N-PX 1 d64992_n-px.txt ANNUAL REPORT OF PROXY VOTING RECORD 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 in charter) 100 Park Avenue New York, NY 10017 ------------------------------------------------------------------------- (Address of principal executive offices) 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 or Toll Free at 800-221-2450 Date of Fiscal year-end: 12/31/2004 Date of reporting period: 7/1/2004 - 6/30/2005 Item 1. Proxy Voting Record
ISSUER NAME TICKER CUSIP MTG DATE MTG TYPE Proposal Type Voted? Vote For/Agnst Mgmt ADVANCE AUTO PARTS AAP 00751Y106 5/18/05 ANNUAL 1.01 ELECT JOHN C. BROUILLARD MGMT YES WHOLD AGNST 1.02 ELECT LAWRENCE P. CASTELLANI MGMT YES WHOLD AGNST 1.03 ELECT MICHAEL N. COPPOLA MGMT YES WHOLD AGNST 1.04 ELECT DARREN R. JACKSON MGMT YES WHOLD AGNST 1.05 ELECT WILLIAM S. OGLESBY MGMT YES WHOLD AGNST 1.06 ELECT GILBERT T. RAY MGMT YES WHOLD AGNST 1.07 ELECT CARLOS A. SALADRIGAS MGMT YES WHOLD AGNST 1.08 ELECT WILLIAM L. SALTER MGMT YES WHOLD AGNST 1.09 ELECT FRANCESCA SPINELLI MGMT YES WHOLD AGNST 1.10 ELECT NICHOLAS F. TAUBMAN MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 ADOPT SEXUAL ORIENTATION ANTI-BIAS POLICY SHLDR YES ABSTAIN AGNST ALCOA INC. AA 013817 4/22/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR ALTRIA GROUP, INC. MO 02209S 4/28/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 ADOPT OMNIBUS STOCK OPTION PLAN MGMT YES FOR FOR 3.00 ADOPT NON-EMPLOYEE DIRECTOR PLAN MGMT YES FOR FOR 4.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR
5.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES ABSTAIN AGNST 6.00 S/H PROPOSAL - TOBACCO MGMT YES ABSTAIN AGNST 7.00 S/H PROPOSAL - TOBACCO MGMT YES ABSTAIN AGNST 8.00 S/H PROPOSAL - TOBACCO MGMT YES ABSTAIN AGNST AMERICAN EXPRESS COMPANY AXP 025816 4/27/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 4.00 S/H PROPOSAL - POLITICAL/GOVERNMENT MGMT YES FOR AGNST AMERICAN TOWER CORP AMT 029912201 5/26/05 ANNUAL 1.01 ELECT RAYMOND P. DOLAN MGMT YES FOR FOR 1.02 ELECT CAROLYN F. KATZ MGMT YES FOR FOR 1.03 ELECT GUSTAVO LARA CANTU MGMT YES FOR FOR 1.04 ELECT FRED R. LUMMIS MGMT YES FOR FOR 1.05 ELECT PAMELA D. A. REEVE MGMT YES FOR FOR 1.06 ELECT JAMES D. TAICLET JR. MGMT YES FOR FOR 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR AMGEN INC. AMGN 031162 5/11/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT NO NOT VOTED
2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT NO NOT VOTED 3.00 S/H PROPOSAL - HEALTH ISSUES MGMT NO NOT VOTED 4.00 S/H PROPOSAL - HEALTH ISSUES MGMT NO NOT VOTED 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT NO NOT VOTED ANDREW CORPORATION ANDW 034425 2/8/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 MANAGEMENT INCENTIVE PLAN MGMT YES FOR FOR 3.00 ADOPT OMNIBUS STOCK OPTION PLAN MGMT YES FOR FOR 4.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 5.00 TRANSACT OTHER BUSINESS MGMT YES AGNST AGNST ANDRX ADRX 034553107 5/20/05 ANNUAL 1.01 ELECT TAMARA A. BAUM MGMT YES WHOLD AGNST 1.02 ELECT DR. MELVIN SHAROKY MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR APPLEBEE'S INTERNATIONAL INC APPB 037899101 5/12/05 ANNUAL 1.01 ELECT ERLINE BELTON MGMT YES WHOLD AGNST 1.02 ELECT ERIC L. HANSEN MGMT YES WHOLD AGNST
2.00 ADD SHARES TO THE 1995 EQUITY INCENTIVE PLAN MGMT YES AGNST AGNST 3.00 ADD SHARES TO THE EMPLOYEE STOCK PURCHASE PLAN MGMT YES AGNST AGNST 4.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 5.00 REVIEW OR PROMOTE ANIMAL WELFARE SHLDR YES ABSTAIN AGNST ASK JEEVES INC ASKJ 045174109 5/24/05 ANNUAL 1.01 ELECT DAVID S. CARLICK MGMT YES WHOLD AGNST 1.02 ELECT JAMES D. KIRSNER MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR BANK OF AMERICA CORPORATION BAC 060505 4/27/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H - REPORT ON CHARITABLE CONRIBUTIONS MGMT YES AGNST FOR 4.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR BOSTON SCIENTIFIC CORP BSX 101137107 5/10/05 ANNUAL 1.01 ELECT RAY J. GROVES MGMT YES WHOLD AGNST 1.02 ELECT PETER M. NICHOLAS MGMT YES WHOLD AGNST 1.03 ELECT WARREN B. RUDMAN MGMT YES WHOLD AGNST 1.04 ELECT JAMES R. TOBIN MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 MAJORITY VOTE TO ELECT DIRECTORS SHLDR YES AGNST FOR
BP P.L.C. BP 055622 4/14/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 APPOINT AUDITORS AND APPROVE REMUNERATION MGMT YES FOR FOR 3.00 ALLOT SECURITIES MGMT YES FOR FOR 4.00 ALLOT SECURITIES MGMT YES FOR FOR 5.00 AUTHORIZE DIRECTORS TO REPURCHASE SHARES MGMT YES FOR FOR 6.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 7.00 ADOPT/AMEND EXECUTIVE INCENTIVE BONUS PLAN MGMT YES FOR FOR 8.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES AGNST AGNST BROADCOM CORPORATION BRCM 111320 4/28/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 4.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR CARNIVAL CORPORATION CCL 143658 4/13/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND NON-EMPLOYEE DIRECTOR PLAN MGMT YES FOR FOR 3.00 ADOPT STOCK OPTION PLAN MGMT YES AGNST AGNST
