-----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, T0ZigsZK/zH77OPEZxkuvpgHhqKn5hD+MPZO29wlEU+Hf9hUS9mGMXjBT2pRdBV8 JK5dRyK9a02mLdyCQBCgkw== 0001111830-04-000242.txt : 20040819 0001111830-04-000242.hdr.sgml : 20040819 20040819125954 ACCESSION NUMBER: 0001111830-04-000242 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040819 EFFECTIVENESS DATE: 20040819 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OAK VALUE TRUST CENTRAL INDEX KEY: 0000941722 IRS NUMBER: 311435225 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-09000 FILM NUMBER: 04985747 BUSINESS ADDRESS: STREET 1: 3100 TOWER BLVD STREET 2: STE 700 CITY: DURHAM STATE: NC ZIP: 27707 BUSINESS PHONE: 9194191900 MAIL ADDRESS: STREET 1: 135 MERCHANT STREET STREET 2: SUITE 230 CITY: CINCINNATI STATE: OH ZIP: 45246 FORMER COMPANY: FORMER CONFORMED NAME: TUSCARORA INVESTMENT TRUST DATE OF NAME CHANGE: 19950316 N-PX 1 npx-0604.txt OAK VALUE TRUST - N-PX -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: March 31, 2006 Estimated average burden hours per response 14.4 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-09000 __________________________________________ Oak Value Trust _____________________________________________________________________________ Exact name of registrant as specified in charter) 3100 Tower Boulevard, Suite 700 Durham, NC 27707 _____________________________________________________________________________ (Address of principal executive offices) Larry D. Coats, Jr. 3100 Tower Boulevard, Suite 700 Durham, NC 27707 _____________________________________________________________________________ (Name and address of agent for service) Registrant's telephone number, including area code: 919-419-1900 _________________________ Date of fiscal year end: June 30, 2004 ________________________________ Date of reporting period: July 1, 2003 - June 30, 2004 ________________________________ Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507. SEC 2451 (4-03) Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. ITEM 1. PROXY VOTING RECORD: Appended hereto as Exhibit A is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2004 with respect to which the Registrant was entitled to vote: (a) The name of the issuer of the portfolio security; (b) The exchange ticker symbol of the portfolio security; (c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security; (d) The shareholder meeting date; (e) A brief identification of the matter voted on; (f) Whether the matter was proposed by the issuer or by a security holder; (g) Whether the Registrant cast its vote on the matter; (h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and (i) Whether the Registrant cast its vote for or against management. SIGNATURES ---------- [See General Instruction F] Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) Oak Value Trust _________________________________________________________________ By (Signature and Title)* /s/ Larry D. Coats, Jr. ____________________________________________________ Larry D. Coats, Jr., President Date: August 18, 2004 _______________________________________________________________________ * Print the name and title of each signing officer under his or her signature. EXHIBIT A - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CONSTELLATION STZ Annual Meeting BRANDS, INC. Date: 07/15/2003 Issuer: 21036P306 Holdings Reconciliation Date: 05/20/2003 Country: Vote Deadline UNITED Date: 07/15/2003 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932016555 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 Withheld For ELECTION OF DIRECTORS 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 451,200 451,200 06/17/2003 07/08/2003 07/08/2003 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CHARTER CHTR Annual Meeting COMMUNICATIONS, INC. Date: 07/23/2003 Issuer: 16117M107 Holdings Reconciliation Date: 05/27/2003 Country: Vote Deadline UNITED Date: 07/23/2003 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932016024 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 Withheld For ELECTION OF DIRECTORS 02 For For AMEND