-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GhY21PtZxfhnNckAYO5sns2FaWCtNWSbDd9bCvjOZUy+ktkd2rIp+jJhmtz8ACCY iofT7WYvS/9Lp0crR5Ifew== 0001104659-04-026363.txt : 20040831 0001104659-04-026363.hdr.sgml : 20040831 20040831102120 ACCESSION NUMBER: 0001104659-04-026363 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040831 DATE AS OF CHANGE: 20040831 EFFECTIVENESS DATE: 20040831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STATE STREET RESEARCH SECURITIES TRUST CENTRAL INDEX KEY: 0000918572 STATE OF INCORPORATION: MA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-08322 FILM NUMBER: 041006953 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6173571340 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 N-PX 1 a04-9760_4npx.htm N-PX

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB Number:  3235-0582

 

Expires:    March 31, 2006

 

Estimated average burden hours per response......14.4

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number              811-8322

 

State Street Research Securities Trust

(exact name of registrant as specified in charter)

 

 

 

One Financial Center,   Boston, MA

02111-2690

(address of principal executive offices)

(zip code)

 

Richard S. Davis, President and Chief Executive Officer

 

State Street Research & Management Company

 

 

 

One Financial Center, Boston MA 02111-2690

(name and address of agent for service)

 

Registrant’s telephone number, including area code:

617-357-1200

 

 

Date of fiscal year end:

10/31, 4/30

 

 

Date of reporting period:

7/1/03 - 6/30/04

 

 

 

 

Item 1.           Proxy Voting Record.

 

Vote Summary Report

Jul 01, 2003 - Jun 30, 2004

 

State Street Research Large-Cap Analyst Fund

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/03/04 - A

 

AFLAC Incorporated *AFL*

 

001055102

 

 

 

 

 

02/25/04

 

 

 

7,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Daniel P. Amos

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director John Shelby Amos II

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Michael H. Armacost

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Kriss Cloninger III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Joe Frank Harris

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Elizabeth J. Hudson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Kenneth S. Janke, Sr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Douglas W. Johnson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Robert B. Johnson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Charles B. Knapp

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Hidefumi Matsui

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Nobuhiro Mori

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director E. Stephen Purdom, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director Barbara K. Rimer, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.15

Elect Director Marvin R. Schuster

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.16

Elect Director Glenn Vaughn, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.17

Elect Director Robert L. Wright

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

AGCO Corp. *AG*

 

001084102

 

 

 

 

 

03/12/04

 

 

 

28,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Prepare Sustainability Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

01/22/04 - A

 

Air Products & Chemicals, Inc. *APD*

 

009158106

 

 

 

 

 

11/28/03

 

 

 

4,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

ALLTEL Corp. *AT*

 

020039103

 

 

 

 

 

02/24/04

 

 

 

4,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ammend EEO - Sexual Orientation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

Mgmt Rec - Company Management Recommended Vote

 

1

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/29/04 - A

 

Altria Group, Inc. *MO*

 

02209S103

 

 

 

 

 

03/08/04

 

 

 

9,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Product Warnings for Pregnant Women

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Health Risks Associated with Cigarette Filters

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Cease Use of Light and Ultra Light in Cigarette Marketing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Place Canadian Style Warnings on Cigarette Packaging

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

Ambac Financial Group, Inc. *ABK*

 

023139108

 

 

 

 

 

03/09/04

 

 

 

3,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Non-Employee Director Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/26/04 - A

 

American Express Co. *AXP*

 

025816109

 

 

 

 

 

02/27/04

 

 

 

14,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

American International Group, Inc. *AIG*

 

026874107

 

 

 

 

 

03/26/04

 

 

 

15,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Divest from Tobacco Equities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Link Executive Compensation to Predatory Lending

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

2

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/10/04 - A

 

American Power Conversion Corp. *APCC*

 

029066107

 

 

 

 

 

04/14/04

 

 

 

32,600

 

 

 

1

Fix Number of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

2.1

Elect Director Rodger B. Dowdell, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.2

Elect Director Emanuel E. Landsman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.3

Elect Director Neil E. Rasmussen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.4

Elect Director Ervin F. Lyon

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2.5

Elect Director James D. Gerson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.6

Elect Director John G. Kassakian

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.7

Elect Director John F. Keane, Sr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.8

Elect Director Ellen B. Richstone

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

Amgen, Inc. *AMGN*

 

031162100

 

 

 

 

 

03/19/04

 

 

 

5,300

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Frank J. Biondi, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Jerry D. Choate

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Frank C. Herringer

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Gilbert S. Omenn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Prepare Glass Ceiling Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/24/04 - A

 

Applied Materials, Inc. *AMAT*

 

038222105

 

 

 

 

 

01/30/04

 

 

 

23,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Arch Coal, Inc. *ACI*

 

039380100

 

 

 

 

 

03/01/04

 

 

 

2,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Avery Dennison Corp. *AVY*

 

053611109

 

 

 

 

 

02/23/04

 

 

 

4,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/17/04 - S

 

Bank of America Corp. *BAC*

 

060505104

 

 

 

 

 

01/26/04

 

 

 

6,400

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Adjourn Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

3

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

Bank of America Corp. *BAC*

 

060505104

 

 

 

 

 

04/07/04

 

 

 

9,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Change Date of Annual Meeting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Adopt Nomination Procedures for the Board

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Establish Independent Committee to Review Mutual Fund Policy

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Adopt Standards Regarding Privacy and Information Security

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/24/04 - A

 

Best Buy Co., Inc. *BBY*

 

086516101

 

 

 

 

 

04/26/04

 

 

 

8,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/16/04 - A

 

BIOGEN IDEC INC *BIIB*

 

09062X103

 

 

 

 

 

04/20/04

 

 

 

6,050

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/06/03 - A

 

Biogen, Inc.

 

090597105

 

 

 

 

 

04/11/03

 

 

 

7,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/12/03 - S

 

Biogen, Inc.

