-----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, FrLr6NmrL6KlMBkYxo8juT4BP92YZG2R/1dmv8C63zwvAzB6ggIBp553Uwn/MqPz v1LtfMSqtURpYxAIEI8suA== 0001169232-04-004752.txt : 20040831 0001169232-04-004752.hdr.sgml : 20040831 20040831093751 ACCESSION NUMBER: 0001169232-04-004752 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: TRI-CONTINENTAL CORP CENTRAL INDEX KEY: 0000099614 IRS NUMBER: 135441850 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-00266 FILM NUMBER: 041006826 BUSINESS ADDRESS: STREET 1: 100 PARK AVENUE, STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128501864 MAIL ADDRESS: STREET 1: 100 PARK AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: TRI CONTINENTAL CORP DATE OF NAME CHANGE: 19920703 N-PX 1 d60310_n-px.txt ANNUAL REPORT OF PROXY VOTING RECORD U.S. SECURITIES AND EXCHANGE COMMISSION WASHINTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-266 Tri-Continental Corporation (Exact name of registrant as specified charter) 100 Park Avenue, New York, NY 10017 (Address of principal executive offices) (Zip code) Lawrence P. Vogel, Treasurer 100 Park Avenue, New York, NY 10017 (Name and address of agent for service) Registrant's telephone number, including area code: 212-850-1864 Toll Free: 800-221-2450 Date of fiscal year end: December 31, 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. Tri-Continental Corporation - -------------------------------------------------------------------------------- DELL COMPUTER CORPORATION DELL Meeting Date: 07/18/2003 Issuer: 247025 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MICHAEL A. MILES Management Withheld Against ALEX J. MANDL Management Withheld Against MORTON L. TOPFER Management Withheld Against 02 ELIMINATION OF CLASSIFIED BOARD Management For For 03 CHANGE OF COMPANY NAME TO DELL INC. Management For For 04 APPROVAL OF EXECUTIVE ANNUAL INCENTIVE BONUS PLAN Management For For
- -------------------------------------------------------------------------------- FOREST LABORATORIES, INC. FRX Meeting Date: 08/11/2003 Issuer: 345838 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against HOWARD SOLOMON Management Withheld Against WILLIAM J. CANDEE, III Management Withheld Against GEORGE S. COHAN Management Withheld Against DAN L. GOLDWASSER Management Withheld Against LESTER B. SALANS Management Withheld Against KENNETH E. GOODMAN Management Withheld Against PHILLIP M. SATOW Management Withheld Against 02 RATIFICATION OF AMENDMENT OF THE COMPANYS Management Against Against CERTIFICATE OF INCORPORATION TO AUTHORIZE ADDITIONAL SHARES OF THE COMPANY S COMMON STOCK. 03 RATIFICATION OF BDO SEIDMAN, LLP AS INDEPENDENT Management For For AUDITORS.
- -------------------------------------------------------------------------------- BMC SOFTWARE, INC. BMC Meeting Date: 08/21/2003 Issuer: 055921 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For B. GARLAND CUPP Management For For ROBERT E. BEAUCHAMP Management For For JON E. BARFIELD Management For For JOHN W. BARTER Management For For MELDON K. GAFNER Management For For L.W. GRAY Management For For KATHLEEN A. O'NEIL Management For For GEORGE F. RAYMOND Management For For TOM C. TINSLEY Management For For 02 PROPOSAL TO RATIFY THE BOARD S APPOINTMENT OF Management For For ERNST & YOUNG LLP AS INDEPENDENT AUDITORS OF THE COMPANY FOR FISCAL YEAR ENDING MARCH 31, 2004.
Tri-Continental Corporation - -------------------------------------------------------------------------------- NATIONAL SEMICONDUCTOR CORPORATION NSM Meeting Date: 09/26/2003 Issuer: 637640 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against BRIAN L. HALLA Management Withheld Against STEVEN R. APPLETON Management Withheld Against GARY P. ARNOLD Management Withheld Against RICHARD J. DANZIG Management Withheld Against ROBERT J. FRANKENBERG Management Withheld Against E. FLOYD KVAMME Management Withheld Against MODESTO A. MAIDIQUE Management Withheld Against EDWARD R. MCCRACKEN Management Withheld Against 02 TO APPROVE KPMG LLP AS AUDITORS OF THE COMPANY. Management For For 03 TO APPROVE THE ADOPTION OF THE 2003 EMPLOYEES Management Against Against STOCK PURCHASE PLAN.
- -------------------------------------------------------------------------------- ORACLE CORPORATION ORCL Meeting Date: 10/13/2003 Issuer: 68389X SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against LAWRENCE J. ELLISON Management Withheld Against DONALD L. LUCAS Management Withheld Against MICHAEL J. BOSKIN Management Withheld Against JEFFREY O. HENLEY Management Withheld Against JACK F. KEMP Management Withheld Against JEFFREY BERG Management Withheld Against SAFRA CATZ Management Withheld Against HECTOR GARCIA-MOLINA Management Withheld Against JOSEPH A. GRUNDFEST Management Withheld Against H. RAYMOND BINGHAM Management Withheld Against 02 PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF Management For For THE FISCAL YEAR 2004 EXECUTIVE BONUS PLAN 03 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For YOUNG LLP AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE FISCAL YEAR ENDING MAY 31, 2004 04 PROPOSAL FOR THE APPROVAL OF THE AMENDED AND Management Against Against RESTATED 1993 DIRECTORS STOCK PLAN 05 PROPOSAL TO ADOPT THE CHINA BUSINESS PRINCIPLES Shareholder Abstain Against FOR RIGHTS OF WORKERS IN CHINA
Tri-Continental Corporation - -------------------------------------------------------------------------------- THE PROCTER & GAMBLE COMPANY PG Meeting Date: 10/14/2003 Issuer: 742718 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against NORMAN R. AUGUSTINE Management Withheld Against A.G. LAFLEY Management Withheld Against JOHNATHAN A. RODGERS Management Withheld Against JOHN F. SMITH, JR. Management Withheld Against MARGARET C. WHITMAN Management Withheld Against 02 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS Management For For 03 APPROVE THE PROCTER & GAMBLE 2003 NON-EMPLOYEE Management Against Against DIRECTORS STOCK PLAN 04 SHAREHOLDER PROPOSAL NO. 1 BOARD OF DIRECTORS Shareholder For Against TERMS 05 SHAREHOLDER PROPOSAL NO. 2 LABEL GENETICALLY Shareholder Abstain Against ENGINEERED FOODS
- -------------------------------------------------------------------------------- PARKER-HANNIFIN CORPORATION PH Meeting Date: 10/22/2003 Issuer: 701094 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against DUANE E. COLLINS Management Withheld Against ROBERT J. KOHLHEPP Management Withheld Against GIULIO MAZZALUPI Management Withheld Against KLAUS-PETER MULLER Management Withheld Against ALLAN L. RAYFIELD Management Withheld Against 02 RATIFICATION OF THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC ACCOUNTING FIRM FOR FY04. 03 APPROVAL OF THE PARKER-HANNIFIN CORPORATION 2003 Management Against Against STOCK INCENTIVE PLAN.
- -------------------------------------------------------------------------------- TEVA PHARMACEUTICAL INDUSTRIES LIMIT TEVA Meeting Date: 10/27/2003 Issuer: 881624 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 TO APPOINT PROF. GABRIELA SHALEV AS A STATUTORY Management For For INDEPENDENT DIRECTOR FOR A THREE-YEAR TERM, REPLACING MR. ORI SLONIM WHOSE TERM ENDS ON OCTOBER 17, 2003. 02 TO APPROVE AN INCREASE IN THE REMUNERATION OF Management For For THE DIRECTORS OF THE COMPANY (OTHER THAN THE CHAIRMAN). SUCH ANNUAL REMUNERATION IS TO BE SET AT NIS 100,000 WITH AN ADDITIONAL NIS 3,000 PER MEETING. DIRECTORS WHO ARE ALSO COMMITTEE CHAIRPERSONS SHALL RECEIVE ANNUAL REMUNERATION OF NIS 125,000. SUCH REMUNERATION SHALL BE ADJUSTED IN ACCORDANCE WITH THE ISRAELI PRICE INDEX.
Tri-Continental Corporation - -------------------------------------------------------------------------------- KLA-TENCOR CORPORATION KLAC Meeting Date: 11/05/2003 Issuer: 482480 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For H. RAYMOND BINGHAM Management For For ROBERT T. BOND Management For For RICHARD J. ELKUS, JR. Management For For MICHAEL E. MARKS Management For For 02 TO RATIFY THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT ACCOUNTANTS OF THE COMPANY FOR THE FISCAL YEAR ENDING JUNE 30, 2004.
- -------------------------------------------------------------------------------- CISCO SYSTEMS, INC. CSCO Meeting Date: 11/11/2003 Issuer: 17275R SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against CAROL A. BARTZ Management Withheld Against LARRY R. CARTER Management Withheld Against JOHN T. CHAMBERS Management Withheld Against DR. JAMES F. GIBBONS Management Withheld Against DR. JOHN L. HENNESSY Management Withheld Against RODERICK C. MCGEARY Management Withheld Against JAMES C. MORGAN Management Withheld Against JOHN P. MORGRIDGE Management Withheld Against DONALD T. VALENTINE Management Withheld Against STEVEN M. WEST Management Withheld Against JERRY YANG Management Withheld Against 02 TO APPROVE AN AMENDMENT AND RESTATEMENT OF THE Management Against Against EMPLOYEE STOCK PURCHASE PLAN, INCLUDING AN INCREASE OF 100,000,000 SHARES AUTHORIZED FOR ISSUANCE UNDER THE PLAN AND A 5-YEAR EXTENSION OF THE PLAN, AS MORE FULLY SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. 03 TO RATIFY THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS CISCO S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JULY 31, 2004. 04 PROPOSAL SUBMITTED BY A SHAREHOLDER THAT THE Shareholder Abstain Against BOARD PREPARE A REPORT EACH FISCAL YEAR ON CISCO HARDWARE AND SOFTWARE PROVIDED TO GOVERNMENT AGENCIES AND STATE-OWNED COMMUNICATIONS OR INFORMATION TECHNOLOGY ENTITIES IN ANY COUNTRY, AS MORE FULLY SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. 05 PROPOSAL SUBMITTED BY SHAREHOLDERS THAT THE BOARD Shareholder Against For S COMPENSATION COMMITTEE PREPARE AND MAKE AVAILABLE BY JANUARY 1, 2004, A REPORT COMPARING TOTAL COMPENSATION OF THE COMPANY S TOP EXECUTIVES AND ITS LOWEST PAID WORKERS IN THE U.S. AND ABROAD AS OF SPECIFIC DATES, AS MORE FULLY SET FORTH IN THE ACCOMPANYING PROXY STATEMENT.
Tri-Continental Corporation - -------------------------------------------------------------------------------- MICROSOFT CORPORATION MSFT Meeting Date: 11/11/2003 Issuer: 594918 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against WILLIAM H. GATES III Management Withheld Against STEVEN A. BALLMER Management Withheld Against JAMES I. CASH JR. Management Withheld Against RAYMOND V. GILMARTIN Management Withheld Against A. MCLAUGHLIN KOROLOGOS Management Withheld Against DAVID F. MARQUARDT Management Withheld Against CHARLES H. NOSKI Management Withheld Against HELMUT PANKE Management Withheld Against WM. G. REED JR. Management Withheld Against JON A. SHIRLEY Management Withheld Against 02 ADOPTION OF THE AMENDMENTS TO THE 2001 STOCK PLAN Management For For 03 ADOPTION OF THE AMENDMENTS TO THE 1999 STOCK Management For For OPTION PLAN FOR NON-EMPLOYEE DIRECTORS 04 SHAREHOLDER PROPOSAL (THE BOARD RECOMMENDS A Shareholder Abstain Against VOTE AGAINST THIS PROPOSAL)
- -------------------------------------------------------------------------------- MAXIM INTEGRATED PRODUCTS, INC. MXIM Meeting Date: 11/13/2003 Issuer: 57772K SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JAMES R. BERGMAN Management Withheld Against JOHN F. GIFFORD Management Withheld Against B. KIPLING HAGOPIAN Management Withheld Against M.D. SAMPELS Management Withheld Against A.R. FRANK WAZZAN Management Withheld Against 02 TO RATIFY AND APPROVE AN AMENDMENT TO THE COMPANY Management Against Against S 1996 STOCK INCENTIVE PLAN, AS AMENDED, INCREASING THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE THEREUNDER BY 9,400,000 SHARES FROM 95,200,000 SHARES TO 104,600,000 SHARES. 03 TO RATIFY AND APPROVE AN AMENDMENT TO THE COMPANY Management Against Against S 1987 EMPLOYEE STOCK PARTICIPATION PLAN, AS AMENDED, INCREASING THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE THEREUNDER BY 400,000 SHARES FROM 14,651,567 SHARES TO 15,051,567 SHARES. 04 TO RATIFY THE RETENTION OF ERNST & YOUNG LLP Management For For AS THE COMPANY S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 26, 2004.