OMNIBUS STOCK OPTION PLAN 03 For For AMEND OMNIBUS STOCK OPTION PLAN 04 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 3,010,125 3,010,125 06/23/2003 07/07/2003 07/07/2003 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- ZALE CORPORATION ZLC Annual Meeting Date: 11/06/2003 Issuer: 988858106 Holdings Reconciliation Date: 09/16/2003 Country: Vote Deadline UNITED Date: 11/06/2003 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932052614 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 For For ADOPT INCENTIVE STOCK OPTION PLAN 03 For For APPROVE EXECUTIVE BONUS PLAN 04 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 306,875 306,875 10/08/2003 11/04/2003 11/04/2003 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- THE WALT DISNEY DIS Annual Meeting COMPANY Date: 03/03/2004 Issuer: 254687106 Holdings Reconciliation Date: 01/16/2004 Country: Vote Deadline UNITED Date: 03/03/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932078175 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS Withheld JOHN E. BRYSON For JOHN S. CHEN Withheld MICHAEL D. EISNER For JUDITH L. ESTRIN Withheld ROBERT A. IGER For AYLWIN B. LEWIS Withheld MONICA C. LOZANO For ROBERT W. MATSCHULLAT Withheld GEORGE J. MITCHELL Withheld LEO J. O'DONOVAN, S.J. Withheld GARY L. WILSON 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 03 Against Against S/H PROPOSAL - HUMAN RIGHTS RELATED 04 Against Against S/H PROPOSAL - HUMAN RIGHTS RELATED 05 Against Against S/H PROPOSAL - BUSINESS/INVESTMENT Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 150,000 150,000 02/02/2004 03/02/2004 03/02/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- HEWLETT-PACKARD HPQ Annual Meeting COMPANY Date: 03/17/2004 Issuer: 428236103 Holdings Reconciliation Date: 01/20/2004 Country: Vote Deadline UNITED Date: 03/17/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932086982 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS For L.T. BABBIO, JR. For P.C. DUNN For C.S. FIORINA For R.A. HACKBORN For G.A. KEYWORTH II For R.E. KNOWLING, JR. Withheld S.M. LITVACK For R.L. RYAN For L.S. SALHANY 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 03 Against For ADOPT OMNIBUS STOCK OPTION PLAN 04 For Against S/H PROPOSAL - PROXY PROCESS/STATEMENT Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 308,075 308,075 01/28/2004 03/08/2004 03/08/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- THE E.W. SCRIPPS SSP Annual Meeting COMPANY Date: 04/15/2004 Issuer: 811054204 Holdings Reconciliation Date: 02/10/2004 Country: Vote Deadline UNITED Date: 04/15/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932109449 - MANAGEMENT 2 Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 128,985 128,985 03/17/2004 04/13/2004 04/13/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CENDANT CORPORATION CD Annual Meeting Date: 04/20/2004 Issuer: 151313103 Holdings Reconciliation Date: 02/23/2004 Country: Vote Deadline UNITED Date: 04/20/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932103170 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS For RT. HON. BRIAN MULRONEY For RONALD L. NELSON Withheld ROBERT W. PITTMAN Withheld MYRA J. BIBLOWIT For SHELI Z. ROSENBERG 02 For For DECLASSIFY BOARD 03 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 04 Against Against S/H PROPOSAL - BOARD OF DIRECTORS 05 Against Against S/H PROPOSAL - CORPORATE GOVERNANCE Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 595,150 595,150 03/08/2004 04/15/2004 04/15/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- DOW JONES & DJ Annual Meeting COMPANY, INC. Date: 04/21/2004 Issuer: 260561105 Holdings Reconciliation Date: 02/27/2004 Country: Vote Deadline UNITED Date: 04/21/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932108168 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 03 Against For AMEND LONG TERM INCENTIVE PLAN 04 Against Against S/H PROPOSAL - BOARD OF DIRECTORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 239,125 239,125 03/16/2004 04/19/2004 04/19/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- MERCK & CO., INC. MRK