 

090597105

 

 

 

 

 

09/25/03

 

 

 

4,500

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Adjourn Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

01/22/04 - A

 

BJ Services Company *BJS*

 

055482103

 

 

 

 

 

12/05/03

 

 

 

6,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposal

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3

Report on Foreign Operations Risk

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

4

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/15/04 - A

 

BP PLC (Form. Bp Amoco Plc)

 

055622104

 

 

 

 

 

02/23/04

 

 

 

6,100

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

TO ELECT MR A BURGMANS AS A DIRECTOR

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

TO GIVE AUTHORITY TO ALLOT SHARES UP TO A SPECIFIED AMOUNT

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING AN OFFER TO SHAREHOLDERS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

TO AUTHORISE THE USE OF TREASURY SHARES FOR EMPLOYEE SHARE SCHEMES

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

TO APPROVE THE DIRECTORS REMUNERATION REPORT

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

TO DETERMINE THE LIMIT FOR THE AGGREGATE REMUNERATION OF THE NON-EXECUTIVE DIRECTORS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE ACCOUNTS

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

12

SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES ON MATTERS OF CONTROL AND RISK IN PROTECTED AND SENSITIVE AREAS

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

Burlington Resources Inc. *BR*

 

122014103

 

 

 

 

 

02/23/04

 

 

 

5,500

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Barbara T. Alexander

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Reuben V. Anderson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Laird I. Grant

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Robert J. Harding

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director John T. LaMacchia

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Randy L. Limbacher

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director James F. McDonald

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Kenneth W. Orce

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Donald M. Roberts

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director James A. Runde

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director John F. Schwarz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Walter Scott, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director Bobby S. Shackouls

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director Steven J. Shapiro

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.15

Elect Director William E. Wade, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Approve Increase in Common Stock and a Stock Split

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

5

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/22/04 - S

 

Caremark Rx, Inc. *CMX*

 

141705103

 

 

 

 

 

02/05/04

 

 

 

9,000

 

 

 

1

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Issuance of Stock in Connection with Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Preferred Stock

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

4

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Allow Postponement or Adjournment of Special Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

Caremark Rx, Inc. *CMX*

 

141705103

 

 

 

 

 

04/01/04

 

 

 

12,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Carnival Corp. *CCL*

 

143658300

 

 

 

 

 

02/23/04

 

 

 

8,000

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

TO AUTHORIZE THE AUDIT COMMITTEE OF CARNIVAL PLC TO AGREE THE REMUNERATION OF THE INDEPENDENT AUDITORS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

TO RECEIVE THE ACCOUNTS AND REPORTS FOR CARNIVAL PLC FOR THE FINANCIAL PERIOD ENDED NOVEMBER 30, 2003.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

TO APPROVE THE DIRECTORS REMUNERATION REPORT OF CARNIVAL PLC.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

TO APPROVE LIMITS ON THE AUTHORITY TO ALLOT SHARES BY CARNIVAL PLC.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

TO APPROVE THE DISAPPLICATION OF PRE-EMPTION RIGHTS FOR CARNIVAL PLC SHARES.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

6

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/20/04 - A

 

Cendant Corporation *CD*

 

151313103

 

 

 

 

 

02/23/04

 

 

 

14,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Declassify the Board of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

Charles River Laboratories International, Inc. *CRL*

 

159864107

 

 

 

 

 

03/15/04

 

 

 

6,200

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director James C. Foster

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert Cawthorn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Stephen D. Chubb

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director George E. Massaro

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director George M. Milne

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Douglas E. Rogers

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Samuel O. Thier

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director William H. Waltrip

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/22/04 - A

 

Chico’s FAS, Inc. *CHS*

 

168615102

 

 

 

 

 

04/26/04

 

 

 

8,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Change Range for Size of the Board

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/11/03 - A

 

Cisco Systems, Inc. *CSCO*

 

17275R102

 

 

 

 

 

09/12/03

 

 

 

43,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Report on Company Products Used by the Government to Monitor the Internet

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/20/04 - A

 

Citigroup Inc. *C*

 

172967101

 

 

 

 

 

02/27/04

 

 

 

32,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

7

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

Comcast Corp. *CMCSA*

 

20030N101

 

 

 

 

 

03/15/04

 

 

 

22,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Restricted Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Articles/Bylaws/Charter-Non-Routine

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Require Two-Thirds Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Nominate Two Directors for every open Directorships

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Adopt a Recapitalization Plan

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

Cox Communications, Inc. *COX*

 

224044107

 

 

 

 

 

03/19/04

 

 

 

14,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director G. Dennis Berry

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Janet M. Clarke

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director James C. Kennedy

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Robert C. O’Leary

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director James O. Robbins

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Rodney W. Schrock

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Andrew J. Young

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Approve Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

CVS Corporation *CVS*

 

126650100

 

 

 

 

 

03/15/04

 

 

 

21,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

Dean Foods Company *DF*

 

242370104

 

 

 

 

 

03/26/04

 

 

 

8,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/18/03 - A

 

Dell Inc. *DELL*

 

247025109

 

 

 

 

 

05/23/03

 

 

 

13,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Declassify the Board of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Change Company Name

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

8

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/05/04 - A

 

EMC Corp. *EMC*

 

268648102

 

 

 

 

 

03/08/04

 

 

 

21,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

EOG Resources, Inc. *EOG*

 

26875P101

 

 

 

 

 

03/08/04

 

 

 

6,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Other Business

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

Exelon Corp. *EXC*

 

30161N101

 

 

 

 

 

03/01/04

 

 

 

6,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

Exxon Mobil Corp. *XOM*

 

30231G102

 

 

 

 

 

04/05/04

 

 

 

20,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Restricted Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Affirm Political Nonpartisanship

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Equatorial Guinea

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

8

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Amend EEO Statement to Include Reference to Sexual Orientation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Report on Climate Change Research

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Fannie Mae *FNM*

 

313586109

 

 

 

 

 

04/06/04

 

 

 

7,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

9

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/21/04 - A

 

Federated Department Stores, Inc. *FD*

 

31410H101

 

 

 

 

 

04/02/04

 

 

 

7,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/23/04 - A

 

Fifth Third Bancorp *FITB*

 

316773100

 

 

 

 

 

01/30/04

 

 

 

6,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Adopt Sexual Orientation Non-Discrimination Policy

 

 

 

None

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/28/03 - S

 

First Data Corp. *FDC*

 

319963104

 

 

 

 

 

09/08/03

 

 

 

11,100

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

First Data Corp. *FDC*

 

319963104

 

 

 

 

 

03/22/04

 

 

 

13,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/11/03 - A

 

Forest Laboratories, Inc. *FRX*

 

345838106

 

 

 

 

 

06/20/03

 

 

 

7,000

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Howard Solomon

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director William J. Candee, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director George S. Cohan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Dan L. Goldwasser

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Lester B. Salans, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Kenneth E. Goodman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Phillip M. Satow

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/31/04 - A

 

Freddie Mac *FRE*

 

313400301

 

 

 