- -------------------------------------------------------------------------------- SUN MICROSYSTEMS, INC. SUNW Meeting Date: 11/13/2003 Issuer: 866810 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against SCOTT G. MCNEALY Management Withheld Against JAMES L. BARKSDALE Management Withheld Against L. JOHN DOERR Management Withheld Against ROBERT J. FISHER Management Withheld Against MICHAEL E. LEHMAN Management Withheld Against ROBERT L. LONG Management Withheld Against M. KENNETH OSHMAN Management Withheld Against NAOMI O. SELIGMAN Management Withheld Against LYNN E. TURNER Management Withheld Against 02 AMENDMENTS TO THE 1990 EMPLOYEE STOCK PURCHASE Management Against Against PLAN. PROPOSAL TO APPROVE AMENDMENTS TO SUN S 1990 EMPLOYEE STOCK PURCHASE PLAN, INCLUDING AN INCREASE IN THE NUMBER OF SHARES OF COMMON STOCK RESERVED FOR ISSUANCE THEREUNDER BY 170,000,000 SHARES OF COMMON STOCK TO AN AGGREGATE OF 616,400,000 SHARES 03 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For AUDITORS. PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP, AS SUN S INDEPENDENT AUDITORS FOR THE CURRENT FISCAL YEAR 04 STOCKHOLDER PROPOSAL ENTITLED CHINA BUSINESS Shareholder Abstain Against PRINCIPLES FOR RIGHTS OF WORKERS IN CHINA . PROPOSAL REQUESTING IMPLEMENTATION OF PRINCIPLES EMBODIED IN CHINA BUSINESS PRINCIPLES FOR RIGHTS OF WORKERS IN CHINA
Tri-Continental Corporation - -------------------------------------------------------------------------------- MICRON TECHNOLOGY, INC. MU Meeting Date: 11/21/2003 Issuer: 595112 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - -------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against STEVEN R. APPLETON Management Withheld Against JAMES W. BAGLEY Management Withheld Against ROBERT A. LOTHROP Management Withheld Against THOMAS T. NICHOLSON Management Withheld Against GORDON C. SMITH Management Withheld Against WILLIAM P. WEBER Management Withheld Against 02 PROPOSAL BY THE COMPANY TO APPROVE AN AMENDMENT Management Against Against TO THE COMPANY S 1989 EMPLOYEE STOCK PURCHASE PLAN INCREASING THE NUMBER OF SHARES OF COMMON STOCK RESERVED FOR ISSUANCE THEREUNDER BY 5,000,000 AND MAKING CERTAIN OTHER CHANGES AS DESCRIBED IN THE PROXY STATEMENT 03 PROPOSAL BY THE COMPANY TO APPROVE AN AMENDMENT Management Against Against TO THE COMPANY S 2001 STOCK OPTION PLAN INCREASING THE NUMBER OF SHARES OF COMMON STOCK RESERVED FOR ISSUANCE THEREUNDER BY 17,000,000 04 PROPOSAL BY THE COMPANY TO RATIFY THE APPOINTMENT Management For For OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY S INDEPENDENT ACCOUNTANTS FOR FISCAL 2004
- -------------------------------------------------------------------------------- JABIL CIRCUIT, INC. JBL Meeting Date: 01/13/2004 Issuer: 466313 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against WILLIAM D. MOREAN Management Withheld Against THOMAS A. SANSONE Management Withheld Against TIMOTHY L. MAIN Management Withheld Against LAWRENCE J. MURPHY Management Withheld Against MEL S. LAVITT Management Withheld Against STEVEN A. RAYMUND Management Withheld Against FRANK A. NEWMAN Management Withheld Against LAURENCE S. GRAFSTEIN Management Withheld Against 02 TO APPROVE AMENDMENTS TO THE JABIL CIRCUIT, INC. Management Against Against 2002 STOCK INCENTIVE PLAN TO (I) PROVIDE FOR AN INCREASE IN THE AGGREGATE SHARES OF COMMON STOCK THAT MAY BE SUBJECT TO FUTURE AWARDS FROM 1,512,705 TO 11,512,705 SHARES, (II) PROHIBIT THE REPRICING OF OUTSTANDING STOCK OPTIONS, AND (III) REQUIRE STOCKHOLDER APPROVAL FOR CERTAIN AMENDMENTS TO THE PLAN. 03 TO RATIFY THE SELECTION OF KPMG LLP AS Management For For INDEPENDENT AUDITORS FOR JABIL.
Tri-Continental Corporation - -------------------------------------------------------------------------------- NOVARTIS AG NVS Meeting Date: 02/24/2004 Issuer: 66987V SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 APPROVAL OF THE ANNUAL REPORT, THE FINANCIAL Management Against Against STATEMENTS OF NOVARTIS AG AND THE GROUP CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR 2003. 02 APPROVAL OF THE ACTIVITIES OF THE BOARD OF Management Against Against DIRECTORS. 03 APPROPRIATION OF AVAILABLE EARNINGS OF NOVARTIS Management For For AG AS PER BALANCE SHEET AND DECLARATION OF DIVIDEND. 04 CONVERSION OF GENERAL RESERVES INTO FREE Management For For RESERVES. 05 REDUCTION OF SHARE CAPITAL. Management For For 06 FURTHER SHARE REPURCHASE PROGRAM. Management For For 07 AMENDMENT TO THE ARTICLES OF INCORPORATION. Management For For 8A ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management Abstain Against OF PROF. DR. HELMUT SIHLER FOR A THREE-YEAR TERM. 8B ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management Abstain Against OF MR. HANS-JORG RUDLOFF FOR A THREE-YEAR TERM. 8C ELECTION TO THE BOARD OF DIRECTORS. RE-ELECTION Management Abstain Against OF DR. DANIEL VASELLA FOR A THREE-YEAR TERM. 9 APPOINTMENT OF THE AUDITORS AND THE GROUP Management For For AUDITORS.
Tri-Continental Corporation - -------------------------------------------------------------------------------- DEERE & COMPANY DE Meeting Date: 02/25/2004 Issuer: 244199 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For ROBERT W. LANE Management For For ANTONIO MADERO B. Management For For AULANA L. PETERS Management For For JOHN R. WALTER Management For For
- -------------------------------------------------------------------------------- INTERNATIONAL GAME TECHNOLOGY IGT Meeting Date: 03/02/2004 Issuer: 459902 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against G. THOMAS BAKER Management Withheld Against NEIL BARSKY Management Withheld Against ROBERT A. BITTMAN Management Withheld Against RICHARD R. BURT Management Withheld Against LESLIE S. HEISZ Management Withheld Against ROBERT A. MATHEWSON Management Withheld Against THOMAS J. MATTHEWS Management Withheld Against ROBERT MILLER Management Withheld Against FREDERICK B. RENTSCHLER Management Withheld Against 02 APPROVAL OF THE AMENDMENT TO THE INTERNATIONAL Management For For GAME TECHNOLOGY EMPLOYEE STOCK PURCHASE PLAN. 03 RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE Management For For LLP AS IGT S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2004.
- -------------------------------------------------------------------------------- BANK OF AMERICA CORPORATION BAC Meeting Date: 03/17/2004 Issuer: 060505 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 ADOPTION OF THE MERGER AGREEMENT Management For For 02 ADOPTION OF BANK OF AMERICA S AMENDED STOCK PLAN Management Against Against 03 ADOPTION OF AN AMENDMENT TO INCREASE THE NUMBER Management Against Against OF AUTHORIZED SHARES OF BANK OF AMERICA COMMON STOCK 04 APPROVAL OF PROPOSAL TO ADJOURN THE BANK OF Management For For AMERICA SPECIAL MEETING, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES
Tri-Continental Corporation - -------------------------------------------------------------------------------- HEWLETT-PACKARD COMPANY HPQ Meeting Date: 03/17/2004 Issuer: 428236 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against L.T. BABBIO, JR. Management Withheld Against P.C. DUNN Management Withheld Against C.S. FIORINA Management Withheld Against R.A. HACKBORN Management Withheld Against G.A. KEYWORTH II Management Withheld Against R.E. KNOWLING, JR. Management Withheld Against S.M. LITVACK Management Withheld Against R.L. RYAN Management Withheld Against L.S. SALHANY Management Withheld Against 02 PROPOSAL TO RATIFY ERNST & YOUNG LLP AS Management For For HEWLETT-PACKAD COMPANY S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2004. 03 APPROVAL OF THE HEWLETT-PACKARD COMPANY 2004 Management Against Against STOCK INCENTIVE PLAN 04 SHAREOWNER PROPOSAL ENTITLED STOCK OPTION Shareholder For Against EXPENSING PROPOSAL
- -------------------------------------------------------------------------------- TYCO INTERNATIONAL LTD. TYC Meeting Date: 03/25/2004 Issuer: 902124 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against DENNIS C. BLAIR Management Withheld Against EDWARD D. BREEN Management Withheld Against GEORGE W. BUCKLEY Management Withheld Against BRIAN DUPERREAULT Management Withheld Against BRUCE S. GORDON Management Withheld Against JOHN A. KROL Management Withheld Against MACKEY J. MCDONALD Management Withheld Against H. CARL MCCALL Management Withheld Against BRENDAN R. O'NEILL Management Withheld Against SANDRA S. WIJNBERG Management Withheld Against JEROME B. YORK Management Withheld Against 02 APPOINTMENT OF DELOITTE & TOUCHE LLP AS TYCO Management For For S INDEPENDENT AUDITORS AND AUTHORIZATION FOR THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS TO SET THE AUDITORS REMUNERATION. 03 ADOPTION OF THE AMENDED AND RESTATED BYE-LAWS. Management For For 04 APPROVAL OF TYCO 2004 STOCK AND INCENTIVE PLAN. Management Against Against 05 SHAREHOLDER PROPOSAL REGARDING ENVIRONMENTAL Shareholder Abstain Against REPORTING. 06 SHAREHOLDER PROPOSAL TO CHANGE TYCO S Shareholder For Against JURISDICTION OF INCORPORATION FROM BERMUDA TO A U.S. STATE. 07 SHAREHOLDER PROPOSAL ON COMMON SENSE EXECUTIVE Shareholder Against For COMPENSATION.
Tri-Continental Corporation - -------------------------------------------------------------------------------- FEDERAL HOME LOAN MORTGAGE CORPORATI FRE Meeting Date: 03/31/2004 Issuer: 313400 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For JOAN E. DONOGHUE Management For For MICHELLE ENGLER Management For For RICHARD KARL GOELTZ Management For For GEORGE D. GOULD Management For For HENRY KAUFMAN Management For For JOHN B. MCCOY Management For For SHAUN F. O'MALLEY Management For For RONALD F. POE Management For For STEPHEN A. ROSS Management For For DONALD J. SCHUENKE Management For For CHRISTINA SEIX Management For For RICHARD F. SYRON Management For For WILLIAM J. TURNER Management For For 02 RATIFICATION OF APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE YEAR 2003
- -------------------------------------------------------------------------------- THE GOLDMAN SACHS GROUP, INC. GS Meeting Date: 03/31/2004 Issuer: 38141G SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For LLOYD C. BLANKFEIN Management For For LD BROWNE OF MADINGLEY Management For For CLAES DAHLBACK Management For For JAMES A. JOHNSON Management For For LOIS D. JULIBER Management For For 02 RATIFICATION OF THE APPOINTMENT BY THE AUDIT Management For For COMMITTEE OF THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE 2004 FISCAL YEAR. 03 ANNUAL ELECTION OF ALL DIRECTORS TO THE BOARD Shareholder For Against OF DIRECTORS.