4.00 ADOPT STOCK PURCHASE PLAN MGMT YES FOR FOR 5.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 6.00 APPROVE INCREASE IN AGGREGATE COMPENSATION CEILING FOR DIRS AND STATUTORY AUDS MGMT YES FOR FOR 7.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 8.00 APPROVE RENUMERATION OF DIRECTORS MGMT YES FOR FOR 9.00 ALLOT SECURITIES MGMT YES FOR FOR 10.00 ELIMINATE PREEMPTIVE RIGHTS MGMT YES FOR FOR 11.00 AUTHORIZE DIRECTORS TO REPURCHASE SHARES MGMT YES FOR FOR CENDANT CORPORATION CD 151313 4/26/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 AMEND NON-EMPLOYEE DIRECTOR PLAN MGMT YES AGNST AGNST 4.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 6.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST CHEVRONTEXACO CORPORATION CVX 166764 4/27/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST
5.00 S/H - EXPENSING OF STOCK OPTIONS MGMT YES FOR AGNST 6.00 S/H PROPOSAL - ANIMAL RIGHTS MGMT YES AGNST FOR 7.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR 8.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR CISCO SYSTEMS, INC. CSCO 17275R 11/18/04 ANNUAL 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES ABSTAIN AGNST CIT GROUP INC CIT 125581108 5/11/05 ANNUAL 1.01 ELECT JEFFREY M. PEEK MGMT YES FOR FOR 1.02 ELECT GARY C. BUTLER MGMT YES FOR FOR 1.03 ELECT WILLIAM A. FARLINGER MGMT YES FOR FOR 1.04 ELECT WILLIAM M. FREEMAN MGMT YES FOR FOR 1.05 ELECT THOMAS H. KEAN MGMT YES FOR FOR 1.06 ELECT MARIANNE MILLER PARRS MGMT YES FOR FOR 1.07 ELECT TIMOTHY M. RING MGMT YES FOR FOR 1.08 ELECT JOHN R. RYAN MGMT YES FOR FOR 1.09 ELECT PETER J. TOBIN MGMT YES FOR FOR 1.10 ELECT LOIS M. VAN DEUSEN MGMT YES FOR FOR 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 APPROVE OTHER BUSINESS MGMT YES AGNST AGNST
CITIGROUP INC. C 172967 4/19/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 AMEND INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 4.00 S/H PROPOSAL - LIMIT COMPENSATION MGMT YES AGNST FOR 5.00 S/H PROPOSAL - POLITICAL/GOVERNMENT MGMT YES FOR AGNST 6.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST 7.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 8.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR 9.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 10.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR CITIZENS COMMUNICATIONS CO CZN 17453B101 5/26/05 ANNUAL 1.01 ELECT JERRY ELLIOTT MGMT YES WHOLD AGNST 1.02 ELECT LAWTON WEHLE FITT MGMT YES WHOLD AGNST 1.03 ELECT STANLEY HARFENIST MGMT YES WHOLD AGNST 1.04 ELECT WILLIAM M. KRAUS MGMT YES WHOLD AGNST 1.05 ELECT SCOTT N. SCHNEIDER MGMT YES WHOLD AGNST 1.06 ELECT LARRAINE D. SEGIL MGMT YES WHOLD AGNST 1.07 ELECT EDWIN TORNBERG MGMT YES WHOLD AGNST 1.08 ELECT DAVID H. WARD MGMT YES WHOLD AGNST 1.09 ELECT MYRON A. WICK III MGMT YES WHOLD AGNST 1.10 ELECT MARY AGNES WILDEROTTER MGMT YES WHOLD AGNST
1.11 ELECT ROBERT A. STANGER MGMT YES WHOLD AGNST 2.00 AMEND STOCK INCENTIVE PLAN MGMT YES FOR FOR 3.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 4.00 APPROVE OTHER BUSINESS MGMT YES AGNST AGNST CLEAR CHANNEL COMMUNICATIONS, INC. CCU 184502 4/26/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES FOR FOR 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR COLGATE-PALMOLIVE COMPANY CL 194162 5/4/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT STOCK OPTION PLAN MGMT YES AGNST AGNST 4.00 ADOPT NON-EMPLOYEE DIRECTOR PLAN MGMT YES AGNST AGNST 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR COMCAST CORP CMCSA 20030N101 6/1/05 ANNUAL 1.01 ELECT S. DECKER ANSTROM MGMT YES WHOLD AGNST 1.02 ELECT KENNETH J. BACON MGMT YES WHOLD AGNST 1.03 ELECT SHELDON M. BONOVITZ MGMT YES WHOLD AGNST 1.04 ELECT EDWARD D. BREEN MGMT YES WHOLD AGNST 1.05 ELECT JULIAN A. BRODSKY MGMT YES WHOLD AGNST
1.06 ELECT JOSEPH L. CASTLE II MGMT YES WHOLD AGNST 1.07 ELECT JOSEPH J. COLLINS MGMT YES WHOLD AGNST 1.08 ELECT J. MICHAEL COOK MGMT YES WHOLD AGNST 1.09 ELECT BRIAN L. ROBERTS MGMT YES WHOLD AGNST 1.10 ELECT RALPH J. ROBERTS MGMT YES WHOLD AGNST 1.11 ELECT JUDITH RODIN MGMT YES WHOLD AGNST 1.12 ELECT MICHAEL I. SOVERN MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 AMEND STOCK AWARD PLAN MGMT YES FOR FOR 4.00 REVIEW POLITICAL SPENDING OR LOBBYING SHLDR YES AGNST FOR 5.00 INDEPENDENT BOARD CHAIRMAN SHLDR YES FOR AGNST 6.00 REDEEM OR VOTE ON POISON PILL SHLDR YES FOR AGNST 7.00 ELIMINATE DUAL CLASS STOCK SHLDR YES FOR AGNST COMPUTER ASSOCIATES INTERNATIONAL, I CA 204912 8/25/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR CROWN CASTLE INTERNATIONAL CORP CCI 228227104 5/26/05 ANNUAL 1.01 ELECT DALE N. HATFIELD MGMT YES WHOLD AGNST 1.02 ELECT LEE W. HOGAN MGMT YES WHOLD AGNST 1.03 ELECT ROBERT F. MCKENZIE MGMT YES WHOLD AGNST