 

 

02/20/04

 

 

 

6,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

10

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

General Electric Co. *GE*

 

369604103

 

 

 

 

 

03/01/04

 

 

 

30,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Eliminate Animal Testing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Nuclear Fuel Storage Risks

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on PCB Clean-up

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Foreign Outsourcing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Prepare Sustainability Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Limit Composition of Management Development and Compensation Committee to Independent Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

12

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

13

Limit Board Service for Other Companies

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

14

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

15

Hire Advisor/Maximize Shareholder Value

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

16

Adopt a Retention Ratio for Executives and Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

17

Require 70% to 80% Independent Board

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

18

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Gilead Sciences, Inc. *GILD*

 

375558103

 

 

 

 

 

04/05/04

 

 

 

7,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

Guidant Corp. *GDT*

 

401698105

 

 

 

 

 

03/11/04

 

 

 

8,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/27/04 - A

 

Home Depot, Inc. (The) *HD*

 

437076102

 

 

 

 

 

03/29/04

 

 

 

18,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Performance- Based/Indexed Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Adopt ILO Based Code of Conduct

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Severance Agreement (Change-in-Control) to Shareholder Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

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

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

11

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/23/04 - A

 

IAC / INTERACTIVECORP *IACI*

 

45840Q101

 

 

 

 

 

04/29/04

 

 

 

35,000

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Richard N. Barton

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert R. Bennett

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Edgar Bronfman, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Barry Diller

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Victor A. Kaufman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Donald R. Keough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Marie-Josee Kravis

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director John C. Malone

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Steven Rattner

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Gen. H.N. Schwarzkopf

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Alan G. Spoon

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Diane Von Furstenberg

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/07/04 - A

 

Illinois Tool Works Inc. *ITW*

 

452308109

 

 

 

 

 

03/09/04

 

 

 

3,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/02/04 - A

 

Ingersoll-Rand Company Limited *IR*

 

G4776G101

 

 

 

 

 

04/02/04

 

 

 

4,200

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

ADOPTION OF AMENDED AND RESTATED INCENTIVE STOCK PLAN OF 1998.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

APPROVAL OF AMENDED AND RESTATED BYE-LAWS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

SHAREHOLDER PROPOSAL TO DECLASSIFY THE BOARD OF DIRECTORS.

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

SHAREHOLDER PROPOSAL TO CHANGE THE COMPANY S JURISDICTION OF INCORPORATION.

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

SHAREHOLDER PROPOSAL TO REQUIRE THE SEPARATION OF THE CHIEF EXECUTIVE OFFICER AND THE CHAIR OF THE BOARD.

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

12

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

Intel Corp. *INTC*

 

458140100

 

 

 

 

 

03/22/04

 

 

 

27,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Limit/Prohibit Awards to Executives

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Performance- Based/Indexed Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/02/04 - A

 

International Game Technology *IGT*

 

459902102

 

 

 

 

 

01/02/04

 

 

 

14,200

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director G. Thomas Baker

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Neil Barsky

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Robert A. Bittman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Richard R. Burt

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Leslie S. Heisz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Robert A. Mathewson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Thomas J. Matthews

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Robert Miller

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Frederick B. Rentschler

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/11/04 - A

 

International Paper Co. *IP*

 

460146103

 

 

 

 

 

03/17/04

 

 

 

9,400

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Martha F. Brooks

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director James A. Henderson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Robert D. Kennedy

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director W. Craig McClelland

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Robert M. Amen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/11/04 - A

 

ITT Industries, Inc. *ITT*

 

450911102

 

 

 

 

 

03/19/04

 

 

 

7,300

 

 

 

1

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

13

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Johnson & Johnson *JNJ*

 

478160104

 

 

 

 

 

02/24/04

 

 

 

5,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Cease Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

JP Morgan Chase & Co. *JPM*

 

46625H100

 

 

 

 

 

04/02/04

 

 

 

19,570

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Adjourn Meeting

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

6

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Political Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

10

Provide Adequate Disclosure for over the counter Derivatives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Auditor Independence

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

12

Submit Non-Employee Director Compensation to Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

13

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/23/04 - A

 

Kellogg Co. *K*

 

487836108

 

 

 

 

 

03/04/04

 

 

 

7,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Genetically Modified Organisms (GMO)

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/02/04 - A

 

Lehman Brothers Holdings Inc. *LEH*

 

524908100

 

 

 

 

 

02/13/04

 

 

 

3,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/03/04 - A

 

MBNA Corp. *KRB*

 

55262L100

 

 

 

 

 

02/13/04

 

 

 

11,200

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director James H. Berick

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Benjamin R. Civiletti

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Bruce L. Hammonds

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director William L. Jews

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Randolph D. Lerner

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Stuart L. Markowitz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director William B. Milstead

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

14

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/28/03 - A

 

Medtronic, Inc. *MDT*

 

585055106

 

 

 

 

 

07/03/03

 

 

 

4,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Richard H. Anderson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Michael R. Bonsignore

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gordon M. Sprenger

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/11/03 - A

 

Microsoft Corp. *MSFT*

 

594918104

 

 

 

 

 

09/12/03

 

 

 

52,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director William H. Gates, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Steven A. Ballmer

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director James I. Cash, Jr., Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Raymond V. Gilmartin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Ann McLaughlin Korologos

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director David F. Marquardt

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Charles H. Noski

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Dr. Helmut Panke

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Wm. G. Reed, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Jon A. Shirley

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Non-Employee Director Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposal

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Refrain from Giving Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/20/04 - A

 

Morgan Stanley *MWD*

 

617446448

 

 

 

 

 

02/20/04

 

 

 

8,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

4

Submit Severance Agreement (Change-in-Control) to Shareholder Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

15

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/25/03 - A

 

Mylan Laboratories Inc. *MYL*

 

628530107

 

 

 

 

 

05/23/03

 

 

 

8,100

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Milan Puskar

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert J. Coury

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Wendy Cameron

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Laurence S. DeLynn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director John C. Gaisford, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Douglas J. Leech

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Joseph C. Maroon, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Patricia A. Sunseri

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director C.B. Todd

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Randall L. Vanderveen, Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Stuart A. Williams, Esq.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

09/26/03 - A

 

National Semiconductor Corp. *NSM*

 

637640103

 

 

 

 

 

08/14/03

 

 

 

8,400

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Brian L. Halla

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Steven R. Appleton

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gary P. Arnold

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Richard J. Danzig

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Robert J. Frankenberg

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director E. Floyd Kvamme

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Modesto A. Maidique

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Edward R. Mccracken

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

16

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

02/17/04 - A

 

Navistar International Corp. *NAV*

 

63934E108

 

 

 

 

 

01/05/04

 

 

 

5,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/15/03 - A

 

News Corporation Ltd.