Tri-Continental Corporation - -------------------------------------------------------------------------------- THE BANK OF NEW YORK COMPANY, INC. BK Meeting Date: 04/13/2004 Issuer: 064057 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MR. BIONDI Management Withheld Against MR. DONOFRIO Management Withheld Against MR. GRIFFITH Management Withheld Against MR. HASSELL Management Withheld Against MR. KOGAN Management Withheld Against MR. KOWALSKI Management Withheld Against MR. LUKE Management Withheld Against MR. MALONE Management Withheld Against MR. MYNERS Management Withheld Against MR. POZEN Management Withheld Against MS. REIN Management Withheld Against MR. RENYI Management Withheld Against MR. RICHARDSON Management Withheld Against MR. ROBERTS Management Withheld Against MR. SCOTT Management Withheld Against 02 RATIFICATION OF AUDITORS Management For For 03 APPROVAL OF AN AMENDMENT TO THE 2004 MANAGEMENT Management For For INCENTIVE COMPENSATION PLAN 04 SHAREHOLDER PROPOSAL WITH RESPECT TO POLITICAL Shareholder For Against CONTRIBUTIONS 05 SHAREHOLDER PROPOSAL WITH RESPECT TO EXECUTIVE Shareholder Against For COMPENSATION 06 SHAREHOLDER PROPOSAL WITH RESPECT TO THE Shareholder For Against COMPOSITION OF THE RISK COMMITTEE 07 SHAREHOLDER PROPOSAL WITH RESPECT TO THE COMPANY Shareholder For Against S RIGHTS PLAN
- -------------------------------------------------------------------------------- WEYERHAEUSER COMPANY WY Meeting Date: 04/13/2004 Issuer: 962166 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against STEVEN R. ROGEL Management Withheld Against WILLIAM D. RUCKELSHAUS Management Withheld Against RICHARD H. SINKFIELD Management Withheld Against JAMES N. SULLIVAN Management Withheld Against 02 APPROVAL OF THE WEYERHAEUSER COMPANY 2004 LONG Management Against Against TERM INCENTIVE PLAN 03 PROPOSAL TO AMEND THE COMPANY S RESTATED ARTICLES Shareholder For Against OF INCORPORATION TO AUTHORIZE ANNUAL ELECTION OF THE BOARD OF DIRECTORS 04 SHAREHOLDER PROPOSAL RELATING TO ACCOUNTING FOR Shareholder For Against STOCK OPTIONS 05 SHAREHOLDER PROPOSAL RELATING TO EQUITY Shareholder For Against COMPENSATION 06 SHAREHOLDER PROPOSAL RELATING TO ENVIRONMENTAL Shareholder Abstain Against REPORTING 07 SHAREHOLDER PROPOSAL RELATING TO OLD GROWTH AND Shareholder Abstain Against ENDANGERED FORESTS 08 APPROVAL ON AN ADVISORY BASIS, OF THE APPOINTMENT Management For For OF AUDITORS
Tri-Continental Corporation - -------------------------------------------------------------------------------- BP P.L.C. BP Meeting Date: 04/15/2004 Issuer: 055622 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against LORD BROWNE Management Withheld Against DR B E GROTE Management Withheld Against MR H M P MILES Management Withheld Against SIR ROBIN NICHOLSON Management Withheld Against MR R L OLVER Management Withheld Against SIR IAN PROSSER Management Withheld Against 07 TO ELECT MR A BURGMANS AS A DIRECTOR Management Against Against 08 TO REAPPOINT ERNST & YOUNG LLP AS AUDITORS Management For For 09 TO AMEND THE ARTICLES OF ASSOCIATION OF THE Management For For COMPANY 10 TO GIVE AUTHORITY TO ALLOT SHARES UP TO A Management For For SPECIFIED AMOUNT 11 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT Management For For A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING AN OFFER TO SHAREHOLDERS 12 SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY Management For For FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY 13 TO AUTHORISE THE USE OF TREASURY SHARES FOR Management For For EMPLOYEE SHARE SCHEMES 14 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For For 15 TO DETERMINE THE LIMIT FOR THE AGGREGATE Management For For REMUNERATION OF THE NON-EXECUTIVE DIRECTORS 16 TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE Management For For ACCOUNTS 17 SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE Shareholder Abstain Against COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES ON MATTERS OF CONTROL AND RISK IN PROTECTED AND SENSITIVE AREAS
- -------------------------------------------------------------------------------- CITIGROUP INC. C Meeting Date: 04/20/2004 Issuer: 172967 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against C. MICHAEL ARMSTRONG Management Withheld Against ALAIN J.P. BELDA Management Withheld Against GEORGE DAVID Management Withheld Against KENNETH T. DERR Management Withheld Against JOHN M. DEUTCH Management Withheld Against R. HERNANDEZ RAMIREZ Management Withheld Against ANN DIBBLE JORDAN Management Withheld Against DUDLEY C. MECUM Management Withheld Against RICHARD D. PARSONS Management Withheld Against ANDRALL E. PEARSON Management Withheld Against CHARLES PRINCE Management Withheld Against ROBERT E. RUBIN Management Withheld Against FRANKLIN A. THOMAS Management Withheld Against SANFORD I. WEILL Management Withheld Against ROBERT B. WILLUMSTAD Management Withheld Against 02 PROPOSAL TO RATIFY THE SELECTION OF KPMG LLP Management For For AS CITIGROUP S INDEPENDENT AUDITORS FOR 2004. 03 STOCKHOLDER PROPOSAL REQUESTING A CURB ON Shareholder Against For EXECUTIVE COMPENSATION, NO FUTURE STOCK OPTION GRANTS AND NO RENEWALS OR EXTENSIONS OF OPTION PLANS. 04 STOCKHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder For Against POLITICAL CONTRIBUTIONS. 05 STOCKHOLDER PROPOSAL REQUESTING A DISCONTINUATION Shareholder Against For OF ALL RIGHTS, OPTIONS, SAR S AND POSSIBLE SEVERANCE PAYMENTS TO THE TOP 5 OF MANAGEMENT. 06 STOCKHOLDER PROPOSAL REQUESTING THAT THE CHAIRMAN Shareholder For Against OF THE BOARD HAVE NO MANAGEMENT DUTIES, TITLES OR RESPONSIBILITIES.
Tri-Continental Corporation - -------------------------------------------------------------------------------- MORGAN STANLEY MWD Meeting Date: 04/20/2004 Issuer: 617446 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For JOHN W. MADIGAN Management For For DR. KLAUS ZUMWINKEL Management For For SIR HOWARD DAVIES Management For For 02 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For For LLP AS INDEPENDENT AUDITORS 03 SHAREHOLDER PROPOSAL TO DECLASSIFY THE BOARD Shareholder For Against OF DIRECTORS 04 SHAREHOLDER PROPOSAL TO REQUIRE SHAREHOLDER Shareholder For Against APPROVAL OF GOLDEN PARACHUTE AGREEMENTS 05 SHAREHOLDER PROPOSAL TO DISCLOSE POLITICAL Shareholder For Against CONTRIBUTION
- -------------------------------------------------------------------------------- U.S. BANCORP USB Meeting Date: 04/20/2004 Issuer: 902973 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For V. BUYNISKI GLUCKMAN Management For For ARTHUR D. COLLINS, JR. Management For For JERRY W. LEVIN Management For For THOMAS E. PETRY Management For For RICHARD G. REITEN Management For For 02 RATIFY SELECTION OF ERNST & YOUNG LLP AS Management For For INDEPENDENT AUDITORS FOR THE 2004 FISCAL YEAR. 03 SHAREHOLDER PROPOSAL: COMPENSATION SYSTEM FOR Shareholder Against For SENIOR EXECUTIVES. 04 SHAREHOLDER PROPOSAL: SUPPLEMENTAL EXECUTIVE Shareholder Against For RETIREMENT BENEFITS. 05 SHAREHOLDER PROPOSAL: SIMPLE MAJORITY VOTING. Shareholder For Against
- -------------------------------------------------------------------------------- WACHOVIA CORPORATION WB Meeting Date: 04/20/2004 Issuer: 929903 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For JAMES S. BALLOUN Management For For JOHN T. CASTEEN, III Management For For JOSEPH NEUBAUER Management For For LANTY L. SMITH Management For For DONA DAVIS YOUNG Management For For 02 A WACHOVIA PROPOSAL TO RATIFY THE APPOINTMENT Management For For OF KPMG LLP AS AUDITORS FOR THE YEAR 2004. 03 A STOCKHOLDER PROPOSAL, WHICH MANAGEMENT OPPOSES, Shareholder Against For REGARDING NOMINATING DIRECTORS. 04 A STOCKHOLDER PROPOSAL, WHICH MANAGEMENT OPPOSES, Shareholder For Against REGARDING REPORTING POLITICAL INFORMATION. 05 A STOCKHOLDER PROPOSAL, WHICH MANAGEMENT OPPOSES, Shareholder For Against REGARDING SEPARATING THE OFFICES OF CHAIRMAN AND CHIEF EXECUTIVE OFFICER.
Tri-Continental Corporation - -------------------------------------------------------------------------------- CARNIVAL CORPORATION CCL Meeting Date: 04/22/2004 Issuer: 143658 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MICKY ARISON Management Withheld Against AMB RICHARD G. CAPEN JR Management Withheld Against ROBERT H. DICKINSON Management Withheld Against ARNOLD W. DONALD Management Withheld Against PIER LUIGI FOSCHI Management Withheld Against HOWARD S. FRANK Management Withheld Against BARONESS HOGG Management Withheld Against A. KIRK LANTERMAN Management Withheld Against MODESTO A. MAIDIQUE Management Withheld Against JOHN P. MCNULTY Management Withheld Against PETER RATCLIFFE Management Withheld Against SIR JOHN PARKER Management Withheld Against STUART SUBOTNICK Management Withheld Against UZI ZUCKER Management Withheld Against 02 TO APPOINT PRICEWATERHOUSECOOPERS AS INDEPENDENT Management For For AUDITORS FOR CARNIVAL PLC AND TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS FOR CARNIVAL CORPORATION. 03 TO AUTHORIZE THE AUDIT COMMITTEE OF CARNIVAL Management For For PLC TO AGREE THE REMUNERATION OF THE INDEPENDENT AUDITORS. 04 TO RECEIVE THE ACCOUNTS AND REPORTS FOR CARNIVAL Management For For PLC FOR THE FINANCIAL PERIOD ENDED NOVEMBER 30, 2003. 05 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For For OF CARNIVAL PLC. 06 TO APPROVE LIMITS ON THE AUTHORITY TO ALLOT Management For For SHARES BY CARNIVAL PLC. 07 TO APPROVE THE DISAPPLICATION OF PRE-EMPTION Management For For RIGHTS FOR CARNIVAL PLC SHARES.
- -------------------------------------------------------------------------------- JOHNSON & JOHNSON JNJ Meeting Date: 04/22/2004 Issuer: 478160 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For GERARD N. BURROW Management For For MARY S. COLEMAN Management For For JAMES G. CULLEN Management For For ROBERT J. DARRETTA Management For For M. JUDAH FOLKMAN Management For For ANN D. JORDAN Management For For ARNOLD G. LANGBO Management For For SUSAN L. LINDQUIST Management For For LEO F. MULLIN Management For For STEVEN S REINEMUND Management For For DAVID SATCHER Management For For HENRY B. SCHACHT Management For For WILLIAM C. WELDON Management For For 02 RATIFICATION OF APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS AS INDEPENDENT AUDITORS 03 PROPOSAL ON CHARITABLE CONTRIBUTIONS Shareholder Abstain Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- NOBLE CORPORATION NE Meeting Date: 04/22/2004 Issuer: G65422 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MICHAEL A. CAWLEY Management Withheld Against LUKE R. CORBETT Management Withheld Against JACK E. LITTLE Management Withheld Against 02 APPROVAL OF THE APPOINTMENT OF INDEPENDENT Management For For AUDITORS FOR 2004.
- -------------------------------------------------------------------------------- PFIZER INC. PFE Meeting Date: 04/22/2004 Issuer: 717081 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MICHAEL S. BROWN Management Withheld Against M. ANTHONY BURNS Management Withheld Against ROBERT N. BURT Management Withheld Against W. DON CORNWELL Management Withheld Against WILLIAM H. GRAY III Management Withheld Against CONSTANCE J. HORNER Management Withheld Against WILLIAM R. HOWELL Management Withheld Against STANLEY O. IKENBERRY Management Withheld Against GEORGE A. LORCH Management Withheld Against HENRY A. MCKINNELL Management Withheld Against DANA G. MEAD Management Withheld Against FRANKLIN D. RAINES Management Withheld Against RUTH J. SIMMONS Management Withheld Against WILLIAM C. STEERE, JR. Management Withheld Against JEAN-PAUL VALLES Management Withheld Against 02 A PROPOSAL TO APPROVE THE APPOINTMENT OF KPMG Management For For LLP AS INDEPENDENT AUDITORS FOR 2004. 03 A PROPOSAL TO APPROVE THE PFIZER INC. 2004 STOCK Management Against Against PLAN. 04 SHAREHOLDER PROPOSAL REQUESTING REVIEW OF THE Shareholder Abstain Against ECONOMIC EFFECTS OF THE HIV/AIDS, TB AND MALARIA PANDEMICS ON THE COMPANY S BUSINESS STRATEGY. 05 SHAREHOLDER PROPOSAL RELATING TO POLITICAL Shareholder Abstain Against CONTRIBUTIONS. 06 SHAREHOLDER PROPOSAL RELATING TO AN ANNUAL REPORT Shareholder For Against ON CORPORATE RESOURCES DEVOTED TO SUPPORTING POLITICAL ENTITIES OR CANDIDATES. 07 SHAREHOLDER PROPOSAL SEEKING TO IMPOSE TERM LIMITS Shareholder Against For ON DIRECTORS. 08 SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shareholder Abstain Against INCREASING ACCESS TO PFIZER PRODUCTS. 09 SHAREHOLDER PROPOSAL ON STOCK OPTIONS. Shareholder Against For 10 SHAREHOLDER PROPOSAL ON IN VITRO TESTING. Shareholder Abstain Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- WENDY'S INTERNATIONAL, INC. WEN Meeting Date: 04/22/2004 Issuer: 950590 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JANET HILL Management Withheld Against PAUL D. HOUSE Management Withheld Against JOHN R. THOMPSON Management Withheld Against J. RANDOLPH LEWIS Management Withheld Against 02 RATIFICATION OF THE SELECTION OF Management For For PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT PUBLIC ACCOUNTANTS OF THE COMPANY FOR THE CURRENT YEAR. 03 APPROVAL OF THE COMPANY S 2003 STOCK INCENTIVE Management Against Against PLAN.
