UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number:
811-08194
FINANCIAL INVESTORS TRUST
(Exact name of registrant as specified in charter)
1290
Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
David T. Buhler
Financial Investors Trust
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: April 30
Date of reporting period: July 1, 2012- June 30, 2013
Item 1 – Proxy Voting Record.
ALPS/KOTAK INDIA GROWTH FUND
There were no matters relating to a portfolio security
considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
ASPEN MANAGED FUTURES STRATEGY FUND
There were no matters relating to a portfolio security
considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
GRANDEUR PEAK EMERGING MARKETS OPPORTUNITIES FUND
This Fund did not commence operations
during the period covered by this report on Form N-PX. Therefore, there are no voting records for this Fund.
GRANDEUR PEAK GLOBAL REACH
FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this
report on Form N-PX with respect to which the Fund was entitled to vote.
ALPS/CORECOMMODITY MANAGEMENT COMPLETECOMMODITIESSM STRATEGY FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-8194
Reporting Period: 07/01/2012 - 06/30/2013
Financial Investors Trust
============= ALPS | CoreCommodity Management CompleteCommodities =============
============= Strategy Fund =============
AGCO CORPORATION
Ticker: AGCO Security ID: 001084102
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director P. George Benson For For Management
1.2 Elect Director Wolfgang Deml For For Management
1.3 Elect Director Luiz F. Furlan For For Management
1.4 Elect Director George E. Minnich For For Management
1.5 Elect Director Martin H. Richenhagen For For Management
1.6 Elect Director Gerald L. Shaheen For For Management
1.7 Elect Director Mallika Srinivasan For For Management
1.8 Elect Director Hendrikus Visser For For Management
2 Amend Executive Incentive Bonus Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
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AGNICO-EAGLE MINES LIMITED
Ticker: AEM Security ID: 008474108
Meeting Date: APR 26, 2013 Meeting Type: Annual/Special
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.01 Elect Director Leanne M. Baker For For Management
1.02 Elect Director Douglas R. Beaumont For For Management
1.03 Elect Director Sean Boyd For For Management
1.04 Elect Director Martine A. Celej For For Management
1.05 Elect Director Clifford J. Davis For For Management
1.06 Elect Director Robert J. Gemmell For For Management
1.07 Elect Director Bernard Kraft For For Management
1.08 Elect Director Mel Leiderman For For Management
1.09 Elect Director James D. Nasso For For Management
1.10 Elect Director Sean Riley For For Management
1.11 Elect Director J. Merfyn Roberts For For Management
1.12 Elect Director Howard R. Stockford For For Management
1.13 Elect Director Pertti Voutilainen For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Amend Stock Option Plan For For Management
4 Change Company Name to Agnico Eagle For For Management
Mines Limited/Mines Agnico Eagle
Limitee
5 Approve Advance Notice Policy For For Management
6 Advisory Vote on Executive For For Management
Compensation Approach
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AGRIUM INC.
Ticker: AGU Security ID: 008916108
Meeting Date: APR 09, 2013 Meeting Type: Proxy Contest
Record Date: FEB 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
Management Proxy (White Card) None
1 Re-appoint KPMG LLP as Auditors For Did Not Vote Management
2 Advisory Vote on Executive For Did Not Vote Management
Compensation Approach
3 Approve Shareholder Rights Plan For Did Not Vote Management
4.1 Elect Director David C. Everitt For Did Not Vote Management
4.2 Elect Director Russell K. Girling For Did Not Vote Management
4.3 Elect Director Susan A. Henry For Did Not Vote Management
4.4 Elect Director Russell J. Horner For Did Not Vote Management
4.5 Elect Director David J. Lesar For Did Not Vote Management
4.6 Elect Director John E. Lowe For Did Not Vote Management
4.7 Elect Director A. Anne McLellan For Did Not Vote Management
4.8 Elect Director Derek G. Pannell For Did Not Vote Management
4.9 Elect Director Frank W. Proto For Did Not Vote Management
4.10 Elect Director Mayo M. Schmidt For Did Not Vote Management
4.11 Elect Director Michael M. Wilson For Did Not Vote Management
4.12 Elect Director Victor J. Zaleschuk For Did Not Vote Management
# Proposal Diss Rec Vote Cast Sponsor
Dissident Proxy (Blue Card) None
1 Re-appoint KPMG LLP as Auditors For For Management
2 Advisory Vote on Executive Against For Management
Compensation Approach
3 Approve Shareholder Rights Plan For For Management
4.1 Elect Director Barry Rosenstein For For Shareholder
4.2 Elect Director David Bullock For For Shareholder
4.3 Elect Director Mitchell Jacobson For Withhold Shareholder
4.4 Elect Director Hon. Lyle Vanclief For Withhold Shareholder
4.5 Elect Director Stephen Clark For Withhold Shareholder
4.6 Management Nominee- David Everitt For For Shareholder
4.7 Management Nominee- John Lowe For For Shareholder
4.8 Management Nominee- Victor Zaleschuk For For Shareholder
4.9 Management Nominee- Russell Girling For For Shareholder
4.10 Management Nominee- A. Anne McLellan For For Shareholder
4.11 Management Nominee- David Lesar For For Shareholder
4.12 Management Nominee- Michael Wilson For For Shareholder
--------------------------------------------------------------------------------
ALCOA INC.
Ticker: AA Security ID: 013817101
Meeting Date: MAY 03, 2013 Meeting Type: Annual
Record Date: FEB 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Arthur D. Collins, Jr. For For Management
1.2 Elect Director Michael G. Morris For For Management
1.3 Elect Director E. Stanley O'Neal For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
5 Provide Right to Call Special Meeting For For Management
--------------------------------------------------------------------------------
ALLEGHENY TECHNOLOGIES INCORPORATED
Ticker: ATI Security ID: 01741R102
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard J. Harshman For For Management
1.2 Elect Director Carolyn Corvi For For Management
1.3 Elect Director Barbara S. Jeremiah For For Management
1.4 Elect Director John D. Turner For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ALLIED NEVADA GOLD CORP.
Ticker: ANV Security ID: 019344100
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Robert M. Buchan For For Management
1b Elect Director John W. Ivany For For Management
1c Elect Director Cameron A. Mingay For For Management
1d Elect Director Terry M. Palmer For For Management
1e Elect Director Carl A. Pescio For For Management
1f Elect Director A. Murray Sinclair For Withhold Management
1g Elect Director Robert G. Wardell For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ANADARKO PETROLEUM CORPORATION
Ticker: APC Security ID: 032511107
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Kevin P. Chilton For For Management
1b Elect Director Luke R. Corbett For For Management
1c Elect Director H. Paulett Eberhart For For Management
1d Elect Director Peter J. Fluor For For Management
1e Elect Director Richard L. George For For Management
1f Elect Director Preston M. Geren, III For For Management
1g Elect Director Charles W. Goodyear For For Management
1h Elect Director John R. Gordon For For Management
1i Elect Director Eric D. Mullins For For Management
1j Elect Director Paula Rosput Reynolds For For Management
1k Elect Director R. A. Walker For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Political Contributions Against For Shareholder
--------------------------------------------------------------------------------
ANGLO AMERICAN PLATINUM LTD
Ticker: AMS Security ID: S9122P108
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 December 2012
2.1 Re-elect Brian Beamish as Director For For Management
2.2 Re-elect Valli Moosa as Director For For Management
2.3 Re-elect Wendy Lucas-Bull as Director For For Management
2.4 Elect Chris Griffith as Director For For Management
2.5 Elect Khanyisile Kweyama as Director For For Management
2.6 Elect John Vice as Director For For Management
3.1 Re-elect Richard Dunne as Chairman of For For Management
the Audit Committee
3.2 Elect Valli Moosa as Member of the For For Management
Audit Committee
3.3 Elect John Vice as Member of the Audit For For Management
Committee
4 Reappoint Deloitte & Touche as For For Management
Auditors of the Company and James
Welch as the Designated Audit Partner
5 Approve Remuneration Policy For Against Management
6 Place Authorised but Unissued Shares For For Management
under Control of Directors
1 Adopt New Memorandum of Incorporation For For Management
2a Approve Non-Executive Directors' Fees For For Management
2b Approve Additional Special Board Fee For For Management
3 Authorise Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
4 Approve Financial Assistance to For For Management
Related or Inter-related Parties
--------------------------------------------------------------------------------
ANGLO AMERICAN PLC
Ticker: AAL Security ID: G03764134
Meeting Date: APR 19, 2013 Meeting Type: Annual
Record Date: APR 17, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Elect Mark Cutifani as Director For For Management
4 Elect Byron Grote as Director For For Management
5 Elect Anne Stevens as Director For For Management
6 Re-elect David Challen as Director For For Management
7 Re-elect Sir CK Chow as Director For For Management
8 Re-elect Sir Philip Hampton as Director For For Management
9 Re-elect Rene Medori as Director For For Management
10 Re-elect Phuthuma Nhleko as Director For For Management
11 Re-elect Ray O'Rourke as Director For For Management
12 Re-elect Sir John Parker as Director For For Management
13 Re-elect Jack Thompson as Director For For Management
14 Reappoint Deloitte LLP as Auditors For For Management
15 Authorise Board to Fix Remuneration of For For Management
Auditors
16 Approve Remuneration Report For For Management
17 Authorise Issue of Equity with For For Management
Pre-emptive Rights
18 Authorise Issue of Equity without For For Management
Pre-emptive Rights
19 Authorise Market Purchase of Ordinary For For Management
Shares
20 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
ANGLOGOLD ASHANTI LTD
Ticker: ANG Security ID: 035128206
Meeting Date: MAR 11, 2013 Meeting Type: Special
Record Date: FEB 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Long Term Incentive Plan 2005 For For Management
2 Amend Bonus Share Plan 2005 For For Management
3 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
ANGLOGOLD ASHANTI LTD
Ticker: ANG Security ID: 035128206
Meeting Date: MAR 27, 2013 Meeting Type: Special
Record Date: FEB 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt New Memorandum of Incorporation For For Management
1 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
ANGLOGOLD ASHANTI LTD
Ticker: ANG Security ID: 035128206
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Reappoint Ernst & Young Inc as For For Management
Auditors of the Company
2 Elect Michael Kirkwood as Director For For Management
3 Elect Tony O'Neill as Director For For Management
4 Re-elect Srinivasan Venkatakrishnan For For Management
(Venkat) as Director
5 Re-elect Wiseman Nkuhlu as Member of For For Management
the Audit and Corporate Governance
Committee
6 Elect Michael Kirkwood as Member of For For Management
the Audit and Corporate Governance
Committee
7 Re-elect Rhidwaan Gasant as Member of For For Management
the Audit and Corporate Governance
Committee
8 Re-elect Nozipho January-Bardill as For For Management
Member of the Audit and Corporate
Governance Committee
9 Place Authorised but Unissued Shares For For Management
under Control of Directors
10 Authorise Board to Issue Shares for For For Management
Cash up to a Maximum of Five Percent
of Issued Share Capital
11 Approve Remuneration Policy For For Management
12 Approve Increase in Non-executive For For Management
Directors Fees
13 Approve Increase in Non-executive For For Management
Directors' Fees for Board Committees
and Statutory Committee Meetings
14 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
15 Approve Financial Assistance to For For Management
Related or Inter-related Company or
Corporation
--------------------------------------------------------------------------------
ANTOFAGASTA PLC
Ticker: ANTO Security ID: G0398N128
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: JUN 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Abstain Management
3 Approve Final Dividend For For Management
4 Re-elect Jean-Paul Luksic as Director For Against Management
5 Re-elect William Hayes as Director For For Management
6 Re-elect Gonzalo Menendez as Director For For Management
7 Re-elect Ramon Jara as Director For For Management
8 Re-elect Juan Claro as Director For For Management
9 Re-elect Hugo Dryland as Director For For Management
10 Re-elect Tim Baker as Director For For Management
11 Re-elect Manuel De Sousa-Oliveira as For For Management
Director
12 Elect Nelson Pizarro as Director For For Management
13 Elect Andronico Luksic as Director For For Management
14 Reappoint Deloitte LLP as Auditors For For Management
15 Authorise Board to Fix Remuneration of For For Management
Auditors
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
APACHE CORPORATION
Ticker: APA Security ID: 037411105
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Eugene C. Fiedorek For For Management
2 Elect Director Chansoo Joung For For Management
3 Elect Director William C. Montgomery For For Management
4 Ratify Auditors For For Management
5 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
6 Amend Omnibus Stock Plan For For Management
7 Declassify the Board of Directors For For Management
--------------------------------------------------------------------------------
ARCELORMITTAL
Ticker: MT Security ID: 03938L104
Meeting Date: MAY 08, 2013 Meeting Type: Annual/Special
Record Date: APR 24, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Board's and Auditor's Reports None None Management
I Approve Consolidated Financial For For Management
Statements
II Approve Financial Statements For For Management
III Approve Allocation of Income and For For Management
Dividends
IV Approve Remuneration of Directors For For Management
V Approve Discharge of Directors For For Management
VI Reelect Vanish Mittal Bathia as For For Management
Director
VII Reelect Suzanne P. Nimocks as Director For For Management
VIII Reelect Jeannot Krecke as Director For For Management
IX Renew Appointment of Deloitte as For For Management
Auditor
X Amend Restricted Stock Plan For For Management
I Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights and Amend Articles 5.
2 and 5.5 Accordingly
--------------------------------------------------------------------------------
ARCHER-DANIELS-MIDLAND COMPANY
Ticker: ADM Security ID: 039483102
Meeting Date: NOV 01, 2012 Meeting Type: Annual
Record Date: SEP 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan L. Boeckmann For For Management
1.2 Elect Director George W. Buckley For For Management
1.3 Elect Director Mollie Hale Carter For For Management
1.4 Elect Director Terrell K. Crews For For Management
1.5 Elect Director Pierre Dufour For For Management
1.6 Elect Director Donald E. Felsinger For For Management
1.7 Elect Director Antonio Maciel For For Management
1.8 Elect Director Patrick J. Moore For For Management
1.9 Elect Director Thomas F. O'Neill For For Management
1.10 Elect Director Daniel Shih For For Management
1.11 Elect Director Kelvin R. Westbrook For For Management
1.12 Elect Director Patricia A. Woertz For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Articles/Bylaws/Charter -- Call Against For Shareholder
Special Meetings
--------------------------------------------------------------------------------
ARCHER-DANIELS-MIDLAND COMPANY
Ticker: ADM Security ID: 039483102
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan L. Boeckmann For For Management
1.2 Elect Director George W. Buckley For For Management
1.3 Elect Director Mollie Hale Carter For For Management
1.4 Elect Director Terell K. Crews For For Management
1.5 Elect Director Pierre Dufour For For Management
1.6 Elect Director Donald E. Felsinger For For Management
1.7 Elect Director Antonio Maciel For For Management
1.8 Elect Director Patrick J. Moore For For Management
1.9 Elect Director Thomas F. O'Neill For For Management
1.10 Elect Director Daniel Shih For For Management
1.11 Elect Director Kelvin R. Westbrook For For Management
1.12 Elect Director Patricia A. Woertz For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
BAKER HUGHES INCORPORATED
Ticker: BHI Security ID: 057224107
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: FEB 27, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Larry D. Brady For For Management
1.2 Elect Director Clarence P. Cazalot, Jr. For For Management
1.3 Elect Director Martin S. Craighead For For Management
1.4 Elect Director Lynn L. Elsenhans For For Management
1.5 Elect Director Anthony G. Fernandes For For Management
1.6 Elect Director Claire W. Gargalli For For Management
1.7 Elect Director Pierre H. Jungels For For Management
1.8 Elect Director James A. Lash For For Management
1.9 Elect Director J. Larry Nichols For For Management
1.10 Elect Director James W. Stewart For For Management
1.11 Elect Director Charles L. Watson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
4 Amend Qualified Employee Stock For For Management
Purchase Plan
5 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
BARRICK GOLD CORPORATION
Ticker: ABX Security ID: 067901108
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: FEB 27, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Howard L. Beck For For Management
1.2 Elect Director William D. Birchall For For Management
1.3 Elect Director Donald J. Carty For For Management
1.4 Elect Director Gustavo Cisneros For For Management
1.5 Elect Director Robert M. Franklin For For Management
1.6 Elect Director J. Brett Harvey For For Management
1.7 Elect Director Dambisa Moyo For For Management
1.8 Elect Director Brian Mulroney For For Management
1.9 Elect Director Anthony Munk For For Management
1.10 Elect Director Peter Munk For For Management
1.11 Elect Director Steven J. Shapiro For For Management
1.12 Elect Director Jamie C. Sokalsky For For Management
1.13 Elect Director John L. Thornton For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For Against Management
Compensation Approach
--------------------------------------------------------------------------------
BG GROUP PLC
Ticker: BG. Security ID: G1245Z108
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Elect Den Jones as Director For For Management
5 Elect Lim Haw-Kuang as Director For For Management
6 Re-elect Peter Backhouse as Director For For Management
7 Re-elect Vivienne Cox as Director For For Management
8 Re-elect Chris Finlayson as Director For For Management
9 Re-elect Andrew Gould as Director For For Management
10 Re-elect Baroness Hogg as Director For For Management
11 Re-elect Dr John Hood as Director For For Management
12 Re-elect Martin Houston as Director For For Management
13 Re-elect Caio Koch-Weser as Director For For Management
14 Re-elect Sir David Manning as Director For For Management
15 Re-elect Mark Seligman as Director For For Management
16 Re-elect Patrick Thomas as Director For For Management
17 Appoint Ernst & Young LLP as Auditors For For Management
18 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
19 Authorise EU Political Donations and For For Management
Expenditure
20 Authorise Issue of Equity with For For Management
Pre-emptive Rights
21 Authorise Issue of Equity without For For Management
Pre-emptive Rights
22 Authorise Market Purchase of Ordinary For For Management
Shares
23 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BHP BILLITON PLC
Ticker: BLTL Security ID: 05545E209
Meeting Date: OCT 25, 2012 Meeting Type: Annual
Record Date: SEP 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Elect Pat Davies as Director For For Management
3 Re-elect Malcolm Broomhead as Director For For Management
4 Re-elect Sir John Buchanan as Director For For Management
5 Re-elect Carlos Cordeiro as Director For For Management
6 Re-elect David Crawford as Director For For Management
7 Re-elect Carolyn Hewson as Director For For Management
8 Re-elect Marius Kloppers as Director For For Management
9 Re-elect Lindsay Maxsted as Director For For Management
10 Re-elect Wayne Murdy as Director For For Management
11 Re-elect Keith Rumble as Director For For Management
12 Re-elect John Schubert as Director For For Management
13 Re-elect Shriti Vadera as Director For For Management
14 Re-elect Jac Nasser as Director For For Management
15 Reappoint KPMG Audit plc as Auditors For For Management
and Authorise Their Remuneration
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Approve Remuneration Report For For Management
20 Approve the Grant of Long-Term For For Management
Incentive Performance Shares to Marius
Kloppers
--------------------------------------------------------------------------------
BP PLC
Ticker: BP. Security ID: 055622104
Meeting Date: APR 11, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Bob Dudley as Director For For Management
4 Re-elect Iain Conn as Director For For Management
5 Re-elect Dr Brian Gilvary as Director For For Management
6 Re-elect Paul Anderson as Director For For Management
7 Re-elect Frank Bowman as Director For For Management
8 Re-elect Antony Burgmans as Director For For Management
9 Re-elect Cynthia Carroll as Director For For Management
10 Re-elect George David as Director For For Management
11 Re-elect Ian Davis as Director For For Management
12 Re-elect Dame Ann Dowling as Director For For Management
13 Re-elect Brendan Nelson as Director For For Management
14 Re-elect Phuthuma Nhleko as Director For For Management
15 Re-elect Andrew Shilston as Director For For Management
16 Re-elect Carl-Henric Svanberg as For For Management
Director
17 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorise Their
Remuneration
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise Issue of Equity with For For Management
Pre-emptive Rights
20 Authorise Issue of Equity without For For Management
Pre-emptive Rights
21 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BUNGE LIMITED
Ticker: BG Security ID: G16962105
Meeting Date: MAY 24, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Bernard de La Tour For For Management
d'Auvergne Lauraguais
1b Elect Director William Engels For For Management
1c Elect Director L. Patrick Lupo For For Management
1d Elect Director Soren Schroder For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to
determine the independent auditor's
fees
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CAMECO CORPORATION
Ticker: CCO Security ID: 13321L108
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
A The Undersigned Hereby Certifies that None Abstain Management
the Shares Represented by this Proxy
are Owned and Controlled by a Canadian
B1 Elect Director Ian Bruce For For Management
B2 Elect Director Daniel Camus For For Management
B3 Elect Director John Clappison For For Management
B4 Elect Director Joe Colvin For For Management
B5 Elect Director James Curtiss For For Management
B6 Elect Director Donald Deranger For For Management
B7 Elect Director Tim Gitzel For For Management
B8 Elect Director James Gowans For For Management
B9 Elect Director Nancy Hopkins For For Management
B10 Elect Director Anne McLellan For For Management
B11 Elect Director Neil McMillan For For Management
B12 Elect Director Victor Zaleschuk For For Management
C Ratify KPMG LLP as Auditors For For Management
D Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
CAMERON INTERNATIONAL CORPORATION
Ticker: CAM Security ID: 13342B105
Meeting Date: MAY 08, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James T. Hackett For For Management
1.2 Elect Director Michael E. Patrick For For Management
1.3 Elect Director Jon Erik Reinhardsen For For Management
1.4 Elect Director Bruce W. Wilkinson For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
CANADIAN NATURAL RESOURCES LIMITED
Ticker: CNQ Security ID: 136385101
Meeting Date: MAY 02, 2013 Meeting Type: Annual/Special
Record Date: MAR 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect C.M. Best, N. M. Edwards, T.W. For For Management
Faithfull, G. A. Filmon, C. L. Fong, G.
D. Giffin, W.A. Gobert, S.W. Laut, K.A.
J. MacPhail, F.J. McKenna, E.R. Smith
and D.A. Tuer as Directors
1.1 Elect Director Catherine M. Best For For Management
1.2 Elect Director N. Murray Edwards For For Management
1.3 Elect Director Timothy W. Faithfull For For Management
1.4 Elect Director Gary A. Filmon For For Management
1.5 Elect Director Christopher L. Fong For For Management
1.6 Elect Director Gordon D. Giffin For For Management
1.7 Elect Director Wilfred A. Gobert For For Management
1.8 Elect Director Steve W. Laut For For Management
1.9 Elect Director Keith A. J. MacPhail For For Management
1.10 Elect Director Frank J. McKenna For For Management
1.11 Elect Director Eldon R. Smith For For Management
1.12 Elect Director David A. Tuer For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Re-approve Stock Option Plan For For Management
4 Advisory Vote on Executive For Against Management
Compensation Approach
--------------------------------------------------------------------------------
CF INDUSTRIES HOLDINGS, INC.