 

652487703

 

 

 

 

 

10/13/03

 

 

 

7,000

 

 

 

1

Elect Lachlan Murdoch as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Thomas Perkins as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Elect Stanley Shuman as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Elect Arthur Siskind as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Approve Stock Option Plan Grants to Executive Directors

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

6

Approve Remuneration of Directors in the Amount of Up to AUD 1.85 Million

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

09/22/03 - A

 

Nike, Inc. *NKE*

 

654106103

 

 

 

 

 

07/25/03

 

 

 

3,700

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Thomas E. Clarke as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Ralph D. DeNunzio as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Richard K. Donahue as Class A Director

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Delbert J. Hayes as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Douglas G. Houser as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Jeanne P. Jackson as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Philip H. Knight as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Charles W. Robinson as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director John R. Thompson, Jr. as Class A Director

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Jill K. Conway as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Alan B. Graf, Jr. as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director John E. Jaqua as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director A. Michael Spence as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

17

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/22/04 - A

 

Nordstrom, Inc. *JWN*

 

655664100

 

 

 

 

 

03/17/04

 

 

 

13,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

02/24/04 - A

 

Novartis AG

 

66987V109

 

 

 

 

 

01/30/04

 

 

 

22,500

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR 2003.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

APPROVAL OF THE ACTIVITIES OF THE BOARD OF DIRECTORS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

CONVERSION OF GENERAL RESERVES INTO FREE RESERVES.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

REDUCTION OF SHARE CAPITAL.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

FURTHER SHARE REPURCHASE PROGRAM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

AMENDMENT TO THE ARTICLES OF INCORPORATION.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/06/04 - A

 

Peabody Energy Corp. *BTU*

 

704549104

 

 

 

 

 

03/15/04

 

 

 

1,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

18

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/30/04 - A

 

Pentair, Inc. *PNR*

 

709631105

 

 

 

 

 

03/01/04

 

 

 

12,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Outside Director Stock Options in Lieu of Cash

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Employee Stock Purchase Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

5

Approve Employee Stock Purchase Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

6

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/05/04 - A

 

PepsiCo, Inc. *PEP*

 

713448108

 

 

 

 

 

03/12/04

 

 

 

15,410

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

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

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

PerkinElmer Inc. *PKI*

 

714046109

 

 

 

 

 

02/27/04

 

 

 

12,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Pfizer Inc. *PFE*

 

717081103

 

 

 

 

 

02/27/04

 

 

 

30,985

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

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

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Cease Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Drug Pricing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Amend Animal Testing Policy

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Qwest Communications International Inc. *Q*

 

749121109

 

 

 

 

 

03/26/04

 

 

 

59,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Declassify the Board of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

4

Submit Executive Pension Benefit to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

19

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/11/04 - A

 

Radian Group Inc. *RDN*

 

750236101

 

 

 

 

 

03/15/04

 

 

 

5,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Articles

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/20/04 - A

 

Sandisk Corp. *SNDK*

 

80004C101

 

 

 

 

 

03/30/04

 

 

 

12,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

01/26/04 - A

 

Sanmina-SCI Corp. *SANM*

 

800907107

 

 

 

 

 

12/01/03

 

 

 

33,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/30/04 - A

 

SBC Communications Inc. *SBC*

 

78387G103

 

 

 

 

 

03/02/04

 

 

 

18,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Bylaws

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Change Size of Board of Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/30/04 - A

 

Starbucks Corp. *SBUX*

 

855244109

 

 

 

 

 

01/26/04

 

 

 

7,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/21/03 - A

 

Symantec Corp. *SYMC*

 

871503108

 

 

 

 

 

07/08/03

 

 

 

4,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Stock Option Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/27/03 - S

 

Teva Pharmaceutical Industries

 

881624209

 

 

 

 

 

09/18/03

 

 

 

4,300

 

 

 

1

Elect G. Shalev as an External Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Increase in Remuneration of Directors other than the Chairman

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

20

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/15/04 - A

 

Texas Instruments Inc. *TXN*

 

882508104

 

 

 

 

 

02/17/04

 

 

 

8,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

The Allstate Corp. *ALL*

 

020002101

 

 

 

 

 

03/19/04

 

 

 

6,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/13/04 - A

 

The Bank Of New York Co., Inc. *BK*

 

064057102

 

 

 

 

 

02/23/04

 

 

 

16,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Report on Political Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Limit Composition of Committee to Independent Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

The Coca-Cola Company *KO*

 

191216100

 

 

 

 

 

02/23/04

 

 

 

15,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Herbert A. Allen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Ronald W. Allen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Cathleen P. Black

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Warren E. Buffett

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Douglas N. Daft

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Barry Diller

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Donald R. Keough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Susan Bennett King

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Maria Elena Lagomasino

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Donald F. Mchenry

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Robert L. Nardelli

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Sam Nunn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director J. Pedro Reinhard

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director James D. Robinson III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.15

Elect Director Peter V. Ueberroth

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.16

Elect Director James B. Williams

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Operational Impact of HIV/AIDS Pandemic

 

 

 

For

 

For

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Executive Compensation to Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Implement China Principles

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

21

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

The Dow Chemical Company *DOW*

 

260543103

 

 

 

 

 

03/15/04

 

 

 

15,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Declassify the Board of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Report on Social Initiatives in Bhopal

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

The Gap, Inc. *GPS*

 

364760108

 

 

 

 

 

03/15/04

 

 

 

13,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/20/04 - A

 

The Hartford Financial Services Group, Inc. *HIG*

 

416515104

 

 

 

 

 

03/22/04

 

 

 

11,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/14/03 - A

 

The Procter & Gamble Company *PG*

 

742718109

 

 

 

 

 

08/01/03

 

 

 

6,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Label Genetically Engineered Foods

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

22

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

The Sherwin-Williams Co. *SHW*

 

824348106

 

 

 

 

 

02/23/04

 

 

 

7,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director James C. Boland

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director John G. Breen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Duane E. Collins

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Christopher M. Connor

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Daniel E. Evans

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Susan J. Kropf

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Robert W. Mahoney

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Gary E. McCullough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director A. Malachi Mixon, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Curtis E. Moll

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Joseph M. Scaminace

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Richard K. Smucker

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Amend Bylaws

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Amend Bylaws

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Nomination Procedures for the Board

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/03/04 - A

 

The Walt Disney Company *DIS*

 

254687106

 

 

 

 

 

01/16/04

 

 

 

37,700

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director John E. Bryson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director John S. Chen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Michael D. Eisner

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Judith L. Estrin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Robert A. Iger

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Aylwin B. Lewis

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Monica C. Lozano

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Robert W. Matschullat

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director George J. Mitchell

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Leo J. O’Donovan, S.J.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Gary L. Wilson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

China Principles

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Supplier Labor Standards in China

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Amusement Park Safety

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

23

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/06/04 - A

 

Tom Brown, Inc.