- -------------------------------------------------------------------------------- WYETH WYE Meeting Date: 04/22/2004 Issuer: 983024 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For C.L. ALEXANDER, JR. Management For For F.A. BENNACK, JR. Management For For R.L. CARRION Management For For R. ESSNER Management For For J.D. FEERICK Management For For R. LANGER Management For For J.P. MASCOTTE Management For For M.L. POLAN Management For For I.G. SEIDENBERG Management For For W.V. SHIPLEY Management For For J.R. TORELL III Management For For 02 RATIFICATION OF PRINCIPAL INDEPENDENT PUBLIC Management For For ACCOUNTANTS 03 ADOPTION OF THE STOCKHOLDER PROPOSAL ON ACCESS Shareholder Abstain Against TO AND AFFORDABILITY OF PRESCRIPTION DRUGS 04 ADOPTION OF STOCKHOLDER PROPOSAL ON ANIMAL Shareholder Abstain Against TESTING
Tri-Continental Corporation - -------------------------------------------------------------------------------- DOMINION RESOURCES, INC. D Meeting Date: 04/23/2004 Issuer: 25746U SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against SUSAN B. ALLEN Management Withheld Against PETER W. BROWN Management Withheld Against RONALD J. CALISE Management Withheld Against THOS. E. CAPPS Management Withheld Against GEORGE A. DAVIDSON, JR. Management Withheld Against JOHN W. HARRIS Management Withheld Against ROBERT S. JEPSON, JR. Management Withheld Against BENJAMIN J. LAMBERT III Management Withheld Against RICHARD L. LEATHERWOOD Management Withheld Against MARGARET A. MCKENNA Management Withheld Against KENNETH A. RANDALL Management Withheld Against FRANK S. ROYAL Management Withheld Against S. DALLAS SIMMONS Management Withheld Against ROBERT H. SPILMAN Management Withheld Against DAVID A. WOLLARD Management Withheld Against 02 RETENTION OF AUDITORS Management For For 03 SHAREHOLDER PROPOSAL Shareholder Against For
- -------------------------------------------------------------------------------- MERRILL LYNCH & CO., INC. MER Meeting Date: 04/23/2004 Issuer: 590188 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For DAVID K. NEWBIGGING Management For For JOSEPH W. PRUEHER Management For For 02 RATIFY APPOINTMENT OF DELOITTE & TOUCHE LLP AS Management For For INDEPENDENT AUDITOR 03 INSTITUTE CUMULATIVE VOTING Shareholder Against For 04 INDEPENDENT CHAIRMAN SEPARATE FROM CHIEF Shareholder For Against EXECUTIVE OFFICER
- -------------------------------------------------------------------------------- ROWAN COMPANIES, INC. RDC Meeting Date: 04/23/2004 Issuer: 779382 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against WILLIAM T. FOX III Management Withheld Against SIR GRAHAM HEARNE Management Withheld Against H.E. LENTZ Management Withheld Against P. DEXTER PEACOCK Management Withheld Against
- -------------------------------------------------------------------------------- AMERICAN EXPRESS COMPANY AXP Meeting Date: 04/26/2004 Issuer: 025816 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For D.F. AKERSON Management For For C. BARSHEFSKY Management For For W.G. BOWEN Management For For U.M. BURNS Management For For K.I. CHENAULT Management For For P.R. DOLAN Management For For V.E. JORDAN, JR. Management For For J. LESCHLY Management For For R.A. MCGINN Management For For E.D. MILLER Management For For F.P. POPOFF Management For For R.D. WALTER Management For For 02 PROPOSAL TO RATIFY SELECTION OF ERNST & YOUNG Management For For LLP AS INDEPENDENT AUDITORS. 03 SHAREHOLDER PROPOSAL TO ESTABLISH SIX-YEAR TERM Shareholder Against For LIMITS FOR DIRECTORS. 04 SHAREHOLDER PROPOSAL REQUESTING A SEPARATE ANNUAL Shareholder For Against REPORT DESCRIBING THE COMPANY S POLITICAL CONTRIBUTIONS.
Tri-Continental Corporation - -------------------------------------------------------------------------------- INTERNATIONAL BUSINESS MACHINES CORP IBM Meeting Date: 04/27/2004 Issuer: 459200 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against C. BLACK Management Withheld Against K.I. CHENAULT Management Withheld Against C. GHOSN Management Withheld Against N.O. KEOHANE Management Withheld Against C.F. KNIGHT Management Withheld Against L.A. NOTO Management Withheld Against S.J. PALMISANO Management Withheld Against J.B. SLAUGHTER Management Withheld Against J.E. SPERO Management Withheld Against S. TAUREL Management Withheld Against C.M. VEST Management Withheld Against L.H. ZAMBRANO Management Withheld Against 02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For ACCOUNTANTS (PRICEWATERHOUSECOOPERS LLP) (PAGE 22) 03 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For ACCOUNTANTS FOR THE BUSINESS CONSULTING SERVICES UNIT (ERNST & YOUNG LLP) (PAGE 22) 04 APPROVAL OF LONG-TERM INCENTIVE PERFORMANCE TERMS Management Against Against FOR CERTAIN EXECUTIVES (PAGE 23) 05 STOCKHOLDER PROPOSAL ON: CUMULATIVE VOTING (PAGE Shareholder Against For 25) 06 STOCKHOLDER PROPOSAL ON: PENSION AND RETIREMENT Shareholder Against For MEDICAL (PAGE 25) 07 STOCKHOLDER PROPOSAL ON: EXECUTIVE COMPENSATION Shareholder Against For (PAGE 26) 08 STOCKHOLDER PROPOSAL ON: EXPENSING STOCK OPTIONS Shareholder For Against (PAGE 28) 09 STOCKHOLDER PROPOSAL ON: DISCLOSURE OF EXECUTIVE Shareholder Against For COMPENSATION (PAGE 29) 10 STOCKHOLDER PROPOSAL ON: CHINA BUSINESS Shareholder Abstain Against PRINCIPLES (PAGE 30) 11 STOCKHOLDER PROPOSAL ON: POLITICAL CONTRIBUTIONS Shareholder For Against (PAGE 31) 12 STOCKHOLDER PROPOSAL ON: A REVIEW OF EXECUTIVE Shareholder Against For COMPENSATION POLICIES (PAGE 32)
Tri-Continental Corporation - -------------------------------------------------------------------------------- L-3 COMMUNICATIONS HOLDINGS, INC. LLL Meeting Date: 04/27/2004 Issuer: 502424 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against CLAUDE R. CANIZARES Management Withheld Against THOMAS A. CORCORAN Management Withheld Against ALAN H. WASHKOWITZ Management Withheld Against 02 APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS Management For For INDEPENDENT AUDITORS. 03 APPROVAL OF AMENDMENT TO THE 1999 LONG TERM Management Against Against PERFORMANCE PLAN. 04 RATIFICATION OF THE TERMS OF PERFORMANCE-BASED Management Against Against COMPENSATION UNDER THE 1999 LONG TERM PERFORMANCE PLAN.
- -------------------------------------------------------------------------------- NOBLE ENERGY, INC. NBL Meeting Date: 04/27/2004 Issuer: 655044 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MICHAEL A. CAWLEY Management Withheld Against EDWARD F. COX Management Withheld Against CHARLES D. DAVIDSON Management Withheld Against KIRBY L. HEDRICK Management Withheld Against DALE P. JONES Management Withheld Against BRUCE A. SMITH Management Withheld Against 02 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP Management For For AS THE COMPANY S INDEPENDENT AUDITOR. 03 PROPOSAL TO APPROVE THE AMENDMENT TO THE 1988 Management Against Against NONQUALIFIED STOCK OPTION PLAN FOR NON-EMPLOYEE DIRECTORS TO INCREASE THE NUMBER OF SHARES OF COMMON STOCK OF THE COMPANY THAT MAY BE AWARDED BY STOCK OPTION GRANTS FROM 550,000 TO 750,000. 04 PROPOSAL TO APPROVE THE MATERIAL TERMS OF THE Management Against Against PERFORMANCE GOALS APPLICABLE TO FUTURE GRANTS OF RESTRICTED STOCK AND PERFORMANCE UNITS UNDER THE 2004 LONG-TERM INCENTIVE PLAN FOR PURPOSES OF SECTION 162(M) OF THE INTERNAL REVENUE CODE.
- -------------------------------------------------------------------------------- PRAXAIR, INC. PX Meeting Date: 04/27/2004 Issuer: 74005P SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For ALEJANDRO ACHAVAL Management For For RONALD L. KUEHN, JR. Management For For H. MITCHELL WATSON, JR. Management For For 02 PROPOSAL TO AMEND THE LONG TERM INCENTIVE PLAN. Management For For 03 PROPOSAL TO AMEND THE CERTIFICATE OF Management For For INCORPORATION. 04 PROPOSAL TO APPROVE A STOCKHOLDER PROTECTION Management Against Against RIGHTS AGREEMENT.
Tri-Continental Corporation - -------------------------------------------------------------------------------- WELLS FARGO & COMPANY WFC Meeting Date: 04/27/2004 Issuer: 949746 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against J.A. BLANCHARD III Management Withheld Against SUSAN E. ENGEL Management Withheld Against ENRIQUE HERNANDEZ, JR. Management Withheld Against ROBERT L. JOSS Management Withheld Against REATHA CLARK KING Management Withheld Against RICHARD M. KOVACEVICH Management Withheld Against RICHARD D. MCCORMICK Management Withheld Against CYNTHIA H. MILLIGAN Management Withheld Against PHILIP J. QUIGLEY Management Withheld Against DONALD B. RICE Management Withheld Against JUDITH M. RUNSTAD Management Withheld Against STEPHEN W. SANGER Management Withheld Against SUSAN G. SWENSON Management Withheld Against MICHAEL W. WRIGHT Management Withheld Against 02 PROPOSAL TO APPROVE THE COMPANY S SUPPLEMENTAL Management For For 401(K) PLAN. 03 PROPOSAL TO RATIFY APPOINTMENT OF KPMG LLP AS Management For For INDEPENDENT AUDITORS FOR 2004. 04 STOCKHOLDER PROPOSAL REGARDING EXPENSING STOCK Shareholder For Against OPTIONS. 05 STOCKHOLDER PROPOSAL REGARDING RESTRICTED STOCK. Shareholder For Against 06 STOCKHOLDER PROPOSAL REGARDING EXECUTIVE Shareholder Against For COMPENSATION AND PREDATORY LENDING. 07 STOCKHOLDER PROPOSAL REGARDING POLITICAL Shareholder For Against CONTRIBUTIONS.
- -------------------------------------------------------------------------------- CHEVRONTEXACO CORPORATION CVX Meeting Date: 04/28/2004 Issuer: 166764 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against S.H. ARMACOST Management Withheld Against R.E. DENHAM Management Withheld Against R.J. EATON Management Withheld Against S. GINN Management Withheld Against C.A. HILLS Management Withheld Against F.G. JENIFER Management Withheld Against J.B. JOHNSTON Management Withheld Against S. NUNN Management Withheld Against D.J. O'REILLY Management Withheld Against P.J. ROBERTSON Management Withheld Against C.R. SHOEMATE Management Withheld Against C. WARE Management Withheld Against 02 RATIFICATION OF INDEPENDENT ACCOUNTANTS Management For For 03 SHOW SUPPORT FOR THE STOCKHOLDER RIGHTS Management For For PLAN POLICY 04 APPROVAL OF THE LONG-TERM INCENTIVE PLAN Management Against Against 05 HIV/AIDS, TUBERCULOSIS, AND MALARIA Shareholder Abstain Against 06 POLITICAL DISCLOSURE Shareholder For Against 07 DIRECTOR ELECTION VOTE THRESHOLD Shareholder Against For 08 REPORT ON ECUADOR Shareholder Abstain Against 09 RENEWABLE ENERGY Shareholder Abstain Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- CLEAR CHANNEL COMMUNICATIONS, INC. CCU Meeting Date: 04/28/2004 Issuer: 184502 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against ALAN D. FELD Management Withheld Against THOMAS O. HICKS Management Withheld Against PERRY J. LEWIS Management Withheld Against L. LOWRY MAYS Management Withheld Against MARK P. MAYS Management Withheld Against RANDALL T. MAYS Management Withheld Against B.J. MCCOMBS Management Withheld Against PHYLLIS B. RIGGINS Management Withheld Against THEORDORE H. STRAUSS Management Withheld Against J.C. WATTS Management Withheld Against JOHN H. WILLIAMS Management Withheld Against 02 RATIFICATION OF THE SELECTION OF ERNST & YOUNG Management For For LLP AS INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004.
