-2012
ISIN US83616T1088 AGENDA 933599687 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL CRISTINZIANO Withheld Against
2 CHARLES E. PETERS, JR. Withheld Against
3 STEVEN R. POLK Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 38,553 25-Apr-2012 25-Apr-2012
ULTA SALON, COSMETICS & FRAGRANCE, INC
SECURITY 90384S303 MEETING TYPE Annual
TICKER SYMBOL ULTA MEETING DATE 31-May-2012
ISIN US90384S3031 AGENDA 933603804 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT F. DIROMUALDO Withheld Against
2 CATHERINE A. HALLIGAN Withheld Against
3 LORNA E. NAGLER Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 28,231 11-May-2012 11-May-2012
ARDEA BIOSCIENCES, INC.
SECURITY 03969P107 MEETING TYPE Annual
TICKER SYMBOL RDEA MEETING DATE 31-May-2012
ISIN US03969P1075 AGENDA 933606533 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 FELIX J. BAKER, PH.D. For For
2 WENDY L. DIXON, PH.D. For For
3 HENRY J. FUCHS, M.D. For For
4 CRAIG A. JOHNSON For For
5 JOHN W. POYHONEN For For
6 B.D. QUART, PHARM.D. For For
7 KEVIN C. TANG For For
2. Amend Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 34,858 23-Apr-2012 23-Apr-2012
CHENIERE ENERGY, INC.
SECURITY 16411R208 MEETING TYPE Annual
TICKER SYMBOL LNG MEETING DATE 01-Jun-2012
ISIN US16411R2085 AGENDA 933607915 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 NUNO BRANDOLINI Withheld Against
2 JOHN M. DEUTCH Withheld Against
3 PAUL J. HOENMANS Withheld Against
2. Authorize Common Stock Increase Management Against Against
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 70,228 25-Apr-2012 25-Apr-2012
TEAVANA HOLDINGS INC
SECURITY 87819P102 MEETING TYPE Annual
TICKER SYMBOL TEA MEETING DATE 01-Jun-2012
ISIN US87819P1021 AGENDA 933608018 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 ROBERT J. DENNIS Withheld Against
2 JOHN E. KYEES Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Management 1 Year Against
Frequency
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 29,050 30-Apr-2012 30-Apr-2012
CROCS, INC.
SECURITY 227046109 MEETING TYPE Annual
TICKER SYMBOL CROX MEETING DATE 04-Jun-2012
ISIN US2270461096 AGENDA 933611887 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 RONALD L. FRASCH Withheld Against
2 W. STEPHAN CANNON Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 Amend Stock Compensation Plan Management For For
4 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 87,891 30-Apr-2012 30-Apr-2012
CATALYST HEALTH SOLUTIONS, INC.
SECURITY 14888B103 MEETING TYPE Annual
TICKER SYMBOL CHSI MEETING DATE 04-Jun-2012
ISIN US14888B1035 AGENDA 933618386 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 STEVEN B. EPSTEIN Withheld Against
2 MICHAEL R. MCDONNELL Withheld Against
3 DALE B. WOLF Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 22,355 02-May-2012 02-May-2012
IPG PHOTONICS CORPORATION
SECURITY 44980X109 MEETING TYPE Annual
TICKER SYMBOL IPGP MEETING DATE 05-Jun-2012
ISIN US44980X1090 AGENDA 933617257 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 V.P. GAPONTSEV, PH.D. For For
2 E. SCHERBAKOV, PH.D. For For
3 IGOR SAMARTSEV For For
4 ROBERT A. BLAIR For For
5 MICHAEL C. CHILD For For
6 MICHAEL R. KAMPFE For For
7 HENRY E. GAUTHIER For For
8 WILLIAM S. HURLEY For For
9 W.F. KRUPKE, PH.D. For For
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 38,969 30-Apr-2012 30-Apr-2012
ACHILLION PHARMACEUTICALS INC
SECURITY 00448Q201 MEETING TYPE Annual
TICKER SYMBOL ACHN MEETING DATE 05-Jun-2012
ISIN US00448Q2012 AGENDA 933618918 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1.1 Election of Directors (Majority Management Abstain Against
Voting)
1.2 Election of Directors (Majority Management Abstain Against
Voting)
1.3 Election of Directors (Majority Management Abstain Against
Voting)
2. 14A Executive Compensation Management For For
3. Amend Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 125,698 11-May-2012 11-May-2012
BJ'S RESTAURANTS, INC.