 

115660201

 

 

 

 

 

03/09/04

 

 

 

8,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director David M. Carmichael

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Henry Groppe

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Edward W. LeBaron, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director James D. Lightner

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director John C. Linehan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Wayne W. Murdy

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director James B. Wallace

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Robert H. Whilden, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/06/04 - A

 

United Parcel Service, Inc. *UPS*

 

911312106

 

 

 

 

 

03/08/04

 

 

 

3,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/14/04 - A

 

United Technologies Corp. *UTX*

 

913017109

 

 

 

 

 

02/17/04

 

 

 

6,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Disclosure of Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Develop Ethical Criteria for Military Contracts

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Performance-Based/Indexed Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

Univision Communications Inc. *UVN*

 

914906102

 

 

 

 

 

03/15/04

 

 

 

6,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

24

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

Verizon Communications *VZ*

 

92343V104

 

 

 

 

 

03/01/04

 

 

 

21,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Restore or Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

8

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Cease Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/20/04 - A

 

Wachovia Corp. *WB*

 

929903102

 

 

 

 

 

02/18/04

 

 

 

8,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Require Two Candidates for Each Board Seat

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/06/03 - A

 

Wal-Mart Stores, Inc. *WMT*

 

931142103

 

 

 

 

 

04/08/03

 

 

 

11,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Auditor from Providing Non-Audit Services

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Performance-Based/Indexed Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on Impact of Genetically Engineered Foods

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on EEOC-Related Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Implement and Monitor Code of Corporate Conduct - ILO Standards

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/28/04 - S

 

WellPoint Health Networks Inc. *WLP*

 

94973H108

 

 

 

 

 

05/10/04

 

 

 

2,700

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

25

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

Wells Fargo & Company *WFC*

 

949746101

 

 

 

 

 

03/09/04

 

 

 

12,700

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director J.A. Blanchard III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Susan E. Engel

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Enrique Hernandez, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Robert L. Joss

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Reatha Clark King

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Richard M. Kovacevich

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Richard D. McCormick

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Cynthia H. Milligan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Philip J. Quigley

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Donald B. Rice

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Judith M. Runstad

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Stephen W. Sanger

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director Susan G. Swenson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director Michael W. Wright

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Approve Retirement Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Link Executive Compensation to Social Issues

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/22/04 - A

 

Whole Foods Market, Inc. *WFMI*

 

966837106

 

 

 

 

 

01/22/04

 

 

 

3,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/07/04 - A

 

WILLIS GROUP HOLDINGS LTD *WSH*

 

G96655108

 

 

 

 

 

03/09/04

 

 

 

14,500

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/21/04 - A

 

Yahoo!, Inc. *YHOO*

 

984332106

 

 

 

 

 

03/25/04

 

 

 

14,700

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

26


Vote Summary Report

Jul 01, 2003 - Jun 30, 2004

 

State Street Research Legacy Fund

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

Allergan, Inc. *AGN*

 

018490102

 

 

 

 

 

03/08/04

 

 

 

28,600

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Handel E. Evans

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Michael R. Gallagher

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gavin S. Herbert

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Stephen J. Ryan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/26/04 - A

 

American Express Co. *AXP*

 

025816109

 

 

 

 

 

02/27/04

 

 

 

112,450

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

American International Group, Inc. *AIG*

 

026874107

 

 

 

 

 

03/26/04

 

 

 

101,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Divest from Tobacco Equities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Link Executive Compensation to Predatory Lending

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/10/04 - A

 

American Power Conversion Corp. *APCC*

 

029066107

 

 

 

 

 

04/14/04

 

 

 

148,000

 

 

 

1

Fix Number of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

2.1

Elect Director Rodger B. Dowdell, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.2

Elect Director Emanuel E. Landsman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.3

Elect Director Neil E. Rasmussen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.4

Elect Director Ervin F. Lyon

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2.5

Elect Director James D. Gerson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.6

Elect Director John G. Kassakian

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.7

Elect Director John F. Keane, Sr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.8

Elect Director Ellen B. Richstone

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

Mgmt Rec - Company Management Recommended Vote

 

1

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

Amgen, Inc. *AMGN*

 

031162100

 

 

 

 

 

03/19/04

 

 

 

78,150

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Frank J. Biondi, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Jerry D. Choate

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Frank C. Herringer

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Gilbert S. Omenn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Prepare Glass Ceiling Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

12/18/03 - S

 

Apache Corp. *APA*

 

037411105

 

 

 

 

 

10/29/03

 

 

 

38,500

 

 

 

1

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/24/04 - A

 

Applied Materials, Inc. *AMAT*

 

038222105

 

 

 

 

 

01/30/04

 

 

 

187,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/24/03 - A

 

Best Buy Co., Inc. *BBY*

 

086516101

 

 

 

 

 

05/02/03

 

 

 

54,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Robert T. Blanchard

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Elliot S. Kaplan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Richard M. Schulze

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Hatim A. Tyabji

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Approve Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

2

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

Burlington Resources Inc. *BR*

 

122014103

 

 

 

 

 

02/23/04

 

 

 

49,200

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Barbara T. Alexander

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Reuben V. Anderson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Laird I. Grant

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Robert J. Harding

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director John T. LaMacchia

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Randy L. Limbacher

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director James F. McDonald

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Kenneth W. Orce

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Donald M. Roberts

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director James A. Runde

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director John F. Schwarz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Walter Scott, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director Bobby S. Shackouls

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director Steven J. Shapiro

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.15

Elect Director William E. Wade, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Approve Increase in Common Stock and a Stock Split

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/26/04 - A

 

Caesar’s Entertainment *CZR*

 

127687101

 

 

 

 

 

04/06/04

 

 

 

295,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/29/04 - A

 

Capital One Financial Corp. *COF*

 

14040H105

 

 

 

 