Ticker: CF Security ID: 125269100
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Declassify the Board of Directors For For Management
2a Elect Director Robert C. Arzbaecher For For Management
2b Elect Director Stephen J. Hagge For For Management
2c Elect Director Edward A. Schmitt For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
5 Reduce Supermajority Vote Requirement Against For Shareholder
6 Adopt Policy and Report on Board Against For Shareholder
Diversity
7 Report on Political Contributions Against For Shareholder
8 Report on Sustainability Against For Shareholder
--------------------------------------------------------------------------------
CHEVRON CORPORATION
Ticker: CVX Security ID: 166764100
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Linnet F. Deily For For Management
1b Elect Director Robert E. Denham For For Management
1c Elect Director Alice P. Gast For For Management
1d Elect Director Enrique Hernandez, Jr. For For Management
1e Elect Director George L. Kirkland For For Management
1f Elect Director Charles W. Moorman, IV For For Management
1g Elect Director Kevin W. Sharer For For Management
1h Elect Director John G. Stumpf For For Management
1i Elect Director Ronald D. Sugar For For Management
1j Elect Director Carl Ware For For Management
1k Elect Director John S. Watson For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Report on Management of Hydraulic Against For Shareholder
Fracturing Risks and Opportunities
6 Report on Offshore Oil Wells and Spill Against Against Shareholder
Mitigation Measures
7 Report on Financial Risks of Climate Against Against Shareholder
Change
8 Report on Lobbying Payments and Policy Against For Shareholder
9 Prohibit Political Contributions Against Against Shareholder
10 Provide for Cumulative Voting Against For Shareholder
11 Amend Articles/Bylaws/Charter -- Call Against For Shareholder
Special Meetings
12 Require Director Nominee with Against For Shareholder
Environmental Expertise
13 Adopt Guidelines for Country Selection Against For Shareholder
--------------------------------------------------------------------------------
CHINA PETROLEUM & CHEMICAL CORP.
Ticker: 00386 Security ID: Y15010104
Meeting Date: OCT 16, 2012 Meeting Type: Special
Record Date: SEP 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Connected Transaction with a For Against Management
Related Party
2 Approve Zhong Ke Guangdong Refinery For For Management
Integration Project
3 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
CHINA PETROLEUM & CHEMICAL CORP.
Ticker: 00386 Security ID: Y15010104
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Report of the Board of For For Management
Directors
2 Approve Report of Supervisors For For Management
3 Accept Financial Statements and For For Management
Statutory Reports
4 Approve Interim Profit Distribution For For Management
Plan for the Year 2013
5 Appoint PricewaterhouseCoopers and For For Management
PricewaterhouseCoopers Zhong Tian
CPA's Limited Company as Exteral
Auditors and Authorize Board to Fix
Their Remuneration
6 Approve Profit Distribution Plan for For For Management
the Year Ended Dec. 31, 2012
7 Amend Articles of Association For For Management
8 Approve Extension of Validity Period For For Management
of the Resolution in Relation to the
Issuance of A Share Convertible
Corporate Bonds and Other Related
Matters
9 Authorize Board to Determine the For Against Management
Proposed Pan for the Issuance of Debt
Financing Instruments
10 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
--------------------------------------------------------------------------------
CHINA PETROLEUM & CHEMICAL CORP.
Ticker: 00386 Security ID: Y15010104
Meeting Date: MAY 29, 2013 Meeting Type: Special
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Profit Distribution Proposal For For Management
for the Year 2012
--------------------------------------------------------------------------------
CHINA SHENHUA ENERGY CO., LTD.
Ticker: 01088 Security ID: Y1504C113
Meeting Date: SEP 14, 2012 Meeting Type: Special
Record Date: AUG 14, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Issuance of Debt Financing For Against Management
Instruments of the Company
--------------------------------------------------------------------------------
CHINA SHENHUA ENERGY CO., LTD.
Ticker: 01088 Security ID: Y1504C113
Meeting Date: JUN 21, 2013 Meeting Type: Special
Record Date: MAY 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
CHINA SHENHUA ENERGY CO., LTD.
Ticker: 01088 Security ID: Y1504C113
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: MAY 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Report of the Board of Directors For For Management
2 Accept Report of the Board of For For Management
Supervisors
3 Accept Audited Financial Statements For For Management
4 Approve Profit Distribution Plan and For For Management
Declare Final Dividend
5 Approve Remuneration of Directors and For For Management
Supervisors
6 Appoint Deloitte Touche Tohmatsu and For For Management
Deloitte Touche Tohmatsu CPA Ltd. as
International and PRC Auditors,
Respectively, and Authorize A
Committee to Fix Their Remuneration
7 Approve Revision of Annual Cap Under For For Management
the Current Mutual Coal Supply
Agreement
8 Approve Supplementary Agreement to the For Against Management
Current Financial Services Agreement
and Revision of Certain Annual Caps
9 Approve Mutual Coal Supply Agreement For For Management
and the Proposed Annual Caps
10 Approve Mutual Supplies and Services For For Management
Agreement and the Proposed Annual Caps
11 Approve Financial Services Agreement For Against Management
and the Proposed Annual Caps
12 Approve Change of Use of a Portion of For For Management
Proceeds from the A Share Offering
13 Amend Articles of Association For For Management
14 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
15 Authorize Repurchase of Up to Ten For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
CLIFFS NATURAL RESOURCES INC.
Ticker: CLF Security ID: 18683K101
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Joseph A. Carrabba For For Management
1b Elect Director Susan M. Cunningham For For Management
1c Elect Director Barry J. Eldridge For For Management
1d Elect Director Andres R. Gluski For For Management
1e Elect Director Susan M. Green For For Management
1f Elect Director Janice K. Henry For For Management
1g Elect Director James F. Kirsch For For Management
1h Elect Director Francis R. McAllister For For Management
1i Elect Director Richard K. Riederer For For Management
1j Elect Director Timothy W. Sullivan For For Management
2 Adopt Majority Voting for Uncontested For For Management
Election of Directors
3 Eliminate Cumulative Voting For For Management
4 Permit Board to Amend Bylaws Without For For Management
Shareholder Consent
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
6 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CNH GLOBAL NV
Ticker: NHL Security ID: N20935206
Meeting Date: DEC 17, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Amend Articles Re: Merger Agreement For Did Not Vote Management
Fiat Industrial S.p.A., and CNH Global
3 Approve Granting of Extraordinary For Did Not Vote Management
Dividend of USD10 per CNH Global Share
Re: Merger Agreement Fiat Industrial S.
p.A., and CNH Global
4 Approve Allocation of Part of the For Did Not Vote Management
Reserves to Special Separate Reserves
5 Approve Remuneration of Special For Did Not Vote Management
Committee
6 Allow Questions None None Management
7 Close Meeting None None Management
--------------------------------------------------------------------------------
CNOOC LTD.
Ticker: 00883 Security ID: Y1662W117
Meeting Date: AUG 21, 2012 Meeting Type: Special
Record Date: AUG 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Coalbed Methane Resources For For Management
Exploration and Development
Cooperation Agreement and Related
Transactions
--------------------------------------------------------------------------------
CNOOC LTD.
Ticker: 00883 Security ID: Y1662W117
Meeting Date: NOV 21, 2012 Meeting Type: Special
Record Date: NOV 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Non-exempt Revised Caps for For For Management
Relevant Categories of the Continuing
Connected Transactions in Respect of
2012 and 2013
--------------------------------------------------------------------------------
CNOOC LTD.
Ticker: 00883 Security ID: Y1662W117
Meeting Date: MAY 24, 2013 Meeting Type: Annual
Record Date: MAY 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Approve Audited Accounts with For For Management
Director's Report and Auditors' Report
1b Declare Final Dividend For For Management
1c Elect Yang Hua as Director For For Management
1d Elect Zhou Shouwei as Director For For Management
1e Elect Chiu Sung Hong as Director For For Management
1f Authorize the Board to Fix For For Management
Remuneration of Directors
1g Appoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
2a Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
2b Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
2c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
COEUR D'ALENE MINES CORPORATION
Ticker: CDE Security ID: 192108504
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Linda L. Adamany For For Management
1.2 Elect Director Kevin S. Crutchfield For For Management
1.3 Elect Director Sebastian Edwards For For Management
1.4 Elect Director Randolph E. Gress For For Management
1.5 Elect Director Mitchell J. Krebs For For Management
1.6 Elect Director Robert E. Mellor For For Management
1.7 Elect Director John H. Robinson For For Management
1.8 Elect Director J. Kenneth Thompson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
4 Change State of Incorporation [from For For Management
Idaho to Delaware]
--------------------------------------------------------------------------------
COMPANIA DE MINAS BUENAVENTURA S.A.
Ticker: BUENAVC1 Security ID: 204448104
Meeting Date: MAR 26, 2013 Meeting Type: Annual
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Accept Financial Statements and For For Management
Statutory Reports
3 Approve Dividends For For Management
4 Elect External Auditors for Fiscal For For Management
Year 2013
5 Approve Merger by Absorption of For For Management
Compania de Exploraciones, Desarrollo
e Inversiones Mineras SAC by Company
6 Approve Merger by Absorption of For For Management
Inversiones Colquijirca SA by Company
--------------------------------------------------------------------------------
COMPANIA DE MINAS BUENAVENTURA S.A.
Ticker: BUENAVC1 Security ID: 204448104
Meeting Date: JUN 07, 2013 Meeting Type: Special
Record Date: MAY 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financing Operations For For Management
Including, Issuance of Bonds and
Obtainment of Loans and credit
Facilities; Authorize Board to Approve
all Agreements Related to Financing
Operations
--------------------------------------------------------------------------------
CONOCOPHILLIPS
Ticker: COP Security ID: 20825C104
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Richard L. Armitage For For Management
1b Elect Director Richard H. Auchinleck For For Management
1c Elect Director James E. Copeland, Jr. For For Management
1d Elect Director Jody L. Freeman For For Management
1e Elect Director Gay Huey Evans For For Management
1f Elect Director Ryan M. Lance For For Management
1g Elect Director Mohd H. Marican For For Management
1h Elect Director Robert A. Niblock For For Management
1i Elect Director Harald J. Norvik For For Management
1j Elect Director William E. Wade, Jr. For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Lobbying Payments and Policy Against For Shareholder
5 Adopt Quantitative GHG Goals for Against For Shareholder
Products and Operations
6 Amend EEO Policy to Prohibit Against For Shareholder
Discrimination based on Gender Identity
--------------------------------------------------------------------------------
DEERE & COMPANY
Ticker: DE Security ID: 244199105
Meeting Date: FEB 27, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Samuel R. Allen For For Management
1b Elect Director Crandall C. Bowles For For Management
1c Elect Director Vance D. Coffman For For Management
1d Elect Director Charles O. Holliday, Jr. For For Management
1e Elect Director Dipak C. Jain For For Management
1f Elect Director Clayton M. Jones For For Management
1g Elect Director Joachim Milberg For For Management
1h Elect Director Richard B. Myers For For Management
1i Elect Director Thomas H. Patrick For For Management
1j Elect Director Aulana L. Peters For For Management
1k Elect Director Sherry M. Smith For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Executive Incentive Bonus Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
DEVON ENERGY CORPORATION
Ticker: DVN Security ID: 25179M103
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert H. Henry For For Management
1.2 Elect Director John A. Hill For For Management
1.3 Elect Director Michael M. Kanovsky For For Management
1.4 Elect Director Robert A. Mosbacher, Jr. For For Management
1.5 Elect Director J. Larry Nichols For For Management
1.6 Elect Director Duane C. Radtke For For Management
1.7 Elect Director Mary P. Ricciardello For For Management
1.8 Elect Director John Richels For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
4 Report on Lobbying Payments and Policy Against For Shareholder
5 Require a Majority Vote for the Against For Shareholder
Election of Directors
6 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
ELDORADO GOLD CORPORATION
Ticker: ELD Security ID: 284902103
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director K. Ross Cory For For Management
1.2 Elect Director Robert R. Gilmore For For Management
1.3 Elect Director Geoffrey A. Handley For For Management
1.4 Elect Director Wayne D. Lenton For For Management
1.5 Elect Director Michael A. Price For For Management
1.6 Elect Director Steven P. Reid For For Management
1.7 Elect Director Jonathan A. Rubenstein For For Management
1.8 Elect Director Donald M. Shumka For For Management
1.9 Elect Director Paul N. Wright For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Authorize Board to Fix Remuneration of For For Management
Auditors
--------------------------------------------------------------------------------
ENCANA CORPORATION
Ticker: ECA Security ID: 292505104
Meeting Date: APR 23, 2013 Meeting Type: Annual
Record Date: MAR 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter A. Dea For For Management
1.2 Elect Director Claire S. Farley For For Management
1.3 Elect Director Fred J. Fowler For For Management
1.4 Elect Director Suzanne P. Nimocks For For Management
1.5 Elect Director David P. O'Brien For For Management
1.6 Elect Director Jane L. Peverett For For Management
1.7 Elect Director Brian G. Shaw For For Management
1.8 Elect Director Bruce G. Waterman For For Management
1.9 Elect Director Clayton H. Woitas For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
4 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
ENI S.P.A.
Ticker: ENI Security ID: 26874R108
Meeting Date: MAY 10, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Allocation of Income For For Management
3 Approve Remuneration Report For For Management
4 Authorize Share Repurchase Program and For For Management
Reissuance of Repurchased Shares
--------------------------------------------------------------------------------
ENI SPA
Ticker: ENI Security ID: T3643A145
Meeting Date: JUL 16, 2012 Meeting Type: Special
Record Date: JUL 05, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Elimination of Shares' Par For For Management
Value and Cancellation of Treasury
Shares
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
EOG RESOURCES, INC.
Ticker: EOG Security ID: 26875P101
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Charles R. Crisp For For Management
1b Elect Director James C. Day For For Management
1c Elect Director Mark G. Papa For For Management
1d Elect Director H. Leighton Steward For For Management
1e Elect Director Donald F. Textor For For Management
1f Elect Director William R. Thomas For For Management
1g Elect Director Frank G. Wisner For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
EXXON MOBIL CORPORATION
Ticker: XOM Security ID: 30231G102
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director M.J. Boskin For For Management
1.2 Elect Director P. Brabeck-Letmathe For For Management
1.3 Elect Director U.M. Burns For For Management
1.4 Elect Director L.R. Faulkner For For Management
1.5 Elect Director J.S. Fishman For For Management
1.6 Elect Director H.H. Fore For For Management
1.7 Elect Director K.C. Frazier For For Management
1.8 Elect Director W.W. George For For Management
1.9 Elect Director S.J. Palmisano For For Management
1.10 Elect Director S.S. Reinemund For For Management
1.11 Elect Director R.W. Tillerson For For Management
1.12 Elect Director W.C. Weldon For For Management
1.13 Elect Director E.E. Whitacre, Jr. For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Require Independent Board Chairman Against For Shareholder
5 Require a Majority Vote for the Against For Shareholder
Election of Directors
6 Limit Directors to a Maximum of Three Against Against Shareholder
Board Memberships in Companies with
Sales over $500 Million Annually
7 Report on Lobbying Payments and Policy Against For Shareholder
8 Study Feasibility of Prohibiting Against Against Shareholder
Political Contributions
9 Adopt Sexual Orientation Anti-bias Against Against Shareholder
Policy
10 Report on Management of Hydraulic Against For Shareholder
Fracturing Risks and Opportunities
11 Adopt Quantitative GHG Goals for Against For Shareholder
Products and Operations
--------------------------------------------------------------------------------
FIRST QUANTUM MINERALS LTD.
Ticker: FM Security ID: 335934105
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Nine For For Management
2.1 Elect Director Philip K. R. Pascall For For Management
2.2 Elect Director G. Clive Newall For For Management
2.3 Elect Director Martin R. Rowley For For Management
2.4 Elect Director Peter St. George For For Management
2.5 Elect Director Andrew B. Adams For For Management
2.6 Elect Director Michael Martineau For For Management
2.7 Elect Director Paul Brunner For For Management
2.8 Elect Director Michael Hanley For For Management
2.9 Elect Director Robert Harding For For Management
3 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
FORTESCUE METALS GROUP LTD.