SECURITY 09180C106 MEETING TYPE Annual
TICKER SYMBOL BJRI MEETING DATE 05-Jun-2012
ISIN US09180C1062 AGENDA 933629303 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GERALD W. DEITCHLE For For
2 JAMES A. DAL POZZO For For
3 J. ROGER KING For For
4 LARRY D. BOUTS For For
5 JOHN F. GRUNDHOFER For For
6 PETER A. BASSI For For
7 WILLIAM L. HYDE, JR. For For
8 LEA ANNE S. OTTINGER For For
9 HENRY GOMEZ For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 31,939 11-May-2012 11-May-2012
THE FRESH MARKET, INC.
SECURITY 35804H106 MEETING TYPE Annual
TICKER SYMBOL TFM MEETING DATE 06-Jun-2012
ISIN US35804H1068 AGENDA 933629454 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BRETT BERRY# For For
2 DAVID REA# For For
3 BOB SASSER# For For
4 STEVEN TANGER# For For
5 CRAIG CARLOCK@ For For
6 JANE THOMPSON* For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Approve Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 13,431 14-May-2012 14-May-2012
INTERDIGITAL, INC.
SECURITY 45867G101 MEETING TYPE Annual
TICKER SYMBOL IDCC MEETING DATE 07-Jun-2012
ISIN US45867G1013 AGENDA 933609666 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A. Election of Directors (Majority Management For For
Voting)
1B. Election of Directors (Majority Management For For
Voting)
1C. Election of Directors (Majority Management For For
Voting)
1D. Election of Directors (Majority Management For For
Voting)
1E. Election of Directors (Majority Management Against Against
Voting)
1F. Election of Directors (Majority Management For For
Voting)
2. 14A Executive Compensation Management Against Against
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 17,989 30-Apr-2012 30-Apr-2012
VITAMIN SHOPPE INC
SECURITY 92849E101 MEETING TYPE Annual
TICKER SYMBOL VSI MEETING DATE 07-Jun-2012
ISIN US92849E1010 AGENDA 933615126 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 RICHARD L. MARKEE For For
2 B. MICHAEL BECKER For For
3 CATHERINE E. BUGGELN For For
4 JOHN H. EDMONDSON For For
5 DAVID H. EDWAB For For
6 RICHARD L. PERKAL For For
7 BETH M. PRITCHARD For For
8 KATHERINE SAVITT-LENNON For For
9 ANTHONY N. TRUESDALE For For
2 14A Executive Compensation Management For For
3 Amend Stock Compensation Plan Management For For
4 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 34,775 30-Apr-2012 30-Apr-2012
IPC THE HOSPITALIST COMPANY, INC
SECURITY 44984A105 MEETING TYPE Annual
TICKER SYMBOL IPCM MEETING DATE 07-Jun-2012
ISIN US44984A1051 AGENDA 933619326 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 MARK J. BROOKS Withheld Against
2 WOODRIN GROSSMAN Withheld Against
3 R. JEFFREY TAYLOR Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
4 Approve Stock Compensation Plan Management For For
5 Approve Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 10,804 11-May-2012 11-May-2012
IDENIX PHARMACEUTICALS, INC.
SECURITY 45166R204 MEETING TYPE Annual
TICKER SYMBOL IDIX MEETING DATE 07-Jun-2012
ISIN US45166R2040 AGENDA 933627525 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BRIAN GOFF For For
2 W.T. HOCKMEYER, PH.D. For For
3 THOMAS R. HODGSON For For
4 TAMAR D. HOWSON For For
5 ROBERT E. PELZER For For
6 D. POLLARD-KNIGHT, PH.D For For
7 RONALD C. RENAUD, JR. For For
8 MICHAEL S. WYZGA For For
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 28,190 11-May-2012 11-May-2012
GULFPORT ENERGY CORPORATION
SECURITY 402635304 MEETING TYPE Annual
TICKER SYMBOL GPOR MEETING DATE 07-Jun-2012
ISIN US4026353049 AGENDA 933637172 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MIKE LIDDELL For For
2 DONALD L. DILLINGHAM For For
3 CRAIG GROESCHEL For For
4 DAVID L. HOUSTON For For
5 JAMES D. PALM For For
6 SCOTT E. STRELLER For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 45,655 30-May-2012 30-May-2012
CAVIUM, INC.