 

02/29/04

 

 

 

34,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/21/04 - A

 

Career Education Corp. *CECO*

 

141665109

 

 

 

 

 

03/23/04

 

 

 

104,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

3

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

Charles River Laboratories International, Inc. *CRL*

 

159864107

 

 

 

 

 

03/15/04

 

 

 

80,000

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director James C. Foster

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert Cawthorn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Stephen D. Chubb

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director George E. Massaro

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director George M. Milne

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Douglas E. Rogers

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Samuel O. Thier

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director William H. Waltrip

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/27/04 - A

 

Chiron Corp. *CHIR*

 

170040109

 

 

 

 

 

03/29/04

 

 

 

62,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/11/03 - A

 

Cisco Systems, Inc. *CSCO*

 

17275R102

 

 

 

 

 

09/12/03

 

 

 

633,080

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Report on Company Products Used by the Government to Monitor the Internet

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/20/04 - A

 

Citigroup Inc. *C*

 

172967101

 

 

 

 

 

02/27/04

 

 

 

141,506

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/05/03 - A

 

Coach, Inc. *COH*

 

189754104

 

 

 

 

 

09/17/03

 

 

 

28,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/19/04 - A

 

Cypress Semiconductor Corp. *CY*

 

232806109

 

 

 

 

 

03/01/04

 

 

 

12,148

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

07/18/03 - A

 

Dell Inc. *DELL*

 

247025109

 

 

 

 

 

05/23/03

 

 

 

92,500

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Declassify the Board of Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Change Company Name

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

4

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/11/03 - A

 

Devon Energy Corp. *DVN*

 

25179M103

 

 

 

 

 

05/05/03

 

 

 

56,361

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Dollar General Corp. *DG*

 

256669102

 

 

 

 

 

03/22/04

 

 

 

120,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

EOG Resources, Inc. *EOG*

 

26875P101

 

 

 

 

 

03/08/04

 

 

 

72,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Other Business

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/08/03 - S

 

Expedia Inc

 

302125109

 

 

 

 

 

06/25/03

 

 

 

9,300

 

 

 

1

Approve Merger Agreement

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/05/04 - A

 

Expeditors International Of Washington, Inc. *EXPD*

 

302130109

 

 

 

 

 

03/10/04

 

 

 

41,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/04/04 - A

 

Fairchild Semiconductor International, Inc. *FCS*

 

303726103

 

 

 

 

 

03/10/04

 

 

 

140,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Fannie Mae *FNM*

 

313586109

 

 

 

 

 

04/06/04

 

 

 

34,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

5

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/11/03 - A

 

Forest Laboratories, Inc. *FRX*

 

345838106

 

 

 

 

 

06/20/03

 

 

 

64,000

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Howard Solomon

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director William J. Candee, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director George S. Cohan

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Dan L. Goldwasser

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Lester B. Salans, M.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Kenneth E. Goodman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Phillip M. Satow

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/16/04 - WC

 

Genentech, Inc. *DNA*

 

368710406

 

 

 

 

 

02/17/04

 

 

 

43,800

 

 

 

1

Amend Articles/Bylaws/Charter-Non-Routine

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

2.1

Elect Director Herbert W. Boyer

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2.2

Elect Director Arthur D. Levinson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.3

Elect Director Mark Richmond

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.4

Elect Director Charles A. Sanders

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.5

Elect Director William M. Burns

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.6

Elect Director Erich Hunziker

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2.7

Elect Director Jonathan K.C. Knowles

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

3

Elect Director M. Burns

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Elect Director Erich Hunziker

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Elect Director Jonathan K.C. Knowles

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

Approve Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

8

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

General Electric Co. *GE*

 

369604103

 

 

 

 

 

03/01/04

 

 

 

211,830

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Provide for Cumulative Voting

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Eliminate Animal Testing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Nuclear Fuel Storage Risks

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on PCB Clean-up

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Foreign Outsourcing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Prepare Sustainability Report

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Limit Composition of Management Development and Compensation Committee to Independent Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

11

Report on Pay Disparity

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

12

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

13

Limit Board Service for Other Companies

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

14

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

15

Hire Advisor/Maximize Shareholder Value

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

16

Adopt a Retention Ratio for Executives and Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

17

Require 70% to 80% Independent Board

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

18

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

6

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/25/04 - A

 

Gilead Sciences, Inc. *GILD*

 

375558103

 

 

 

 

 

04/05/04

 

 

 

25,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/18/04 - A

 

Guidant Corp. *GDT*

 

401698105

 

 

 

 

 

03/11/04

 

 

 

28,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/23/04 - A

 

IAC / INTERACTIVECORP *IACI*

 

45840Q101

 

 

 

 

 

04/29/04

 

 

 

242,523

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Richard N. Barton

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Robert R. Bennett

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Edgar Bronfman, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Barry Diller

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Victor A. Kaufman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Donald R. Keough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Marie-Josee Kravis

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director John C. Malone

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Steven Rattner

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Gen. H.N. Schwarzkopf

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Alan G. Spoon

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Diane Von Furstenberg

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

Intel Corp. *INTC*

 

458140100

 

 

 

 

 

03/22/04

 

 

 

334,060

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Limit/Prohibit Awards to Executives

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

6

Performance- Based/Indexed Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

7

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/02/04 - A

 

International Game Technology *IGT*

 

459902102

 

 

 

 

 

01/02/04

 

 

 

193,200

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director G. Thomas Baker

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Neil Barsky

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Robert A. Bittman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Richard R. Burt

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Leslie S. Heisz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Robert A. Mathewson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Thomas J. Matthews

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Robert Miller

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Frederick B. Rentschler

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/29/04 - A

 

Invitrogen Corp. *IVGN*

 

46185R100

 

 

 

 

 

02/27/04

 

 

 

31,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Johnson & Johnson *JNJ*

 

478160104

 

 

 

 

 

02/24/04

 

 

 

73,820

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Cease Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/16/04 - S

 

Juniper Networks, Inc. *JNPR*

 

48203R104

 

 

 

 

 

03/10/04

 

 

 

4,200

 

 

 

1

Issue Shares in Connection with an Acquisition

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/05/03 - A

 

Linear Technology Corp. *LLTC*

 

535678106

 

 

 

 

 

09/08/03

 

 

 

127,800

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Robert H. Swanson, Jr.