Ticker: FMG Security ID: Q39360104
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: NOV 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For Against Management
Remuneration Report
2 Elect Cao Huiquan as a Director For For Management
3 Elect Herb Elliott as a Director For For Management
4 Approve the Fortescue Metals Group Ltd For For Management
Performance Share Plan
5 Appoint PricewaterhouseCoopers as For For Management
Auditor of the Company
--------------------------------------------------------------------------------
GAZPROM OAO
Ticker: GAZP Security ID: 368287207
Meeting Date: JUN 28, 2013 Meeting Type: Annual
Record Date: MAY 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Approve Financial Statements For For Management
3 Approve Allocation of Income For For Management
4 Approve Dividends For For Management
5 Approve Procedure of Dividend Payment For For Management
6 Ratify ZAO PricewaterhouseCoopers as For For Management
Auditor
7 Approve Remuneration of Directors For Against Management
8 Approve Remuneration of Members of For For Management
Audit Commission
9 Amend Charter For For Management
10 Amend Regulations on General Meetings For For Management
11 Approve New Edition of Regulations on For For Management
Audit Commission
12.1 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Loan Agreements
12.2 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Loan
Agreements
12.3 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Loan Agreements
12.4 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Loan Facility
Agreement
12.5 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Loan
Facility Agreement
12.6 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Loan Facility
Agreement
12.7 Approve Related-Party Transaction with For For Management
OAO Bank Rossiya Re: Loan Facility
Agreement
12.8 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Transfer of Funds and Placement of
Monetary Funds As Minimum Balance On
Bank Accounts
12.9 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia, OAO Bank VTB,
OAO AB Rossiya, and OAO Rosselkhozbank
Re: Agreements on Transfer of Funds
12.10 Approve Related-Party Transaction with For For Management
OAO Gazprombank, OAO Sberbank of
Russia, OAO Bank VTB, OAO AB Rossiya,
and OAO Rosselkhozbank Re: Agreements
on Using Electronic Payments System
12.11 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Foreign Currency Purchase/Sale
12.12 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Agreements on Foreign
Currency Purchase/Sale
12.13 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Agreements on
Forward/Swap Conversion Operations
12.14 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Deposit Agreements
12.15 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Deposit Agreements
12.16 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Deposit
Agreements
12.17 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Guarantee
Agreements for Securing Obligations of
Gazprom's Subsidiaries
12.18 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Guarantee
Agreements for Securing Obligations of
Gazprom's Subsidiaries
12.19 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Guarantee Agreements
for Securing Obligations of Gazprom's
Subsidiaries
12.20 Approve Related-Party Transaction with For For Management
OAO Gazprombank: Guarantee Agreements
for Securing Obligations of Gazprom's
Subsidiaries
12.21 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Guarantees to Tax Authorities
12.22 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Agreements on
Guarantees to Tax Authorities
12.23 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Agreements
on Guarantees to Tax Authorities
12.24 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Temporary Possession and Use of
Infrastructure Facilities at Railway
Stations
12.25 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Temporary Possession and Use of Tank
Cars
12.26 Approve Related-Party Transaction with For For Management
DOAO Tsentrenergogaz Re: Agreements on
Temporary Possession and Use of
Building and Equipment
12.27 Approve Related-Party Transaction with For For Management
OAO Tsentrgaz Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions
12.28 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Temporary Possession and Use of
Non-residential Premises
12.29 Approve Related-Party Transaction with For For Management
OAO Gazprom Neftekhim Salavat Re:
Agreements on Temporary Possession and
Use of Gas Condensate Pipeline
12.30 Approve Related-Party Transaction with For For Management
OOO Gazprom Export Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions
12.31 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions, and
Special-Purpose Telecommunications
12.32 Approve Related-Party Transaction with For For Management
OAO Gazprom Space Systems Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.33 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions
12.34 Approve Related-Party Transaction with For For Management
ZAO Gazprom Invest Yug Re: Agreements
on Temporary Possession and Use of
Software and Hardware Solutions
12.35 Approve Related-Party Transaction with For For Management
OOO Gazprom Mezhregiongaz Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.36 Approve Related-Party Transaction with For For Management
OOO Gazprom Komplektatsiya Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.37 Approve Related-Party Transaction with For For Management
OAO Gazprombank and OOO Gazprom Export
Re: License to Use OAO Gazprom's
Trademarks
12.38 Approve Related-Party Transaction with For For Management
OAO Gazprom Gazoraspredeleniye Re:
Agreements on Temporary Possession and
Use of Gas Distribution System
12.39 Approve Related-Party Transactions For For Management
with OOO Gazprom Investoproekt: Re:
Provision of Consulting Services
12.40 Approve Related-Party Transaction with For For Management
OAO Druzhba Re: Agreements on
Temporary Possession and Use of
Facilities of Druzhba Vacation Center
12.41 Approve Related-Party Transaction with For For Management
OOO Gazprom Export Re: Agreements on
Sale of Commercial Products Owned by
Gazprom
12.42 Approve Related-Party Transaction with For For Management
OAO Severneftegazprom Re: Agreements
on Delivery of Gas
12.43 Approve Related-Party Transaction with For For Management
OAO Tomskgazprom Re: Agreements on
Transportation of Gas
12.44 Approve Related-Party Transaction with For For Management
OOO Gazprom Mezhregiongaz Re:
Agreements on Transportation of Gas
12.45 Approve Related-Party Transaction with For For Management
OAO NOVATEK Re: Agreements on
Transportation of Gas
12.46 Approve Related-Party Transaction with For For Management
OAO NOVATEK Re: Agreements on
Arranging of Injection and Storage of
Gas
12.47 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Agreements on
Transportation of Gas
12.48 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Temporary Possession and Use of
Infrastructure Facilities
12.49 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Agreement
on Forward Transactions, and Currency
Purchase/Sale Transactions
12.50 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.51 Approve Related-Party Transaction with For For Management
a/s Latvijas Gaze Re: Agreements on
Sale of Gas; Arranging of Injection,
and Storage of Gas
12.52 Approve Related-Party Transaction with For For Management
AB Lietuvos Dujos Re: Agreements on
Sale and Transportation of Gas
12.53 Approve Related-Party Transaction with For For Management
AO Moldovagaz Re: Agreements on Sale
and Transportation of Gas
12.54 Approve Related-Party Transaction with For For Management
KazRosGaz LLP Re: Agreements on
Transportation of Gas
12.55 Approve Related-Party Transaction with For For Management
OAO Beltransgaz Re: Agreements on Sale
and Transportation of Gas
12.56 Approve Related-Party Transaction with For For Management
GAZPROM Germania GmbH Re: Agreements
on Transportation of Gas
12.57 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Start-Up and Commissioning Work
12.58 Approve Related-Party Transaction with For For Management
ZAO Gazprom Invest Yug Re: Agreements
on Start-Up and Commissioning Work
12.59 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re:
Agreements on Start-Up and
Commissioning Work
12.60 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest Re: Agreements on
Start-Up and Commissioning Work
12.61 Approve Related-Party Transaction with For For Management
ZAO Gazprom Invest Yug Re: Agreements
on Investment Projects
12.62 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Investment Projects
12.63 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re:
Agreements on Investment Projects
12.64 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest Re: Agreements on
Investment Projects
12.65 Approve Related-Party Transaction with For For Management
OAO Gazprom Gazoraspredeleniye Re:
Service Agreement on Partial
Liquidation of Gas Pipeline
12.66 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Property
Insurance
12.67 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreement on
Environment, Life, Health, and
Individual Property Insurance
12.68 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on
Environment, Life, Health, and
Individual Property Insurance
12.69 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreement on Insurance
in Connection with Customs Operations
12.70 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Insurance
of Gazprom's Employees
12.71 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Insurance
of Gazprom's Employees, Their Familiy
Members, and Retired Former Employees
12.72 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Insurance
of Transportation Vehicles Owned By
Gazprom
12.73 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreement on Liability
Insurance to Members of Board of
Directors and Management Board
12.74 Approve Related-Party Transaction with For For Management
OAO Beltransgaz Re: License to Use OAO
Gazprom's Trademarks
12.75 Approve Related-Party Transaction For For Management
with OAO SOGAZ Re: Agreement on
Insurance During Business Assignment
12.76 Approve Related-Party Transaction with For For Management
Multiple Parties Re: Agreements on
Arranging Stocktaking of Property
12.77 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest, and OOO
Temryukmortrans, OAO
Gazpromtrubinvest, and Gazprom (UK)
Limited Re: License to Use OAO
Gazprom's Trademarks
12.78 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re: License
to Use OAO Gazprom's Trademarks
12.79 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: License to Use OAO
Gazprom's Trademarks
12.80 Approve Related-Party Transaction with For For Management
GAZPROM Germania GmbH Re: Exclusive
License to Use OAO Gazprom's Trademarks
12.81 Approve Related-Party Transaction with For For Management
OAO Beltransgaz Re: License to Use OAO
Gazprom's Trademarks
12.82 Approve Related-Party Transaction with For For Management
Gazprom Marketing and Trading Limited
Re: Exclusive License to Use OAO
Gazprom's Trademarks
12.83 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Exclusive License
to Use OAO Gazprom's Trademarks
12.84 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Exclusive License
to Use OAO Gazprom's Trademarks
12.85 Approve Related-Party Transaction with For For Management
OOO Gazprom Mezhregiongaz Re:
Agreements on Delivery of Gas
13.1 Elect Andrey Akimov as Director None Against Management
13.2 Elect Farit Gazizullin as Director None Against Management
13.3 Elect Viktor Zubkov as Director None Against Management
13.4 Elect Elena Karpel as Director None Against Management
13.5 Elect Timur Kulibayev as Director None Against Management
13.6 Elect Vitaliy Markelov as Director None Against Management
13.7 Elect Viktor Martynov as Director None Against Management
13.8 Elect Vladimir Mau as Director None Against Management
13.9 Elect Aleksey Miller as Director None Against Management
13.10 Elect Valery Musin as Director None For Management
13.11 Elect Mikhail Sereda as Director None Against Management
14.1 Elect Viktor Antoshin as Member of For Did Not Vote Management
Audit Commission
14.2 Elect Dmitry Arkhipov as Member of For For Management
Audit Commission
14.3 Elect Andrey Belobrov as Member of For Did Not Vote Management
Audit Commission
14.4 Elect Vadim Bikulov as Member of Audit For For Management
Commission
14.5 Elect Mikhail Kuzovlev as Member of For Did Not Vote Management
Audit Commission
14.6 Elect Marina Mikhina as Member of For Against Management
Audit Commission
14.7 Elect Lidiya Morozova as Member of For Against Management
Audit Commission
14.8 Elect Anna Nesterova as Members of For For Management
Audit Commission
14.9 Elect Georgiy Nozadze as Member of For For Management
Audit Commission
14.10 Elect Yuriy Nosov as Member of Audit For For Management
Commission
14.11 Elect Karen Oganyan as Member of Audit For For Management
Commission
14.12 Elect Aleksandr Yugov as Member of For For Management
Audit Commission
--------------------------------------------------------------------------------
GAZPROM OAO
Ticker: GAZP Security ID: 368287207
Meeting Date: JUN 28, 2013 Meeting Type: Annual
Record Date: MAY 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Approve Financial Statements For For Management
3 Approve Allocation of Income For For Management
4 Approve Dividends For For Management
5 Approve Procedure of Dividend Payment For For Management
6 Ratify ZAO PricewaterhouseCoopers as For For Management
Auditor
7 Approve Remuneration of Directors For Against Management
8 Approve Remuneration of Members of For For Management
Audit Commission
9 Amend Charter For For Management
10 Amend Regulations on General Meetings For For Management
11 Approve New Edition of Regulations on For For Management
Audit Commission
12.1 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Loan Agreements
12.2 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Loan
Agreements
12.3 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Loan Agreements
12.4 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Loan Facility
Agreement
12.5 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Loan
Facility Agreement
12.6 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Loan Facility
Agreement
12.7 Approve Related-Party Transaction with For For Management
OAO Bank Rossiya Re: Loan Facility
Agreement
12.8 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Transfer of Funds and Placement of
Monetary Funds As Minimum Balance On
Bank Accounts
12.9 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia, OAO Bank VTB,
OAO AB Rossiya, and OAO Rosselkhozbank
Re: Agreements on Transfer of Funds
12.10 Approve Related-Party Transaction with For For Management
OAO Gazprombank, OAO Sberbank of
Russia, OAO Bank VTB, OAO AB Rossiya,
and OAO Rosselkhozbank Re: Agreements
on Using Electronic Payments System
12.11 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Foreign Currency Purchase/Sale
12.12 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Agreements on Foreign
Currency Purchase/Sale
12.13 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Agreements on
Forward/Swap Conversion Operations
12.14 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Deposit Agreements
12.15 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Deposit Agreements
12.16 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Deposit
Agreements
12.17 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Guarantee
Agreements for Securing Obligations of
Gazprom's Subsidiaries
12.18 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Guarantee
Agreements for Securing Obligations of
Gazprom's Subsidiaries
12.19 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Guarantee Agreements
for Securing Obligations of Gazprom's
Subsidiaries
12.20 Approve Related-Party Transaction with For For Management
OAO Gazprombank: Guarantee Agreements
for Securing Obligations of Gazprom's
Subsidiaries
12.21 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Guarantees to Tax Authorities
12.22 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Agreements on
Guarantees to Tax Authorities
12.23 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Agreements
on Guarantees to Tax Authorities
12.24 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Temporary Possession and Use of
Infrastructure Facilities at Railway
Stations
12.25 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Temporary Possession and Use of Tank
Cars
12.26 Approve Related-Party Transaction with For For Management
DOAO Tsentrenergogaz Re: Agreements on
Temporary Possession and Use of
Building and Equipment
12.27 Approve Related-Party Transaction with For For Management
OAO Tsentrgaz Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions
12.28 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Agreements on
Temporary Possession and Use of
Non-residential Premises
12.29 Approve Related-Party Transaction with For For Management
OAO Gazprom Neftekhim Salavat Re:
Agreements on Temporary Possession and
Use of Gas Condensate Pipeline
12.30 Approve Related-Party Transaction with For For Management
OOO Gazprom Export Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions
12.31 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions, and
Special-Purpose Telecommunications
12.32 Approve Related-Party Transaction with For For Management
OAO Gazprom Space Systems Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.33 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest Re: Agreements on
Temporary Possession and Use of
Software and Hardware Solutions
12.34 Approve Related-Party Transaction with For For Management
ZAO Gazprom Invest Yug Re: Agreements
on Temporary Possession and Use of
Software and Hardware Solutions
12.35 Approve Related-Party Transaction with For For Management
OOO Gazprom Mezhregiongaz Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.36 Approve Related-Party Transaction with For For Management
OOO Gazprom Komplektatsiya Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.37 Approve Related-Party Transaction with For For Management
OAO Gazprombank and OOO Gazprom Export
Re: License to Use OAO Gazprom's
Trademarks
12.38 Approve Related-Party Transaction with For For Management
OAO Gazprom Gazoraspredeleniye Re:
Agreements on Temporary Possession and
Use of Gas Distribution System
12.39 Approve Related-Party Transactions For For Management
with OOO Gazprom Investoproekt: Re:
Provision of Consulting Services
12.40 Approve Related-Party Transaction with For For Management
OAO Druzhba Re: Agreements on
Temporary Possession and Use of
Facilities of Druzhba Vacation Center
12.41 Approve Related-Party Transaction with For For Management
OOO Gazprom Export Re: Agreements on
Sale of Commercial Products Owned by
Gazprom
12.42 Approve Related-Party Transaction with For For Management
OAO Severneftegazprom Re: Agreements
on Delivery of Gas
12.43 Approve Related-Party Transaction with For For Management
OAO Tomskgazprom Re: Agreements on
Transportation of Gas
12.44 Approve Related-Party Transaction with For For Management
OOO Gazprom Mezhregiongaz Re:
Agreements on Transportation of Gas
12.45 Approve Related-Party Transaction with For For Management
OAO NOVATEK Re: Agreements on
Transportation of Gas
12.46 Approve Related-Party Transaction with For For Management
OAO NOVATEK Re: Agreements on
Arranging of Injection and Storage of
Gas
12.47 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Agreements on
Transportation of Gas
12.48 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Temporary Possession and Use of
Infrastructure Facilities
12.49 Approve Related-Party Transaction with For For Management
OAO Sberbank of Russia Re: Agreement
on Forward Transactions, and Currency
Purchase/Sale Transactions
12.50 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re:
Agreements on Temporary Possession and
Use of Software and Hardware Solutions
12.51 Approve Related-Party Transaction with For For Management
a/s Latvijas Gaze Re: Agreements on
Sale of Gas; Arranging of Injection,
and Storage of Gas
12.52 Approve Related-Party Transaction with For For Management
AB Lietuvos Dujos Re: Agreements on
Sale and Transportation of Gas
12.53 Approve Related-Party Transaction with For For Management
AO Moldovagaz Re: Agreements on Sale
and Transportation of Gas
12.54 Approve Related-Party Transaction with For For Management
KazRosGaz LLP Re: Agreements on
Transportation of Gas
12.55 Approve Related-Party Transaction with For For Management
OAO Beltransgaz Re: Agreements on Sale
and Transportation of Gas
12.56 Approve Related-Party Transaction with For For Management
GAZPROM Germania GmbH Re: Agreements
on Transportation of Gas
12.57 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Start-Up and Commissioning Work
12.58 Approve Related-Party Transaction with For For Management
ZAO Gazprom Invest Yug Re: Agreements
on Start-Up and Commissioning Work
12.59 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re:
Agreements on Start-Up and
Commissioning Work
12.60 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest Re: Agreements on
Start-Up and Commissioning Work
12.61 Approve Related-Party Transaction with For For Management
ZAO Gazprom Invest Yug Re: Agreements
on Investment Projects
12.62 Approve Related-Party Transaction with For For Management
OOO Gazpromtrans Re: Agreements on
Investment Projects
12.63 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re:
Agreements on Investment Projects
12.64 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest Re: Agreements on
Investment Projects
12.65 Approve Related-Party Transaction with For For Management
OAO Gazprom Gazoraspredeleniye Re:
Service Agreement on Partial
Liquidation of Gas Pipeline
12.66 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Property
Insurance
12.67 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreement on
Environment, Life, Health, and
Individual Property Insurance
12.68 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on
Environment, Life, Health, and
Individual Property Insurance
12.69 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreement on Insurance
in Connection with Customs Operations
12.70 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Insurance
of Gazprom's Employees
12.71 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Insurance
of Gazprom's Employees, Their Familiy
Members, and Retired Former Employees
12.72 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreements on Insurance
of Transportation Vehicles Owned By
Gazprom
12.73 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Agreement on Liability
Insurance to Members of Board of
Directors and Management Board
12.74 Approve Related-Party Transaction with For For Management
OAO Beltransgaz Re: License to Use OAO
Gazprom's Trademarks
12.75 Approve Related-Party Transaction For For Management
with OAO SOGAZ Re: Agreement on
Insurance During Business Assignment
12.76 Approve Related-Party Transaction with For For Management
Multiple Parties Re: Agreements on
Arranging Stocktaking of Property
12.77 Approve Related-Party Transaction with For For Management
ZAO Yamalgazinvest, and OOO
Temryukmortrans, OAO
Gazpromtrubinvest, and Gazprom (UK)
Limited Re: License to Use OAO
Gazprom's Trademarks
12.78 Approve Related-Party Transaction with For For Management
OOO Gazprom Tsentrremont Re: License
to Use OAO Gazprom's Trademarks
12.79 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: License to Use OAO
Gazprom's Trademarks
12.80 Approve Related-Party Transaction with For For Management
GAZPROM Germania GmbH Re: Exclusive
License to Use OAO Gazprom's Trademarks
12.81 Approve Related-Party Transaction with For For Management
OAO Beltransgaz Re: License to Use OAO
Gazprom's Trademarks
12.82 Approve Related-Party Transaction with For For Management
Gazprom Marketing and Trading Limited
Re: Exclusive License to Use OAO
Gazprom's Trademarks
12.83 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Exclusive License
to Use OAO Gazprom's Trademarks
12.84 Approve Related-Party Transaction with For For Management
OAO Gazprom Neft Re: Exclusive License
to Use OAO Gazprom's Trademarks
12.85 Approve Related-Party Transaction with For For Management
OOO Gazprom Mezhregiongaz Re:
Agreements on Delivery of Gas
13.1 Elect Andrey Akimov as Director None Against Management
13.2 Elect Farit Gazizullin as Director None Against Management
13.3 Elect Viktor Zubkov as Director None Against Management
13.4 Elect Elena Karpel as Director None Against Management
13.5 Elect Timur Kulibayev as Director None Against Management
13.6 Elect Vitaliy Markelov as Director None Against Management
13.7 Elect Viktor Martynov as Director None Against Management
13.8 Elect Vladimir Mau as Director None Against Management
13.9 Elect Aleksey Miller as Director None Against Management
13.10 Elect Valery Musin as Director None For Management
13.11 Elect Mikhail Sereda as Director None Against Management
14.1 Elect Viktor Antoshin as Member of For Against Management
Audit Commission
14.2 Elect Dmitry Arkhipov as Member of For For Management
Audit Commission
14.3 Elect Andrey Belobrov as Member of For Against Management
Audit Commission
14.4 Elect Vadim Bikulov as Member of Audit For For Management
Commission
14.5 Elect Mikhail Kuzovlev as Member of For Against Management
Audit Commission
14.6 Elect Marina Mikhina as Member of For Against Management
Audit Commission
14.7 Elect Lidiya Morozova as Member of For Against Management
Audit Commission
14.8 Elect Anna Nesterova as Members of For For Management
Audit Commission
14.9 Elect Georgiy Nozadze as Member of For For Management
Audit Commission
14.10 Elect Yuriy Nosov as Member of Audit For For Management
Commission
14.11 Elect Karen Oganyan as Member of Audit For For Management
Commission
14.12 Elect Aleksandr Yugov as Member of For For Management
Audit Commission
--------------------------------------------------------------------------------
GLENCORE INTERNATIONAL PLC
Ticker: GLEN Security ID: G39420107
Meeting Date: NOV 20, 2012 Meeting Type: Special
Record Date: NOV 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger with Xstrata plc; For For Management
Authorise Directors to Allot Equity
Securities in Connection with the
Merger
2 Approve Change of Company Name to For For Management
Glencore Xstrata plc
3 Authorise Issue of Equity with For For Management
Pre-emptive Rights
4 Authorise Issue of Equity without For For Management
Pre-emptive Rights
5 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
GLENCORE XSTRATA PLC
Ticker: GLEN Security ID: G39420107
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Re-elect Ivan Glasenberg as Director For For Management
4 Re-elect Anthony Hayward as Director For For Management
5 Re-elect Leonhard Fischer as Director For For Management
6 Re-elect William Macaulay as Director For Against Management
7 Subject to the Merger Becoming For Abstain Management
Effective, Elect Sir John Bond as
Director
8 Subject to the Merger Becoming For Against Management
Effective, Elect Sir Steve Robson as
Director
9 Subject to the Merger Becoming For For Management
Effective, Elect Ian Strachan as
Director
10 Subject to the Merger Becoming For Abstain Management
Effective, Elect Con Fauconnier as
Director
11 Subject to the Merger Becoming For For Management
Effective, Elect Peter Hooley as
Director
12 Subject to the Merger Not Becoming For Abstain Management
Effective, Re-elect Simon Murray as
Director
13 Subject to the Merger Not Becoming For Abstain Management
Effective, Re-elect Steven Kalmin as
Director
14 Subject to the Merger Not Becoming For Abstain Management
Effective, Re-elect Peter Coates as
Director
15 Subject to the Merger Not Becoming For Abstain Management
Effective, Re-elect Li Ning as Director
16 Approve Remuneration Report For Against Management
17 Reappoint Deloitte LLP as Auditors For For Management
18 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
19 Authorise Issue of Equity with For For Management
Pre-emptive Rights
20 Authorise Issue of Equity without For For Management
Pre-emptive Rights
21 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
GOLD FIELDS LTD
Ticker: GFI Security ID: 38059T106
Meeting Date: MAY 09, 2013 Meeting Type: Annual
Record Date: APR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Reappoint KPMG Inc as Auditors of the For For Management
Company
2 Re-elect David Murray as Director For For Management
3 Re-elect Donald Ncube as Director For For Management
4 Re-elect Rupert Pennant-Rea as Director For For Management
5 Re-elect Gayle Wilson as Director For For Management
6 Re-elect Gayle Wilson as Chairman of For For Management
the Audit Committee
7 Re-elect Richard Menell as Member of For For Management
the Audit Committee
8 Re-elect Donald Ncube as Member of the For For Management
Audit Committee
9 Re-elect Rupert Pennant-Rea as Member For For Management
of the Audit Committee
10 Place Authorised but Unissued Shares For For Management
under Control of Directors
11 Authorise Board to Issue Shares for For For Management
Cash up to a Maximum of Five Percent
of Issued Share Capital
12 Approve Remuneration Policy For For Management
1 Approve Remuneration of Non-Executive For For Management
Directors with Effect from 1 June 2013
2 Approve Financial Assistance to For For Management
Related or Inter-related Company
3 Amend Memorandum of Incorporation Re: For For Management
Clause 1.2.14
4 Amend Memorandum of Incorporation Re: For For Management
Clause 1.2.16
5 Amend Memorandum of Incorporation Re: For For Management
Clauses 5.6, 5.7 and 5.8
6 Amend Memorandum of Incorporation Re: For For Management
Clause 7.5
7 Amend Memorandum of Incorporation Re: For For Management
Clause 8
8 Amend Memorandum of Incorporation Re: For For Management
Clause 11.1
9 Amend Memorandum of Incorporation Re: For For Management
Clause 14.5
10 Amend Memorandum of Incorporation Re: For For Management
Clause 18.28
11 Amend Memorandum of Incorporation Re: For For Management
Clause 18.35
12 Amend Memorandum of Incorporation Re: For For Management
Clause 20.9
13 Amend Memorandum of Incorporation Re: For For Management
Clause 24
14 Amend Memorandum of Incorporation Re: For For Management
Clause 32
15 Amend Memorandum of Incorporation Re: For For Management
Schedule 1
16 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
GOLDCORP INC.