SECURITY 14964U108 MEETING TYPE Annual
TICKER SYMBOL CAVM MEETING DATE 08-Jun-2012
ISIN US14964U1088 AGENDA 933617841 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 SANJAY MEHROTRA Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 24,159 02-May-2012 02-May-2012
BLACK DIAMOND INC
SECURITY 09202G101 MEETING TYPE Annual
TICKER SYMBOL BDE MEETING DATE 08-Jun-2012
ISIN US09202G1013 AGENDA 933630914 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 WARREN B. KANDERS For For
2 ROBERT R. SCHILLER For For
3 PETER R. METCALF For For
4 DONALD L. HOUSE For For
5 NICHOLAS SOKOLOW For For
6 MICHAEL A. HENNING For For
7 PHILIP N. DUFF For For
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 43,428 11-May-2012 11-May-2012
UNITED RENTALS, INC.
SECURITY 911363109 MEETING TYPE Annual
TICKER SYMBOL URI MEETING DATE 08-Jun-2012
ISIN US9113631090 AGENDA 933634722 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A. Election of Directors (Majority Management For For
Voting)
1B. Election of Directors (Majority Management For For
Voting)
1C. Election of Directors (Majority Management For For
Voting)
1D. Election of Directors (Majority Management For For
Voting)
1E. Election of Directors (Majority Management For For
Voting)
1F. Election of Directors (Majority Management For For
Voting)
1G. Election of Directors (Majority Management For For
Voting)
1H. Election of Directors (Majority Management For For
Voting)
1I. Election of Directors (Majority Management For For
Voting)
1J. Election of Directors (Majority Management For For
Voting)
1K. Election of Directors (Majority Management For For
Voting)
1L. Election of Directors (Majority Management For For
Voting)
1M. Election of Directors (Majority Management For For
Voting)
2. Amend Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Management For For
Auditors
4. 14A Executive Compensation Management For For
5. S/H Proposal - Corporate Governance Shareholder Against For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 31,354 30-May-2012 30-May-2012
SEQUENOM, INC.
SECURITY 817337405 MEETING TYPE Annual
TICKER SYMBOL SQNM MEETING DATE 11-Jun-2012
ISIN US8173374054 AGENDA 933620533 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 ERNST-GUNTER AFTING For For
2 KENNETH F. BUECHLER For For
3 JOHN A. FAZIO For For
4 HARRY F. HIXSON, JR. For For
5 RICHARD A. LERNER For For
6 RONALD M. LINDSAY For For
7 DAVID PENDARVIS For For
8 CHARLES P. SLACIK For For
2 Amend Stock Compensation Plan Management For For
3 14A Executive Compensation Management For For
4 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 134,210 11-May-2012 11-May-2012
GEVO, INC
SECURITY 374396109 MEETING TYPE Annual
TICKER SYMBOL GEVO MEETING DATE 12-Jun-2012
ISIN US3743961092 AGENDA 933615758 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 CARLOS A. CABRERA Withheld Against
2 STACY J. SMITH Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 51,251 11-May-2012 11-May-2012
AEROPOSTALE, INC.
SECURITY 007865108 MEETING TYPE Annual
TICKER SYMBOL ARO MEETING DATE 13-Jun-2012
ISIN US0078651082 AGENDA 933629721 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 RONALD R. BEEGLE For For
2 ROBERT B. CHAVEZ For For
3 MICHAEL J. CUNNINGHAM For For
4 EVELYN DILSAVER For For
5 JANET E. GROVE For For
6 JOHN N. HAUGH For For
7 KARIN HIRTLER-GARVEY For For
8 JOHN D. HOWARD For For
9 THOMAS P. JOHNSON For For
10 ARTHUR RUBINFELD For For
11 DAVID B. VERMYLEN For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 47,623 30-May-2012 30-May-2012
WALKER & DUNLOP INC
SECURITY 93148P102 MEETING TYPE Annual
TICKER SYMBOL WD MEETING DATE 13-Jun-2012
ISIN US93148P1021 AGENDA 933631877 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ALAN BOWERS For For
2 MITCHELL GAYNOR For For
3 CYNTHIA HALLENBECK For For
4 JOHN RICE For For
5 DANA SCHMALTZ For For
6 HOWARD SMITH For For
7 EDMUND TAYLOR For For
8 WILLIAM WALKER For For
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 59,499 14-May-2012 14-May-2012
SPIRIT AIRLINES INC.