- -------------------------------------------------------------------------------- GENERAL ELECTRIC COMPANY GE Meeting Date: 04/28/2004 Issuer: 369604 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 0A DIRECTOR Management Withheld Against JAMES I. CASH, JR. Management Withheld Against DENNIS D. DAMMERMAN Management Withheld Against ANN M. FUDGE Management Withheld Against CLAUDIO X. GONZALEZ Management Withheld Against JEFFREY R. IMMELT Management Withheld Against ANDREA JUNG Management Withheld Against ALAN G. LAFLEY Management Withheld Against KENNETH G. LANGONE Management Withheld Against RALPH S. LARSEN Management Withheld Against ROCHELLE B. LAZARUS Management Withheld Against SAM NUNN Management Withheld Against ROGER S. PENSKE Management Withheld Against ROBERT J. SWIERINGA Management Withheld Against DOUGLAS A. WARNER III Management Withheld Against ROBERT C. WRIGHT Management Withheld Against 0B INDEPENDENT AUDITOR Management For For 0C REVENUE MEASUREMENT ADDED TO EXECUTIVE OFFICER Management For For PERFORMANCE GOALS 01 CUMULATIVE VOTING Shareholder Against For 02 ANIMAL TESTING Shareholder Abstain Against 03 NUCLEAR RISK Shareholder Abstain Against 04 REPORT ON PCB CLEANUP COSTS Shareholder Abstain Against 05 OFFSHORE SOURCING Shareholder Abstain Against 06 SUSTAINABILITY INDEX Shareholder Abstain Against 07 COMPENSATION COMMITTEE INDEPENDENCE Shareholder Against For 08 PAY DISPARITY Shareholder Abstain Against 09 END STOCK OPTIONS AND BONUSES Shareholder Against For 10 LIMIT OUTSIDE DIRECTORSHIPS Shareholder Against For 11 INDEPENDENT BOARD CHAIRMAN Shareholder For Against 12 EXPLORE SALE OF COMPANY Shareholder Against For 13 HOLDING STOCK FROM STOCK OPTIONS Shareholder Against For 14 BOARD INDEPENDENCE Shareholder For Against 15 POLITICAL CONTRIBUTIONS Shareholder For Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- ALTRIA GROUP, INC. MO Meeting Date: 04/29/2004 Issuer: 02209S SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For ELIZABETH E. BAILEY Management For For MATHIS CABIALLAVETTA Management For For LOUIS C. CAMILLERI Management For For J. DUDLEY FISHBURN Management For For ROBERT E. R. HUNTLEY Management For For THOMAS W. JONES Management For For LUCIO A. NOTO Management For For JOHN S. REED Management For For CARLOS SLIM HELU Management For For STEPHEN M. WOLF Management For For 02 RATIFICATION OF THE SELECTION OF INDEPENDENT Management For For AUDITORS 03 STOCKHOLDER PROPOSAL NO. 1 Shareholder Abstain Against 04 STOCKHOLDER PROPOSAL NO. 2 Shareholder Abstain Against 05 STOCKHOLDER PROPOSAL NO. 3 Shareholder For Against 06 STOCKHOLDER PROPOSAL NO. 4 Shareholder Abstain Against 07 STOCKHOLDER PROPOSAL NO. 5 Shareholder Abstain Against 08 STOCKHOLDER PROPOSAL NO. 6 Shareholder For Against
- -------------------------------------------------------------------------------- CAPITAL ONE FINANCIAL CORPORATION COF Meeting Date: 04/29/2004 Issuer: 14040H SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against W. RONALD DIETZ Management Withheld Against LEWIS HAY, III Management Withheld Against MAYO A. SHATTUCK, III Management Withheld Against 02 RATIFICATION OF ERNST & YOUNG LLP AS INDEPENDENT Management For For AUDITORS OF THE CORPORATION FOR 2004. 03 APPROVAL OF CAPITAL ONE S 2004 STOCK INCENTIVE Management Against Against PLAN.
- -------------------------------------------------------------------------------- AETNA INC. AET Meeting Date: 04/30/2004 Issuer: 00817Y SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For BETSY Z. COHEN Management For For BARBARA H. FRANKLIN Management For For JEFFREY E. GARTEN Management For For EARL G. GRAVES Management For For GERALD GREENWALD Management For For ELLEN M. HANCOCK Management For For MICHAEL H. JORDAN Management For For JACK D. KUEHLER Management For For EDWARD J. LUDWIG Management For For JOSEPH P. NEWHOUSE Management For For JUDITH RODIN Management For For JOHN W. ROWE, M.D. Management For For RONALD A. WILLIAMS Management For For R. DAVID YOST Management For For 02 APPROVAL OF KPMG LLP AS INDEPENDENT AUDITORS Management For For 03 SHAREHOLDER PROPOSAL ON CUMULATIVE VOTING Shareholder Against For 04 SHAREHOLDER PROPOSAL ON EXECUTIVE COMPENSATION Shareholder Against For
Tri-Continental Corporation - -------------------------------------------------------------------------------- APARTMENT INVESTMENT AND MANAGEMENT AIV Meeting Date: 04/30/2004 Issuer: 03748R SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against TERRY CONSIDINE Management Withheld Against PETER K. KOMPANIEZ Management Withheld Against JAMES N. BAILEY Management Withheld Against RICHARD S. ELLWOOD Management Withheld Against J. LANDIS MARTIN Management Withheld Against THOMAS L. RHODES Management Withheld Against 02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For For TO SERVE AS INDEPENDENT AUDITORS FOR THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004. 03 TO APPROVE THE SALE OF HIGH PERFORMANCE UNITS. Management For For 04 TO URGE THE COMPENSATION AND HUMAN RESOURCES Shareholder For Against COMMITTEE OF THE BOARD TO ESTABLISH A POLICY TO SEEK STOCKHOLDER APPROVAL OF CERTAIN EXECUTIVE SEVERANCE ARRANGEMENTS.
- -------------------------------------------------------------------------------- OCCIDENTAL PETROLEUM CORPORATION OXY Meeting Date: 04/30/2004 Issuer: 674599 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For RONALD W. BURKLE Management For For JOHN S. CHALSLY Management For For EDWARD P. DJEREJIAN Management For For R. CHAD DREIER Management For For JOHN E. FEICK Management For For RAY R. IRANI Management For For DALE R. LAURANCE Management For For IRVIN W. MALONEY Management For For RODOLFO SEGOVIA Management For For AZIZ D. SYRIANI Management For For ROSEMARY TOMICH Management For For WALTER L. WEISMAN Management For For 02 THE RATIFICATION OF THE SELECTION OF KPMG AS Management For For INDEPENDENT AUDITORS. 03 APPROVAL OF AMENDMENT TO THE RESTRICTED STOCK Management For For PLAN FOR NON-EMPLOYEE DIRECTORS. 04 DISCONTINUANCE OF OPTIONS, RIGHTS AND SEVERANCE Shareholder Against For PAYMENTS.
Tri-Continental Corporation - -------------------------------------------------------------------------------- THE SERVICEMASTER COMPANY SVM Meeting Date: 04/30/2004 Issuer: 81760N SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against LORD GRIFFITHS Management Withheld Against SIDNEY E. HARRIS Management Withheld Against JAMES D. MCLENNAN Management Withheld Against 02 APPROVE THE SERVICEMASTER 2004 EMPLOYEE STOCK Management Against Against PURCHASE PLAN. 03 RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP Management For For AS INDEPENDENT AUDITORS. 04 SHAREHOLDER PROPOSAL REGARDING THE RIGHTS Shareholder For Against AGREEMENT.
- -------------------------------------------------------------------------------- MBNA CORPORATION KRB Meeting Date: 05/03/2004 Issuer: 55262L SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JAMES H. BERICK Management Withheld Against BENJAMIN R. CIVILETTI Management Withheld Against BRUCE L. HAMMONDS Management Withheld Against WILLIAM L. JEWS Management Withheld Against RANDOLPH D. LERNER Management Withheld Against STUART L. MARKOWITZ Management Withheld Against WILLIAM B. MILSTEAD Management Withheld Against 02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For AUDITORS 03 STOCKHOLDER PROPOSAL (ITEM 3 IN PROXY STATEMENT) Shareholder For Against 04 STOCKHOLDER PROPOSAL (ITEM 4 IN PROXY STATEMENT) Shareholder For Against
- -------------------------------------------------------------------------------- CONOCOPHILLIPS COP Meeting Date: 05/05/2004 Issuer: 20825C SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For DAVID L. BOREN Management For For JAMES E. COPELAND, JR. Management For For KENNETH M. DUBERSTEIN Management For For RUTH R. HARKIN Management For For WILLIAM R. RHODES Management For For J. STAPLETON ROY Management For For 02 RATIFICATION OF APPOINTMENT OF INDEPENDENT Management For For AUDITORS 03 AUTHORIZE THE 2004 OMNIBUS STOCK AND PERFORMANCE Management Against Against INCENTIVE PLAN 04 OFFICER & DIRECTOR COMPENSATION Shareholder Against For 05 COMMONSENSE EXECUTIVE COMPENSATION Shareholder Against For 06 ANWR DRILLING Shareholder Abstain Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- GENERAL DYNAMICS CORPORATION GD Meeting Date: 05/05/2004 Issuer: 369550 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For N.D. CHABRAJA Management For For J.S. CROWN Management For For L. CROWN Management For For W.P. FRICKS Management For For C.H. GOODMAN Management For For J.L. JOHNSON Management For For G.A. JOULWAN Management For For P.G. KAMINSKI Management For For J.M. KEANE Management For For L.L. LYLES Management For For C.E. MUNDY, JR. Management For For R. WALMSLEY Management For For 02 APPROVAL OF THE EQUITY COMPENSATION PLAN. Management For For 03 SHAREHOLDER PROPOSAL WITH REGARD TO POISON PILLS. Shareholder For Against 04 SHAREHOLDER PROPOSAL WITH REGARD TO FOREIGN Shareholder Abstain Against MILITARY SALES.
- -------------------------------------------------------------------------------- PEPSICO, INC. PEP Meeting Date: 05/05/2004 Issuer: 713448 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For J.F. AKERS Management For For R.E. ALLEN Management For For R.L. HUNT Management For For A.C. MARTINEZ Management For For I.K. NOOYI Management For For F.D. RAINES Management For For S.S. REINEMUND Management For For S.P. ROCKEFELLER Management For For J.J. SCHIRO Management For For F.A. THOMAS Management For For C.M. TRUDELL Management For For S.D. TRUJILLO Management For For D. VASELLA Management For For 02 APPROVAL OF AUDITORS Management For For 03 APPROVAL OF THE 2004 EXECUTIVE INCENTIVE Management For For COMPENSATION PLAN 04 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.22) Shareholder Against For 05 SHAREHOLDER PROPOSAL (PROXY STATEMENT P.23) Shareholder Abstain Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- AMERICAN TOWER CORPORATION AMT Meeting Date: 05/06/2004 Issuer: 029912 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For RAYMOND P. DOLAN Management For For CAROLYN F. KATZ Management For For FRED R. LUMMIS Management For For PAMELA D.A. REEVE Management For For JAMES D. TAICLET, JR. Management For For 02 RATIFICATION OF THE SELECTION OF DELOITTE & Management For For TOUCHE LLP AS INDEPENDENT AUDITORS FOR 2004.
- -------------------------------------------------------------------------------- FREEPORT-MCMORAN COPPER & GOLD INC. FCX Meeting Date: 05/06/2004 Issuer: 35671D SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MR. ALLISON Management Withheld Against MR. CLIFFORD Management Withheld Against MR. MOFFETT Management Withheld Against MR. RANKIN Management Withheld Against MR. WHARTON Management Withheld Against 02 RATIFICATION OF APPOINTMENT OF ERNST & YOUNG Management For For LLP AS INDEPENDENT AUDITORS. 03 APPROVAL OF THE PROPOSED 2004 DIRECTOR Management Against Against COMPENSATION PLAN. 04 STOCKHOLDER PROPOSAL REGARDING FINANCIAL SUPPORT Shareholder Abstain Against OF INDONESIAN GOVERNMENT SECURITY PERSONNEL
- -------------------------------------------------------------------------------- ILLINOIS TOOL WORKS INC. ITW Meeting Date: 05/07/2004 Issuer: 452308 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For WILLIAM F. ALDINGER Management For For MICHAEL J. BIRCK Management For For MARVIN D. BRAILSFORD Management For For JAMES R. CANTALUPO Management For For SUSAN CROWN Management For For DON H. DAVIS, JR. Management For For W. JAMES FARRELL Management For For ROBERT C. MCCORMACK Management For For ROBERT S. MORRISON Management For For HAROLD B. SMITH Management For For 02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For TOUCHE LLP.
Tri-Continental Corporation - -------------------------------------------------------------------------------- MASCO CORPORATION MAS Meeting Date: 05/11/2004 Issuer: 574599 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For PETER A. DOW* Management For For ANTHONY F. EARLEY, JR.* Management For For WAYNE B. LYON* Management For For DAVID L. JOHNSTON** Management For For J. MICHAEL LOSH** Management For For 02 PROPOSAL TO APPROVE THE MASCO CORPORATION 2004 Management For For RESTRICTED STOCK AWARD PROGRAM. 03 RATIFICATION OF THE SELECTION OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE COMPANY FOR THE YEAR 2004.