Ticker: G Security ID: 380956409
Meeting Date: MAY 02, 2013 Meeting Type: Annual/Special
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
a1 Elect Director John P. Bell For For Management
a2 Elect Director Beverley A. Briscoe For For Management
a3 Elect Director Peter J. Dey For For Management
a4 Elect Director Douglas M. Holtby For For Management
a5 Elect Director Charles A. Jeannes For For Management
a6 Elect Director P. Randy Reifel For For Management
a7 Elect Director A. Dan Rovig For For Management
a8 Elect Director Ian W. Telfer For For Management
a9 Elect Director Blanca Trevino For For Management
a10 Elect Director Kenneth F. Williamson For For Management
2 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Amend Restricted Share Unit Plan For For Management
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
GOLDEN AGRI-RESOURCES LTD
Ticker: E5H Security ID: V39076134
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Approve Directors' Fees For For Management
4 Elect Rafael Buhay Concepcion, Jr. as For For Management
Director
5 Elect Muktar Widjaja as Director For For Management
6 Elect Hong Pian Tee as Director For For Management
7 Reappoint Moore Stephens LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Authorize Share Repurchase Program For For Management
10 Approve Mandate for Transactions with For For Management
Related Parties
--------------------------------------------------------------------------------
GRUPO MEXICO SAB DE CV
Ticker: GMEXICOB Security ID: P49538112
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date: APR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Consolidated Financial For For Management
Statements and Statutory Reports;
Accept CEO, Board and Board Committee
Reports for Fiscal Year 2012
2 Present Report on Compliance with For For Management
Fiscal Obligations
3 Approve Allocation of Income For For Management
4 Approve Policy Related to Acquisition For For Management
of Own Shares for 2012; Set Aggregate
Nominal Amount of Share Repurchase
Reserve for 2013
5 Elect or Ratify Directors; Verify For Against Management
Independence of Board Members; Elect
or Ratify Chairmen and Members of
Board Committees
6 Approve Remuneration of Directors and For For Management
Members of Board Committees
7 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
HALLIBURTON COMPANY
Ticker: HAL Security ID: 406216101
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan M. Bennett For For Management
1.2 Elect Director James R. Boyd For For Management
1.3 Elect Director Milton Carroll For For Management
1.4 Elect Director Nance K. Dicciani For For Management
1.5 Elect Director Murry S. Gerber For For Management
1.6 Elect Director Jose C. Grubisich For For Management
1.7 Elect Director Abdallah S. Jum'ah For For Management
1.8 Elect Director David J. Lesar For For Management
1.9 Elect Director Robert A. Malone For For Management
1.10 Elect Director J. Landis Martin For For Management
1.11 Elect Director Debra L. Reed For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Report on Human Rights Risk Assessment Against For Shareholder
Process
--------------------------------------------------------------------------------
HARMONY GOLD MINING COMPANY LTD
Ticker: HAR Security ID: 413216300
Meeting Date: NOV 28, 2012 Meeting Type: Annual
Record Date: NOV 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Re-elect Fikile De Buck as Director For For Management
2 Re-elect Simo Lushaba as Director For For Management
3 Re-elect Modise Motloba as Director For For Management
4 Re-elect Patrice Motsepe as Director For For Management
5 Re-elect Fikile De Buck as Member of For For Management
the Audit Committee
6 Re-elect Simo Lushaba as Member of the For For Management
Audit Committee
7 Re-elect Modise Motloba as Member of For For Management
the Audit Committee
8 Re-elect John Wetton as Member of the For For Management
Audit Committee
9 Reappoint PricewaterhouseCoopers For For Management
Incorporated as Auditors of the Company
10 Approve Remuneration Policy For For Management
11 Authorise Directors to Allot and Issue For For Management
up to 21,578,212 Authorised but
Unissued Ordinary Shares
12 Amend the Broad-Based Employee Share For For Management
Ownership Plan (ESOP)
13 Approve Remuneration of Non-Executive For For Management
Directors
14 Adopt New Memorandum of Incorporation For Against Management
--------------------------------------------------------------------------------
HECLA MINING COMPANY
Ticker: HL Security ID: 422704106
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ted Crumley For For Management
1.2 Elect Director Terry V. Rogers For For Management
1.3 Elect Director Charles B. Stanley For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
HESS CORPORATION
Ticker: HES Security ID: 42809H107
Meeting Date: MAY 16, 2013 Meeting Type: Proxy Contest
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
Management Proxy (White Card) None
1.1 Elect Director J. Krenicki For Did Not Vote Management
1.2 Elect Director K. Meyers For Did Not Vote Management
1.3 Elect Director Fredric G. Reynolds For Did Not Vote Management
1.4 Elect Director William G. Schrader For Did Not Vote Management
1.5 Director Mark Williams For Did Not Vote Management
2 Ratify Auditors For Did Not Vote Management
3 Advisory Vote to Ratify Named For Did Not Vote Management
Executive Officers' Compensation
4 Declassify the Board of Directors For Did Not Vote Management
5 Require Independent Board Chairman Against Did Not Vote Shareholder
6 Reduce Supermajority Vote Requirement Against Did Not Vote Shareholder
7 Report on Political Contributions Against Did Not Vote Shareholder
8 Repeal Any Bylaws Amendments Adopted Against Did Not Vote Shareholder
subsequent to February 2, 2011
# Proposal Diss Rec Vote Cast Sponsor
Dissident Proxy (Green Card) None
1.1 Elect Director Rodney F. Chase For For Shareholder
1.2 Elect Director Harvey Golub For For Shareholder
1.3 Elect Director Karl F. Kurz For For Shareholder
1.4 Elect Director David McManus For For Shareholder
1.5 Elect Director Marshall D. Smith For For Shareholder
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named Against Against Management
Executive Officers' Compensation
4 Declassify the Board of Directors For For Management
5 Require Independent Board Chairman For For Shareholder
6 Reduce Supermajority Vote Requirement For For Shareholder
7 Report on Political Contributions For For Shareholder
8 Repeal Any Bylaws Amendments Adopted For For Shareholder
subsequent to February 2, 2011
--------------------------------------------------------------------------------
IAMGOLD CORPORATION
Ticker: IMG Security ID: 450913108
Meeting Date: MAY 21, 2013 Meeting Type: Annual/Special
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John E. Caldwell For For Management
1.2 Elect Director Donald K. Charter For For Management
1.3 Elect Director W. Robert Dengler For For Management
1.4 Elect Director Guy G. Dufresne For For Management
1.5 Elect Director Richard J. Hall For For Management
1.6 Elect Director Stephen J. J. Letwin For For Management
1.7 Elect Director Mahendra Naik For For Management
1.8 Elect Director William D. Pugliese For For Management
1.9 Elect Director John T. Shaw For For Management
1.10 Elect Director Timothy R. Snider For For Management
2 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
4 Adopt By-Law Number Two For For Management
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ILUKA RESOURCES LTD.
Ticker: ILU Security ID: Q4875J104
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAY 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Stephen John Turner as a Director For For Management
2 Elect Wayne Osborn as a Director For For Management
3 Elect Gregory John Walton Martin as a For For Management
Director
4 Elect James Hutchison Ranck as a For For Management
Director
5 Approve the Remuneration Report For For Management
--------------------------------------------------------------------------------
IMPALA PLATINUM HOLDINGS LTD
Ticker: IMP Security ID: S37840113
Meeting Date: OCT 24, 2012 Meeting Type: Annual
Record Date: OCT 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
30 June 2012
2 Reappoint PricewaterhouseCoopers Inc For For Management
as Auditors of the Company
3.1 Elect Hugh Cameron as Chairman of the For For Management
Audit Committee
3.2 Elect Almorie Maule as Member of the For For Management
Audit Committee
3.3 Re-elect Babalwa Ngonyama as Member of For For Management
the Audit Committee
4 Approve Remuneration Policy For For Management
5.1 Elect Almorie Maule as Director For For Management
5.2 Re-elect Dr Khotso Mokhele as Director For For Management
5.3 Re-elect Thandi Orleyn as Director For For Management
6 Place Authorised but Unissued Shares For For Management
under Control of Directors
7 Approve Implats Long-Term Incentive For For Management
Plan 2012
1 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
2 Approve Directors' Remuneration For For Management
3 Adopt New Memorandum of Incorporation For Against Management
--------------------------------------------------------------------------------
IMPALA PLATINUM HOLDINGS LTD
Ticker: IMP Security ID: S37840113
Meeting Date: MAY 07, 2013 Meeting Type: Special
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorise Specific Issue of Ordinary For For Management
Shares to the Holders of Convertible
Bonds that Have Exercised their Rights
to Convert their Convertible Bonds
Into Ordinary Shares
--------------------------------------------------------------------------------
INCITEC PIVOT LTD
Ticker: IPL Security ID: Q4887E101
Meeting Date: DEC 18, 2012 Meeting Type: Annual
Record Date: DEC 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Paul Brasher as a Director For For Management
2 Elect Graham Smorgon as a Director For For Management
3 Approve the Grant of Up to 728,497 For For Management
Performance Rights to James Fazzino,
Managing Director and Chief Executive
Officer of the Company
4 Approve the Remuneration Report For For Management
--------------------------------------------------------------------------------
INDUSTRIAS PENOLES SAB DE CV
Ticker: PE&OLES Security ID: P55409141
Meeting Date: APR 10, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Individual and Consolidated For For Management
Financial Statements for Fiscal Year
2012; Approve Report of Board, CEO,
External Auditors, Audit and Corporate
Practices Committee and Fiscal
Obligation Compliance
2 Approve Allocation of Income For For Management
3 Set Aggregate Nominal Amount of Share For For Management
Repurchase Reserve
4 Elect or Ratify Directors; Verify For Against Management
Director's Independence Classification
as Per Mexican Securities Law; Approve
Their Respective Remuneration
5 Elect or Ratify Chairman of Audit and For Against Management
Corporate Governance Committee
6 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
7 Approve Minutes of Meeting For For Management
--------------------------------------------------------------------------------
INGREDION INCORPORATED
Ticker: INGR Security ID: 457187102
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Richard J. Almeida For For Management
1b Elect Director Luis Aranguren-Trellez For For Management
1c Elect Director David B. Fischer For For Management
1d Elect Director Ilene S. Gordon For For Management
1e Elect Director Paul Hanrahan For For Management
1f Elect Director Wayne M. Hewett For For Management
1g Elect Director Gregory B. Kenny For For Management
1h Elect Director Barbara A. Klein For For Management
1i Elect Director James M. Ringler For For Management
1j Elect Director Dwayne A. Wilson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
INPEX CORPORATION
Ticker: 1605 Security ID: J2467E101
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 3500
2 Amend Articles To Indemnify Outside For For Management
Directors and Outside Statutory
Auditors with Contracts - Reflect
Stock Exchange Mandate to Consolidate
Trading Units
3.1 Elect Director Kuroda, Naoki For For Management
3.2 Elect Director Sugioka, Masatoshi For For Management
3.3 Elect Director Kitamura, Toshiaki For For Management
3.4 Elect Director Yui, Seiji For For Management
3.5 Elect Director Sano, Masaharu For For Management
3.6 Elect Director Sugaya, Shunichiro For For Management
3.7 Elect Director Murayama, Masahiro For For Management
3.8 Elect Director Ito, Seiya For For Management
3.9 Elect Director Tanaka, Wataru For For Management
3.10 Elect Director Ikeda, Takahiko For For Management
3.11 Elect Director Kurasawa, Yoshikazu For For Management
3.12 Elect Director Wakasugi, Kazuo For For Management
3.13 Elect Director Kagawa, Yoshiyuki For For Management
3.14 Elect Director Kato, Seiji For For Management
3.15 Elect Director Tonoike, Rentaro For For Management
3.16 Elect Director Okada, Yasuhiko For For Management
4 Approve Annual Bonus Payment to For For Management
Directors and Statutory Auditors
5 Approve Adjustment to Aggregate For For Management
Compensation Ceilings for Directors
and Statutory Auditors
--------------------------------------------------------------------------------
INTREPID POTASH, INC.
Ticker: IPI Security ID: 46121Y102
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director J. Landis Martin For For Management
1.2 Elect Director Barth E. Whitham For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ISRAEL CHEMICALS LTD.
Ticker: ICL Security ID: M5920A109
Meeting Date: AUG 29, 2012 Meeting Type: Annual
Record Date: JUL 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Review Audited Financial Statements None None Management
and Director Reports for 2011
2 Reappoint Auditors; Review Auditor For For Management
Fees for 2011
3.1 Reelect Nir Gilad as Director For For Management
3.2 Reelect Yossi Rosen as Director For For Management
3.3 Reelect Chaim Erez as Director For Against Management
3.4 Reelect Moshe Vidman as Director For For Management
3.5 Reelect Avisar Paz as Director For For Management
3.6 Reelect Eran Sarig as Director For For Management
3.7 Reelect Avraham Shochet as Director For For Management
3.8 Reelect Victor Medina as Director For For Management
3.9 Reelect Ovadia Eli as Director For For Management
4 Reelect Yair Orgler as External For For Management
Director
4a Vote FOR If You Are a Controlling None Against Management
Shareholder or Have a Personal
Interest in the Previous Item; Vote
AGAINST If You Are NOT a Controlling
Shareholder and Do NOT Have a Personal
Interest in the Previous Item
5 Reelect Miriam Haran as External For For Management
Director
5a Vote FOR If You Are a Controlling None Against Management
Shareholder or Have a Personal
Interest in the Previous Item; Vote
AGAINST If You Are NOT a Controlling
Shareholder and Do NOT Have a Personal
Interest in the Previous Item
6 Enroll in Liability Insurance Policy For For Management
for Company Officers; Allow Directors
to Renew Policy in the Future
6a Vote FOR If You Have a Personal None Against Management
Interest in the Previous Item; Vote
AGAINST If You Do NOT Have a Personal
Interest in the Previous Item
--------------------------------------------------------------------------------
ISRAEL CORPORATION (THE)
Ticker: ILCO Security ID: M8785N109
Meeting Date: JUL 09, 2012 Meeting Type: Special
Record Date: JUN 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Payment to Settle Class Action For For Management
Lawsuit
1a Vote FOR If You Have a Personal None Against Management
Interest in the Previous Item; Vote
AGAINST If You Do Not Have a Personal
Interest in the Previous Item
1b Vote FOR If You Hold an Interest in None For Management
the Company; Vote AGAINST If You Do
Not Hold an Interest in the Company
1c Vote FOR If You Are a Senior Officer None Against Management
in the Company; Vote AGAINST If You
Are Not a Senior Officer in the Company
1d Vote FOR If You Are an Institutional None For Management
Investor; Vote AGAINST If You Are Not
an Institutional Investor
--------------------------------------------------------------------------------
ISRAEL CORPORATION (THE)
Ticker: ILCO Security ID: M8785N109
Meeting Date: AUG 09, 2012 Meeting Type: Special
Record Date: JUL 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Liability Insurance for For For Management
Officers of Affiliated Companies and
Authorize Audit Committee & Directors
to Renew Insurance Plan
1a Vote FOR If You Have a Personal None Against Management
Interest in the Previous Item; Vote
AGAINST If You Do NOT Have a Personal
Interest in the Previous Item
1b Vote FOR If You Have a Personal None Against Management
Interest in the Company; Vote AGAINST
If You Do NOT Have a Personal Interest
in the Company
1c Vote FOR If You Are a Senior Officer None Against Management
in the Company; Vote AGAINST If You
Are NOT a Senior Officer in the Company
1D Vote FOR If You Are an Institutional None For Management
Investor; Vote AGAINST If You Are NOT
an Institutional Investor
--------------------------------------------------------------------------------
ISRAEL CORPORATION (THE)
Ticker: ILCO Security ID: M8785N109
Meeting Date: DEC 11, 2012 Meeting Type: Annual/Special
Record Date: DEC 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Review Financial Statements and None None Management
Director Reports for 2011
2 Reappoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
3.1 Reelect Amir Elstein as Director For For Management
3.2 Reelect Idan Ofer as Director For For Management
3.3 Reelect Amnon Lion as Director For Against Management
3.4 Reelect Zeev Nahari as Director For Against Management
3.5 Reelect Ron Moskovitz as Director For For Management
3.6 Reelect Zehavit Cohen as Director For For Management
3.7 Reelect Yoav Doppelt as Director For For Management
3.8 Reelect Aviad Kaufman as Director For For Management
3.9 Reelect Eitan Raff as Director For For Management
3.10 Reelect Dan Suesskind as Director For For Management
3.11 Reelect Michael Bricker as Director For For Management
4 Renew Agreement Including Stock Option For Against Management
Plan Grants of Board Chairman
--------------------------------------------------------------------------------
ISRAEL CORPORATION (THE)
Ticker: ILCO Security ID: M8785N109
Meeting Date: JUN 30, 2013 Meeting Type: Special
Record Date: MAY 30, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Extend Office Terms of Amir Elstein, For Against Management
the Chairman
A Vote FOR if you are a controlling None Against Management
shareholder or have a personal
interest in item; otherwise, vote
AGAINST. You may not abstain. If you
vote FOR, please provide an
explanation to your account manager.
--------------------------------------------------------------------------------
JIANGXI COPPER COMPANY LTD.
Ticker: 00358 Security ID: Y4446C100
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: MAY 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Report of the Board of For For Management
Directors
2 Approve Report of the Supervisory For For Management
Committee
3 Approve Audited Financial Statements For For Management
and Auditors' Report
4 Approve Profit Distribution Proposal For For Management
5 Approve Plan of Incentive Award Fund For For Management
Reserve for Senior Management for the
Year of 2012 and Authorize Two
Directors of the Company to Form a
Sub-Committee of the Directors
6 Appoint Deloitte Touche Tohmatsu For For Management
Certified Public Accountants LLP
(Special General Partnership) and
Deloitte Touche Tohmatsu as the
Company's Domestic and Overseas
Auditors and Authorize Board to Fix
Their Remuneration
7a Elect Long Ziping as Director For For Management
7b Elect Liu Fangyun as Director For For Management
8 Authorize Board to Enter into Service For For Management
Contract and Letter of Appointment
with Each of the Newly Appointed
Executive Directors
9 Elect Hu Qingwen as Supervisor For For Management
10 Authorize the Supervisory Committee to For For Management
Enter into Service Contract and Letter
of Appointment with Hu Qingwen
11 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
12 Approve Amendments to the Articles of For For Management
Association
13 Approve Adoption of Jiangxi Copper For For Management
Company Limited - Dividend
Distribution Policy and 3-year Plan
For Shareholder's Return
--------------------------------------------------------------------------------
K+S AKTIENGESELLSCHAFT
Ticker: SDF Security ID: D48164129
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For Did Not Vote Management
Dividends of EUR 1.40 per Share
3 Approve Discharge of Management Board For Did Not Vote Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For Did Not Vote Management
for Fiscal 2012
5 Ratify Deloitte & Touche GmbH as For Did Not Vote Management
Auditors for Fiscal 2013
6a Elect Jella Benner-Heinacher to the For Did Not Vote Management
Supervisory Board
6b Elect Wesley Clark to the Supervisory For Did Not Vote Management
Board
6c Elect Bernd Malmstroem to the For Did Not Vote Management
Supervisory Board
6d Elect Annette Messemer to the For Did Not Vote Management
Supervisory Board
6e Elect Rudolf Mueller to the For Did Not Vote Management
Supervisory Board
6f Elect Eckart Suenner to the For Did Not Vote Management
Supervisory Board
--------------------------------------------------------------------------------
KAZAKHMYS PLC
Ticker: KAZ Security ID: G5221U108
Meeting Date: MAY 17, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Elect Michael Lynch-Bell as Director For For Management
5 Re-elect Vladimir Kim as Director For For Management
6 Re-elect Oleg Novachuk as Director For For Management
7 Re-elect Eduard Ogay as Director For For Management
8 Re-elect Philip Aiken as Director For For Management
9 Re-elect Clinton Dines as Director For For Management
10 Re-elect Simon Heale as Director For For Management
11 Re-elect Lord Renwick as Director For For Management
12 Re-elect Charles Watson as Director For For Management
13 Re-elect Daulet Yergozhin as Director For For Management
14 Appoint KPMG Audit plc as Auditors For For Management
15 Authorise Board to Fix Remuneration of For For Management
Auditors
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
20 Approve LTIP Waiver Granted By the For For Management
Takeover Panel Pursuant to the Vesting
of LTIP Awards
--------------------------------------------------------------------------------
KINDER MORGAN, INC.