SECURITY 848577102 MEETING TYPE Annual
TICKER SYMBOL SAVE MEETING DATE 13-Jun-2012
ISIN US8485771021 AGENDA 933635205 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BARCLAY G. JONES III Withheld Against
2 ROBERT D. JOHNSON Withheld Against
3 STUART I. ORAN Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Management 1 Year For
Frequency
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 41,334 30-May-2012 30-May-2012
SINCLAIR BROADCAST GROUP, INC.
SECURITY 829226109 MEETING TYPE Annual
TICKER SYMBOL SBGI MEETING DATE 14-Jun-2012
ISIN US8292261091 AGENDA 933602117 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 DAVID D. SMITH For For
2 FREDERICK G. SMITH For For
3 J. DUNCAN SMITH For For
4 ROBERT E. SMITH For For
5 BASIL A. THOMAS For For
6 LAWRENCE E. MCCANNA For For
7 DANIEL C. KEITH For For
8 MARTIN R. LEADER For For
2 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- --------- -------- --------------- ------ ----------- ----------- -----------
6169676 6169676 6169676 BROWN BROTHERS 58,843 30-Apr-2012 30-Apr-2012
HARRIMAN & CO.
DUSA PHARMACEUTICALS, INC.
SECURITY 266898105 MEETING TYPE Annual
TICKER SYMBOL DUSA MEETING DATE 14-Jun-2012
ISIN US2668981051 AGENDA 933615429 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ALFRED ALTOMARI For For
2 DAVID M. BARTASH For For
3 ALEXANDER W. CASDIN For For
4 ROBERT F. DOMAN For For
5 JAY M. HAFT For For
6 PAUL J. HONDROS For For
7 MAGNUS MOLITEUS For For
8 DAVID M. WURZER For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 113,480 11-May-2012 11-May-2012
FORTINET INC.
SECURITY 34959E109 MEETING TYPE Annual
TICKER SYMBOL FTNT MEETING DATE 14-Jun-2012
ISIN US34959E1091 AGENDA 933622272 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 CHENMING HU Withheld Against
2 HONG LIANG LU Withheld Against
3 KEN XIE Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 70,870 11-May-2012 11-May-2012
SALIX PHARMACEUTICALS, LTD.
SECURITY 795435106 MEETING TYPE Annual
TICKER SYMBOL SLXP MEETING DATE 14-Jun-2012
ISIN US7954351067 AGENDA 933626434 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN F. CHAPPELL For For
2 THOMAS W. D'ALONZO For For
3 WILLIAM P. KEANE For For
4 CAROLYN J. LOGAN For For
5 MARK A. SIRGO For For
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Amend Stock Option Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 32,921 14-May-2012 14-May-2012
MONOLITHIC POWER SYSTEMS, INC.
SECURITY 609839105 MEETING TYPE Annual
TICKER SYMBOL MPWR MEETING DATE 14-Jun-2012
ISIN US6098391054 AGENDA 933627587 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES C. MOYER Withheld Against
2 KAREN A. SMITH BOGART Withheld Against
3 DR. JEFF ZHOU Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 60,604 11-May-2012 11-May-2012
SKULLCANDY INC
SECURITY 83083J104 MEETING TYPE Annual
TICKER SYMBOL SKUL MEETING DATE 15-Jun-2012
ISIN US83083J1043 AGENDA 933624252 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JEFF KEARL Withheld Against
2 JEREMY ANDRUS Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Management 1 Year For
Frequency
5. Approve Stock Compensation Plan Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 44,597 14-May-2012 14-May-2012
VIVUS, INC.
SECURITY 928551100 MEETING TYPE Annual
TICKER SYMBOL VVUS MEETING DATE 15-Jun-2012
ISIN US9285511005 AGENDA 933627400 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 LELAND F. WILSON For For
2 PETER Y. TAM For For
3 MARK B. LOGAN For For
4 CHARLES J. CASAMENTO For For
5 LINDA M D SHORTLIFFE MD For For
6 ERNEST MARIO, PH.D. For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 24,220 30-May-2012 30-May-2012
HORNBECK OFFSHORE SERVICES, INC.