1.04 ELECT ROBERT E. GARRISON II MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR DEAN FOODS CO DF 242370104 5/24/05 ANNUAL 1.01 ELECT TOM C. DAVIS MGMT YES WHOLD AGNST 1.02 ELECT STEPHEN L. GREEN MGMT YES WHOLD AGNST 1.03 ELECT JOSEPH S. HARDIN JR. MGMT YES WHOLD AGNST 1.04 ELECT JOHN R. MUSE MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 REPORT ON SUSTAINABILITY SHLDR YES ABSTAIN AGNST DEERE & COMPANY DE 244199 2/23/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 ADOPT OMNIBUS STOCK OPTION PLAN MGMT YES FOR FOR 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR DELL INC. DELL 24702R 7/16/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H - EXPENSING OF STOCK OPTIONS MGMT YES FOR AGNST DUKE ENERGY CORPORATION DUK 264399 5/12/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR
2.00 DECLASSIFY BOARD MGMT YES FOR FOR 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR EBAY INC EBAY 278642103 6/23/05 ANNUAL 1.01 ELECT FRED D. ANDERSON MGMT YES WHOLD AGNST 1.02 ELECT EDWARD W. BARNHOLT MGMT YES WHOLD AGNST 1.03 ELECT SCOTT D. COOK MGMT YES WHOLD AGNST 1.04 ELECT ROBERT C. KAGLE MGMT YES WHOLD AGNST 2.00 REAPPROVE OPTION/BONUS PLAN FOR OBRA MGMT YES AGNST AGNST 3.00 INCREASE AUTHORIZED COMMON STOCK MGMT YES FOR FOR 4.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 5.00 RESTRICT EXECUTIVE COMPENSATION SHLDR YES AGNST FOR 6.00 MAJORITY VOTE TO ELECT DIRECTORS SHLDR YES AGNST FOR ELECTRONIC ARTS INC. ERTS 285512 7/29/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 3.00 AMEND STOCK PURCHASE PLAN MGMT YES AGNST AGNST 4.00 APPROVE REVERSE STOCK SPLIT MGMT YES FOR FOR 5.00 APPROVE AUTHORIZED COMMON STOCK INCREASE MGMT YES FOR FOR 6.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR
ELI LILLY AND COMPANY LLY 532457 4/18/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST 4.00 S/H PROPOSAL - HEALTH ISSUES MGMT YES ABSTAIN AGNST 5.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST 6.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES FOR AGNST 7.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES FOR AGNST 8.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST EMC CORPORATION EMC 268648 5/5/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND STOCK OPTION PLAN TO INCREASE SHARES MGMT YES AGNST AGNST 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR EXXON MOBIL CORP XOM 30231G102 5/25/05 ANNUAL 1.01 ELECT MICHAEL J. BOSKIN MGMT YES FOR FOR 1.02 ELECT WILLIAM W. GEORGE MGMT YES FOR FOR 1.03 ELECT JAMES R. HOUGHTON MGMT YES FOR FOR 1.04 ELECT WILLIAM R. HOWELL MGMT YES FOR FOR 1.05 ELECT REATHA CLARK KING MGMT YES FOR FOR 1.06 ELECT PHILIP E. LIPPINCOTT MGMT YES FOR FOR
1.07 ELECT HENRY A. MCKINNELL JR. MGMT YES FOR FOR 1.08 ELECT MARILYN CARLSON NELSON MGMT YES FOR FOR 1.09 ELECT LEE R. RAYMOND MGMT YES FOR FOR 1.10 ELECT WALTER V. SHIPLEY MGMT YES FOR FOR 1.11 ELECT REX W. TILLERSON MGMT YES FOR FOR 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 AFFIRM POLITICAL NONPARTISANSHIP SHLDR YES ABSTAIN AGNST 4.00 RESTRICT DIRECTOR COMPENSATION SHLDR YES AGNST FOR 5.00 NOMINATE DIRECTORS WITH ENERGY EXPERTISE SHLDR YES AGNST FOR 6.00 REVIEW OPERATIONS' IMPACT ON LOCAL GROUPS SHLDR YES ABSTAIN AGNST 7.00 ADOPT SEXUAL ORIENTATION ANTI-BIAS POLICY SHLDR YES ABSTAIN AGNST 8.00 PRESERVE/REPORT ON NATURAL HABITAT SHLDR YES ABSTAIN AGNST 9.00 REPORT OR TAKE ACTION ON CLIMATE CHANGE SHLDR YES ABSTAIN AGNST 10.00 REPORT OR TAKE ACTION ON CLIMATE CHANGE SHLDR YES ABSTAIN AGNST FEDERAL HOME LOAN MORTGAGE CORPORATI FRE 313400 11/4/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT STOCK OPTION PLAN MGMT YES FOR FOR 4.00 AMEND STOCK PURCHASE PLAN MGMT YES FOR FOR FOREST LABORATORIES, INC. FRX 345838 8/11/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST
2.00 APPROVE AUTHORIZED COMMON STOCK INCREASE MGMT YES FOR FOR 3.00 ADOPT STOCK OPTION PLAN MGMT YES AGNST AGNST 4.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR FREEPORT-MCMORAN COPPER & GOLD INC. FCX 35671D 5/5/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES FOR FOR 4.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR 5.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST GAP, INC. GPS 364760 5/10/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 AMEND OMNIBUS STOCK OPTION PLAN MGMT YES AGNST AGNST GENERAL DYNAMICS CORPORATION GD 369550 5/4/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST 4.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR
GENERAL ELECTRIC COMPANY GE 369604 4/27/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - ADOPT CUMULATIVE VOTING MGMT YES AGNST FOR 4.00 S/H - RESEARCH RENEWABLE ENERGY MGMT YES ABSTAIN AGNST 5.00 S/H PROPOSAL - HEALTH ISSUES MGMT YES ABSTAIN AGNST 6.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR 7.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST 8.00 S/H PROPOSAL - POLITICAL/GOVERNMENT MGMT YES FOR AGNST 9.00 S/H PROPOSAL - ANIMAL RIGHTS MGMT YES ABSTAIN AGNST GILEAD SCIENCES INC GILD 375558103 5/10/05 ANNUAL 1.01 ELECT DR.PAUL BERG MGMT YES WHOLD AGNST 1.02 ELECT ETIENNE F. DAVIGNON MGMT YES WHOLD AGNST 1.03 ELECT JAMES M. DENNY MGMT YES WHOLD AGNST 1.04 ELECT DR.JOHN C. MARTIN MGMT YES WHOLD AGNST 1.05 ELECT GORDON E. MOORE MGMT YES WHOLD AGNST 1.06 ELECT NICHOLAS G. MOORE MGMT YES WHOLD AGNST 1.07 ELECT DR.GEORGE P. SHULTZ MGMT YES WHOLD AGNST 1.08 ELECT GAYLE E. WILSON MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 ADD SHARES TO STOCK INCENTIVE PLAN MGMT YES AGNST AGNST AMEND STOCK INCENTIVE PLAN 4.00 REVIEW AIDS PANDEMIC'S IMPACT ON COMPANY SHLDR YES ABSTAIN AGNST
HARTFORD FINANCIAL SERVICES GROUP INC HIG 416515104 5/18/05 ANNUAL 1.01 ELECT RAMANI AYER MGMT YES WHOLD AGNST 1.02 ELECT RONALD E. FERGUSON MGMT YES WHOLD AGNST 1.03 ELECT EDWARD J. KELLY III MGMT YES WHOLD AGNST 1.04 ELECT PAUL G. KIRK JR. MGMT YES WHOLD AGNST 1.05 ELECT THOMAS M. MARRA MGMT YES WHOLD AGNST 1.06 ELECT GAIL J. MCGOVERN MGMT YES WHOLD AGNST 1.07 ELECT MICHAEL G. MORRIS MGMT YES WHOLD AGNST 1.08 ELECT ROBERT W. SELANDER MGMT YES WHOLD AGNST 1.09 ELECT CHARLES B. STRAUSS MGMT YES WHOLD AGNST 1.10 ELECT H. PATRICK SWYGERT MGMT YES WHOLD AGNST 1.11 ELECT DAVID K. ZWIENER MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 ADOPT THE 2005 INCENTIVE STOCK PLAN MGMT YES FOR FOR 4.00 REAPPROVE OPTION/BONUS PLAN FOR OBRA MGMT YES FOR FOR HEWLETT-PACKARD COMPANY HPQ 428236 3/16/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 AMEND STOCK PURCHASE PLAN MGMT YES AGNST AGNST
HONEYWELL INTERNATIONAL INC. HON 438516 4/25/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 DECLASSIFY BOARD MGMT YES FOR FOR 4.00 SUPERMAJORITY MGMT YES FOR FOR 5.00 S/H PROPOSAL - PROXY PROCESS/STATEMENT MGMT YES AGNST FOR 6.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST 7.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 8.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 9.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR ILLINOIS TOOL WORKS INC. ITW 452308 5/6/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST 4.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR INTEL CORP INTC 458140100 5/18/05 ANNUAL 1.01 ELECT CRAIG R. BARRETT MGMT YES WHOLD AGNST 1.02 ELECT CHARLENE BARSHEFSKY MGMT YES WHOLD AGNST 1.03 ELECT E. JOHN P. BROWNE MGMT YES WHOLD AGNST 1.04 ELECT D. JAMES GUZY MGMT YES WHOLD AGNST 1.05 ELECT REED E. HUNDT MGMT YES WHOLD AGNST
1.06 ELECT PAUL S. OTELLINI MGMT YES WHOLD AGNST 1.07 ELECT DAVID S. POTTRUCK MGMT YES WHOLD AGNST 1.08 ELECT JANE E. SHAW MGMT YES WHOLD AGNST 1.09 ELECT JOHN L. THORNTON MGMT YES WHOLD AGNST 1.10 ELECT DAVID B. YOFFIE MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 ADOPT THE 2004 EQUITY INCENTIVE PLAN MGMT YES AGNST AGNST 4.00 AMEND ANNUAL BONUS PLAN MGMT YES FOR FOR INTERNATIONAL BUSINESS MACHINES CORP IBM 459200 4/26/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - ADOPT CUMULATIVE VOTING MGMT YES AGNST FOR 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 6.00 S/H - EXPENSING OF STOCK OPTIONS MGMT YES FOR AGNST 7.00 S/H PROPOSAL - INCREASE DISCLOSURE OF EXECUTIVE COMPENSATION MGMT YES AGNST FOR 8.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR JABIL CIRCUIT, INC. JBL 466313 1/20/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR
JOHNSON & JOHNSON JNJ 478160 4/28/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 ADOPT OMNIBUS STOCK OPTION PLAN MGMT YES AGNST AGNST 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR JPMORGAN CHASE & CO JPM 46625H100 5/17/05 ANNUAL 1.01 ELECT HANS W. BECHERER MGMT YES WHOLD AGNST 1.02 ELECT JOHN H. BIGGS MGMT YES WHOLD AGNST 1.03 ELECT LAWRENCE A. BOSSIDY MGMT YES WHOLD AGNST 1.04 ELECT STEPHEN B. BURKE MGMT YES WHOLD AGNST 1.05 ELECT JAMES S. CROWN MGMT YES WHOLD AGNST 1.06 ELECT JAMES DIMON MGMT YES WHOLD AGNST 1.07 ELECT ELLEN V. FUTTER MGMT YES WHOLD AGNST 1.08 ELECT WILLIAM H. GRAY III MGMT YES WHOLD AGNST 1.09 ELECT WILLIAM B. HARRISON JR. MGMT YES WHOLD AGNST 1.10 ELECT LABAN P. JACKSON JR. MGMT YES WHOLD AGNST 1.11 ELECT JOHN W. KESSLER MGMT YES WHOLD AGNST 1.12 ELECT ROBERT I. LIPP MGMT YES WHOLD AGNST 1.13 ELECT RICHARD A. MANOOGIAN MGMT YES WHOLD AGNST 1.14 ELECT DAVID C. NOVAK MGMT YES WHOLD AGNST 1.15 ELECT LEE R. RAYMOND MGMT YES WHOLD AGNST 1.16 ELECT WILLIAM C. WELDON MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR
3.00 ADOPT THE 2005 LONG-TERM INCENTIVE PLAN MGMT YES AGNST AGNST 4.00 DIRECTOR TENURE/RETIREMENT AGE SHLDR YES AGNST FOR 5.00 INDEPENDENT BOARD CHAIRMAN SHLDR YES FOR AGNST 6.00 RESTRICT EXECUTIVE COMPENSATION SHLDR YES AGNST FOR 7.00 RESTRICT EXECUTIVE COMPENSATION SHLDR YES AGNST FOR KROGER CO KR 501044101 6/23/05 ANNUAL 1.01 ELECT ROBERT D. BEYER MGMT YES WHOLD AGNST 1.02 ELECT JOHN T. LAMACCHIA MGMT YES WHOLD AGNST 1.03 ELECT EDWARD M. LIDDY MGMT YES WHOLD AGNST 1.04 ELECT KATHERINE D. ORTEGA MGMT YES WHOLD AGNST 1.05 ELECT BOBBY S. SHACKOULS MGMT YES WHOLD AGNST 2.00 ADOPT THE 2005 LONG-TERM INCENTIVE PLAN MGMT YES AGNST AGNST 3.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 4.00 ELIMINATE SUPERMAJORITY PROVISION SHLDR YES FOR AGNST 5.00 REVIEW OR PROMOTE ANIMAL WELFARE SHLDR YES ABSTAIN AGNST 6.00 GOLDEN PARACHUTES SHLDR YES FOR AGNST MARRIOTT INTERNATIONAL, INC. MAR 571903 5/6/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 AMEND INCENTIVE STOCK OPTION PLAN TO INCREASE SHARES MGMT YES AGNST AGNST 4.00 S/H PROPOSAL - ANIMAL RIGHTS MGMT YES FOR AGNST 5.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR
MASCO CORP MAS 574599106 5/10/05 ANNUAL 1.01 ELECT VERNE G. ISTOCK MGMT YES FOR FOR 1.02 ELECT DAVID L. JOHNSTON MGMT YES FOR FOR 1.03 ELECT J. MICHAEL LOSH MGMT YES FOR FOR 1.04 ELECT DENNIS W. ARCHER MGMT YES FOR FOR 2.00 ADOPT THE 2005 LONG TERM INCENTIVE PLAN MGMT YES FOR FOR 3.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR MBNA CORPORATION KRB 55262L 5/2/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES FOR AGNST 4.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES FOR AGNST MEDTRONIC, INC. MDT 585055 8/26/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES ABSTAIN AGNST MERCK & CO., INC. MRK 589331 4/26/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR
2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 5.00 S/H PROPOSAL - ANIMAL RIGHTS MGMT YES ABSTAIN AGNST 6.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST 7.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES ABSTAIN AGNST 8.00 S/H PROPOSAL - POLITICAL/GOVERNMENT MGMT YES FOR AGNST 9.00 S/H PROPOSAL - HEALTH ISSUES MGMT YES ABSTAIN AGNST MERRILL LYNCH & CO., INC. MER 590188 4/22/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT DIRECTOR STOCK OPTION PLAN MGMT YES AGNST AGNST 4.00 S/H PROPOSAL - ADOPT CUMULATIVE VOTING MGMT YES AGNST FOR 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR MICHAELS STORES INC MIK 594087108 6/16/05 ANNUAL 1.01 ELECT CHARLES J. WYLY JR. MGMT YES WHOLD AGNST 1.02 ELECT SAM WYLY MGMT YES WHOLD AGNST 1.03 ELECT RICHARD E. HANLON MGMT YES WHOLD AGNST 1.04 ELECT RICHARD C. MARCUS MGMT YES WHOLD AGNST 1.05 ELECT LIZ MINYARD MGMT YES WHOLD AGNST 1.06 ELECT CECE SMITH MGMT YES WHOLD AGNST
2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 ADOPT THE 2005 INCENTIVE COMPENSATION PLAN MGMT YES AGNST AGNST MICROSOFT CORPORATION MSFT 594918 11/9/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND STOCK OPTION PLAN MGMT YES AGNST AGNST 3.00 AMEND NON-EMPLOYEE DIRECTOR PLAN MGMT YES AGNST AGNST 4.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 5.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR MORGAN STANLEY MWD 617446 3/15/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 CLASSIFY/STAGGER BOARD OF DIRECTORS MGMT YES FOR FOR 4.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR NOBLE CORPORATION NE G65422 4/28/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 APPROVE CHARTER AMENDMENT MGMT YES FOR FOR 3.00 AMEND OMNIBUS STOCK OPTION PLAN MGMT YES FOR FOR 4.00 AMEND NON-EMPLOYEE DIRECTOR PLAN MGMT YES FOR FOR 5.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR
NOKIA CORPORATION NOK 654902 4/7/05 ANNUAL 1.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES AGNST AGNST 2.00 DIVIDEND MGMT YES AGNST AGNST 3.00 DECLASSIFY BOARD MGMT YES AGNST AGNST 4.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 5.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 6.00 PERMIT DIRECTORS TO FIX/APPROVE AUDITOR'S REMUNERATION MGMT YES FOR FOR 7.00 APPOINT AUDITORS MGMT YES FOR FOR 8.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 9.00 AUTHORIZE DIRECTORS TO DECREASE SHARE CAPITAL MGMT YES FOR FOR 10.00 AUTHORIZE DIRECTORS TO INCREASE SHARE CAPITAL MGMT YES AGNST AGNST 11.00 AUTHORIZE DIRECTORS TO REPURCHASE SHARES MGMT YES FOR FOR 12.00 APPROVE ALLOTMENT OF EQUITY SECURITIES MGMT YES FOR FOR 13.00 CHANGE STOCK EXCHANGE LISTING MGMT YES AGNST FOR NORTEL NETWORKS CORP NT 656568102 6/29/05 ANNUAL 1.01 ELECT JALYNN H. BENNETT MGMT YES FOR FOR 1.02 ELECT MANFRED BISCHOFF MGMT YES FOR FOR 1.03 ELECT ROBERT E. BROWN MGMT YES FOR FOR 1.04 ELECT JOHN E. CLEGHORN MGMT YES FOR FOR 1.05 ELECT JAMES B. HUNT JR. MGMT YES FOR FOR 1.06 ELECT ROBERT ALEXANDER INGRAM MGMT YES FOR FOR 1.07 ELECT JOHN A. MACNAUGHTON MGMT YES FOR FOR