Ticker: KMI Security ID: 49456B101
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard D. Kinder For For Management
1.2 Elect Director C. Park Shaper For For Management
1.3 Elect Director Steven J. Kean For For Management
1.4 Elect Director Anthony W. Hall, Jr. For For Management
1.5 Elect Director Deborah A. Macdonald For For Management
1.6 Elect Director Michael Miller For For Management
1.7 Elect Director Michael C. Morgan For For Management
1.8 Elect Director Fayez Sarofim For For Management
1.9 Elect Director Joel V. Staff For Withhold Management
1.10 Elect Director John Stokes For For Management
1.11 Elect Director Robert F. Vagt For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
KINROSS GOLD CORPORATION
Ticker: K Security ID: 496902404
Meeting Date: MAY 08, 2013 Meeting Type: Annual
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect John A. Brough as Director For For Management
1.2 Elect John K. Carrington as Director For For Management
1.3 Elect John M.H. Huxley as Director For For Management
1.4 Elect Kenneth C. Irving as Director For For Management
1.5 Elect John A. Keyes as Director For For Management
1.6 Elect John A. Macken as Director For For Management
1.7 Elect Catherine McLeod-Seltzer as For For Management
Director
1.8 Elect John E. Oliver as Director For For Management
1.9 Elect Una M. Power as Director For For Management
1.10 Elect Terence C.W. Reid as Director For For Management
1.11 Elect J. Paul Rollinson as Director For For Management
1.12 Elect Ruth G. Woods as Director For For Management
2 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
KUMBA IRON ORE LTD
Ticker: KIO Security ID: S4341C103
Meeting Date: JAN 18, 2013 Meeting Type: Special
Record Date: JAN 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt New Memorandum of Incorporation For Against Management
1 Authorise Board to Ratify and Execute For Against Management
Approved Resolutions
--------------------------------------------------------------------------------
KUMBA IRON ORE LTD
Ticker: KIO Security ID: S4341C103
Meeting Date: MAY 10, 2013 Meeting Type: Annual
Record Date: MAY 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 December 2012
2 Reappoint Deloitte & Touche as For For Management
Auditors of the Company and Appoint
Sebastian Carter as the Individual
Designated Auditor
3.1 Elect Khanyisile Kweyama as Director For Against Management
3.2 Elect Buyelwa Sonjica as Director For For Management
3.3 Elect Fani Titi as Director For For Management
4.1 Re-elect Zarina Bassa as Director For For Management
4.2 Re-elect Allen Morgan as Director For For Management
4.3 Re-elect Dolly Mokgatle as Director For For Management
5.1 Re-elect Zarina Bassa as Member of the For For Management
Audit Committee
5.2 Re-elect Allen Morgan as Member of the For For Management
Audit Committee
5.3 Re-elect Dolly Mokgatle as Member of For For Management
the Audit Committee
5.4 Re-elect Litha Nyhonyha as Member of For For Management
the Audit Committee
6 Approve Remuneration Policy For Against Management
7 Place Authorised but Unissued Shares For For Management
under Control of Directors
8 Authorise Board to Issue Shares for For For Management
Cash up to a Maximum of Five Percent
of Issued Share Capital
9 Approve Remuneration of Non-Executive For For Management
Directors
10 Approve Financial Assistance to For For Management
Related or Inter-related Company or
Corporation
11 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
LONMIN PLC
Ticker: LMI Security ID: G56350112
Meeting Date: NOV 19, 2012 Meeting Type: Special
Record Date: NOV 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Capital Raising For For Management
--------------------------------------------------------------------------------
LONMIN PLC
Ticker: LMI Security ID: G56350112
Meeting Date: JAN 31, 2013 Meeting Type: Annual
Record Date: JAN 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Reappoint KPMG Audit plc as Auditors For For Management
4 Authorise Board to Fix Remuneration of For For Management
Auditors
5 Re-elect Roger Phillimore as Director For For Management
6 Re-elect Ian Farmer as Director None None Management
7 Re-elect Len Konar as Director For For Management
8 Re-elect Jonathan Leslie as Director For For Management
9 Re-elect David Munro as Director For For Management
10 Re-elect Cyril Ramaphosa as Director For For Management
11 Re-elect Simon Scott as Director For For Management
12 Re-elect Mahomed Seedat as Director For For Management
13 Re-elect Karen de Segundo as Director For For Management
14 Re-elect Jim Sutcliffe as Director For For Management
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
18 Approve Balanced Scorecard Bonus Plan For For Management
--------------------------------------------------------------------------------
LUKOIL OAO
Ticker: LUKFY Security ID: 677862104
Meeting Date: DEC 18, 2012 Meeting Type: Special
Record Date: NOV 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Interim Dividends of RUB 40.00 For For Management
per Share
2 Approve New Edition of Regulations on For For Management
General Meetings
--------------------------------------------------------------------------------
LUKOIL OAO
Ticker: LUKOY Security ID: 677862104
Meeting Date: JUN 27, 2013 Meeting Type: Annual
Record Date: MAY 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report, Financial For For Management
Statements, and Allocation of Income,
Including Dividends of RUB 90 per Share
2.1 Elect Vagit Alekperov as Director None Against Management
2.2 Elect Viktor Blazheyev as Director None For Management
2.3 Elect Leonid Fedun as Director None Against Management
2.4 Elect Valery Grayfer as Director None Against Management
2.5 Elect Igor Ivanov as Director None For Management
2.6 Elect Ravil Maganov as Director None Against Management
2.7 Elect Richard Matzke as Director None For Management
2.8 Elect Sergey Mikhaylov as Director None Against Management
2.9 Elect Mark Mobius as Director None For Management
2.10 Elect Guglielmo Antonio Claudio None For Management
Moscato as Director
2.11 Elect Nikolai Nikolaev as Director None Against Management
2.12 Elect Ivan Picte as Director None For Management
3.1 Elect Mikhail Maksimov as Member of For For Management
Audit Commission
3.2 Elect Vladimir Nikitenko as Member of For For Management
Audit Commission
3.3 Elect Aleksandr Surkov as Member of For For Management
Audit Commission
4.1 Approve Remuneration of Directors for For For Management
Their Service until 2013 AGM
4.2 Approve Terms of Remuneration of For For Management
Directors for Their Service Starting
from 2013 AGM
5.1 Approve Remuneration of Members of For For Management
Audit Commission for Their Service
until 2013 AGM
5.2 Approve Terms of Remuneration of For For Management
Members of Audit Commission for Their
Service Starting from 2013 AGM
6 Ratify ZAO KPMG as Auditor For For Management
7 Amend Charter For For Management
8 Approve Related-Party Transaction with For For Management
OAO Kapital Strakhovanie Re: Liability
Insurance for Directors, Officers, and
Corporations
--------------------------------------------------------------------------------
MARATHON OIL CORPORATION
Ticker: MRO Security ID: 565849106
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: FEB 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Gregory H. Boyce For For Management
1b Elect Director Pierre Brondeau For For Management
1c Elect Director Clarence P. Cazalot, Jr. For For Management
1d Elect Director Linda Z. Cook For For Management
1e Elect Director Shirley Ann Jackson For For Management
1f Elect Director Philip Lader For For Management
1g Elect Director Michael E. J. Phelps For For Management
1h Elect Director Dennis H. Reilley For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Lobbying Payments and Policy Against For Shareholder
--------------------------------------------------------------------------------
MECHEL OAO
Ticker: MTLR Security ID: 583840103
Meeting Date: SEP 28, 2012 Meeting Type: Special
Record Date: AUG 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Related-Party Transactions Re: For For Management
Guarantee Agreements
2 Approve Related-Party Transaction Re: For For Management
Supplementary Agreement to the
Guarantee Agreement with OAO
Gazprombank
3 Approve Related-Party Transaction Re: For For Management
Supplementary Agreement to the
Guarantee Agreement with OAO
Gazprombank
--------------------------------------------------------------------------------
MECHEL OAO
Ticker: MTLR Security ID: 583840103
Meeting Date: JUN 28, 2013 Meeting Type: Annual
Record Date: MAY 17, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Approve Financial Statements For For Management
3 Approve Allocation of Income and For For Management
Dividends of RUB 0.05 per Preferred
Share and Omission of Dividends on
Ordinary Shares
4.1 Elect Arthur Johnson as Director None Against Management
4.2 Elect Vladimir Gusev as Director None For Management
4.3 Elect Igor Zyuzin as Director None Against Management
4.4 Elect Igor Kozhukhovsky as Director None For Management
4.5 Elect Yuri Malyshev as Director None For Management
4.6 Elect Evgeniy Mikhel as Director None Against Management
4.7 Elect Aleksey Ivanushkin as Director None Against Management
4.8 Elect Roger Gale as Director None Against Management
4.9 Elect Viktor Trigubko as Director None Against Management
5.1 Elect Evgeniy Yaminskiy as Member of For For Management
Audit Commission
5.2 Elect Aleksey Vlasenko as Member of For For Management
Audit Commission
5.3 Elect Andrey Stepanov as Member of For For Management
Audit Commission
6 Ratify ZAO ENERGYCONSULTING/Audit as For For Management
Auditor
7 Approve New Edition of Charter For For Management
8 Approve New Edition of Regulations on For Against Management
Remuneration of Board of Directors
9 Approve Related-Party Transactions Re: For For Management
Guarantee Agreements
--------------------------------------------------------------------------------
MMC NORILSK NICKEL
Ticker: GMKN Security ID: 46626D108
Meeting Date: JAN 29, 2013 Meeting Type: Special
Record Date: DEC 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Reduction in Share Capital via For For Management
Share Cancellation
2 Amend Charter For For Management
--------------------------------------------------------------------------------
MMC NORILSK NICKEL
Ticker: GMKN Security ID: 46626D108
Meeting Date: MAR 11, 2013 Meeting Type: Special
Record Date: DEC 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Early Termination of Powers of For For Management
Board of Directors
2.1 Elect Enos Ned Banda as Director None For Management
2.2 Elect Sergey Barbashev as Director None Against Management
2.3 Elect Aleksey Bashkirov as Director None Against Management
2.4 Elect Sergey Bratukhin as Director None Against Management
2.5 Elect Andrey Bugrov as Director None Against Management
2.6 Elect Andrey Varichev as Director None Against Management
2.7 Elect Marianna Zakharova as Director None Against Management
2.8 Elect Valery Matvienko as Director None Against Management
2.9 Elect Stalbek Mishakov as Director None Against Management
2.10 Elect Garreth Penny as Director None For Management
2.11 Elect Gerhard Prinsloo as Director None For Management
2.12 Elect Maxim Sokov as Director None Against Management
2.13 Elect Vladislav Solovyev as Director None Against Management
2.14 Elect Sergey Chemezov as Director None Against Management
--------------------------------------------------------------------------------
MMC NORILSK NICKEL
Ticker: GMKN Security ID: 46626D108
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: APR 30, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Approve Financial Statements For For Management
3 Approve Consolidated Financial For For Management
Statements
4 Approve Allocation of Income and For For Management
Dividends of RUB 400,83 per Share
5.1 Elect Sergey Barbashev as Director None Against Management
5.2 Elect Aleksey Bashkirov as Director None Against Management
5.3 Elect Sergey Bratukhin as Director None Against Management
5.4 Elect Andrey Bugrov as Director None Against Management
5.5 Elect Marianna Zakharova as Director None Against Management
5.6 Elect Valery Matvienko as Director None Against Management
5.7 Elect Stalbek Mishakov as Director None Against Management
5.8 Elect Garreth Penny as Director None For Management
5.9 Elect Gerhard Prinsloo as Director None For Management
5.10 Elect Maxim Sokov as Director None Against Management
5.11 Elect Vladislav Solovyev as Director None Against Management
5.12 Elect Sergey Chemezov as Director None Against Management
5.13 Elect Robert Edwards as Director None For Management
6.1 Elect Petr Voznenko as Member of Audit For For Management
Commission
6.2 Elect Natalya Gololobova as Member of For For Management
Audit Commission
6.3 Elect Dmitry Pershinkov as Member of For For Management
Audit Commission
6.4 Elect Georgiy Svanidze as Member of For For Management
Audit Commission
6.5 Elect Vladimir Shilkov as Member of For For Management
Audit Commission
7 Ratify Auditor of Company's Financial For For Management
Statements Prepared in Accordance with
Russian Accounting Standards (RAS)
8 Ratify Auditor of Company's Financial For For Management
Statements Prepared in Accordance with
International Financial Reporting
Standards (IFRS)
9 Approve Remuneration of Directors For Against Management
10 Approve Related-Party Transactions Re: For For Management
Indemnification Agreements with
Directors and Executives
11 Approve Related-Party Transaction Re: For For Management
Liability Insurance for Directors and
Executives
12 Approve Reduction in Share Capital For For Management
13 Approve New Addition of Charter For For Management
14.1 Approve Related-Party Transaction(s) For For Management
with ZAO Normetimpex Re: Amend 2009
Commission Agreement
14.2 Approve Related-Party Transaction(s) For For Management
with ZAO Normetimpex Re: Order to 2009
Commission Agreement
15 Approve Related-Party Transactions For For Management
with OAO Sberbank of Russia
16 Approve Related-Party Transactions For For Management
with OAO Sberbank of Russia, and/or
SIB Cyprus Ltd, and/or Sberbank CIB UK
Ltd, and/or Sberbank Switzerland AG
17 Approve Related-Party Transaction with For For Management
OAO Kolskaya GMK Re: Loan Agreement
--------------------------------------------------------------------------------
MONSANTO COMPANY
Ticker: MON Security ID: 61166W101
Meeting Date: JAN 31, 2013 Meeting Type: Annual
Record Date: DEC 03, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director David L. Chicoine For For Management
1b Elect Director Arthur H. Harper For For Management
1c Elect Director Gwendolyn S. King For For Management
1d Elect Director Jon R. Moeller For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Declassify the Board of Directors For For Management
5 Report on Risk of Genetically Against Against Shareholder
Engineered Products
--------------------------------------------------------------------------------
NATIONAL OILWELL VARCO, INC.
Ticker: NOV Security ID: 637071101
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: APR 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Merrill A. Miller, Jr. For For Management
1B Elect Director Greg L. Armstrong For For Management
1C Elect Director Ben A. Guill For For Management
1D Elect Director David D. Harrison For For Management
1E Elect Director Roger L. Jarvis For For Management
1F Elect Director Eric L. Mattson For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Approve Executive Incentive Bonus Plan For For Management
--------------------------------------------------------------------------------
NEW GOLD INC.
Ticker: NGD Security ID: 644535106
Meeting Date: MAY 01, 2013 Meeting Type: Annual
Record Date: MAR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Eight For For Management
2.1 Elect Director David Emerson For For Management
2.2 Elect Director James Estey For For Management
2.3 Elect Director Robert Gallagher For For Management
2.4 Elect Director Vahan Kololian For For Management
2.5 Elect Director Martyn Konig For For Management
2.6 Elect Director Pierre Lassonde For For Management
2.7 Elect Director Randall Oliphant For For Management
2.8 Elect Director Raymond Threlkeld For For Management
3 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
NEWCREST MINING LTD.
Ticker: NCM Security ID: Q6651B114
Meeting Date: OCT 25, 2012 Meeting Type: Annual
Record Date: OCT 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2a Elect Gerard Michael Bond as a Director For For Management
2b Elect Vince Gauci as a Director For For Management
3 Approve the Adoption of the For For Management
Remuneration Report
--------------------------------------------------------------------------------
NEWMONT MINING CORPORATION
Ticker: NEM Security ID: 651639106
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: FEB 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Bruce R. Brook For For Management
1.2 Elect Director J. Kofi Bucknor For For Management
1.3 Elect Director Vincent A. Calarco For For Management
1.4 Elect Director Joseph A. Carrabba For For Management
1.5 Elect Director Noreen Doyle For For Management
1.6 Elect Director Gary J. Goldberg For For Management
1.7 Elect Director Veronica M. Hagen For For Management
1.8 Elect Director Jane Nelson For For Management
1.9 Elect Director Donald C. Roth For For Management
1.10 Elect Director Simon R. Thompson For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
5 Approve Executive Incentive Bonus Plan For For Management
--------------------------------------------------------------------------------
NIPPON STEEL SUMITOMO METAL CORP.
Ticker: 5401 Security ID: J55999122
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 1
2.1 Elect Director Muneoka, Shoji For Against Management
2.2 Elect Director Tomono, Hiroshi For Against Management
2.3 Elect Director Kozuka, Shuuichiro For For Management
2.4 Elect Director Shindo, Kosei For For Management
2.5 Elect Director Iwaki, Masakazu For For Management
2.6 Elect Director Higuchi, Shinya For For Management
2.7 Elect Director Ota, Katsuhiko For For Management
2.8 Elect Director Miyasaka, Akihiro For For Management
2.9 Elect Director Yanagawa, Kinya For For Management
2.10 Elect Director Sakuma, Soichiro For For Management
2.11 Elect Director Saeki, Yasumitsu For For Management
2.12 Elect Director Morinobu, Shinji For For Management
3 Appoint Statutory Auditor Nagayasu, For Against Management
Katsunori
--------------------------------------------------------------------------------
NOBLE ENERGY, INC.
Ticker: NBL Security ID: 655044105
Meeting Date: APR 23, 2013 Meeting Type: Annual
Record Date: MAR 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jeffrey L. Berenson For For Management
1.2 Elect Director Michael A. Cawley For For Management
1.3 Elect Director Edward F. Cox For For Management
1.4 Elect Director Charles D. Davidson For For Management
1.5 Elect Director Thomas J. Edelman For For Management
1.6 Elect Director Eric P. Grubman For For Management
1.7 Elect Director Kirby L. Hedrick For For Management
1.8 Elect Director Scott D. Urban For For Management
1.9 Elect Director William T. Van Kleef For For Management
1.10 Elect Director Molly K. Williamson For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Adopt the Jurisdiction of For Against Management
Incorporation as the Exclusive Forum
for Certain Disputes
6 Amend Bylaws to Change Certain For For Management
Provisions
--------------------------------------------------------------------------------
NORSK HYDRO ASA
Ticker: NHY Security ID: R61115102
Meeting Date: MAY 08, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Notice of Meeting and Agenda For Did Not Vote Management
2 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
3 Approve Financial Statements and For Did Not Vote Management
Statutory Reports; Approve Allocation
of Income and Dividends of NOK 0.75
per Share
4 Approve Remuneration of Auditors in For Did Not Vote Management
the Amount of NOK 7.1 Million
5 Receive Corporate Governance Report None None Management
6 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
7.1 Approve Remuneration of Corporate For Did Not Vote Management
Assembly
7.2 Approve Remuneration of Nominating For Did Not Vote Management
Committee
8 Question Regarding Company's Strategy None None Shareholder
and Shareholder Policy (Non-voting)
--------------------------------------------------------------------------------
NOVATEK OAO
Ticker: NVTK Security ID: 669888109
Meeting Date: OCT 16, 2012 Meeting Type: Special
Record Date: SEP 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Interim Dividends of RUB 3.00 For For Management
per Share for First Six Months of
Fiscal 2012
2 Approve Related-Party Transaction with For For Management
OAO Sibur Holding Re: Agreement on
Purchase of Gas
--------------------------------------------------------------------------------
NOVATEK OAO
Ticker: NVTK Security ID: 669888109
Meeting Date: JAN 09, 2013 Meeting Type: Special
Record Date: DEC 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Approve Related-Party Transaction Re: For For Management
Deed of Indemnity with GPB-Financial
Sevices LTD, SIB (Cyprus) Limites
1.2 Approve Related-Party Transaction Re: For For Management
Gas Supply Agreement with OAO Mosenergo
1.3 Approve Related-Party Transaction with For For Management
OAO Sibur Holding
1.4 Approve Related-Party Transaction with For For Management
OAO Sibur Holding
1.5 Approve Related-Party Transaction with For For Management
OAO Sibur Holding
--------------------------------------------------------------------------------
NOVATEK OAO
Ticker: NVTK Security ID: 669888109
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: MAR 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report, Financial For For Management
Statements, Allocation of Income and
Terms of Dividends Payment
2.1 Elect Andrei Akimov as Director None Against Management
2.2 Elect Burckhard Bergmann as Director None Against Management
2.3 Elect Yves Louis Darricarrere as None Against Management
Director
2.4 Elect Mark Gyetvay as Director None Against Management
2.5 Elect Vladimir Dmitriyev as Director None Against Management
2.6 Elect Leonid Mikhelson as Director None Against Management
2.7 Elect Alexander Natalenko as Director None For Management
2.8 Elect Kirill Seleznev as Director None Against Management
2.9 Elect Gennady Timchenko as Director None Against Management
3.1 Elect Maria Panasenko as Member of For For Management
Audit Commission
3.2 Elect Igor Ryaskov as Member of Audit For For Management
Commission
3.3 Elect Sergey Fomichev as Member of For For Management
Audit Commission
3.4 Elect Nikolai Shulikin as Member of For For Management
Audit Commission
4 Ratify ZAO PricewaterhouseCoopers as For For Management
Auditor for 2013
5 Approve Remuneration of Directors For For Management
6 Approve Remuneration of Members of For For Management
Audit Commission
7.1 Approve Related-Party Transaction Re: For For Management
Supplementary Agreement to Agreement
on Transportation of Gas with OAO
Gazprom
7.2 Approve Related-Party Transaction Re: For For Management
Supplementary Agreement to Agreement
on Arranging of Injection and Storage
of Gas with OAO Gazprom
--------------------------------------------------------------------------------
NUCOR CORPORATION
Ticker: NUE Security ID: 670346105
Meeting Date: MAY 09, 2013 Meeting Type: Annual
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter C. Browning For For Management
1.2 Elect Director Clayton C. Daley, Jr. For For Management
1.3 Elect Director Daniel R. DiMicco For For Management
1.4 Elect Director John J. Ferriola For For Management
1.5 Elect Director Harvey B. Gantt For For Management
1.6 Elect Director Victoria F. Haynes For For Management
1.7 Elect Director Bernard L. Kasriel For For Management
1.8 Elect Director Christopher J. Kearney For For Management
1.9 Elect Director Raymond J. Milchovich For For Management
1.10 Elect Director John H. Walker For For Management
2 Ratify Auditors For For Management
3 Approve Executive Incentive Bonus Plan For For Management
4 Reduce Supermajority Vote Requirement For For Management
for Amendments to the Certificate of
Incorporation
5 Reduce Supermajority Vote Requirement For For Management
for Amendments to the Bylaws
6 Require a Majority Vote for the Against For Shareholder
Election of Directors
7 Report on Lobbying Payments and Policy Against For Shareholder
--------------------------------------------------------------------------------
NUTRECO NV
Ticker: NUO Security ID: N6509P102
Meeting Date: JUL 23, 2012 Meeting Type: Special
Record Date: JUN 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect V. Halseth to Executive Board For For Management
3 Close Meeting None None Management
--------------------------------------------------------------------------------
NUTRECO NV
Ticker: NUO Security ID: N6509P102
Meeting Date: MAR 28, 2013 Meeting Type: Annual
Record Date: FEB 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Open Meeting None None Management
1.2 Receive Announcements None None Management
2 Receive Report of Supervisory Board None None Management
(Non-Voting)
3 Receive Report of Management Board None None Management
(Non-Voting)
4.1 Adopt Financial Statements For For Management
4.2 Approve Dividends of EUR 2.05 Per Share For For Management
5.1 Approve Discharge of Management Board For For Management
5.2 Approve Discharge of Supervisory Board For For Management
6.1 Ratify KPMG Accountants as Auditors For For Management
6.2 Receive Announcements Re: Mandatory None None Management
Auditor Rotation
7 Approve 2:1 Stock Split For For Management
8.1 Reelect R.J. Frohn to Supervisory Board For For Management
8.2 Reelect A. Puri to Supervisory Board For For Management
8.3 Reelect J.A.J. Vink to Supervisory For For Management
Board
9.1 Reelect K. Nesse to Executive Board For For Management
9.2 Reelect J. Vergeer to Executive Board For For Management
10.1 Grant Board Authority to Issue Shares For For Management
Up To 10 Percent of Issued Capital
Plus Additional 10 Percent in Case of
Takeover/Merger
10.2 Authorize Board to Exclude Preemptive For For Management
Rights from Issuance under Item 10.1
11 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
12 Other Business (Non-Voting) None None Management
13 Close Meeting None None Management
--------------------------------------------------------------------------------
OCCIDENTAL PETROLEUM CORPORATION
Ticker: OXY Security ID: 674599105
Meeting Date: MAY 03, 2013 Meeting Type: Annual
Record Date: MAR 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Spencer Abraham For For Management
1.2 Elect Director Howard I. Atkins For For Management
1.3 Elect Director Stephen I. Chazen For For Management
1.4 Elect Director Edward P. Djerejian For For Management
1.5 Elect Director John E. Feick For For Management
1.6 Elect Director Margaret M. Foran For For Management
1.7 Elect Director Carlos M. Gutierrez For For Management
1.8 Elect Director Ray R. Irani For Against Management
1.9 Elect Director Avedick B. Poladian For For Management
1.10 Elect Director Aziz D. Syriani For Against Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
4 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
OLAM INTERNATIONAL LTD.
Ticker: O32 Security ID: Y6421B106
Meeting Date: OCT 31, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare First and Final Dividend For For Management
3 Reelect Mark Haynes Daniell as Director For For Management
4 Reelect Tse Po Shing Andy as Director For For Management
5 Reelect Wong Heng Tew as Director For For Management
6 Reelect Sridhar Krishnan as Director For For Management
7 Approve Directors' Fees For For Management
8 Reappoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
10 Approve Grant of Options and Issuance For Against Management
of Shares Under the Olam Employee
Share Option Scheme
11 Authorize Share Repurchase Program For For Management
12 Approve Issuance of Shares Under the For For Management
Olam Scrip Dividend Scheme
--------------------------------------------------------------------------------
OLAM INTERNATIONAL LTD.
Ticker: O32 Security ID: Y6421B106
Meeting Date: JAN 15, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Payment of the For For Management
Sub-underwriting Commission by the
Joint Lead Managers to Aranda
Investments Pte. Ltd.