- -------------------------------------------------------------------------------- RADIAN GROUP INC. RDN Meeting Date: 05/11/2004 Issuer: 750236 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JAMES W. JENNINGS Management Withheld Against ROY J. KASMAR Management Withheld Against HERBERT WENDER Management Withheld Against JAN NICHOLSON Management Withheld Against 02 TO AMEND AND RESTATE RADIAN S EQUITY COMPENSATION Management For For PLAN. 03 TO ADOPT RADIAN S AMENDED AND RESTATED Management For For CERTIFICATE OF INCORPORATION. 04 TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE Management For For LLP AS RADIAN S INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004.
- -------------------------------------------------------------------------------- TAIWAN SEMICONDUCTOR MFG. CO. LTD. TSM Meeting Date: 05/11/2004 Issuer: 874039 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 05 TO ACCEPT 2003 BUSINESS REPORT AND FINANCIAL Management For For STATEMENTS. 06 TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2003 Management For For PROFITS. 07 TO APPROVE THE CAPITALIZATION OF 2003 DIVIDENDS Management Against Against AND EMPLOYEE PROFIT SHARING.
Tri-Continental Corporation - -------------------------------------------------------------------------------- LABORATORY CORP. OF AMERICA HOLDINGS LH Meeting Date: 05/12/2004 Issuer: 50540R SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For THOMAS P. MAC MAHON Management For For JEAN-LUC BELINGARD Management For For WENDY E. LANE Management For For R.E. MITTELSTAEDT, JR. Management For For ANDREW G. WALLACE, M.D. Management For For M. KEITH WEIKEL Management For For CRAIG M. WATSON Management For For 02 APPROVAL OF THE AMENDMENTS TO THE 1997 EMPLOYEE Management For For STOCK PURCHASE PLAN (THE ESPP AMENDMENT ) 03 RATIFICATION OF THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS LABORATORY CORPORATION OF AMERICA HOLDINGS INDEPENDENT ACCOUNTANTS FOR 2004.
- -------------------------------------------------------------------------------- ST. JUDE MEDICAL, INC. STJ Meeting Date: 05/12/2004 Issuer: 790849 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For MICHAEL A. ROCCA Management For For DAVID A. THOMPSON Management For For STEFAN K. WIDENSOHLER Management For For 02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For YOUNG LLP AS THE COMPANY S INDEPENDENT AUDITORS FOR 2004. 03 PROPOSAL TO APPROVE THE COMPANY S MANAGEMENT Management For For INCENTIVE COMPENSATION PLAN. 04 PROPOSAL TO INCREASE THE COMPANY S AUTHORIZED Management For For SHARES OF COMMON STOCK TO 500 MILLION SHARES. 05 SHAREHOLDER PROPOSAL TO ADOPT THE COMMONSENSE Shareholder Against For EXECUTIVE COMPENSATION PROPOSAL.
- -------------------------------------------------------------------------------- TRIBUNE COMPANY TRB Meeting Date: 05/12/2004 Issuer: 896047 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JEFFREY CHANDLER Management Withheld Against WILLIAM A. OSBORN Management Withheld Against KATHRYN C. TURNER Management Withheld Against 02 RATIFICATION OF INDEPENDENT PUBLIC ACCOUNTANTS. Management For For 03 APPROVAL OF AMENDMENTS TO THE TRIBUNE COMPANY Management Against Against 1997 INCENTIVE COMPENSATION PLAN.
Tri-Continental Corporation - -------------------------------------------------------------------------------- UNIVISION COMMUNICATIONS INC. UVN Meeting Date: 05/12/2004 Issuer: 914906 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against A. JERROLD PERENCHIO Management Withheld Against FERNANDO AGUIRRE Management Withheld Against HAROLD GABA Management Withheld Against ALAN F. HORN Management Withheld Against JOHN G. PERENCHIO Management Withheld Against RAY RODRIGUEZ Management Withheld Against MCHENRY T. TICHENOR, JR Management Withheld Against 02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management Against Against YOUNG LLP AS INDEPENDENT AUDITORS FOR FISCAL 2004. 03 PROPOSAL TO ADOPT THE 2004 PERFORMANCE AWARD Management Against Against PLAN.
- -------------------------------------------------------------------------------- AMGEN INC. AMGN Meeting Date: 05/13/2004 Issuer: 031162 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against MR. FRANK J. BIONDI, JR Management Withheld Against MR. JERRY D. CHOATE Management Withheld Against MR. FRANK C. HERRINGER Management Withheld Against DR. GILBERT S. OMENN Management Withheld Against 02 TO RATIFY THE SELECTION OF ERNST & YOUNG LLP Management For For AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2004. 3A STOCKHOLDER PROPOSAL #1 (EEO-1 REPORT). Shareholder Abstain Against 3B STOCKHOLDER PROPOSAL #2 (STOCK OPTION EXPENSING). Shareholder For Against
- -------------------------------------------------------------------------------- DUKE ENERGY CORPORATION DUK Meeting Date: 05/13/2004 Issuer: 264399 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For PAUL M. ANDERSON Management For For ANN M. GRAY Management For For MICHAEL E.J. PHELPS Management For For JAMES T. RHODES Management For For 02 RATIFICATION OF DELOITTE & TOUCHE LLP AS DUKE Management For For ENERGY S INDEPENDENT AUDITORS FOR 2004. 03 A SHAREHOLDER PROPOSAL RELATING TO Shareholder For Against DECLASSIFICATION OF DUKE ENERGY S BOARD OF DIRECTORS, IF PROPERLY PRESENTED AT THE ANNUAL MEETING.
Tri-Continental Corporation - -------------------------------------------------------------------------------- LEAR CORPORATION LEA Meeting Date: 05/13/2004 Issuer: 521865 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vot For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against LARRY W. MCCURDY Management Withheld Against ROY E. PARROTT Management Withheld Against RICHARD F. WALLMAN Management Withheld Against 02 RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS Management For For OUR INDEPENDENT AUDITORS FOR 2004. 03 STOCKHOLDER PROPOSAL REGARDING OUR SHAREHOLDER Shareholder For Against RIGHTS PLAN.
- -------------------------------------------------------------------------------- PARTNERRE LTD. PRE Meeting Date: 05/13/2004 Issuer: G6852T SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For VITO H. BAUMGARTNER Management For For JEAN-PAUL MONTUPET Management For For JOHN A. ROLLWAGEN Management For For LUCIO STANCA Management For For 02 TO APPROVE AN INCREASE IN THE MAXIMUM NUMBER Management For For OF DIRECTORS FROM TEN TO ELEVEN, WITH THE MINIMUM NUMBER OF DIRECTORS SET AT THREE, AND FOR THE BOARD TO BE AUTHORIZED TO FILL ANY VACANCIES AS AND WHEN THEY DEEM EXPEDIENT. 03 TO AMEND THE BYE-LAWS OF THE COMPANY TO REMOVE Management For For THE EXEMPTION WHICH EXCLUDES SWISS REINSURANCE COMPANY AND ITS AFFILIATES FROM THE PROHIBITION ON OBTAINING OR EXERCISING MORE THAN 9.9% OF THE VOTING RIGHTS ATTACHED TO THE COMPANY S ISSUED AND OUTSTANDING SHARES. 04 TO INCREASE THE NUMBER OF COMMON SHARES RESERVED Management For For FOR ISSUANCE UNDER THE PARTNERRE LTD. EMPLOYEE INCENTIVE PLAN FROM 3,500,000 COMMON SHARES TO 5,000,000 COMMON SHARES. 05 TO REAPPOINT THE FIRM OF DELOITTE & TOUCHE TO Management For For SERVE AS INDEPENDENT AUDITORS OF THE COMPANY UNTIL THE COMPANY S 2005 ANNUAL GENERAL MEETING AND TO REFER TO THE BOARD OF DIRECTORS THE AUTHORITY TO DETERMINE THE REMUNERATION OF DELOITTE & TOUCHE. 06 OTHER - IN THEIR DISCRETION UPON SUCH OTHER Management Against Against MATTERS, INCLUDING WITHHOLDING A QUORUM, IF NECESSARY, AS MAY PROPERLY COME BEFORE THE ANNUAL GENERAL MEETING.
Tri-Continental Corporation - -------------------------------------------------------------------------------- PULTE HOMES, INC. PHM Meeting Date: 05/13/2004 Issuer: 745867 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against RICHARD J. DUGAS, JR.* Management Withheld Against DAVID N. MCCAMMON* Management Withheld Against WILLIAM J. PULTE* Management Withheld Against FRANCIS J. SEHN* Management Withheld Against MICHAEL E. ROSSI** Management Withheld Against 02 A PROPOSAL TO ADOPT THE PULTE HOMES, INC. 2004 Management Against Against STOCK INCENTIVE PLAN. 03 A PROPOSAL BY A SHAREHOLDER REQUESTING THAT PULTE Shareholder For Against HOMES, INC. ADOPT A POLICY THAT THE SELECTION OF ITS INDEPENDENT AUDITOR BE SUBMITTED TO THE SHAREHOLDERS FOR RATIFICATION AT ANNUAL MEETINGS.
- -------------------------------------------------------------------------------- TRANSOCEAN INC. RIG Meeting Date: 05/13/2004 Issuer: G90078 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against ROBERT L. LONG Management Withheld Against MARTIN B. MCNAMARA Management Withheld Against ROBERT M. SPRAGUE Management Withheld Against J. MICHAEL TALBERT Management Withheld Against 02 APPROVAL OF THE AMENDMENT OF OUR LONG-TERM Management For For INCENTIVE PLAN AS DESCRIBED IN THE PROXY STATEMENT. 03 APPROVAL OF THE APPOINTMENT OF ERNST & YOUNG Management For For LLP TO SERVE AS INDEPENDENT AUDITORS.
- -------------------------------------------------------------------------------- ANTHEM, INC. ATH Meeting Date: 05/17/2004 Issuer: 03674B SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For VICTOR S. LISS Management For For JAMES W. MCDOWELL, JR. Management For For GEORGE A. SCHAEFER, JR. Management For For JACKIE M. WARD Management For For
- -------------------------------------------------------------------------------- WATSON PHARMACEUTICALS, INC. WPI Meeting Date: 05/17/2004 Issuer: 942683 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against ALLEN CHAO, PH.D. Management Withheld Against MICHEL J. FELDMAN Management Withheld Against FRED G. WEISS Management Withheld Against 02 RATIFICATION OF THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITOR FOR THE 2004 FISCAL YEAR. 03 STOCKHOLDER PROPOSAL ON EXECUTIVE COMPENSATION Shareholder Against For
Tri-Continental Corporation - -------------------------------------------------------------------------------- DEAN FOODS COMPANY DF Meeting Date: 05/18/2004 Issuer: 242370 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against ALAN J. BERNON Management Withheld Against GREGG L. ENGLES Management Withheld Against JOSEPH S. HARDIN, JR. Management Withheld Against RONALD KIRK Management Withheld Against JOHN S. LLEWELLYN, JR. Management Withheld Against 02 PROPOSAL TO RATIFY DELOITTE & TOUCHE LLP AS Management For For INDEPENDENT AUDITOR.
- -------------------------------------------------------------------------------- ADVANCE AUTO PARTS, INC. AAP Meeting Date: 05/19/2004 Issuer: 00751Y SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against LAWRENCE P. CASTELLANI Management Withheld Against JOHN C. BROUILLARD Management Withheld Against GILBERT T. RAY Management Withheld Against JOHN M. ROTH Management Withheld Against CARLOS A. SALADRIGAS Management Withheld Against WILLIAM L. SALTER Management Withheld Against FRANCESCA SPINELLI Management Withheld Against NICHOLAS F. TAUBMAN Management Withheld Against 02 APPROVAL OF AN AMENDMENT TO OUR CERTIFICATE OF Management For For INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF OUR COMMON STOCK TO 200 MILLION SHARES. 03 APPROVAL OF THE 2004 LONG-TERM INCENTIVE PLAN. Management Against Against 04 RATIFICATION OF THE APPOINTMENT BY OUR AUDIT Management For For COMMITTEE OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR 2004.