SECURITY 440543106 MEETING TYPE Annual
TICKER SYMBOL HOS MEETING DATE 21-Jun-2012
ISIN US4405431069 AGENDA 933623678 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 LARRY D. HORNBECK Withheld Against
2 STEVEN W. KRABLIN Withheld Against
3 JOHN T. RYND Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
3 14A Executive Compensation Management For For
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 19,120 30-May-2012 30-May-2012
APOGEE ENTERPRISES, INC.
SECURITY 037598109 MEETING TYPE Annual
TICKER SYMBOL APOG MEETING DATE 21-Jun-2012
ISIN US0375981091 AGENDA 933632982 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 BERNARD P. ALDRICH Withheld Against
2 JOHN T. MANNING Withheld Against
3 JOSEPH F. PUISHYS Withheld Against
4 SARA L. HAYS Withheld Against
2 14A Executive Compensation Management For For
3 Approve Stock Compensation Plan Management For For
4 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 3,486 30-May-2012 30-May-2012
BPZ RESOURCES, INC
SECURITY 055639108 MEETING TYPE Annual
TICKER SYMBOL BPZ MEETING DATE 22-Jun-2012
ISIN US0556391086 AGENDA 933628945 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DENNIS G. STRAUCH# Withheld Against
2 JAMES B. TAYLOR# Withheld Against
3 JERELYN EAGAN$ Withheld Against
4 STEPHEN R. BRAND@ Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------- ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 110,489 30-May-2012 30-May-2012
ZAGG INC
SECURITY 98884U108 MEETING TYPE Annual
TICKER SYMBOL ZAGG MEETING DATE 28-Jun-2012
ISIN US98884U1088 AGENDA 933636384 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
---- ----------------------------------- ----------- --------- -----------
1A Election of Directors (Majority Management For For
Voting)
1B Election of Directors (Majority Management For For
Voting)
1C Election of Directors (Majority Management For For
Voting)
1D Election of Directors (Majority Management For For
Voting)
1E Election of Directors (Majority Management For For
Voting)
2 Ratify Appointment of Independent Management For For
Auditors
ACCOUNT ACCOUNT INTERNAL BALLOT UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN SHARES SHARES VOTE DATE CONFIRMED
------- ---------- -------- --------------- ------ ----------- ----------- -----------
6734305010 6734305010 HSP UNION BANK 68,112 07-Jun-2012 07-Jun-2012
With or
Meeting A brief identification of the matter Against
Company Ticker CUSIP Date voted on Proposed by Voted Vote Cast Management
------- ------ --------- -------- ---------------------------------------- ----------- ----- --------- ----------
united rentals uri 911363109 04/27/12 adopt the agreement and plan of merger management yes for with
dated 12/15/11 between rsc holdings and
united rentals
united rentals uri 911363109 04/27/12 approve the issuance of shares of common management yes for with
stock of uri to stockholders of rsc in
connection with the merger of rsc with
and into uri pursuant to the agreement
united rentals uri 911363109 04/27/12 approve the adjournment of the special management yes for with
meeting of uri stockholders, if
necessary or appropriate, to permit
further solicitation of proxies in favor
of proposal no1 and/or proposal no2
3d systems corporation ddd 88554d205 05/15/12 vote for election of the nominees management yes for with
3d systems corporation ddd 88554d205 05/15/12 ratification of the appointment of bdo management yes for with
usa as the company's independent
registered public accounting firm
body central body 09689u102 05/24/12 vote for election of the nominees management yes withhold against
all
nominees
body central body 09689u102 05/24/12 approval of advisory resolution on management yes for with
executive compensation
body central body 09689u102 05/24/12 amend the company's amended and restated management yes for with
2006 equity incentive plan
body central body 09689u102 05/24/12 approve the company's 2012 annual management yes for with
incentive plan
body central body 09689u102 05/24/12 ratification of the appointment of management yes for with
pricewaterhousecoopers llp as the
company's independent registered public
accounting firm
SIGNATURE
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.
| Financial Investors Trust | ||
| By: | /s/ Edmund J. Burke | |
| Edmund J. Burke | ||
| President | ||
| Date: | August 31, 2012 | |