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAY 13, 2013 Meeting Type: Annual/Special
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ross J. Beaty For For Management
1.2 Elect Director Geoffrey A. Burns For For Management
1.3 Elect Director Michael L. Carroll For For Management
1.4 Elect Director Christopher Noel Dunn For For Management
1.5 Elect Director Neil de Gelder For For Management
1.6 Elect Director Robert P. Pirooz For For Management
1.7 Elect Director David C. Press For For Management
1.8 Elect Director Walter T. Segsworth For For Management
2 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
PEABODY ENERGY CORPORATION
Ticker: BTU Security ID: 704549104
Meeting Date: APR 29, 2013 Meeting Type: Annual
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Gregory H. Boyce For For Management
1.2 Elect Director William A. Coley For For Management
1.3 Elect Director William E. James For For Management
1.4 Elect Director Robert B. Karn, III For For Management
1.5 Elect Director Henry E. Lentz For For Management
1.6 Elect Director Robert A. Malone For For Management
1.7 Elect Director William C. Rusnack For For Management
1.8 Elect Director John F. Turner For For Management
1.9 Elect Director Sandra A. Van Trease For For Management
1.10 Elect Director Alan H. Washkowitz For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Executive Incentive Bonus Plan For For Management
5 Report on Lobbying Payments and Policy Against For Shareholder
6 Require Independent Board Chairman Against For Shareholder
--------------------------------------------------------------------------------
PETROCHINA COMPANY LIMITED
Ticker: 601857 Security ID: Y6883Q104
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: APR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Report of the Board of Directors For For Management
2 Accept Report of the Supervisory For For Management
Committee
3 Accept Audited Financial Statements For For Management
4 Approve Final Dividend For For Management
5 Authorize Board to Determine For For Management
Distribution of Interim Dividends
6 Appoint KPMG Huazhen and KPMG as For For Management
Domestic and International Auditors,
Respectively, and Authorize Board to
Fix Their Remuneration
7a Elect Li Qingyi as Supervisor For For Management
7b Elect Fan Fuchun as Supervisor For For Management
8 Amend Articles of Association of the For For Management
Company
9 Approve Issuance of Debt Financing For For Management
Instruments of Up to RMB 100 Billion
10 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
--------------------------------------------------------------------------------
PETROLEO BRASILEIRO SA-PETROBRAS
Ticker: PETR4 Security ID: 71654V408
Meeting Date: APR 29, 2013 Meeting Type: Annual/Special
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Capital Budget for Upcoming For For Management
Fiscal Year
3 Approve Allocation of Income and For For Management
Dividends
4a Elect Directors Appointed by For For Management
Controlling Shareholder
4b Elect Directors Appointed by Minority For For Management
Shareholders
5 Elect Board Chairman Appointed by For For Management
Controlling Shareholder
6a Elect Fiscal Council Members Appointed For For Management
by Controlling Shareholder
6b Elect Fiscal Council Members Appointed For For Management
by Minority Shareholders
7 Approve Remuneration of Company's For For Management
Management
1 Authorize Capitalization of Reserves For For Management
--------------------------------------------------------------------------------
PETROPAVLOVSK PLC
Ticker: POG Security ID: G7053A101
Meeting Date: MAR 07, 2013 Meeting Type: Special
Record Date: MAR 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Issue of Shares by IRC Limited For For Management
--------------------------------------------------------------------------------
PETROPAVLOVSK PLC
Ticker: POG Security ID: G7053A101
Meeting Date: JUN 11, 2013 Meeting Type: Annual
Record Date: JUN 07, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Reappoint Deloitte LLP as Auditors For For Management
5 Authorise Board to Fix Remuneration of For For Management
Auditors
6 Re-elect Peter Hambro as Director For For Management
7 Re-elect Sergey Ermolenko as Director For For Management
8 Re-elect Andrey Maruta as Director For For Management
9 Re-elect Dr Alfiya Samokhvalova as For For Management
Director
10 Re-elect Martin Smith as Director For For Management
11 Re-elect Dr Graham Birch as Director For For Management
12 Re-elect Rachel English as Director For For Management
13 Re-elect Sir Malcolm Field as Director For For Management
14 Re-elect Lord Guthrie as Director For For Management
15 Re-elect Dr David Humphreys as Director For For Management
16 Re-elect Sir Roderic Lyne as Director For For Management
17 Re-elect Charles McVeigh III as For For Management
Director
18 Authorise Issue of Equity with For For Management
Pre-emptive Rights
19 Authorise Issue of Equity without For For Management
Pre-emptive Rights
20 Authorise Market Purchase of Ordinary For For Management
Shares
21 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
PIONEER NATURAL RESOURCES COMPANY
Ticker: PXD Security ID: 723787107
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Timothy L. Dove For For Management
1.2 Elect Director Charles E. Ramsey, Jr. For For Management
1.3 Elect Director Frank A. Risch For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Management of Hydraulic Against For Shareholder
Fracturing Risks and Opportunities
--------------------------------------------------------------------------------
POSCO
Ticker: 005490 Security ID: 693483109
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 28, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 6,000 per Share
2.1.1 Elect Shin Jae-Cheol as Outside For For Management
Director
2.1.2 Elect Lee Myung-Woo as Outside Director For For Management
2.1.3 Elect Kim Ji-Hyung as Outside Director For For Management
2.2 Elect Kim Ji-Hyung as Member of Audit For For Management
Committee
2.3.1 Elect Jang In-Hwan as Inside Director For For Management
2.3.2 Elect Kim Eung-Kyu as Inside Director For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
POTASH CORPORATION OF SASKATCHEWAN INC.
Ticker: POT Security ID: 73755L107
Meeting Date: MAY 16, 2013 Meeting Type: Annual/Special
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Christopher M. Burley For For Management
1.2 Elect Director Donald G. Chynoweth For For Management
1.3 Elect Director Daniel Clauw For For Management
1.4 Elect Director William J. Doyle For For Management
1.5 Elect Director John W. Estey For For Management
1.6 Elect Director Gerald W. Grandey For For Management
1.7 Elect Director C. Steven Hoffman For For Management
1.8 Elect Director Dallas J. Howe For For Management
1.9 Elect Director Alice D. Laberge For For Management
1.10 Elect Director Keith G. Martell For For Management
1.11 Elect Director Jeffrey J. McCaig For For Management
1.12 Elect Director Mary Mogford For For Management
1.13 Elect Director Elena Viyella de Paliza For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Approve 2013 Performance Option Plan For For Management
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
RANDGOLD RESOURCES LTD
Ticker: RRS Security ID: 752344309
Meeting Date: APR 29, 2013 Meeting Type: Annual
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Philippe Lietard as Director For For Management
5 Re-elect Mark Bristow as Director For For Management
6 Re-elect Norborne Cole Jr as Director For For Management
7 Re-elect Christopher Coleman as For For Management
Director
8 Re-elect Kadri Dagdelen as Director For For Management
9 Elect Jeanine Mabunda Lioko as Director For For Management
10 Re-elect Graham Shuttleworth as For For Management
Director
11 Re-elect Andrew Quinn as Director For For Management
12 Re-elect Karl Voltaire as Director For For Management
13 Reappoint BDO LLP as Auditors For For Management
14 Authorise Board to Fix Remuneration of For For Management
Auditors
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Approve Awards of Ordinary Shares to For For Management
Non-executive Directors
17 Approve Grant of a One-Off Career For Against Management
Shares Award of Ordinary Shares to the
CEO
18 Approve Increase in Non-Executive For For Management
Directors' Aggregate Fees
19 Authorise Issue of Equity without For For Management
Pre-emptive Rights
20 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
RIO TINTO PLC
Ticker: RIO Security ID: 767204100
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Robert Brown as Director For For Management
4 Re-elect Vivienne Cox as Director For For Management
5 Re-elect Jan du Plessis as Director For For Management
6 Re-elect Guy Elliott as Director For For Management
7 Re-elect Michael Fitzpatrick as For For Management
Director
8 Re-elect Ann Godbehere as Director For For Management
9 Re-elect Richard Goodmanson as Director For For Management
10 Re-elect Lord Kerr as Director For For Management
11 Re-elect Chris Lynch as Director For For Management
12 Re-elect Paul Tellier as Director For For Management
13 Re-elect John Varley as Director For For Management
14 Re-elect Sam Walsh as Director For For Management
15 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
16 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
17 Approve Performance Share Plan For For Management
18 Authorise Issue of Equity with For For Management
Pre-emptive Rights
19 Authorise Issue of Equity without For For Management
Pre-emptive Rights
20 Authorise Market Purchase of Ordinary For For Management
Shares
21 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
ROSNEFT OIL COMPANY OJSC
Ticker: ROSN Security ID: 67812M207
Meeting Date: NOV 30, 2012 Meeting Type: Special
Record Date: SEP 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income for For For Management
Fiscal 2011
2 Approve Additional Dividends of RUB 4. For For Management
08 per Share for Fiscal 2011
3 Approve Early Termination of Powers of For Against Management
Board of Directors
4.1 Elect Matthias Warnig as Director None Against Management
4.2 Elect Mikhail Kuzovlev as Director None Against Management
4.3 Elect Nikolay Laverov as Director None Against Management
4.4 Elect Aleksandr Nekipelov as Director None Against Management
4.5 Elect Hans-Joerg Rudloff as Director None For Management
4.6 Elect Igor Sechin as Director None Against Management
4.7 Elect Sergey Shishin as Director None Against Management
4.8 Elect Dmitry Shugayev as Director None Against Management
4.9 Elect Ilya Scherbovich as Director None Against Management
5.1 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Sale/Purchase of
Credit Linked Notes
5.2 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Interest Swap
5.3 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Interest Swap
5.4 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Cross-Currency Swap
5.5 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Cross-Currency Swap
5.6 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Options and Forwards
5.7 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Sale/Purchase of
Options and Forwards
5.8 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Bonds and Promissory Notes
5.9 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Sale/Purchase of
Bonds and Promissory Notes
5.10 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Securities
5.11 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Sale/Purchase of
Securities
5.12 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Credit Linked Notes
5.13 Approve Related-Party Transaction with For For Management
Russian Commercial Bank (Cyprus) Ltd.
Re: Foreign Currency Exchange
Agreements
--------------------------------------------------------------------------------
ROSNEFT OIL COMPANY OJSC
Ticker: ROSN Security ID: 67812M207
Meeting Date: JUN 18, 2013 Meeting Type: Special
Record Date: MAY 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Related-Party Transactions For For Management
--------------------------------------------------------------------------------
ROSNEFT OIL COMPANY OJSC
Ticker: ROSN Security ID: 67812M207
Meeting Date: JUN 20, 2013 Meeting Type: Annual
Record Date: MAY 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Annual Report For For Management
2 Approve Financial Statements For For Management
3 Approve Allocation of Income For For Management
4 Approve Dividends of RUB 8.05 per Share For For Management
5 Approve Remuneration of Directors For Against Management
6.1 Elect Matthias Warnig as Director None Against Management
6.2 Elect Robert Dudley as Director None Against Management
6.3 Elect Andrey Kostin as Director None Against Management
6.4 Elect Nikolay Laverov as Director None Against Management
6.5 Elect John Mack as Director None For Management
6.6 Elect Aleksandr Nekipelov as Director None Against Management
6.7 Elect Igor Sechin as Director None Against Management
6.8 Elect Donald Humphreys as Director None Against Management
6.9 Elect Sergey Chemezov as Director None Against Management
6.10 Elect Dmitry Shugayev as Director None Against Management
7.1 Elect Oleg Zenkov as Member of Audit For For Management
Commission
7.2 Elect Mikhail Kuzovlev as Member of For For Management
Audit Commission
7.3 Elect Aleksey Mironov as Member of For For Management
Audit Commission
7.4 Elect Georgy Nozadze as Member of For For Management
Audit Commission
7.5 Elect Aleksandr Yugov as Member of For For Management
Audit Commission
8 Ratify OOO Ernst&Young as Auditor For For Management
9 Amend Charter For For Management
10 Approve New Edition of Regulations on For For Management
General Meetings
11a1 Approve Related-Party Transaction with For For Management
OAO VBRR Bank Re: Deposit Agreements
11a2 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Deposit Agreements
11a3 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Deposit Agreements
11a4 Approve Related-Party Transaction with For For Management
Bank Rossiya Re: Deposit Agreements
11a5 Approve Related-Party Transaction with For For Management
OAO VBRR Bank Re: Foreign Currency
Exchange Agreements
11a6 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Foreign Currency
Exchange Agreements
11a7 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Foreign Currency
Exchange Agreements
11a8 Approve Related-Party Transaction with For For Management
OAO VBRR Bank Re: Loan Agreements
11a9 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Loan Agreements
11a10 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Loan Agreements
11a11 Approve Related-Party Transaction with For For Management
OAO VBRR Bank Re: Sale/Purchase of
Options and Forwards
11a12 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Options and Forwards
11a13 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Sale/Purchase of
Options and Forwards
11a14 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Cross-Currency Swap
11a15 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Cross-Currency Swap
11a16 Approve Related-Party Transaction with For For Management
OAO VBRR Bank Re: Repurchase
Agreements (REPO)
11a17 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Repurchase
Agreements (REPO)
11a18 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Repurchase Agreements
(REPO)
11a19 Approve Related-Party Transaction with For For Management
OAO VBRR Bank Re: Sale/Purchase of
Bonds and Promissory Notes
11a20 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Bonds and Promissory Notes
11a21 Approve Related-Party Transaction with For For Management
OAO Bank VTB Re: Sale/Purchase of
Bonds and Promissory Notes
11a22 Approve Related-Party Transaction with For For Management
OAO Gazprombank Re: Sale/Purchase of
Credit Linked Notes
11a23 Approve Related-Party Transaction with For For Management
OAO VTB Bank Re: Sale/Purchase of
Credit Linked Notes
11a24 Approve Related-Party Transaction with For For Management
OOO RN-Yuganskneftegas Re: Production
of Oil and Gas
11a25 Approve Related-Party Transaction with For For Management
OOO RN-Yuganskneftegas Re: Leasing of
Fixed Assets
11a26 Approve Related-Party Transaction with For For Management
OAO TNK-BP Holding Re: Purchase of Oil
11a27 Approve Related-Party Transaction with For For Management
OAO TNK-BP Holding Re: Sale of Oil
11a28 Approve Related-Party Transaction with For For Management
ZAO Vankorneft Re: Oil Supply
11a29 Approve Related-Party Transaction with For For Management
OAO AK Transneft Re: Transportation of
Crude Oil
11b1 Approve Cost of Related-Party For For Management
Transaction with OAO SOGAZ Re:
Liability Insurance for Directors,
Executives, the Company, and
Subsidiaries
11b2 Approve Related-Party Transaction with For For Management
OAO SOGAZ Re: Liability Insurance for
Directors, Executives, the Company,
and Subsidiaries
11c Approve Related-Party Transactions For For Management
with ENI S.p.A. and its Affiliated
Companies
11d Approve Related-Party Transactions For For Management
with Statoil ASA and its Affiliated
Companies
--------------------------------------------------------------------------------
ROYAL DUTCH SHELL PLC
Ticker: RDSA Security ID: 780259206
Meeting Date: MAY 21, 2013 Meeting Type: Annual
Record Date: APR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Josef Ackermann as Director For For Management
4 Re-elect Guy Elliott as Director For For Management
5 Re-elect Simon Henry as Director For For Management
6 Re-elect Charles Holliday as Director For For Management
7 Re-elect Gerard Kleisterlee as Director For For Management
8 Re-elect Jorma Ollila as Director For For Management
9 Re-elect Sir Nigel Sheinwald as For For Management
Director
10 Re-elect Linda Stuntz as Director For For Management
11 Re-elect Peter Voser as Director For For Management
12 Re-elect Hans Wijers as Director For For Management
13 Elect Gerrit Zalm as Director For For Management
14 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
15 Authorise Board to Fix Remuneration of For For Management
Auditors
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise EU Political Donations and For For Management
Expenditure
--------------------------------------------------------------------------------
ROYAL GOLD, INC.
Ticker: RGLD Security ID: 780287108
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: SEP 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Stanley Dempsey For For Management
2 Elect Director Tony Jensen For For Management
3 Elect Director Gordon J. Bogden For For Management
4 Ratify Auditors For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SASOL LTD
Ticker: SOL Security ID: 803866102
Meeting Date: NOV 30, 2012 Meeting Type: Annual
Record Date: NOV 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Re-elect Colin Beggs as Director For For Management
1.2 Re-elect David Constable as Director For For Management
1.3 Re-elect Henk Dijkgraaf as Director For For Management
1.4 Re-elect Mandla Gantsho as Director For For Management
1.5 Re-elect Imogen Mkhize as Director For For Management
2 Re-elect Jurgen Schrempp as Director For For Management
3.1 Elect Moses Mkhize as Director For For Management
3.2 Elect Peter Robertson as Director For For Management
3.3 Elect Stephen Westwell as Director For For Management
4 Reappoint KPMG Inc as Auditors of the For For Management
Company
5.1 Re-elect Colin Beggs as Member of the For For Management
Audit Committee
5.2 Re-elect Henk Dijkgraaf as Member of For For Management
the Audit Committee
5.3 Re-elect Mandla Gantsho as Member of For For Management
the Audit Committee
5.4 Re-elect Johnson Njeke as Member of For For Management
the Audit Committee
5.5 Elect Stephen Westwell as Member of For For Management
the Audit Committee
6 Approve Remuneration Policy For For Management
7 Approve Remuneration of Non-Executive For For Management
Directors
8 Approve Financial Assistance to For For Management
Related or Inter-related Company or
Corporation, Member, Director or
Prescribed Officer and Person Related
to Any Such Company or Corporation
9 Adopt New Memorandum of Incorporation For For Management
10 Authorise Repurchase of Up to Ten For For Management
Percent of Issued Share Capital
11 Authorise Repurchase of Issued Share For For Management
Capital from a Director and/or a
Prescribed Officer of the Company
--------------------------------------------------------------------------------
SCHLUMBERGER LIMITED
Ticker: SLB Security ID: 806857108
Meeting Date: APR 10, 2013 Meeting Type: Annual
Record Date: FEB 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Peter L.S. Currie For For Management
1b Elect Director Tony Isaac For For Management
1c Elect Director K. Vaman Kamath For For Management
1d Elect Director Paal Kibsgaard For For Management
1e Elect Director Nikolay Kudryavtsev For For Management
1f Elect Director Adrian Lajous For For Management
1g Elect Director Michael E. Marks For For Management
1h Elect Director Lubna S. Olayan For For Management
1i Elect Director L. Rafael Reif For For Management
1j Elect Director Tore I. Sandvold For For Management
1k Elect Director Henri Seydoux For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Adopt and Approve Financials and For For Management
Dividends
4 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
5 Approve Omnibus Stock Plan For For Management
6 Amend Employee Stock Purchase Plan For For Management
--------------------------------------------------------------------------------
SEVERSTAL OAO
Ticker: CHMF Security ID: 818150302
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Aleksey Mordashov as Director None Against Management
1.2 Elect Mikhail Noskov as Director None Against Management
1.3 Elect Aleksandr Grubman as Director None Against Management
1.4 Elect Aleksey Kulichenko as Director None Against Management
1.5 Elect Sergey Kuznetsov as Director None Against Management
1.6 Elect Christopher Clark as Director None Against Management
1.7 Elect Rolf Stomberg as Director None For Management
1.8 Elect Martin Angle as Director None For Management
1.9 Elect Ronald Freeman as Director None For Management
1.10 Elect Peter Kraljic as Director None For Management
2 Reelect Aleksei Mordashov as General For For Management
Director
3 Approve Annual Report and Financial For For Management
Statements
4 Approve Allocation of Income and For For Management
Dividends for Fiscal 2012
5 Approve Dividends of RUB 0.43 per For For Management
Share for First Quarter of Fiscal 2013
6.1 Elect Roman Antonov as Member of Audit For For Management
Commission
6.2 Elect Svetlana Guseva as Member of For For Management
Audit Commission
6.3 Elect Nikolay Lavrov as Member of For For Management
Audit Commission
7 Ratify ZAO KPMG as Auditor For For Management
8 Approve New Edition of Charter For For Management
9 Amend June 11, 2010, AGM, Resolution For For Management
Re: Remuneration of Directors
10 Approve Future Related-Party For For Management
Transactions
--------------------------------------------------------------------------------
SIBANYE GOLD LTD.
Ticker: SBGL Security ID: 825724206
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Appoint KPMG Inc as Auditors of the For For Management
Company
2 Elect Tim Cumming as Director For For Management
3 Elect Barry Davison as Director For For Management
4 Elect Nkosemntu Nika as Director For For Management
5 Elect Susan van der Merwe as Director For For Management
6 Elect Keith Rayner as Chairman of the For For Management
Audit Committee
7 Elect Rick Menell as Member of the For For Management
Audit Committee
8 Elect Nkosemntu Nika as Member of the For For Management
Audit Committee
9 Elect Susan van der Merwe as Member of For For Management
the Audit Committee
10.1 Place Authorised but Unissued Shares For For Management
under Control of Directors
10.2 Approve Remuneration Policy For For Management
11 Amend Rule 5.1.1 of the 2013 Share Plan For For Management
12 Amend Rule 5.2.1 of the 2013 Share Plan For For Management
1 Approve Remuneration of Non-Executive For For Management
Directors
2 Approve Financial Assistance to For For Management
Related or Inter-related Company or
Corporation
3 Amend Memorandum of Incorporation Re: For For Management
Retirement of Directors in Rotation
4 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
--------------------------------------------------------------------------------
SILVER WHEATON CORP.
Ticker: SLW Security ID: 828336107
Meeting Date: MAY 21, 2013 Meeting Type: Annual/Special
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
a1 Elect Director Lawrence I. Bell For For Management
a2 Elect Director George L. Brack For For Management
a3 Elect Director John A. Brough For For Management
a4 Elect Director R. Peter Gillin For For Management
a5 Elect Director Douglas M. Holtby For For Management
a6 Elect Director Eduardo Luna For For Management
a7 Elect Director Wade D. Nesmith For For Management
a8 Elect Director Randy V.J. Smallwood For For Management
b Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
c Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
SOCIEDAD QUIMICA Y MINERA DE CHILE SA SQM
Ticker: SQM-B Security ID: 833635105
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Annual Report, Financial For For Management
Statements, Internal Statutory
Auditors' Report and External
Auditors' Reports, and Statutory
Reports for Fiscal Year 2012
2 Elect External Auditors and Internal For For Management
Statutory Auditors
3 Approve Special Auditors' Report For For Management
Regarding Related-Party Transactions
4 Approve Investment and Financing Policy For For Management
5 Approve Allocation of Income and For For Management
Dividends, and Dividend Policy
6 Receive Report on Board's Expenses For For Management
7 Elect Directors and Fix Their For Against Management
Remuneration
8 Receive Issues Related to Directors' For For Management
and Audit Committees
9 Other Business (Voting) For Against Management
--------------------------------------------------------------------------------
SOUTHERN COPPER CORPORATION
Ticker: SCCO Security ID: 84265V105
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: MAR 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director German Larrea For Withhold Management
Mota-Velasco
1.2 Elect Director Oscar Gonzalez Rocha For Withhold Management
1.3 Elect Director Emilio Carrillo Gamboa For For Management
1.4 Elect Director Alfredo Casar Perez For Withhold Management
1.5 Elect Director Luis Castelazo Morales For Withhold Management
1.6 Elect Director Enrique Castillo For Withhold Management
Sanchez Mejorada
1.7 Elect Director Xavier Garcia de For Withhold Management
Quevedo Topete
1.8 Elect Director Daniel Muniz Quintanilla For Withhold Management
1.9 Elect Director Luis Miguel Palomino For For Management
Bonilla
1.10 Elect Director Gilberto Perezalonso For Withhold Management
Cifuentes
1.11 Elect Director Juan Rebolledo Gout For Withhold Management
1.12 Elect Director Carlos Ruiz Sacristan For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SOUTHWESTERN ENERGY COMPANY
Ticker: SWN Security ID: 845467109
Meeting Date: MAY 21, 2013 Meeting Type: Annual
Record Date: APR 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John D. Gass For For Management
1.2 Elect Director Catherine A. Kehr For For Management
1.3 Elect Director Greg D. Kerley For For Management
1.4 Elect Director Harold M. Korell For For Management
1.5 Elect Director Vello A. Kuuskraa For For Management
1.6 Elect Director Kenneth R. Mourton For For Management
1.7 Elect Director Steven L. Mueller For For Management
1.8 Elect Director Elliott Pew For For Management
1.9 Elect Director Alan H. Stevens For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
SUNCOR ENERGY INC
Ticker: SU Security ID: 867224107
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date: MAR 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mel E. Benson For For Management
1.2 Elect Director Dominic D'Alessandro For For Management
1.3 Elect Director John T. Ferguson For For Management
1.4 Elect Director W. Douglas Ford For For Management
1.5 Elect Director Paul Haseldonckx For For Management
1.6 Elect Director John R. Huff For For Management
1.7 Elect Director Jacques Lamarre For For Management
1.8 Elect Director Maureen McCaw For For Management
1.9 Elect Director Michael W. O'Brien For For Management
1.10 Elect Director James W. Simpson For For Management
1.11 Elect Director Eira M. Thomas For For Management
1.12 Elect Director Steven W. Williams For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Amend Stock Option Plan For For Management
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
TECK RESOURCES LIMITED
Ticker: TCK.B Security ID: 878742204
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: MAR 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mayank M. Ashar For For Management
1.2 Elect Director Jalynn H. Bennett For For Management
1.3 Elect Director Hugh J. Bolton For For Management
1.4 Elect Director Felix P. Chee For For Management
1.5 Elect Director Jack L. Cockwell For For Management
1.6 Elect Director Edward C. Dowling For For Management
1.7 Elect Director Norman B. Keevil For For Management
1.8 Elect Director Norman B. Keevil, III For For Management
1.9 Elect Director Takeshi Kubota For For Management
1.10 Elect Director Takashi Kuriyama For For Management
1.11 Elect Director Donald R. Lindsay For For Management
1.12 Elect Director Janice G. Rennie For For Management
1.13 Elect Director Warren S.R. Seyffert For For Management
1.14 Elect Director Chris M.T. Thompson For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
TENARIS SA
Ticker: TEN Security ID: 88031M109
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: APR 17, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive and Approve Board's and For For Management
Auditor's Reports
2 Approve Consolidated Financial For For Management
Statements
3 Approve Financial Statements For For Management
4 Approve Allocation of Income and For For Management
Dividends
5 Approve Discharge of Directors For For Management
6 Elect Directors For Against Management
7 Approve Remuneration of Directors For For Management
8 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
9 Allow Electronic Distribution of For For Management
Company Documents to Shareholders
--------------------------------------------------------------------------------
THE MOSAIC COMPANY
Ticker: MOS Security ID: 61945C103
Meeting Date: OCT 04, 2012 Meeting Type: Annual
Record Date: AUG 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Phyllis E. Cochran For For Management
1.2 Elect Director Gregory L. Ebel For For Management
1.3 Elect Director Robert L. Lumpkins For For Management
1.4 Elect Director William T. Monahan For For Management
2 Elect Director Harold H. Mackay For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
THE WILLIAMS COMPANIES, INC.