- -------------------------------------------------------------------------------- AMERICAN INTERNATIONAL GROUP, INC. AIG Meeting Date: 05/19/2004 Issuer: 026874 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against M. AIDINOFF Management Withheld Against P. CHIA Management Withheld Against M. COHEN Management Withheld Against W. COHEN Management Withheld Against M. FELDSTEIN Management Withheld Against E. FUTTER Management Withheld Against M. GREENBERG Management Withheld Against C. HILLS Management Withheld Against F. HOENEMEYER Management Withheld Against R. HOLBROOKE Management Withheld Against D. KANAK Management Withheld Against H. SMITH Management Withheld Against M. SULLIVAN Management Withheld Against E. TSE Management Withheld Against F. ZARB Management Withheld Against 02 ADOPT CHIEF EXECUTIVE OFFICER ANNUAL COMPENSATION Management For For PLAN 03 ADOPT A DIRECTOR STOCK PLAN Management For For 04 RATIFICATION OF INDEPENDENT ACCOUNTANTS Management For For 05 SHAREHOLDER PROPOSAL I DESCRIBED IN THE PROXY Shareholder For Against STATEMENT 06 SHAREHOLDER PROPOSAL II DESCRIBED IN THE PROXY Shareholder Abstain Against STATEMENT 07 SHAREHOLDER PROPOSAL III DESCRIBED IN THE PROXY Shareholder Abstain Against STATEMENT
Tri-Continental Corporation - -------------------------------------------------------------------------------- INTEL CORPORATION INTC Meeting Date: 05/19/2004 Issuer: 458140 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against CRAIG R. BARRETT Management Withheld Against CHARLENE BARSHEFSKY Management Withheld Against E. JOHN P. BROWNE Management Withheld Against ANDREW S. GROVE Management Withheld Against D. JAMES GUZY Management Withheld Against REED E. HUNDT Management Withheld Against PAUL S. OTELLINI Management Withheld Against DAVID S. POTTRUCK Management Withheld Against JANE E. SHAW Management Withheld Against JOHN L. THORNTON Management Withheld Against DAVID B. YOFFIE Management Withheld Against 02 RATIFICATION OF SELECTION OF INDEPENDENT AUDITORS Management For For 03 APPROVAL OF THE 2004 EQUITY INCENTIVE PLAN Management Against Against 04 STOCKHOLDER PROPOSAL REQUESTING THE EXPENSING Shareholder For Against OF STOCK OPTIONS 05 STOCKHOLDER PROPOSAL REQUESTING THE USE OF Against For PERFORMANCE-VEShareholder STOCK 06 STOCKHOLDER PROPOSAL REQUESTING THE USE OF For Against PERFORMANCE-BAShareholder STOCK OPTIONS
- -------------------------------------------------------------------------------- TARGET CORPORATION TGT Meeting Date: 05/19/2004 Issuer: 87612E SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against CALVIN DARDEN Management Withheld Against MICHELE J. HOOPER Management Withheld Against ANNE M. MULCAHY Management Withheld Against STEPHEN W. SANGER Management Withheld Against WARREN R. STALEY Management Withheld Against 02 APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For For AUDITORS. 03 APPROVAL OF THE TARGET CORPORATION LONG-TERM Management Against Against INCENTIVE PLAN.
Tri-Continental Corporation - -------------------------------------------------------------------------------- MEDIMMUNE, INC. MEDI Meeting Date: 05/20/2004 Issuer: 584699 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against WAYNE T. HOCKMEYER Management Withheld Against DAVID M. MOTT Management Withheld Against DAVID BALTIMORE Management Withheld Against M. JAMES BARRETT Management Withheld Against MELVIN D. BOOTH Management Withheld Against JAMES H. CAVANAUGH Management Withheld Against BARBARA H. FRANKLIN Management Withheld Against GORDON S. MACKLIN Management Withheld Against ELIZABETH H.S. WYATT Management Withheld Against 02 TO APPROVE THE 2004 STOCK INCENTIVE PLAN Management Against Against 03 TO APPROVE AND RATIFY THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR 2004
- -------------------------------------------------------------------------------- TEVA PHARMACEUTICAL INDUSTRIES LIMIT TEVA Meeting Date: 05/20/2004 Issuer: 881624 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 TO RECEIVE AND DISCUSS THE COMPANY S CONSOLIDATED Management For For BALANCE SHEET AS OF DECEMBER 31, 2003 AND THE CONSOLIDATED STATEMENTS. 02 TO APPROVE THE BOARD OF DIRECTORS RECOMMENDATION Management For For THAT THE CASH DIVIDEND FOR THE YEAR ENDED DECEMBER 31, 2003, WHICH WAS PAID IN FOUR INSTALLMENTS AND AGGREGATED NIS 1.44 (APPROXIMATELY US$0.322) PER ORDINARY SHARE, BE DECLARED FINAL. 3A TO ELECT ABRAHAM E. COHEN TO SERVE FOR A Management Against Against THREE-YEAR TERM. 3B TO ELECT LESLIE DAN TO SERVE FOR A THREE-YEAR Management Against Against TERM. 3C TO ELECT PROF. MEIR HETH TO SERVE FOR A Management Against Against THREE-YEAR TERM. 3D TO ELECT PROF. MOSHE MANY TO SERVE FOR A Management Against Against THREE-YEAR TERM. 3E TO ELECT DOV SHAFIR TO SERVE FOR A THREE-YEAR Management Against Against TERM. 04 TO APPROVE THE PURCHASE OF DIRECTOR S AND OFFICER Management For For S LIABILITY INSURANCE FOR THE DIRECTORS AND OFFICERS OF THE COMPANY. 05 TO APPOINT KESSELMAN & KESSELMAN, A MEMBER OF Management For For PRICEWATERHOUSECOOPERS INTERNATIONAL LTD., AS THE COMPANY S INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004 AND AUTHORIZE THE AUDIT COMMITTEE TO DETERMINE THEIR COMPENSATION.
Tri-Continental Corporation - -------------------------------------------------------------------------------- THE HARTFORD FINANCIAL SVCS GROUP, I HIG Meeting Date: 05/20/2004 Issuer: 416515 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against RAMANI AYER Management Withheld Against RONALD E. FERGUSON Management Withheld Against EDWARD J. KELLY, III Management Withheld Against PAUL G. KIRK, JR. Management Withheld Against THOMAS M. MARRA Management Withheld Against GAIL J. MCGOVERN Management Withheld Against ROBERT W. SELANDER Management Withheld Against CHARLES B. STRAUSS Management Withheld Against H. PATRICK SWYGERT Management Withheld Against GORDON I. ULMER Management Withheld Against DAVID K. ZWIENER Management Withheld Against 02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For For TOUCHE LLP AS INDEPENDENT AUDITORS OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004. 03 PROPOSAL BY SHAREHOLDER RELATING TO EXECUTIVE Shareholder Against For COMPENSATION.
Tri-Continental Corporation - -------------------------------------------------------------------------------- TIME WARNER INC. Meeting Date: 05/21/2004 Issuer: 887317 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JAMES L. BARKSDALE Management Withheld Against STEPHEN F. BOLLENBACH Management Withheld Against STEPHEN M. CASE Management Withheld Against FRANK J. CAUFIELD Management Withheld Against ROBERT C. CLARK Management Withheld Against MILES R. GILBURNE Management Withheld Against CARLA A. HILLS Management Withheld Against REUBEN MARK Management Withheld Against MICHAEL A. MILES Management Withheld Against KENNETH J. NOVACK Management Withheld Against RICHARD D. PARSONS Management Withheld Against R.E. TURNER Management Withheld Against FRANCIS T. VINCENT, JR. Management Withheld Against 02 RATIFICATION OF AUDITORS. Management For For 03 STOCKHOLDER PROPOSAL REGARDING CHINA BUSINESS Shareholder Abstain Against PRINCIPLES. 04 STOCKHOLDER PROPOSAL REGARDING REPORT ON PAY Shareholder Abstain Against DISPARITY.
- -------------------------------------------------------------------------------- FANNIE MAE FNM Meeting Date: 05/25/2004 Issuer: 313586 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against S.B. ASHLEY Management Withheld Against K.M. DUBERSTEIN Management Withheld Against T.P. GERRITY Management Withheld Against T. HOWARD Management Withheld Against A. KOROLOGOS Management Withheld Against F.V. MALEK Management Withheld Against D.B. MARRON Management Withheld Against D.H. MUDD Management Withheld Against A.M. MULCAHY Management Withheld Against J.K. PICKETT Management Withheld Against L. RAHL Management Withheld Against F.D. RAINES Management Withheld Against H.P. SWYGERT Management Withheld Against 02 RATIFICATION OF THE SELECTION OF AUDITORS Management For For 03 APPROVAL OF AN AMENDMENT TO THE FANNIE MAE Management For For EMPLOYEE STOCK PURCHASE PLAN 04 STOCKHOLDER PROPOSAL TO REINSTATE CUMULATIVE Shareholder Against For VOTING
Tri-Continental Corporation - -------------------------------------------------------------------------------- GILEAD SCIENCES, INC. GILD Meeting Date: 05/25/2004 Issuer: 375558 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against PAUL BERG Management Withheld Against ETIENNE F. DAVIGNON Management Withheld Against JAMES M. DENNY Management Withheld Against JOHN C. MARTIN Management Withheld Against GORDON E. MOORE Management Withheld Against NICHOLAS G. MOORE Management Withheld Against GEORGE P. SHULTZ Management Withheld Against GAYLE E. WILSON Management Withheld Against 02 TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE Management For For OF THE BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS OF GILEAD FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004. 03 TO APPROVE THE ADOPTION OF GILEAD S 2004 EQUITY Management Against Against INCENTIVE PLAN. 04 TO APPROVE AN AMENDMENT TO GILEAD S RESTATED Management For For CERTIFICATE OF INCORPORATION TO INCREASE THE AUTHORIZED NUMBER OF SHARES OF GILEAD COMMON STOCK FROM 500,000,000 TO 700,000,000 SHARES.
- -------------------------------------------------------------------------------- J.P. MORGAN CHASE & CO. JPM Meeting Date: 05/25/2004 Issuer: 46625H SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 MERGER PROPOSAL Management For For 02 DIRECTOR Management Withheld Against HANS W. BECHERER Management Withheld Against FRANK A. BENNACK, JR. Management Withheld Against JOHN H. BIGGS Management Withheld Against LAWRENCE A. BOSSIDY Management Withheld Against ELLEN V. FUTTER Management Withheld Against WILLIAM H. GRAY, III Management Withheld Against WILLIAM B. HARRISON, JR Management Withheld Against HELENE L. KAPLAN Management Withheld Against LEE R. RAYMOND Management Withheld Against JOHN R. STAFFORD Management Withheld Against 03 APPOINTMENT OF EXTERNAL AUDITOR Management For For 04 RE-APPROVAL OF KEY EXECUTIVE PERFORMANCE PLAN Management Against Against 05 ADJOURNMENT OF MEETING, IF NECESSARY, TO SOLICIT Management For For ADDITIONAL PROXIES 06 DIRECTOR TERM LIMIT Shareholder Against For 07 CHARITABLE CONTRIBUTIONS Shareholder Against For 08 POLITICAL CONTRIBUTIONS Shareholder For Against 09 SEPARATION OF CHAIRMAN AND CEO Shareholder For Against 10 DERIVATIVE DISCLOSURE Shareholder Against For 11 AUDITOR INDEPENDENCE Shareholder Against For 12 DIRECTOR COMPENSATION Shareholder Against For 13 PAY DISPARITY Shareholder Against For
Tri-Continental Corporation - -------------------------------------------------------------------------------- ROYAL CARIBBEAN CRUISES LTD. RCL Meeting Date: 05/25/2004 Issuer: V7780T SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against TOR B. ARNEBERG Management Withheld Against WILLIAM L. KIMSEY Management Withheld Against GERT W. MUNTHE Management Withheld Against THOMAS J. PRITZKER Management Withheld Against 02 APPROVAL OF THE AMENDED AND RESTATED 2000 STOCK Management Against Against AWARD PLAN. 03 RATIFICATION OF APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS THE COMPANY S INDEPENDENT ACCOUNTANTS FOR 2004.
- -------------------------------------------------------------------------------- WEATHERFORD INTERNATIONAL LTD. WFT Meeting Date: 05/25/2004 Issuer: G95089 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For PHILIP BURGUIERES Management For For NICHOLAS F. BRADY Management For For DAVID J. BUTTERS Management For For BERNARD J. DUROC-DANNER Management For For SHELDON B. LUBAR Management For For WILLIAM E. MACAULAY Management For For ROBERT B. MILLARD Management For For ROBERT K. MOSES, JR. Management For For ROBERT A. RAYNE Management For For 02 APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For For AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004, AND AUTHORIZATION OF THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS TO SET ERNST & YOUNG LLP S REMUNERATION.