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director David S. Lee

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Leo T. McCarthy

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Richard M. Moley

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Thomas S. Volpe

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

8

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/28/04 - A

 

Lowe *LOW*

 

548661107

 

 

 

 

 

04/01/04

 

 

 

79,500

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Leonard L. Berry

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Paul Fulton

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Dawn E. Hudson

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Marshall O. Larsen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Robert A. Niblock

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Stephen F. Page

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director O. Temple Sloan, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Robert L. Tillman

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/27/04 - A

 

Manpower Inc. *MAN*

 

56418H100

 

 

 

 

 

02/17/04

 

 

 

74,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/03/04 - A

 

MBNA Corp. *KRB*

 

55262L100

 

 

 

 

 

02/13/04

 

 

 

199,700

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director James H. Berick

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Benjamin R. Civiletti

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Bruce L. Hammonds

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director William L. Jews

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Randolph D. Lerner

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Stuart L. Markowitz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director William B. Milstead

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

9

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

08/28/03 - A

 

Medtronic, Inc. *MDT*

 

585055106

 

 

 

 

 

07/03/03

 

 

 

135,790

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Richard H. Anderson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Michael R. Bonsignore

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gordon M. Sprenger

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/11/03 - A

 

Microsoft Corp. *MSFT*

 

594918104

 

 

 

 

 

09/12/03

 

 

 

663,540

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director William H. Gates, III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Steven A. Ballmer

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director James I. Cash, Jr., Ph.D.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Raymond V. Gilmartin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Ann McLaughlin Korologos

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director David F. Marquardt

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Charles H. Noski

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Dr. Helmut Panke

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Wm. G. Reed, Jr.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Jon A. Shirley

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Non-Employee Director Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposal

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Refrain from Giving Charitable Contributions

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/07/04 - A

 

Millennium Pharmaceuticals, Inc. *MLNM*

 

599902103

 

 

 

 

 

03/10/04

 

 

 

158,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/28/04 - A

 

Millipore Corp. *MIL*

 

601073109

 

 

 

 

 

03/05/04

 

 

 

34,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

10

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/03/03 - A

 

Nabors Industries, Ltd. *NBR*

 

G6359F103

 

 

 

 

 

04/10/03

 

 

 

40,600

 

 

 

1

Reelect E. Isenberg and J. Wexler as Class III Directors to Serve until the 2006 Annual General Meeting

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Appoint PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve 2003 Employee Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

4

Transact Other Business (Non-Voting)

 

 

 

None

 

None

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/01/04 - A

 

Nabors Industries, Ltd. *NBR*

 

G6359F103

 

 

 

 

 

04/08/04

 

 

 

55,000

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

SHAREHOLDER PROPOSAL TO CHANGE NABORS JURISDICTION OF INCORPORATION FROM BERMUDA TO DELAWARE.

 

 

 

Against

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

09/26/03 - A

 

National Semiconductor Corp. *NSM*

 

637640103

 

 

 

 

 

08/14/03

 

 

 

7,874

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Brian L. Halla

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Steven R. Appleton

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Gary P. Arnold

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Richard J. Danzig

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Robert J. Frankenberg

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director E. Floyd Kvamme

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Modesto A. Maidique

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Edward R. Mccracken

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/06/04 - A

 

Newfield Exploration Co. *NFX*

 

651290108

 

 

 

 

 

03/19/04

 

 

 

59,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/15/03 - A

 

News Corporation Ltd.

 

652487703

 

 

 

 

 

10/13/03

 

 

 

68,583

 

 

 

1

Elect Lachlan Murdoch as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Elect Thomas Perkins as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Elect Stanley Shuman as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Elect Arthur Siskind as Director

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Approve Stock Option Plan Grants to Executive Directors

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

6

Approve Remuneration of Directors in the Amount of Up to AUD 1.85 Million

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

11

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

09/22/03 - A

 

Nike, Inc. *NKE*

 

654106103

 

 

 

 

 

07/25/03

 

 

 

28,600

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Thomas E. Clarke as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Ralph D. DeNunzio as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Richard K. Donahue as Class A Director

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Delbert J. Hayes as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Douglas G. Houser as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Jeanne P. Jackson as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Philip H. Knight as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Charles W. Robinson as Class A Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director John R. Thompson, Jr. as Class A Director

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Jill K. Conway as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Alan B. Graf, Jr. as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director John E. Jaqua as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director A. Michael Spence as Class B Director

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Amend Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/22/04 - A

 

Nordstrom, Inc. *JWN*

 

655664100

 

 

 

 

 

03/17/04

 

 

 

89,200

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

12

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

02/24/04 - A

 

Novartis AG

 

66987V109

 

 

 

 

 

01/30/04

 

 

 

152,600

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR 2003.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

APPROVAL OF THE ACTIVITIES OF THE BOARD OF DIRECTORS.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

CONVERSION OF GENERAL RESERVES INTO FREE RESERVES.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

REDUCTION OF SHARE CAPITAL.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

FURTHER SHARE REPURCHASE PROGRAM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

AMENDMENT TO THE ARTICLES OF INCORPORATION.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

8

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

9

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

10

ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM.

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

11

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/22/04 - A

 

Pfizer Inc. *PFE*

 

717081103

 

 

 

 

 

02/27/04

 

 

 

415,154

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

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

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Cease Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Report on Political Contributions/Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Establish Term Limits for Directors

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on Drug Pricing

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Limit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Amend Animal Testing Policy

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

13

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/14/04 - A

 

PMC-Sierra, Inc. *PMCS*

 

69344F106

 

 

 

 

 

03/15/04

 

 

 

144,300

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Robert Bailey

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Alexandre Balkanski

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Richard Belluzzo

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director James Diller

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Jonathan Judge

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director William Kurtz

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Frank Marshall

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Lewis Wilks

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/02/04 - A

 

QUALCOMM Inc. *QCOM*

 

747525103

 

 

 

 

 

01/02/04

 

 

 

67,900

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Adelia A. Coffman

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Raymond V. Dittamore

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Irwin Mark Jacobs

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Richard Sulpizio

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

01/26/04 - A

 

Sanmina-SCI Corp. *SANM*

 

800907107

 

 

 

 

 

12/01/03

 

 

 

319,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/06/04 - A

 

Sap Ag

 

803054204

 

 

 

 

 

03/30/04

 

 

 

165,270

 

 

 

 