1.08 ELECT JOHN MANLEY MGMT YES FOR FOR 1.09 ELECT RICHARD D. MCCORMICK MGMT YES FOR FOR 1.10 ELECT RONALD W. OSBORNE MGMT YES FOR FOR 1.11 ELECT WILLIAM A. OWENS MGMT YES FOR FOR 1.12 ELECT HARRY J. PEARCE MGMT YES FOR FOR 2.00 APPOINT AUDITORS AND SET THEIR FEES MGMT YES FOR FOR 3.00 APPROVE STOCK PURCHASE PLAN/SAYE/AESOP MGMT YES ABSTAIN AGNST 4.00 APPROVE STOCK OPTION PLAN MGMT YES FOR FOR 5.00 OPPOSE/CHANGE EXECUTIVE PAY SHLDR YES AGNST FOR 6.00 OPPOSE/CHANGE EXECUTIVE PAY SHLDR YES AGNST FOR 7.00 PROPOSE ADDITIONAL BOARD NOMINEES SHLDR YES AGNST FOR 8.00 OPPOSE/CHANGE EXECUTIVE PAY SHLDR YES AGNST FOR 9.00 TAKE ACTION TO RECOVER EXECUTIVE PAY SHLDR YES AGNST FOR 10.00 OPPOSE/CHANGE EXECUTIVE PAY SHLDR YES AGNST FOR 11.00 TAKE ACTION TO RECOVER DIRECTOR PAY SHLDR YES AGNST FOR 12.00 PAY ECONOMY CLASS FOR TRAVEL SHLDR YES AGNST FOR 13.00 PROPOSE ADDITIONAL BOARD NOMINEES SHLDR YES AGNST FOR 14.00 TAKE ACTION TO RECOVER AUDITORS' FEES SHLDR YES AGNST FOR 15.00 PROVIDE INFORMATIONAL LETTER TO REGULATORY AGENCIES SHLDR YES AGNST FOR
NOVARTIS AG NVS 66987V 3/1/05 ANNUAL 1.00 RECEIVE CONSOLIDATED FINANCIAL STATEMENTS MGMT YES AGNST AGNST 2.00 APPROVE PREVIOUS BOARD'S ACTIONS MGMT YES FOR FOR 3.00 DIVIDEND MGMT YES FOR FOR 4.00 AUTHORIZE DIRECTORS TO DECREASE SHARE CAPITAL MGMT YES FOR FOR 5.00 AUTHORIZE DIRECTORS TO REPURCHASE SHARES MGMT YES FOR FOR 6.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 7.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 8.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 9.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 10.00 MISCELLANEOUS CORPORATE GOVERNANCE - GLOBAL MGMT YES FOR FOR 11.00 APPOINT AUDITORS MGMT YES FOR FOR
NOVELL, INC. NOVL 670006 4/14/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR ORACLE CORPORATION ORCL 68389X 10/29/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 APPROVE EXECUTIVE BONUS PLAN MGMT YES FOR FOR 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 4.00 AMEND LONG TERM INCENTIVE PLAN MGMT YES AGNST AGNST 5.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST PARTNERRE PRE G6852T105 5/10/05 ANNUAL 1.01 ELECT JUDITH CHRISTINE HANRATTY MGMT YES WHOLD AGNST 1.02 ELECT REMY SAUTTER MGMT YES WHOLD AGNST 1.03 ELECT PATRICK THIELE MGMT YES WHOLD AGNST 1.04 ELECT JURGEN ZECH MGMT YES WHOLD AGNST 2.00 ADOPT THE 2005 EMPLOYEE EQUITY PLAN MGMT YES AGNST AGNST 3.00 AUTHORIZE STOCK WITH AND WITHOUT PREEMPTIVE RIGHTS MGMT YES AGNST AGNST 4.00 APPROVE AUDITORS AND SET THEIR FEES MGMT YES FOR FOR 5.00 APPROVE OTHER BUSINESS MGMT YES AGNST AGNST
PEPSICO, INC. PEP 713448 5/4/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR PFIZER INC. PFE 717081 4/28/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR 4.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST 5.00 S/H PROPOSAL - HEALTH ISSUES MGMT YES ABSTAIN AGNST 6.00 S/H PROPOSAL - POLITICAL/GOVERNMENT MGMT YES FOR AGNST 7.00 S/H PROPOSAL - HEALTH ISSUES MGMT YES ABSTAIN AGNST 8.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST PHARMION PHRM 71715B409 6/1/05 ANNUAL 1.01 ELECT PATRICK J. MAHAFFY MGMT YES WHOLD AGNST 1.02 ELECT JAMES C. BLAIR MGMT YES WHOLD AGNST 1.03 ELECT CAM L. GARNER MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 ADD SHARES TO THE 2000 STOCK INCENTIVE PLAN MGMT YES AGNST AGNST 4.00 ADD SHARES TO THE 2001 NON-EMPLOYEE STOCK OPTION PLAN MGMT YES AGNST AGNST
PPL CORPORATION PPL 69351T 4/22/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR PRAXAIR, INC. PX 74005P 4/26/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 ADOPT NON-EMPLOYEE DIRECTOR PLAN MGMT YES AGNST AGNST 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR PRUDENTIAL FINANCIAL INC PRU 744320102 6/7/05 ANNUAL 1.01 ELECT JAMES G. CULLEN MGMT YES WHOLD AGNST 1.02 ELECT JAMES A. UNRUH MGMT YES WHOLD AGNST 1.03 ELECT GORDON M. BETHUNE MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 REPEAL CLASSIFIED BOARD MGMT YES FOR FOR 4.00 ADOPT THE EMPLOYEE STOCK PURCHASE PLAN MGMT YES AGNST AGNST QUALCOMM, INCORPORATED QCOM 747525 3/8/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND ARTICLES/BYLAW/CHARTER-ORGANIZATION RELATED MGMT YES FOR FOR 3.00 APPROVE AUTHORIZED COMMON STOCK INCREASE MGMT YES FOR FOR 4.00 APPROVE CHARTER AMENDMENT MGMT YES FOR FOR 5.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR
RADIAN GROUP INC RDN 750236101 5/10/05 ANNUAL 1.01 ELECT DAVID C. CARNEY MGMT YES WHOLD AGNST 1.02 ELECT HOWARD B. CULANG MGMT YES WHOLD AGNST 1.03 ELECT STEPHEN T. HOPKINS MGMT YES WHOLD AGNST 1.04 ELECT SANFORD A. IBRAHIM MGMT YES WHOLD AGNST 1.05 ELECT JAMES W. JENNINGS MGMT YES WHOLD AGNST 1.06 ELECT ROY J. KASMAR MGMT YES WHOLD AGNST 1.07 ELECT RONALD W. MOORE MGMT YES WHOLD AGNST 1.08 ELECT JAN NICHOLSON MGMT YES WHOLD AGNST 1.09 ELECT ROBERT W. RICHARDS MGMT YES WHOLD AGNST 1.10 ELECT ANTHONY W. SCHWEIGER MGMT YES WHOLD AGNST 1.11 ELECT HERBERT WENDER MGMT YES WHOLD AGNST 2.00 ADOPT THE PERFORMANCE SHARE PLAN MGMT YES FOR FOR 3.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR SBC COMMUNICATIONS INC. SBC 78387G 4/29/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT STOCK PURCHASE PLAN MGMT YES FOR FOR 4.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES FOR AGNST 5.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR
6.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR 7.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES FOR AGNST SMURFIT-STONE CONTAINER CORPORATION SSCC 832727 5/11/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR SYMANTEC CORP SYMC 871503108 6/24/05 SPECIAL 1.00 APPROVE MERGER/ACQUISITION MGMT YES FOR FOR 2.00 INCREASE AUTHORIZED COMMON STOCK MGMT YES FOR FOR 3.00 ADJOURN MEETING MGMT YES FOR FOR SYMANTEC CORPORATION SYMC 871503 9/15/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 APPROVE AUTHORIZED COMMON STOCK INCREASE MGMT YES AGNST AGNST 3.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 4.00 AMEND DIRECTOR STOCK OPTION PLAN MGMT YES AGNST AGNST 5.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR SYSCO CORPORATION SYY 871829 11/12/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT STOCK OPTION PLAN MGMT YES AGNST AGNST
4.00 ADOPT OMNIBUS STOCK OPTION PLAN MGMT YES FOR FOR 5.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST TAIWAN SEMICONDUCTOR MFG. CO. LTD. TSM 874039 12/21/04 SPECIAL 1.00 ARTICLES OF ASSOCIATION MGMT YES FOR FOR TEXAS INSTRUMENTS INCORPORATED TXN 882508 4/21/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 ADOPT STOCK PURCHASE PLAN MGMT YES AGNST AGNST 4.00 ADOPT OMNIBUS STOCK OPTION PLAN MGMT YES AGNST AGNST THE BANK OF NEW YORK COMPANY, INC. BK 064057 4/12/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - ADOPT CUMULATIVE VOTING MGMT YES AGNST FOR 4.00 S/H PROPOSAL - ADOPT CUMULATIVE VOTING MGMT YES AGNST FOR THE COCA-COLA COMPANY KO 191216 4/19/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES AGNST FOR 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST
THE DOW CHEMICAL COMPANY DOW 260543 5/12/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 MISCELLANEOUS SHAREHOLDER PROPOSAL MGMT YES ABSTAIN AGNST THE GOLDMAN SACHS GROUP, INC. GS 38141G 4/6/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 APPROVE CHARTER AMENDMENT MGMT YES FOR FOR 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR THE PROCTER & GAMBLE COMPANY PG 742718 10/12/04 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 APPROVE AUTHORIZED COMMON STOCK INCREASE MGMT YES FOR FOR 4.00 MISCELLANEOUS CORPORATE GOVERNANCE MGMT YES FOR AGNST 5.00 S/H PROPOSAL - ANIMAL RIGHTS MGMT YES ABSTAIN AGNST THE SERVICEMASTER COMPANY SVM 81760N 5/6/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT NO NOT VOTED 2.00 APPROVE CHARTER AMENDMENT MGMT NO NOT VOTED 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT NO NOT VOTED
TIME WARNER INC TWX 887317105 5/20/05 ANNUAL 1.01 ELECT JAMES L. BARKSDALE MGMT YES WHOLD AGNST 1.02 ELECT STEPHEN F. BOLLENBACH MGMT YES WHOLD AGNST 1.03 ELECT STEPHEN M. CASE MGMT YES WHOLD AGNST 1.04 ELECT FRANK J. CAUFIELD MGMT YES WHOLD AGNST 1.05 ELECT ROBERT C. CLARK MGMT YES WHOLD AGNST 1.06 ELECT JESSICA P. EINHORN MGMT YES WHOLD AGNST 1.07 ELECT MILES R. GILBURNE MGMT YES WHOLD AGNST 1.08 ELECT CARLA A. HILLS MGMT YES WHOLD AGNST 1.09 ELECT REUBEN MARK MGMT YES WHOLD AGNST 1.10 ELECT MICHAEL A. MILES MGMT YES WHOLD AGNST 1.11 ELECT KENNETH J. NOVACK MGMT YES WHOLD AGNST 1.12 ELECT RICHARD D. PARSONS MGMT YES WHOLD AGNST 1.13 ELECT ROBERT E. TURNER MGMT YES WHOLD AGNST 1.14 ELECT FRANCIS T. VINCENT JR. MGMT YES WHOLD AGNST 1.15 ELECT DEBORAH C. WRIGHT MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 LINK EXECUTIVE PAY TO SOCIAL CRITERIA SHLDR YES AGNST FOR
TRIBUNE CO TRB 896047107 5/18/05 ANNUAL 1.01 ELECT ROGER GOODAN MGMT YES WHOLD AGNST 1.02 ELECT ENRIQUE HERNANDEZ JR. MGMT YES WHOLD AGNST 1.03 ELECT J. CHRISTOPHER REYES MGMT YES WHOLD AGNST 1.04 ELECT DUDLEY S. TAFT MGMT YES WHOLD AGNST 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR TYCO INTERNATIONAL LTD. TYC 902124 3/10/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR UNIVISION COMMUNICATIONS INC. UVN 914906 5/11/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - PROXY PROCESS/STATEMENT MGMT YES FOR AGNST VERITAS SOFTWARE CORP VRTS 923436109 6/24/05 SPECIAL 1.00 APPROVE MERGER/ACQUISITION MGMT YES FOR FOR 2.00 ADJOURN MEETING MGMT YES FOR FOR VERIZON COMMUNICATIONS INC. VZ 92343V 5/5/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 3.00 S/H PROPOSAL - ADOPT CUMULATIVE VOTING MGMT YES AGNST FOR
4.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR 5.00 S/H PROPOSAL - PROXY PROCESS/STATEMENT MGMT YES AGNST FOR 6.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST 7.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES AGNST FOR 8.00 S/H - REPORT ON CHARITABLE CONRIBUTIONS MGMT YES FOR AGNST WACHOVIA CORPORATION WB 929903 10/28/04 SPECIAL 1.00 APPROVE MERGER AGREEMENT MGMT YES FOR FOR WACHOVIA CORPORATION WB 929903 4/19/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR WAL-MART STORES WMT 931142103 6/3/05 ANNUAL 1.01 ELECT JAMES W. BREYER MGMT YES WHOLD AGNST 1.02 ELECT M. MICHELE BURNS MGMT YES WHOLD AGNST 1.03 ELECT DOUGLAS N. DAFT MGMT YES WHOLD AGNST 1.04 ELECT DAVID D. GLASS MGMT YES WHOLD AGNST 1.05 ELECT ROLAND A. HERNANDEZ MGMT YES WHOLD AGNST 1.06 ELECT JOHN D. OPIE MGMT YES WHOLD AGNST 1.07 ELECT J. PAUL REASON MGMT YES WHOLD AGNST 1.08 ELECT H. LEE SCOTT JR. MGMT YES WHOLD AGNST 1.09 ELECT JACK C. SHEWMAKER MGMT YES WHOLD AGNST