- -------------------------------------------------------------------------------- BANK OF AMERICA CORPORATION BAC Meeting Date: 05/26/2004 Issuer: 060505 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - ------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against WILLIAM BARNET, III Management Withheld Against CHARLES W. COKER Management Withheld Against JOHN T. COLLINS Management Withheld Against GARY L. COUNTRYMAN Management Withheld Against PAUL FULTON Management Withheld Against CHARLES K. GIFFORD Management Withheld Against DONALD E. GUINN Management Withheld Against JAMES H. HANCE, JR. Management Withheld Against KENNETH D. LEWIS Management Withheld Against WALTER E. MASSEY Management Withheld Against THOMAS J. MAY Management Withheld Against C. STEVEN MCMILLAN Management Withheld Against EUGENE M. MCQUADE Management Withheld Against PATRICIA E. MITCHELL Management Withheld Against EDWARD L. ROMERO Management Withheld Against THOMAS M. RYAN Management Withheld Against O. TEMPLE SLOAN, JR. Management Withheld Against MEREDITH R. SPANGLER Management Withheld Against JACKIE M. WARD Management Withheld Against 02 RATIFICATION OF INDEPENDENT PUBLIC ACCOUNTANTS Management For For 03 STOCKHOLDER PROPOSAL - ANNUAL MEETING DATE Shareholder Against For 04 STOCKHOLDER PROPOSAL - NOMINATION OF DIRECTORS Shareholder Against For 05 STOCKHOLDER PROPOSAL - CHARITABLE CONTRIBUTIONS Shareholder Abstain Against 06 STOCKHOLDER PROPOSAL - MUTUAL FUND TRADING Shareholder Against For POLICIES 07 STOCKHOLDER PROPOSAL - PRIVACY AND INFORMATION Shareholder Abstain Against SECURITY
Tri-Continental Corporation - -------------------------------------------------------------------------------- CROWN CASTLE INTERNATIONAL CORP. CCI Meeting Date: 05/26/2004 Issuer: 228227 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against RANDALL A. HACK Management Withheld Against EDWARD C. HUTCHESON, JR Management Withheld Against J. LANDIS MARTIN Management Withheld Against 02 APPROVAL OF COMPANY S 2004 STOCK INCENTIVE PLAN. Management Against Against 03 THE RATIFICATION OF THE APPOINTMENT OF KPMG LLP Management For For AS THE COMPANY S INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS FOR 2004. 04 STOCKHOLDER PROPOSAL REGARDING MACBRIDE PRINCIPLES. Shareholder Against For
- -------------------------------------------------------------------------------- EXXON MOBIL CORPORATION XOM Meeting Date: 05/26/2004 Issuer: 30231G SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against M.J. BOSKIN Management Withheld Against J.R. HOUGHTON Management Withheld Against W.R. HOWELL Management Withheld Against R.C. KING Management Withheld Against P.E. LIPPINCOTT Management Withheld Against H.J. LONGWELL Management Withheld Against H.A. MCKINNELL, JR. Management Withheld Against M.C. NELSON Management Withheld Against L.R. RAYMOND Management Withheld Against W.V. SHIPLEY Management Withheld Against R.W. TILLERSON Management Withheld Against 02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 27). Management For For 03 APPROVAL OF 2004 NON-EMPLOYEE DIRECTOR RESTRICTED Management For For STOCK PLAN (PAGE 28). 04 POLITICAL CONTRIBUTIONS (PAGE 30). Shareholder Abstain Against 05 POLITICAL CONTRIBUTIONS REPORT (PAGE 32). Shareholder For Against 06 MEDIA RESPONSE ON EQUATORIAL GUINEA (PAGE 34). Shareholder Abstain Against 07 BOARD CHAIRMAN AND CEO (PAGE 37). Shareholder For Against 08 EXECUTIVE COMPENSATION (PAGE 39). Shareholder Against For 09 EQUITY COMPENSATION REPORT (PAGE 40). Shareholder Abstain Against 10 AMENDMENT OF EEO POLICY (PAGE 42). Shareholder Abstain Against 11 CLIMATE SCIENCE REPORT (PAGE 44). Shareholder Abstain Against
Tri-Continental Corporation - -------------------------------------------------------------------------------- SYNOPSYS, INC. SNPS Meeting Date: 05/26/2004 Issuer: 871607 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against AART J. DE GEUS Management Withheld Against ANDY D. BRYANT Management Withheld Against CHI-FOON CHAN Management Withheld Against BRUCE R. CHIZEN Management Withheld Against DEBORAH A. COLEMAN Management Withheld Against A. RICHARD NEWTON Management Withheld Against SASSON SOMEKH Management Withheld Against ROY VALLEE Management Withheld Against STEVEN C. WALSKE Management Withheld Against 02 PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY Management Against Against S 1994 NON- EMPLOYEE DIRECTORS STOCK OPTION PLAN TO EXTEND THE TERM OF SUCH PLAN BY FIVE YEARS. 03 PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP Management For For AS INDEPENDENT AUDITORS OF SYNOPSYS FOR FISCAL 2004.
- -------------------------------------------------------------------------------- WAL-MART STORES, INC. WMT Meeting Date: 06/04/2004 Issuer: 931142 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against JAMES W. BREYER Management Withheld Against M. MICHELE BURNS Management Withheld Against THOMAS M. COUGHLIN Management Withheld Against DAVID D. GLASS Management Withheld Against ROLAND A. HERNANDEZ Management Withheld Against DAWN G. LEPORE Management Withheld Against JOHN D. OPIE Management Withheld Against J. PAUL REASON Management Withheld Against H. LEE SCOTT, JR. Management Withheld Against JACK C. SHEWMAKER Management Withheld Against JOSE H. VILLARREAL Management Withheld Against JOHN T. WALTON Management Withheld Against S. ROBSON WALTON Management Withheld Against CHRISTOPHER J. WILLIAMS Management Withheld Against 02 APPROVAL OF THE ASDA COLLEAGUE SHARE OWNERSHIP Management Against Against PLAN 1999 03 APPROVAL OF THE ASDA SHARESAVE PLAN 2000 Management Against Against 04 APPROVAL OF THE WAL-MART STORES, INC. 2004 Management For For ASSOCIATE STOCK PURCHASE PLAN 05 RATIFICATION OF THE APPOINTMENT OF INDEPENDENT Management For For ACCOUNTANTS 06 A SHAREHOLDER PROPOSAL REGARDING AN INDEPENDENT Shareholder For Against CHAIRMAN 07 A SHAREHOLDER PROPOSAL REGARDING A Shareholder Abstain Against SUSTAINABILITY REPORT 08 A SHAREHOLDER PROPOSAL REGARDING EQUITY Shareholder Abstain Against COMPENSATION 09 A SHAREHOLDER PROPOSAL REGARDING GENETICALLY Shareholder Abstain Against ENGINEERED FOOD PRODUCTS 10 A SHAREHOLDER PROPOSAL REGARDING AN EQUAL Shareholder Abstain Against EMPLOYMENT OPPORTUNITY REPORT 11 A SHAREHOLDER PROPOSAL REGARDING SHAREHOLDER Shareholder Against For APPROVAL OF PARTICIPATION IN THE OFFICER DEFERRED COMPENSATION PLAN
Tri-Continental Corporation - -------------------------------------------------------------------------------- PRUDENTIAL FINANCIAL, INC. PRU Meeting Date: 06/08/2004 Issuer: 744320 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For ARTHUR F. RYAN Management For For GASTON CAPERTON Management For For GILBERT F. CASELLAS Management For For KARL J. KRAPEK Management For For IDA F.S. SCHMERTZ Management For For 02 RATIFICATION OF THE APPOINTMENT OF Management For For PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2004. 03 A SHAREHOLDER PROPOSAL REGARDING CHARITABLE Shareholder Abstain Against CONTRIBUTIONS 04 A SHAREHOLDER PROPOSAL REGARDING THE ANNUAL Shareholder For Against ELECTION \OF DIRECTORS.
- -------------------------------------------------------------------------------- BIOGEN IDEC INC. Meeting Date: 06/16/2004 Issuer: 09062X SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For ALAN BELZER Management For For MARY L. GOOD Management For For JAMES C. MULLEN Management For For BRUCE R. ROSS Management For For 02 TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS Management For For LLP AS THE COMPANY S INDEPENDENT ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2004.
- -------------------------------------------------------------------------------- AUTODESK, INC. ADSK Meeting Date: 06/17/2004 Issuer: 052769 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For For CAROL A. BARTZ Management For For MARK A. BERTELSEN Management For For CRAWFORD W. BEVERIDGE Management For For J. HALLAM DAWSON Management For For MICHAEL J. FISTER Management For For PER-KRISTIAN HALVORSEN Management For For STEVEN SCHEID Management For For MARY ALICE TAYLOR Management For For LARRY W. WANGBERG Management For For 02 PROPOSAL TO RATIFY THE APPOINTMENT OF ERNST & Management For For YOUNG LLP AS THE INDEPENDENT AUDITORS OF AUTODESK, INC. FOR THE FISCAL YEAR ENDING JANUARY 31, 2005. 03 TO CONSIDER A STOCKHOLDER PROPOSAL IF PROPERLY Shareholder Against For PRESENTED AT THE MEETING.
Tri-Continental Corporation - -------------------------------------------------------------------------------- MICHAELS STORES, INC. MIK Meeting Date: 06/17/2004 Issuer: 594087 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against CHARLES J. WYLY, JR. Management Withheld Against SAM WYLY Management Withheld Against RICHARD E. HANLON Management Withheld Against RICHARD C. MARCUS Management Withheld Against LIZ MINYARD Management Withheld Against CECE SMITH Management Withheld Against 02 RATIFICATION OF THE AUDIT COMMITTEE S SELECTION Management Against Against OF ERNST & YOUNG LLP AS OUR INDEPENDENT AUDITORS FOR FISCAL 2004. 03 ADOPTION OF THE AMENDMENT TO THE RESTATED Management For For CERTIFICATE OF INCORPORATION.
- -------------------------------------------------------------------------------- ONYX PHARMACEUTICALS, INC. ONXX Meeting Date: 06/23/2004 Issuer: 683399 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against NICOLE VITULLO Management Withheld Against 02 TO APPROVE AN AMENDMENT TO THE COMPANY S 1996 Management Against Against EQUITY INCENTIVE PLAN TO INCREASE THE AGGREGATE NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE UNDER THE PLAN BY 600,000 SHARES. 03 TO APPROVE AN AMENDMENT TO THE COMPANY S 1996 Management Against Against NON-EMPLOYEE DIRECTORS STOCK OPTION PLAN TO INCREASE THE NUMBER OF SHARES OF COMMON STOCK SUBJECT TO THE ANNUAL OPTION GRANT TO EACH NON-EMPLOYEE DIRECTOR UNDER THE PLAN TO 10,000 SHARES FROM 5,000 SHARES. 04 TO RATIFY SELECTION OF ERNST & YOUNG LLP AS Management For For INDEPENDENT AUDITORS OF THE COMPANY FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2004.
- -------------------------------------------------------------------------------- EBAY INC. EBAY Meeting Date: 06/24/2004 Issuer: 278642 SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Against PHILIPPE BOURGUIGNON Management Withheld Against THOMAS J. TIERNEY Management Withheld Against MARGARET C. WHITMAN Management Withheld Against 02 APPROVAL OF AMENDMENTS TO OUR 1999 GLOBAL EQUITY Management Against Against INCENTIVE PLAN, INCLUDING AN AMENDMENT TO INCREASE BY 6,000,000 THE NUMBER OF SHARES OF COMMON STOCK THAT MAY BE ISSUED UNDER OUR 1999 PLAN. 03 APPROVAL OF AN AMENDMENT TO OUR 2001 EQUITY Management Against Against INCENTIVE PLAN TO INCREASE BY 18,000,000 THE NUMBER OF SHARES OF COMMON STOCK THAT MAY BE ISSUED UNDER OUR 2001 PLAN. 04 APPROVAL OF AN AMENDMENT TO OUR CERTIFICATE OF Management For For INCORPORATION TO INCREASE THE AUTHORIZED NUMBER OF SHARES OF COMMON STOCK FROM 900,000,000 TO 1,790,000,000 SHARES. 05 RATIFICATION OF SELECTION OF Management For For PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT AUDITORS FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2004. 06 STOCKHOLDER PROPOSAL REQUESTING THE EXPENSING Shareholder For Against OF STOCK OPTIONS.
Tri-Continental Corporation - -------------------------------------------------------------------------------- ANTHEM, INC. ATH Meeting Date: 06/28/2004 Issuer: 03674B SEDOL: - --------------------------------------------------------------------------------
Proposal Proposal Vote For or Against Number Proposal Type Cast Mgmt. - --------------------------------------------------------------------------------------------------------- 01 TO APPROVE THE ISSUANCE OF SHARES OF ANTHEM, Management For For INC. COMMON STOCK PURSUANT TO THE AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER, EFFECTIVE AS OF OCTOBER 26, 2003, AMONG ANTHEM, ANTHEM HOLDING CORP. AND WELLPOINT, AS MORE FULLY DESCRIBED IN THE ACCOMPANYING JOINT PROXY STATEMENT/PROSPECTUS. 02 TO APPROVE THE AMENDMENT OF ANTHEM S ARTICLES Management For For OF INCORPORATION, AS MORE FULLY DESCRIBED IN THE ACCOMPANYING JOINT PROXY STATEMENT/PROSPECTUS.
TRI-CONTINENTAL CORPORATION Pursuant to this requirement 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 on the 31st day of August, 2004. Signature Title - ----------------- ----------------------------- /s/ Brian T. Zino Chief Executive Officer - ----------------- (Principal Executive Officer) Brian T. Zino -----END PRIVACY-ENHANCED MESSAGE-----