Meeting for Holders of ADRs

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1

RESOLUTION ON THE APPROPRIATION OF THE RETAINED EARNINGS OF THE FISCAL YEAR 2003

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

RESOLUTION ON THE FORMAL APPROVAL OF THE ACTS OF THE EXECUTIVE BOARD IN THE FISCAL YEAR 2003

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

RESOLUTION ON THE FORMAL APPROVAL OF THE ACTS OF THE SUPERVISORY BOARD IN THE FISCAL YEAR 2003

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

RESOLUTION ON ADJUSTMENTS TO SECTION 4 OF THE ARTICLES OF ASSOCIATION

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

RESOLUTION ON THE AUTHORIZATION TO ACQUIRE AND USE TREASURY SHARES

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

7

RESOLUTION ON THE AUTHORIZATION TO USE EQUITY DERIVATIVES IN CONNECTION WITH THE ACQUISITION OF TREASURY SHARES

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

14

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/13/04 - A

 

SLM Corp. *SLM*

 

78442P106

 

 

 

 

 

03/15/04

 

 

 

107,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

St. Jude Medical, Inc. *STJ*

 

790849103

 

 

 

 

 

03/15/04

 

 

 

23,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Increase Authorized Common Stock

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/17/04 - A

 

Staples, Inc. *SPLS*

 

855030102

 

 

 

 

 

04/19/04

 

 

 

124,100

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

5

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

6

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

8

Limit Executive Compensation

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Prohibit Auditor from Providing Non-Audit Services

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/30/04 - A

 

Starbucks Corp. *SBUX*

 

855244109

 

 

 

 

 

01/26/04

 

 

 

104,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/19/04 - A

 

Target Corporation *TGT*

 

87612E106

 

 

 

 

 

03/22/04

 

 

 

138,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Amend Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/15/04 - A

 

Texas Instruments Inc. *TXN*

 

882508104

 

 

 

 

 

02/17/04

 

 

 

169,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Expense Stock Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

15

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11/19/03 - A

 

The Clorox Company *CLX*

 

189054109

 

 

 

 

 

09/22/03

 

 

 

64,000

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Approve Deferred Compensation Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

04/21/04 - A

 

The Coca-Cola Company *KO*

 

191216100

 

 

 

 

 

02/23/04

 

 

 

135,100

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director Herbert A. Allen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director Ronald W. Allen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Cathleen P. Black

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Warren E. Buffett

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Douglas N. Daft

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Barry Diller

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Donald R. Keough

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Susan Bennett King

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director Maria Elena Lagomasino

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Donald F. Mchenry

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Robert L. Nardelli

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.12

Elect Director Sam Nunn

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.13

Elect Director J. Pedro Reinhard

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.14

Elect Director James D. Robinson III

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.15

Elect Director Peter V. Ueberroth

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.16

Elect Director James B. Williams

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Report on Operational Impact of HIV/AIDS Pandemic

 

 

 

For

 

For

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Stock Option Distribution by Race and Gender

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Awards to Executives

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

7

Submit Executive Compensation to Vote

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Implement China Principles

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Separate Chairman and CEO Positions

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/31/04 - A

 

The Goldman Sachs Group, Inc. *GS*

 

38141G104

 

 

 

 

 

02/02/04

 

 

 

50,900

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

16

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10/14/03 - A

 

The Procter & Gamble Company *PG*

 

742718109

 

 

 

 

 

08/01/03

 

 

 

98,800

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Non-Employee Director Omnibus Stock Plan

 

 

 

For

 

Against

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Declassify the Board of Directors

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Label Genetically Engineered Foods

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/03/04 - A

 

The Walt Disney Company *DIS*

 

254687106

 

 

 

 

 

01/16/04

 

 

 

371,300

 

 

 

1

Elect Directors

 

 

 

For

 

Split

 

 

 

Mgmt

 

 

 

 

 

1.1

Elect Director John E. Bryson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.2

Elect Director John S. Chen

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.3

Elect Director Michael D. Eisner

 

 

 

Withhold

 

 

 

 

 

 

 

 

 

 

 

1.4

Elect Director Judith L. Estrin

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.5

Elect Director Robert A. Iger

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.6

Elect Director Aylwin B. Lewis

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.7

Elect Director Monica C. Lozano

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.8

Elect Director Robert W. Matschullat

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.9

Elect Director George J. Mitchell

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.10

Elect Director Leo J. O’Donovan, S.J.

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

1.11

Elect Director Gary L. Wilson

 

 

 

For

 

 

 

 

 

 

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

China Principles

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

4

Report on Supplier Labor Standards in China

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Report on Amusement Park Safety

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/12/04 - A

 

Univision Communications Inc. *UVN*

 

914906102

 

 

 

 

 

03/15/04

 

 

 

88,457

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Approve Omnibus Stock Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

17

 

Mtg
Date/Type

 

Company/
Ballot Issues

 

Security

 

Mgmt
Rec

 

Vote
Cast

 

Record
Date

 

Prpnent

 

Shares
Voted

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

06/06/03 - A

 

Wal-Mart Stores, Inc. *WMT*

 

931142103

 

 

 

 

 

04/08/03

 

 

 

130,400

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Executive Incentive Bonus Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

 

Shareholder Proposals

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4

Require Majority of Independent Directors on Board

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

5

Prohibit Auditor from Providing Non-Audit Services

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

6

Performance-Based/Indexed Options

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

7

Report on Impact of Genetically Engineered Foods

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

8

Report on EEOC-Related Activities

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

9

Implement and Monitor Code of Corporate Conduct - ILO Standards

 

 

 

Against

 

Against

 

 

 

ShrHoldr

 

 

 

 

 

10

Submit Executive Compensation to Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

03/22/04 - A

 

Whole Foods Market, Inc. *WFMI*

 

966837106

 

 

 

 

 

01/22/04

 

 

 

9,600

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Stock Option Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Submit Shareholder Rights Plan (Poison Pill) to Shareholder Vote

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

05/21/04 - A

 

Yahoo!, Inc. *YHOO*

 

984332106

 

 

 

 

 

03/25/04

 

 

 

161,300

 

 

 

1

Elect Directors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

2

Amend Employee Stock Purchase Plan

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

3

Ratify Auditors

 

 

 

For

 

For

 

 

 

Mgmt

 

 

 

 

 

4

Expense Stock Options

 

 

 

Against

 

For

 

 

 

ShrHoldr

 

 

 

 

18

 

SIGNATURES

 

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

 

 

(Registrant)

State Street Research Securities Trust

 

By (signature and title)*

/s/  Richard S. Davis

 

 

 

Richard S. Davis, Principal Executive Officer

 

Date

August 31, 2004

 

*Print the name and title of each signing officer under his or her signature.

 

19

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