Annual Meeting Date: 04/27/2004 Issuer: 589331115 Holdings Reconciliation Date: 02/24/2004 Country: Vote Deadline UNITED Date: 04/27/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932102306 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS For PETER C. WENDELL* For WILLIAM G. BOWEN** Withheld WILLIAM M. DALEY** For THOMAS E. SHENK** For WENDELL P. WEEKS** 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 03 For For DECLASSIFY BOARD 04 Against Against S/H PROPOSAL - LIMIT COMPENSATION 05 Against Against S/H PROPOSAL - HEALTH ISSUES 06 Against Against S/H PROPOSAL - REQUIRE SHAREHOLDER APPROVAL OF BUSINESS COMBINATION 07 Against Against S/H PROPOSAL - POLITICAL/GOVERNMENT 08 Against Against S/H PROPOSAL - HEALTH ISSUES Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 158,605 158,605 03/09/2004 04/23/2004 04/23/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- EQUIFAX INC. EFX Annual Meeting Date: 04/28/2004 Issuer: 294429105 Holdings Reconciliation Date: 02/18/2004 Country: Vote Deadline UNITED Date: 04/28/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932110721 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 471,175 471,175 03/26/2004 04/26/2004 04/27/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- XL CAPITAL LTD XL Annual Meeting Date: 04/30/2004 Issuer: G98255105 Holdings Reconciliation Date: 03/15/2004 Country: Vote Deadline UNITED Date: 04/30/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932119515 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 141,575 141,575 04/02/2004 04/28/2004 04/28/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- AFLAC INCORPORATED AFL Consent Meeting Date: 05/03/2004 Issuer: 001055102 Holdings Reconciliation Date: 02/25/2004 Country: Vote Deadline UNITED Date: 05/03/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932116026 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 For For ADOPT OMNIBUS STOCK OPTION PLAN 03 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 202,975 202,975 03/24/2004 04/29/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- BERKSHIRE HATHAWAY BRKA Annual Meeting INC. Date: 05/03/2004 Issuer: 084670108 Holdings Reconciliation Country: Vote Deadline UNITED Date: 05/03/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932104071 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 Against Against S/H PROPOSAL - POLITICAL/GOVERNMENT Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 5852 5852 03/23/2004 04/29/2004 04/29/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- AMBAC FINANCIAL ABK Annual Meeting GROUP, INC. Date: 05/04/2004 Issuer: 023139108 Holdings Reconciliation Date: 03/09/2004 Country: Vote Deadline UNITED Date: 05/04/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932122118 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 For For APPROVE AUTHORIZED COMMON STOCK INCREASE 03 For For AMEND OMNIBUS STOCK OPTION PLAN 04 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 172,725 172,725 03/30/2004 04/30/2004 04/30/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- IMS HEALTH RX Annual Meeting INCORPORATED Date: 05/07/2004 Issuer: 449934108 Holdings Reconciliation Date: 03/05/2004 Country: Vote Deadline UNITED Date: 05/07/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932115745 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 03 For Against S/H PROPOSAL - REPORT ON EMPLOYEES EARNING OVER $100,000 04 Against Against S/H PROPOSAL - PUT GOLDEN PARACHUTE TO SHAREHOLDER VOTE Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 375,700 375,700 03/31/2004 05/04/2004 05/04/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CERTEGY INC. CEY Annual Meeting Date: 05/13/2004 Issuer: 156880106 Holdings Reconciliation Date: 03/15/2004 Country: Vote Deadline UNITED Date: 05/13/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932108396 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For ELECTION OF DIRECTORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 189,600 189,600 04/01/2004 05/06/2004 05/06/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- PARTNERRE LTD. PRE