Ticker: WMB Security ID: 969457100
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan S. Armstrong For For Management
1.2 Elect Director Joseph R. Cleveland For For Management
1.3 Elect Director Kathleen B. Cooper For For Management
1.4 Elect Director John A. Hagg For For Management
1.5 Elect Director Juanita H. Hinshaw For For Management
1.6 Elect Director Ralph Izzo For For Management
1.7 Elect Director Frank T. MacInnis For For Management
1.8 Elect Director Steven W. Nance For For Management
1.9 Elect Director Murray D. Smith For For Management
1.10 Elect Director Janice D. Stoney For For Management
1.11 Elect Director Laura A. Sugg For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
THYSSENKRUPP AG
Ticker: TKA Security ID: D8398Q119
Meeting Date: JAN 18, 2013 Meeting Type: Annual
Record Date: DEC 27, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011/2012
(Non-Voting)
2 Approve Discharge of Management Board For Against Management
for Fiscal 2011/2012
3 Approve Discharge of Supervisory Board For Against Management
for Fiscal 2011/2012
4 Elect Carola von Schmettow to the For For Management
Supervisory Board
5 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2012/2013
--------------------------------------------------------------------------------
TOTAL SA
Ticker: FP Security ID: F92124100
Meeting Date: MAY 17, 2013 Meeting Type: Annual/Special
Record Date: MAY 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 2.34 per Share
4 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5 Reelect Thierry Desmarest as Director For For Management
6 Reelect Gunnar Brock as Director For For Management
7 Reelect Gerard Lamarche as Director For For Management
8 Elect Charles Keller as Representative For For Management
of Employee Shareholders to the Board
9 Elect Philippe Marchandise as Against Against Management
Representative of Employee
Shareholders to the Board
10 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 1.40
Million
11 Authorize up to 0.75 Percent of Issued For Against Management
Capital for Use in Stock Option Plan
12 Approve Employee Stock Purchase Plan For For Management
A Approve the Establishment of an Against Against Shareholder
Independent Ethics Committee
B Approve to Link Remuneration to Against Against Shareholder
Positive Safety Indicators
C Acquire the Diversity Label Against Against Shareholder
D Approve Nomination of Employees Against Against Shareholder
Representative to the Remuneration
Committee
E Allow Loyalty Dividends to Long-Term Against Against Shareholder
Registered Shareholders
--------------------------------------------------------------------------------
TRANSCANADA CORPORATION
Ticker: TRP Security ID: 89353D107
Meeting Date: APR 26, 2013 Meeting Type: Annual/Special
Record Date: FEB 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kevin E. Benson For For Management
1.2 Elect Director Derek H. Burney For For Management
1.3 Elect Director Paule Gauthier For For Management
1.4 Elect Director Russell K. Girling For For Management
1.5 Elect Director S. Barry Jackson For For Management
1.6 Elect Director Paul L. Joskow For For Management
1.7 Elect Director Paula Rosput Reynolds For For Management
1.8 Elect Director Mary Pat Salomone For For Management
1.9 Elect Director W. Thomas Stephens For For Management
1.10 Elect Director D. Michael G. Stewart For For Management
1.11 Elect Director Richard E. Waugh For For Management
2 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Amend Stock Option Plan For For Management
4 Approve Shareholder Rights Plan For For Management
5 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
TRANSOCEAN LTD.
Ticker: RIGN Security ID: H8817H100
Meeting Date: MAY 17, 2013 Meeting Type: Proxy Contest
Record Date: APR 30, 2013
# Proposal Mgt Rec Vote Cast Sponsor
Management Proxy (White Card) None
1 Accept Financial Statements and For Did Not Vote Management
Statutory Reports
2 Approve Allocation of Income For Did Not Vote Management
3A Approve Payment of a Dividend in For Did Not Vote Management
Principle
3B1 Approve Reduction (Transocean) in For Did Not Vote Management
Share Capital and Repayment of $2.24
per share
3B2 Approve Reduction (Icahn Group) in Against Did Not Vote Shareholder
Share Capital and Repayment of $4.00
per share
4 Approve Creation of CHF 75 Million For Did Not Vote Management
Pool of Capital without Preemptive
Rights
5 Declassify the Board of Directors None Did Not Vote Shareholder
6A Elect Director Frederico F. Curado For Did Not Vote Management
6B Elect Director Steven L. Newman For Did Not Vote Management
6C Elect Director Thomas W. Cason For Did Not Vote Management
6D Elect Director Robert M. Sprague For Did Not Vote Management
6E Elect Director J. Michael Talbert For Did Not Vote Management
6F Elect Director John J. Lipinski Against Did Not Vote Shareholder
6G Elect Director Jose Maria Alapont Against Did Not Vote Shareholder
6H Elect Director Samuel Merksamer Against Did Not Vote Shareholder
7 Appointment Of Ernst & Young LLP as For Did Not Vote Management
Independent Registered Public
Accounting Firm for Fiscal Year 2013
and Reelection of Ernst & Young Ltd,
Zurich as the Company's Auditor for a
Further One-Year Term
8 Advisory Vote to Ratify Named For Did Not Vote Management
Executive Officers' Compensation
# Proposal Diss Rec Vote Cast Sponsor
Dissident Proxy (Gold Card) None
1 Accept Financial Statements and None For Management
Statutory Reports
2 Approve Allocation of Income None For Management
3A Approve Payment of a Dividend in For For Management
Principle
3B1 Approve Reduction (Transocean) in Against For Management
Share Capital and Repayment of $2.24
per share
3B2 Approve Reduction (Icahn Group) in For Against Shareholder
Share Capital and Repayment of $4.00
per share
4 Approve Creation of CHF 75 Million Against For Management
Pool of Capital without Preemptive
Rights
5 Declassify the Board of Directors For For Shareholder
6A Elect Director Frederico F. Curado For For Management
6B Elect Director Steven L. Newman For For Management
6C Elect Director Thomas W. Cason Against For Management
6D Elect Director Robert M. Sprague Against Against Management
6E Elect Director J. Michael Talbert Against Against Management
6F Elect Directors John J. Lipinski For Against Shareholder
6G Elect Directors Jose Maria Alapont For For Shareholder
6H Elect Directors Samuel Merksamer For For Shareholder
7 Appointment Of Ernst & Young LLP as For For Management
Independent Registered Public
Accounting Firm for Fiscal Year 2013
and Reelection of Ernst & Young Ltd,
Zurich as the Company's Auditor for a
Further One-Year Term
8 Advisory Vote to Ratify Named None For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
TURQUOISE HILL RESOURCES LTD.
Ticker: TRQ Security ID: 900435108
Meeting Date: MAY 10, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jill Gardiner For For Management
1.2 Elect Director R. Peter Gillin For For Management
1.3 Elect Director Warren Goodman For For Management
1.4 Elect Director Isabelle Hudon For For Management
1.5 Elect Director Jean-Sebastien Jacques For For Management
1.6 Elect Director David Klingner For For Management
1.7 Elect Director Charles Lenegan For For Management
1.8 Elect Director Daniel Larsen For For Management
1.9 Elect Director Livia Mahler For For Management
1.10 Elect Director Peter G. Meredith For For Management
1.11 Elect Director Kay Priestly For For Management
1.12 Elect Director Russel C. Robertson For For Management
1.13 Elect Director Jeffery D. Tygesen For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
URALKALI OAO
Ticker: URKA Security ID: 91688E206
Meeting Date: DEC 12, 2012 Meeting Type: Special
Record Date: NOV 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Interim Dividends of RUB 4.71 For For Management
per Share
2 Approve New Edition of Charter For For Management
3 Approve New Edition of Regulations on For For Management
Board of Directors
4 Approve New Edition of Regulations on For For Management
Remuneration of Directors
--------------------------------------------------------------------------------
URALKALI OAO
Ticker: URKA Security ID: 91688E206
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date: APR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Meeting Procedures For For Management
2 Approve Annual Report For For Management
3 Approve Financial Statements For For Management
4 Approve Allocation of Income and For For Management
Dividends of RUB 3.90 per Share
5.1 Elect Lidiya Nikonova as Member of For For Management
Audit Commission
5.2 Elect Aleksandra Orlova as Member of For For Management
Audit Commission
5.3 Elect Mariya Parieva as Member of For For Management
Audit Commission
5.4 Elect Artem Tkachev as Member of Audit For For Management
Commission
5.5 Elect Kseniya Tola as Member of Audit For For Management
Commission
6 Approve New Edition of Charter For For Management
7 Approve New Edition of Regulations on For For Management
Board of Directors
8 Approve New Edition of Regulations on For For Management
General Meetings
9 Approve New Edition of Regulations on For For Management
Audit Commission
10 Amend Regulations on Remuneration of For For Management
Directors
11 Approve New Edition of Regulations on For For Management
Management
12 Determine Cost of Indemnification For For Management
Agreements with Directors
13 Approve Related-Party Transactions Re: For For Management
Indemnification Agreements with
Directors
14.1 Approve Related-Party Transactions For For Management
with OAO Ural Scientific and Research
Project Institute of Halurgy Re:
Service Agreements
14.2 Approve Related-Party Transactions For For Management
with ZAO VNII Galurgii Re: Service
Agreements
14.3 Approve Related-Party Transactions For For Management
with ZAO Solikamsk Construction Trust
Re: Service Agreements
14.4 Approve Related-Party Transactions For For Management
with ZAO Registrator Intraco Re:
Service Agreements
14.5 Approve Related-Party Transactions For For Management
with Security Agency Sheriff-Berezniki
Re: Service Agreements
14.6 Approve Related-Party Transactions For For Management
with ZAO Solikamsk Construction Trust
Re: Lease Agreements
14.7 Approve Related-Party Transactions For For Management
with OAO Ural Scientific and Research
Project Institute of Halurgy Re: Lease
Agreements
14.8 Approve Related-Party Transactions For For Management
with OOO Silvinit-Transport Re: Lease
Agreements
14.9 Approve Related-Party Transactions For For Management
with OAO Ural Scientific and Research
Project Institute of Halurgy Re: Lease
Agreements
14.10 Approve Related-Party Transactions For For Management
with ZAO Solikamsk Construction Trust
Re: Sale/Purchase and Supply Contracts
14.11 Approve Related-Party Transactions For For Management
with ZAO Belarusian Potash Company Re:
Sale/Purchase and Supply Contracts
14.12 Approve Related-Party Transactions For For Management
with OAO Solikamsk Magnesium Plant Re:
Sale/Purchase and Supply Contracts
14.13 Approve Related-Party Transactions For For Management
with OAO Kopeisk Machine-Building
Plant Re: Sale/Purchase and Supply
Contracts
14.14 Approve Related-Party Transactions For For Management
with ZAO Solikamsk Construction Trust
Re: Loan Agreements
14.15 Approve Related-Party Transactions Re: For For Management
Capital Contributions to Subsidiaries
15.1 Elect Anton Averin as Director None Against Management
15.2 Elect Vladislav Baumgertner as Director None Against Management
15.3 Elect Alexandr Voloshin as Director None Against Management
15.4 Elect Anna Kolonchina as Director None Against Management
15.5 Elect Alexandr Malakh as Director None Against Management
15.6 Elect Vladislav Mamulkin as Director None Against Management
15.7 Elect Robert John Margetts as Director None For Management
15.8 Elect Paul James Ostling as Director None For Management
15.9 Elect Gordon Holden Sage as Director None For Management
16 Ratify PricewaterhouseCoopers as IFRS For For Management
Auditor
17 Ratify PricewaterhouseCoopers as For For Management
Auditor of Company's IFRS Consolidated
Financial Statements
18 Ratify OOO BAT-Audit as RAS Auditor For For Management
19.1 Determine Cost of Liability Insurance For For Management
for Directors and Officers
19.2 Determine Cost of Liability Insurance For For Management
for Directors and Officers in View of
Public Offering of Securities
20.1 Approve Related-Party Transactions Re: For For Management
Liability Insurance for Directors and
Officers
20.2 Approve Related-Party Transactions Re: For For Management
Public Offering of Securities
Insurance for Directors and Officers
--------------------------------------------------------------------------------
VALE S.A.
Ticker: VALE5 Security ID: 91912E105
Meeting Date: APR 17, 2013 Meeting Type: Annual/Special
Record Date: MAR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
1.2 Approve Allocation of Income and For For Management
Dividends
1.3 Elect Directors For For Management
1.4 Elect Fiscal Council Members For For Management
1.5 Approve Remuneration of Company's For Withhold Management
Management
2.1 Amend Articles For For Management
2.2 Consolidate Bylaws For For Management
--------------------------------------------------------------------------------
VALERO ENERGY CORPORATION
Ticker: VLO Security ID: 91913Y100
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jerry D. Choate For For Management
1b Elect Director Ruben M. Escobedo For For Management
1c Elect Director William R. Klesse For For Management
1d Elect Director Deborah P. Majoras For For Management
1e Elect Director Bob Marbut For For Management
1f Elect Director Donald L. Nickles For For Management
1g Elect Director Philip J. Pfeiffer For For Management
1h Elect Director Robert A. Profusek For For Management
1i Elect Director Susan Kaufman Purcell For For Management
1j Elect Director Stephen M. Waters For For Management
1k Elect Director Randall J. Weisenburger For For Management
1l Elect Director Rayford Wilkins, Jr. For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Political Contributions and Against For Shareholder
Lobbying Expenditures
--------------------------------------------------------------------------------
WEATHERFORD INTERNATIONAL LTD.
Ticker: WFT Security ID: H27013103
Meeting Date: JUN 20, 2013 Meeting Type: Annual
Record Date: MAY 30, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Discharge of Board and Senior For Against Management
Management
3a Relect Bernard J. Duroc-Danner as For For Management
Director
3b Reelect Nicholas F. Brady as Director For For Management
3c Reelect David J. Butters as Director For Against Management
3d Reelect John D. Gass as Director For For Management
3e Reelect Francis S. Kalman as Director For For Management
3f Reelect William E. Macaulay as Director For For Management
3g Reelect Robert K. Moses, Jr. as For Against Management
Director
3h Reelect Guillermo Ortiz as Director For Against Management
3i Reelect Emyr Jones Parry as Director For For Management
3j Reelect Robert A. Rayne as Director For Against Management
4 Ratify Auditors For For Management
5 Authorize Capital Increase for Future For For Management
Acquisitions
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
WILMAR INTERNATIONAL LTD.
Ticker: F34 Security ID: Y9586L109
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Approve Final Dividend For For Management
3 Approve Directors' Fees For For Management
4 Elect Kuok Khoon Chen as Director For For Management
5 Elect Kuok Khoon Ean as Director For For Management
6 Elect Martua Sitorus as Director For For Management
7 Elect Juan Ricardo Luciano as Director For Against Management
8 Elect Yeo Teng Yang as Director For For Management
9 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
10 Approve Mandate for Transactions with For For Management
Related Parties
11 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
12 Approve Grant of Options and Issuance For Against Management
of Shares Under Wilmar Executives
Share Option Scheme 2009
--------------------------------------------------------------------------------
WILMAR INTERNATIONAL LTD.
Ticker: F34 Security ID: Y9586L109
Meeting Date: APR 25, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
WOODSIDE PETROLEUM LTD.
Ticker: WPL Security ID: 980228100
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: APR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
2a Elect Frank Cooper as a Director For For Management
2b Elect Andrew Jamieson as a Director For For Management
2c Elect Sarah Ryan as a Director For For Management
3 Approve the Remuneration Report For For Management
--------------------------------------------------------------------------------
XSTRATA PLC
Ticker: XTA Security ID: G9826T102
Meeting Date: NOV 20, 2012 Meeting Type: Special
Record Date: NOV 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Matters Relating to Merger For For Management
with Glencore International plc
2 Approve the Revised Management For Against Management
Incentive Arrangements and the Revised
New Xstrata 2012 Plan
--------------------------------------------------------------------------------
XSTRATA PLC
Ticker: XTA Security ID: G9826T102
Meeting Date: NOV 20, 2012 Meeting Type: Court
Record Date: NOV 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Scheme of Arrangement Subject For For Management
to the Revised Management Incentive
Arrangements Resolution Being Passed
2 Approve Scheme of Arrangement Subject Against For Management
to the Revised Management Incentive
Arrangements Resolution Not Being
Passed
--------------------------------------------------------------------------------
YAMANA GOLD INC.
Ticker: YRI Security ID: 98462Y100
Meeting Date: MAY 01, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter Marrone For For Management
1.2 Elect Director Patrick J. Mars For For Management
1.3 Elect Director John Begeman For For Management
1.4 Elect Director Alexander Davidson For For Management
1.5 Elect Director Richard Graff For For Management
1.6 Elect Director Nigel Lees For For Management
1.7 Elect Director Juvenal Mesquita Filho For For Management
1.8 Elect Director Carl Renzoni For For Management
1.9 Elect Director Antenor F. Silva, Jr. For For Management
1.10 Elect Director Dino Titaro For For Management
2 Ratify Deloitte LLP as Auditors For For Management
--------------------------------------------------------------------------------
YARA INTERNATIONAL ASA
Ticker: YAR Security ID: R9900C106
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Approve Notice of For Did Not Vote Management
Meeting and Agenda
2 Elect Chairman of Meeting; Designate For Did Not Vote Management
Inspector(s) of Minutes of Meeting
3 Approve Financial Statements and For Did Not Vote Management
Statutory Reports; Approve Allocation
of Income and Dividends of NOK 13 per
Share
4 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
5 Approve Corporate Governance Statement For Did Not Vote Management
6 Approve Remuneration of Auditors For Did Not Vote Management
7 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of NOK 482,000 for the
Chairman and NOK 277,000 for Other
Members; Approve Remuneration for
Committee Work
8 Approve Remuneration of Nominating For Did Not Vote Management
Committee in the Amount of NOK 5,300
per Meeting
9 Elect Geir Isaksen as New Director For Did Not Vote Management
10 Amend Articles Re: Signatory Power For Did Not Vote Management
11 Approve NOK 9.7 Million Reduction in For Did Not Vote Management
Share Capital via Share Cancellation
12 Authorize Share Repurchase Program For Did Not Vote Management
--------------------------------------------------------------------------------
ZIJIN MINING GROUP CO., LTD.
Ticker: 601899 Security ID: Y9892H107
Meeting Date: MAY 28, 2013 Meeting Type: Annual
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles of Association of the For For Management
Company
2 Approve 2012-2014 Profit Distribution For For Management
Plan
3 Approve Issuance of Mid-Term Bonds Not For Against Management
Exceeding RMB 10 Billion
4 Authorize Repurchase of Up to 10 For For Management
Percent of Issued H Share Capital
5 Approve Provision of Guarantee to For Against Management
Overseas Subsidiaries For the Loans
6 Accept Report of Board of Directors For For Management
7 Accept Report of Independent Directors For For Management
8 Accept Report of Supervisory Committee For For Management
9 Accept Financial Report For For Management
10 Approve 2012 Annual Report and Summary For For Management
Report
11 Approve Profit Distribution Proposal For For Management
for the Year Ended Dec. 31, 2012
12 Approve Remunerations of Executive For For Management
Directors and Chairman of Supervisory
Committee
13 Reappoint Ernst & Young Hua Ming (LLP) For For Management
as Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
ZIJIN MINING GROUP CO., LTD.