1.10 ELECT JOSE H. VILLARREAL MGMT YES WHOLD AGNST 1.11 ELECT JOHN T. WALTON MGMT YES WHOLD AGNST 1.12 ELECT S. ROBSON WALTON MGMT YES WHOLD AGNST 1.13 ELECT CHRISTOPHER J. WILLIAMS MGMT YES WHOLD AGNST 1.14 ELECT LINDA S. WOLF MGMT YES WHOLD AGNST 2.00 ADOPT THE 2005 STOCK INCENTIVE PLAN MGMT YES AGNST AGNST 3.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 4.00 RESTRICT EXECUTIVE COMPENSATION SHLDR YES AGNST FOR 5.00 REPORT ON SUSTAINABILITY SHLDR YES ABSTAIN AGNST 6.00 LINK EXECUTIVE PAY TO SOCIAL CRITERIA SHLDR YES ABSTAIN AGNST 7.00 REVIEW POLITICAL SPENDING OR LOBBYING SHLDR YES FOR AGNST 8.00 REPORT ON EEO SHLDR YES ABSTAIN AGNST 9.00 MAJORITY VOTE TO ELECT DIRECTORS SHLDR YES AGNST FOR 10.00 INCREASE BOARD INDEPENDENCE SHLDR YES FOR AGNST 11.00 RESTRICT EXECUTIVE COMPENSATION SHLDR YES FOR AGNST WASTE MANAGEMENT INC WMI 94106L109 5/13/05 ANNUAL 1.01 ELECT PASTORA SAN JUAN CAFFERTY MGMT YES FOR FOR 1.02 ELECT FRANK M. CLARK JR. MGMT YES FOR FOR 1.03 ELECT ROBERT S. MILLER MGMT YES FOR FOR 1.04 ELECT JOHN C. POPE MGMT YES FOR FOR 1.05 ELECT W. ROBERT REUM MGMT YES FOR FOR 1.06 ELECT STEVEN G. ROTHMEIER MGMT YES FOR FOR
1.07 ELECT DAVID P. STEINER MGMT YES FOR FOR 1.08 ELECT THOMAS H. WEIDEMEYER MGMT YES FOR FOR 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 REPORT ON EFFORTS TO OPPOSE PRIVATIZATION SHLDR YES ABSTAIN AGNST 4.00 MAJORITY VOTE TO ELECT DIRECTORS SHLDR YES AGNST FOR 5.00 REVIEW POLITICAL SPENDING OR LOBBYING SHLDR YES FOR AGNST 6.00 GOLDEN PARACHUTES SHLDR YES FOR AGNST WELLPOINT INC WLP 94973V107 5/10/05 ANNUAL 1.01 ELECT WILLIAM H.T. BUSH MGMT YES FOR FOR 1.02 ELECT WARREN Y. JOBE MGMT YES FOR FOR 1.03 ELECT WILLIAM G. MAYS MGMT YES FOR FOR 1.04 ELECT DONALD W. RIEGLE JR. MGMT YES FOR FOR 1.05 ELECT WILLIAM J. RYAN MGMT YES FOR FOR 2.00 RATIFY SELECTION OF AUDITORS MGMT YES FOR FOR 3.00 RESTRICT EXECUTIVE COMPENSATION SHLDR YES AGNST FOR
WELLS FARGO & COMPANY WFC 949746 4/26/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 AMEND LONG TERM INCENTIVE PLAN MGMT YES AGNST AGNST 3.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 5.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 6.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 7.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES AGNST FOR 8.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST WEYERHAEUSER COMPANY WY 962166 4/21/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES FOR FOR 2.00 S/H - EXPENSING OF STOCK OPTIONS MGMT YES FOR AGNST 3.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST 4.00 S/H PROPOSAL - CORPORATE GOVERNANCE MGMT YES FOR AGNST 5.00 S/H PROPOSAL - ENVIRONMENTAL MGMT YES ABSTAIN AGNST 6.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR WYETH WYE 983024 4/21/05 ANNUAL 1.00 ELECTION OF DIRECTORS MGMT YES WHOLD AGNST 2.00 RATIFY APPOINTMENT OF INDEPENDENT AUDITORS MGMT YES FOR FOR
3.00 ADOPT INCENTIVE STOCK OPTION PLAN MGMT YES AGNST AGNST 4.00 S/H PROPOSAL - HEALTH ISSUES MGMT YES AGNST FOR 5.00 S/H PROPOSAL - BOARD OF DIRECTORS MGMT YES FOR AGNST 6.00 S/H - REPORT ON CHARITABLE CONRIBUTIONS MGMT YES FOR AGNST 7.00 S/H PROPOSAL - ANIMAL RIGHTS MGMT YES AGNST FOR
Any ballot marked 'Abstain' is considered to have been voted. Ballots marked 'Abstain' are considered to be have been voted against management's recommendation, regardless of whether the recommendation is 'For' or 'Against,' except where management has made no recommendation or has recommended that shareholders 'Abstain.' Where management has recommended that shareholders 'Abstain' from voting on a ballot item: 1) a ballot market 'Abstain' is considered to have been voted for management's recommendation to 'Abstain' and 2) a ballot voted 'For" or 'Against' is considered to have been voted against management's recommendation to 'Abstain.' Where management has made no recommendation on a ballot item, the abbreviation "N/A" is used to denote that there is no applicable recommendation compared to which a vote may be 'For' or 'Against' the recommendation of management. SIGNATURES: Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Tri-Continental Corporation ---------------------------------------------------------------------- (Registrant) By: /s/ Brian T. Zino, President, Director and Chief Executive Officer ---------------------------------------------------------------------- (Signature & Title) Date: August 17, 2005 ----------------------------------------------------------------------