Annual Meeting Date: 05/13/2004 Issuer: G6852T105 Holdings Reconciliation Date: 03/19/2004 Country: Vote Deadline UNITED Date: 05/13/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932127269 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 Withheld For ELECTION OF DIRECTORS 02 Against For FIX NUMBER OF DIRECTORS 03 For For APPROVE CHARTER AMENDMENT 04 For For AMEND INCENTIVE STOCK OPTION PLAN TO INCREASE SHARES 05 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 06 For For TRANSACT OTHER BUSINESS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 200,000 200,000 04/05/2004 05/10/2004 05/10/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- COX COMMUNICATIONS, COX Annual Meeting INC. Date: 05/18/2004 Issuer: 224044107 Holdings Reconciliation Date: 03/19/2004 Country: Vote Deadline UNITED Date: 05/18/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932117395 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS For G. DENNIS BERRY For JANET M. CLARKE For JAMES C. KENNEDY For ROBERT C. O'LEARY For JAMES O. ROBBINS Withheld RODNEY W. SCHROCK For ANDREW J. YOUNG 02 Against For ADOPT STOCK PURCHASE PLAN Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 176,650 176,650 04/08/2004 05/10/2004 05/10/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- ROSS STORES, INC. ROST Annual Meeting Date: 05/20/2004 Issuer: 778296103 Holdings Reconciliation Date: 03/22/2004 Country: Vote Deadline UNITED Date: 05/20/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932125811 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS For MICHAEL J. BUSH Withheld NORMAN A. FERBER For JAMES C. PETERS 02 For For ADOPT INCENTIVE STOCK OPTION PLAN 03 For For APPROVE AUTHORIZED COMMON STOCK INCREASE 04 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 243,150 243,150 04/20/2004 05/17/2004 05/17/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CADBURY SCHWEPPES CSG Annual Meeting PLC Date: 05/21/2004 Issuer: 127209302 Holdings Reconciliation Date: 04/01/2004 Country: Vote Deadline UNITED Date: 05/17/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932113828 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For For RECEIVE CONSOLIDATED FINANCIAL STATEMENTS 02 For For DECLARE FINAL PAYMENT OF DIVIDEND 03 For For APPROVE RENUMERATION OF DIRECTORS 04 For For ELECTION OF DIRECTORS 09 For For APPOINT AUDITORS 10 For For PERMIT DIRECTORS TO FIX/APPROVE AUDITOR'S REMUNERATION 11 For For ALLOT RELEVANT SECURITIES 12 For For ELIMINATE PREEMPTIVE RIGHTS 13 For For AUTHORIZE DIRECTORS TO REPURCHASE SHARES 14 For For AMEND STOCK OPTION PLAN 15 For For AMEND LONG TERM INCENTIVE PLAN 16 For For ADOPT OMNIBUS STOCK OPTION PLAN 17 For For AMEND OMNIBUS STOCK OPTION PLAN 18 For For MISCELLANEOUS COMPENSATION PLANS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 331,350 331,350 04/15/2004 05/17/2004 05/17/2004 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- TIME WARNER INC. TWX Annual Meeting Date: 05/21/2004 Issuer: 887317105 Holdings Reconciliation Date: 03/23/2004 Country: Vote Deadline UNITED Date: 05/21/2004 STATES - -------------------------------------------------------------------------------- Vote Group: GLOBAL Agenda: 932131294 - MANAGEMENT Management Proposal Vote Recommended Number Cast Vote Proposal - -------------------------------------------------------------------------------- 01 For ELECTION OF DIRECTORS Withheld JAMES L. BARKSDALE For STEPHEN F. BOLLENBACH Withheld STEPHEN M. CASE Withheld FRANK J. CAUFIELD For ROBERT C. CLARK Withheld MILES R. GILBURNE For CARLA A. HILLS For REUBEN MARK For MICHAEL A. MILES Withheld KENNETH J. NOVACK For RICHARD D. PARSONS For R.E. TURNER For FRANCIS T. VINCENT, JR. 02 For For RATIFY APPOINTMENT OF INDEPENDENT AUDITORS 03 Against Against MISCELLANEOUS SHAREHOLDER PROPOSAL 04 Against Against S/H PROPOSAL - ELIMINATE PREEMPTIVE RIGHTS Voted Ballot Received Last Date Shares Shares Date Vote Date Confirmed - -------------------------------------------------------------------------------- 812,425 812,425 04/08/2004 05/18/2004 05/18/2004 -----END PRIVACY-ENHANCED MESSAGE-----