Ticker: 601899 Security ID: Y9892H107
Meeting Date: MAY 28, 2013 Meeting Type: Special
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Repurchase of Up to 10 For For Management
Percent of Issued H Share Capital
========== END NPX REPORT
ALPS/RED ROCKS LISTED PRIVATE EQUITY FUND
A brief identification With or
Meeting of the matter Against
Company Ticker CUSIP Date voted on Proposed by Voted Vote Cast Management
--------------------- ------ ---------- --------- ----------------------- ----------- ----- --------- ----------
Intermediate Capital ICP G4807D101 10-Jul-12 Accept Financial Management Yes For For
Group plc Statements and
Statutory Reports
Intermediate Capital ICP G4807D101 10-Jul-12 Approve Management Yes For For
Group plc Remuneration
Report
Intermediate Capital ICP G4807D101 10-Jul-12 Approve Final Management Yes For For
Group plc Dividend
Intermediate Capital ICP G4807D101 10-Jul-12 Reappoint Management Yes For For
Group plc Deloitte LLP as
Auditors
Intermediate Capital ICP G4807D101 10-Jul-12 Authorise Board Management Yes For For
Group plc to Fix
Remuneration of
Auditors
Intermediate Capital ICP G4807D101 10-Jul-12 Re-elect Justin Management Yes For For
Group plc Dowley as
Director
Intermediate Capital ICP G4807D101 10-Jul-12 Re-elect Management Yes For For
Group plc Christophe Evain
as Director
Intermediate Capital ICP G4807D101 10-Jul-12 Re-elect Philip Management Yes For For
Group plc Keller as Director
Intermediate Capital ICP G4807D101 10-Jul-12 Re-elect Peter Management Yes For For
Group plc Gibbs as Director
Intermediate Capital ICP G4807D101 10-Jul-12 Re-elect Kevin Management Yes For For
Group plc Parry as Director
Intermediate Capital ICP G4807D101 10-Jul-12 Elect Benoit Management Yes For For
Group plc Durteste as
Director
Intermediate Capital ICP G4807D101 10-Jul-12 Authorise Issue Management Yes For For
Group plc of Equity with
Pre-emptive
Rights
Intermediate Capital ICP G4807D101 10-Jul-12 Authorise Issue Management Yes For For
Group plc of Equity without
Pre-emptive
Rights
Intermediate Capital ICP G4807D101 10-Jul-12 Authorise Market Management Yes For For
Group plc Purchase of
Ordinary Shares
Intermediate Capital ICP G4807D101 10-Jul-12 Authorise the Management Yes For For
Group plc Company to Call
EGM with Two
Weeks' Notice
Hosken HCI S36080109 30-Aug-12 Authorise the Management Yes For For
Consolidated Company to
Investments Ltd Repurchase the
HCI Shares from
HCI Shareholders
Who Elect to
Participate in the
Pro-rata
Repurchase and
Distribution
Hosken HCI S36080109 30-Aug-12 Authorise Board Management Yes For For
Consolidated to Ratify and
Investments Ltd Execute
Approved
Resolutions
Hosken HCI S36080109 29-Oct-12 Accept Financial Management Yes For For
Consolidated Statements and
Investments Ltd Statutory Reports
for the Year
Ended 31 March
2012
Hosken HCI S36080109 29-Oct-12 Re-elect John Management Yes For For
Consolidated Copelyn as
Investments Ltd Director
Hosken HCI S36080109 29-Oct-12 Re-elect Kevin Management Yes For For
Consolidated Govender as
Investments Ltd Director
Hosken HCI S36080109 29-Oct-12 Re-elect Freddie Management Yes For For
Consolidated Magugu as
Investments Ltd Director
Hosken HCI S36080109 29-Oct-12 Elect Barbara Management Yes For For
Consolidated Hogan as
Investments Ltd Director
Hosken HCI S36080109 29-Oct-12 Reappoint PKF Management Yes For For
Consolidated (Jhb) Inc as
Investments Ltd Auditors of the
Company with
Theunis
Schoeman as the
Individual
Registered
Auditor
Hosken HCI S36080109 29-Oct-12 Elect Barbara Management Yes For For
Consolidated Hogan as
Investments Ltd Member of the
Audit Committee
Hosken HCI S36080109 29-Oct-12 Re-elect Moretlo Management Yes For For
Consolidated Molefi as
Investments Ltd Member of the
Audit Committee
Hosken HCI S36080109 29-Oct-12 Re-elect Yunis Management Yes For For
Consolidated Shaik as Member
Investments Ltd of the Audit
Committee
Hosken HCI S36080109 29-Oct-12 Elect John Management Yes For For
Consolidated Copelyn as
Investments Ltd Member of the
Social and Ethics
Committee
Hosken HCI S36080109 29-Oct-12 Elect Marcel Management Yes For For
Consolidated Golding as
Investments Ltd Member of the
Social and Ethics
Committee
Hosken HCI S36080109 29-Oct-12 Elect Moretlo Management Yes For For
Consolidated Molefi as
Investments Ltd Member of the
Social and Ethics
Committee
Hosken HCI S36080109 29-Oct-12 Elect Jabu Management Yes For For
Consolidated Ngcobo as
Investments Ltd Member of the
Social and Ethics
Committee
Hosken HCI S36080109 29-Oct-12 Place Authorised Management Yes Against Against
Consolidated but Unissued
Investments Ltd Shares under
Control of
Directors
Hosken HCI S36080109 29-Oct-12 Authorise Board Management Yes Against Against
Consolidated to Issue Shares
Investments Ltd for Cash up to a
Maximum of 15
Percent of Issued
Share Capital
Hosken HCI S36080109 29-Oct-12 Approve Management Yes Against Against
Consolidated Remuneration
Investments Ltd Report
Hosken HCI S36080109 29-Oct-12 Authorise Board Management Yes For For
Consolidated to Ratify and
Investments Ltd Execute
Approved
Resolutions
Hosken HCI S36080109 29-Oct-12 Approve Management Yes For For
Consolidated Remuneration of
Investments Ltd Non-executive
Directors
Hosken HCI S36080109 29-Oct-12 Authorise Management Yes For For
Consolidated Repurchase of Up
Investments Ltd to 20 Percent of
Issued Share
Capital
Pantheon PIN G6889N139 21-Nov-12 Accept Financial Management Yes For For
International Statements and
Participations plc Statutory Reports
Pantheon PIN G6889N139 21-Nov-12 Approve Management Yes For For
International Remuneration
Participations plc Report
Pantheon PIN G6889N139 21-Nov-12 Elect Sir Laurie Management Yes For For
International Magnus as
Participations plc Director
Pantheon PIN G6889N139 21-Nov-12 Elect Susannah Management Yes Against Against
International Nicklin as
Participations plc Director
Pantheon PIN G6889N139 21-Nov-12 Re-elect Tom Management Yes For For
International Bartlam as
Participations plc Director
Pantheon PIN G6889N139 21-Nov-12 Re-elect Richard Management Yes For For
International Crowder as
Participations plc Director
Pantheon PIN G6889N139 21-Nov-12 Re-elect Peter Management Yes Against Against
International Readman as
Participations plc Director
Pantheon PIN G6889N139 21-Nov-12 Re-elect Rhoddy Management Yes For For
International Swire as Director
Participations plc
Pantheon PIN G6889N139 21-Nov-12 Reappoint Grant Management Yes For For
International Thornton UK
Participations plc LLP as Auditors
Pantheon PIN G6889N139 21-Nov-12 Authorise Board Management Yes For For
International to Fix
Participations plc Remuneration of
Auditors
Pantheon PIN G6889N139 21-Nov-12 Authorise Issue Management Yes For For
International of Equity with
Participations plc Pre-emptive
Rights
Pantheon PIN G6889N139 21-Nov-12 Authorise Issue Management Yes For For
International of Equity without
Participations plc Pre-emptive
Rights
Pantheon PIN G6889N139 21-Nov-12 Authorise Market Management Yes For For
International Purchase of
Participations plc Ordinary Shares
and Redeemable
Shares
Pantheon PIN G6889N139 21-Nov-12 Authorise the Management Yes For For
International Company to Call
Participations plc EGM with Two
Weeks' Notice
Pantheon PIN G6889N139 21-Nov-12 Approve Increase Management Yes For For
International in Maximum
Participations plc Aggregate
Annual
Remuneratio
Payable to
Directors
Remgro Ltd REM S6873K106 27-Nov-12 Accept Financial Management Yes For For
Statements and
Statutory Reports
for the Year
Ended 30 June
2012
Remgro Ltd REM S6873K106 27-Nov-12 Reappoint Management Yes For For
PricewaterhouseCoopers
Inc as Auditors of
the Company and
Appoint N H
Doman as the
Individual
Registered
Auditor
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect J W Management Yes For For
Dreyer as
Director
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect N P Management Yes For For
Mageza as
Director
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect P J Management Yes For For
Moleketi as
Director
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect F Management Yes For For
Robertson as
Director
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect J P Management Yes For For
Rupert as
Director
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect H Management Yes For For
Wessels as
Director
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect N P Management Yes For For
Mageza as
Member of the
Audit and Risk
Committee
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect P J Management Yes For For
Moleketi as
Member of the
Audit and Risk
Committee
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect F Management Yes For For
Robertson as
Member of the
Audit and Risk
Committee
Remgro Ltd REM S6873K106 27-Nov-12 Re-elect H Management Yes For For
Wessels as
Member of the
Audit and Risk
Committee
Remgro Ltd REM S6873K106 27-Nov-12 Approve Management Yes For For
Remuneration of
Directors
Remgro Ltd REM S6873K106 27-Nov-12 Authorise Management Yes For For
Repurchase of Up
to 20 Percent of
Issued Share
Capital
Remgro Ltd REM S6873K106 27-Nov-12 Authorise Management Yes For For
Company to
Enter into
Derivative
Transactions
Remgro Ltd REM S6873K106 27-Nov-12 Approve Management Yes For For
Financial
Assistance to
Related and Inter-
related
Companies and
Corporations
Remgro Ltd REM S6873K106 27-Nov-12 Approve Management Yes Against Against
Conversion of
Listed Par Value
Ordinary Shares
Into No Par Value
Shares
Remgro Ltd REM S6873K106 27-Nov-12 Approve Management Yes Against Against
Conversion of All
Par Value Shares
Into No Par Value
Shares
Remgro Ltd REM S6873K106 27-Nov-12 Adopt New Management Yes For For
Memorandum of
Incorporation
Brederode SA BREB B13544257 31-Dec-12 Approve Management Yes For For
Cancellation of
652,033
Repurchased
Shares
Brederode SA BREB B13544257 31-Dec-12 Approve Management Yes For For
Reduction of
Non-Distributable
Reserves Re:
Item 1
Brederode SA BREB B13544257 31-Dec-12 Approve Management Yes For For
Reduction in
Share Capital
Brederode SA BREB B13544257 31-Dec-12 Amend Articles Management Yes For For
to Reflect
Changes in
Capital
Brederode SA BREB B13544257 31-Dec-12 Authorize Management Yes For For
Coordination of
the Articles and
Filing of
Required
Documents/
Formalities at
Trade Registry
Hosken HCI S36080109 18-Jan-13 Adopt New Management Yes For For
Consolidated Memorandum of
Investments Ltd Incorporation
Hosken HCI S36080109 18-Jan-13 Authorise Board Management Yes For For
Consolidated to Ratify and
Investments Ltd Execute
Approved
Resolutions
Standard Life SEP G8425X100 29-Jan-13 Accept Financial Management Yes For For
European Private Statements and
Equity Trust plc Statutory Reports
Standard Life SEP G8425X100 29-Jan-13 Approve Management Yes For For
European Private Remuneration
Equity Trust plc Report
Standard Life SEP G8425X100 29-Jan-13 Approve Final Management Yes For For
European Private Dividend
Equity Trust plc
Standard Life SEP G8425X100 29-Jan-13 Re-elect Alastair Management Yes For For
European Private Barbour as
Equity Trust plc Director
Standard Life SEP G8425X100 29-Jan-13 Re-elect Edmond Management Yes For For
European Private Warner as
Equity Trust plc Director
Standard Life SEP G8425X100 29-Jan-13 Re-elect David Management Yes For For
European Private Warnock as
Equity Trust plc Director
Standard Life SEP G8425X100 29-Jan-13 Re-elect Donald Management Yes For For
European Private Workman as
Equity Trust plc Director
Standard Life SEP G8425X100 29-Jan-13 Reappoint Management Yes For For
European Private PricewaterhouseCoopers
Equity Trust plc LLP as Auditors
and Authorise
Their
Remuneration
Standard Life SEP G8425X100 29-Jan-13 Approve Scrip Management Yes For For
European Private Dividend
Equity Trust plc
Standard Life SEP G8425X100 29-Jan-13 Authorise Issue Management Yes For For
European Private of Equity with
Equity Trust plc Pre-emptive
Rights
Standard Life SEP G8425X100 29-Jan-13 Authorise Issue Management Yes For For
European Private of Equity without
Equity Trust plc Pre-emptive
Rights
Standard Life SEP G8425X100 29-Jan-13 Authorise Market Management Yes For For
European Private Purchase of
Equity Trust plc Ordinary Shares
Standard Life SEP G8425X100 29-Jan-13 Amend Articles Management Yes For For
European Private of Association
Equity Trust plc
Standard Life SEP G8425X100 29-Jan-13 Authorise Management Yes For For
European Private Capitalisation of
Equity Trust plc Special Reserves
Electra Private ELTA G29736108 07-Mar-13 Accept Financial Management Yes For For
Equity plc Statements and
Statutory Reports
Electra Private ELTA G29736108 07-Mar-13 Approve Management Yes For For
Equity plc Remuneration
Report
Electra Private ELTA G29736108 07-Mar-13 Elect Roger Yates Management Yes For For
Equity plc as Director
Electra Private ELTA G29736108 07-Mar-13 Re-elect Dr Management Yes For For
Equity plc Colette Bowe as
Director
Electra Private ELTA G29736108 07-Mar-13 Reappoint Management Yes For For
Equity plc PricewaterhouseCoopers
LLP as Auditors
Electra Private ELTA G29736108 07-Mar-13 Authorise Board Management Yes For For
Equity plc to Fix
Remuneration of
Auditors
Electra Private ELTA G29736108 07-Mar-13 Adopt New Management Yes For For
Equity plc Articles of
Association
Electra Private ELTA G29736108 07-Mar-13 Authorise Market Management Yes For For
Equity plc Purchase of
Ordinary Shares
Deutsche DBA D18150116 26-Mar-13 Receive Financial Management Yes For
Beteiligungs AG Statements and
Statutory Reports
for Fiscal
2011/2012 (Non-
Voting)
Deutsche DBA D18150116 26-Mar-13 Approve Management Yes For For
Beteiligungs AG Allocation of
Income and
Ordinary
Dividends of
EUR 0.40 per
Share and Special
Dividends of
EUR 0.80 per
Share
Deutsche DBA D18150116 26-Mar-13 Approve Management Yes For For
Beteiligungs AG Discharge of
Management
Board for Fiscal
2011/2012
Deutsche DBA D18150116 26-Mar-13 Approve Management Yes For For
Beteiligungs AG Discharge of
Supervisory
Board for Fiscal
2011/2012
Deutsche DBA D18150116 26-Mar-13 Ratify KPMG Management Yes For For
Beteiligungs AG AG as Auditors
for Fiscal
2012/2013
Deutsche DBA D18150116 26-Mar-13 Elect Wilken Management Yes For For
Beteiligungs AG Freiherr von
Hodenberg to the
Supervisory
Board
Deutsche DBA D18150116 26-Mar-13 Approve Management Yes For For
Beteiligungs AG Remuneration of
Supervisory
Board
Deutsche DBA D18150116 26-Mar-13 Approve Management Yes Against Against
Beteiligungs AG Conversion of
Bearer Shares
into Registered
Shares
Deutsche DBA D18150116 26-Mar-13 Amend Articles Management Yes Against Against
Beteiligungs AG Re: Renaming of
the
Bundesanzeiger,
Electronic
Distribution of
Company
Communications
SVG Capital plc SVI G8600D101 27-Mar-13 Accept Financial Management Yes For For
Statements and
Statutory Reports
SVG Capital plc SVI G8600D101 27-Mar-13 Approve Management Yes For For
Remuneration
Report
SVG Capital plc SVI G8600D101 27-Mar-13 Elect Stephen Management Yes For For
Duckett as
Director
SVG Capital plc SVI G8600D101 27-Mar-13 Re-elect Andrew Management Yes For For
Sykes as Director
SVG Capital plc SVI G8600D101 27-Mar-13 Re-elect Lynn Management Yes For For
Fordham as
Director
SVG Capital plc SVI G8600D101 27-Mar-13 Re-elect Charles Management Yes For For
Sinclair as
Director
SVG Capital plc SVI G8600D101 27-Mar-13 Reappoint Ernst Management Yes For For
& Young LLP as
Auditors
SVG Capital plc SVI G8600D101 27-Mar-13 Authorise Board Management Yes For For
to Fix
Remuneration of
Auditors
SVG Capital plc SVI G8600D101 27-Mar-13 Authorise Issue Management Yes For For
of Equity with
Pre-emptive
Rights
SVG Capital plc SVI G8600D101 27-Mar-13 Authorise the Management Yes For For
Company to Call
EGM with Two
Weeks' Notice
SVG Capital plc SVI G8600D101 27-Mar-13 Authorise Issue Management Yes For For
of Equity without
Pre-emptive
Rights
SVG Capital plc SVI G8600D101 27-Mar-13 Authorise Market Management Yes For For
Purchase of
Ordinary Shares
SVG Capital plc SVI G8600D101 27-Mar-13 Adopt New Management Yes For For
Articles of
Association
Schouw & Co. SCHO K86111166 11-Apr-13 Receive Report of Management Yes For
Board
Schouw & Co. SCHO K86111166 11-Apr-13 Receive and Management Yes For For
Approve
Financial
Statements and
Statutory Report;
Approve
Discharge of
Directors
Schouw & Co. SCHO K86111166 11-Apr-13 Approve Management Yes For For
Allocation of
Income and
Dividends
Schouw & Co. SCHO K86111166 11-Apr-13 Proposals from Management Yes For
the Board of
Directors or
Shareholders (non
submitted)
Schouw & Co. SCHO K86111166 11-Apr-13 Reelect Jorgen Management Yes For For
Wisborg as
Director
Schouw & Co. SCHO K86111166 11-Apr-13 Ratify KPMG as Management Yes For For
Auditors
Schouw & Co. SCHO K86111166 11-Apr-13 Other Business Management Yes For
Investor AB INVEB W48102128 15-Apr-13 Elect Chairman of Management No For For
Meeting
Investor AB INVEB W48102128 15-Apr-13 Prepare and Management No For For
Approve List of
Shareholders
Investor AB INVEB W48102128 15-Apr-13 Approve Agenda Management No For For
of Meeting
Investor AB INVEB W48102128 15-Apr-13 Designate Management No For For
Inspector(s) of
Minutes of
Meeting
Investor AB INVEB W48102128 15-Apr-13 Acknowledge Management No For For
Proper Convening
of Meeting
Investor AB INVEB W48102128 15-Apr-13 Receive Financial Management No For
Statements and
Statutory Reports;
Receive
Consolidated
Financial
Statements and
Statutory Reports;
Receive Auditor's
Report
Investor AB INVEB W48102128 15-Apr-13 Receive Management No For
President's
Report
Investor AB INVEB W48102128 15-Apr-13 Receive Board's Management No For
Report and the
Board Committee
Reports
Investor AB INVEB W48102128 15-Apr-13 Approve Management No For For
Financial
Statements and
Statutory Reports
Investor AB INVEB W48102128 15-Apr-13 Approve Management No For For
Discharge of
Board and
President
Investor AB INVEB W48102128 15-Apr-13 Approve Management No For For
Allocation of
Income and
Dividends of SEK
7 per Share
Investor AB INVEB W48102128 15-Apr-13 Determine Management No For For
Number of
Members (13)
and Deputy
Members (0) of
Board
Investor AB INVEB W48102128 15-Apr-13 Determine Management No For For
Number of
Auditors (1)
Investor AB INVEB W48102128 15-Apr-13 Approve Management No For For
Remuneration of
Directors in the
Amount of SEK
2.1 Million for
Chairman and
SEK 550,000 for
Other Directors;
Approve Fees for
Committee Work
Investor AB INVEB W48102128 15-Apr-13 Approve Management No For For
Remuneration of
Auditors
Investor AB INVEB W48102128 15-Apr-13 Reelect Josef Management No For For
Ackermann,
Marcus
Wallenberg,
Jacob
Wallenberg,
Gunnar Brock,
Sune Carlsson,
Borje Ekholm,
Tom Johnstone,
Carola Lemne,
Grace Skaugen,
O. Sexton, Hans
Straberg, Lena
Torell, and Peter
Wallenberg Jr as
Directors
Investor AB INVEB W48102128 15-Apr-13 Ratify Deloitte as Management No For For
Auditors
Investor AB INVEB W48102128 15-Apr-13 Approve Management No For For
Remuneration
Policy And Other
Terms of
Employment For
Executive
Management
Investor AB INVEB W48102128 15-Apr-13 Approve 2013 Management No For For
Long-Term
Incentive
Programs
Investor AB INVEB W48102128 15-Apr-13 Authorize Management No For For
Repurchase of
Issued Share
Capital and
Reissuance of
Repurchased
Shares for
General Purposes
and in Support of
Long-Term
Incentive
Program and
Synthetic Share
Program for
Board of
Directors
Investor AB INVEB W48102128 15-Apr-13 Authorize Management No For For
Reissuance of up
to 1.4 Million
Repurchased
Shares in Support
of Long-Term
Incentive
Programs
Investor AB INVEB W48102128 15-Apr-13 Close Meeting Management No For
Aker ASA AKER R0114P108 17-Apr-13 Opening Meeting; Management No Do Not Vote For
Approve Notice
of Meeting and
Agenda
Aker ASA AKER R0114P108 17-Apr-13 Designate Management No Do Not Vote For
Inspector(s) of
Minutes of
Meeting
Aker ASA AKER R0114P108 17-Apr-13 Receive Financial Management No For
Statements and
Statutory Reports
Aker ASA AKER R0114P108 17-Apr-13 Approve Management No Do Not Vote For
Financial
Statements and
Statutory Reports;
Approve
allocation of
Income and
Dividends of
NOK 12 per
Share
Aker ASA AKER R0114P108 17-Apr-13 Approve Management No Do Not Vote For
Remuneration
Policy And Other
Terms of
Employment For
Executive
Management
Aker ASA AKER R0114P108 17-Apr-13 Approve Management No Do Not Vote For
Remuneration of
Directors;
Approve
Remuneration for
Audit Committee
Work
Aker ASA AKER R0114P108 17-Apr-13 Approve Management No Do Not Vote For
Remuneration to
Members of
Nomination
Committee Work
Aker ASA AKER R0114P108 17-Apr-13 Elect Directors Management No Do Not Vote For
Aker ASA AKER R0114P108 17-Apr-13 Elect Members of Management No Do Not Vote For
Nominating
Committee
Aker ASA AKER R0114P108 17-Apr-13 Approve Management No Do Not Vote For
Remuneration of
Auditors
Aker ASA AKER R0114P108 17-Apr-13 Authorize Share Management No Do Not Vote For
Repurchase
Program
Aker ASA AKER R0114P108 17-Apr-13 Authorize Management No Do Not Vote For
Repurchase of up
to 10 Percent of
Share Capital in
Connection to
Share-Based
Incentive
Pprogram
Aker ASA AKER R0114P108 17-Apr-13 Authorize Share Management No Do Not Vote For
Repurchase
Program and
Cancellation of
Repurchased
Shares
Ratos AB RATO B W72177111 17-Apr-13 Open Meeting; Management No For For
Elect Arne
Karlsson as
Chairman of
Meeting
Ratos AB RATO B W72177111 17-Apr-13 Prepare and Management No For For
Approve List of
Shareholders
Ratos AB RATO B W72177111 17-Apr-13 Designate Management No For For
Inspector(s) of
Minutes of
Meeting
Ratos AB RATO B W72177111 17-Apr-13 Acknowledge Management No For For
Proper Convening
of Meeting
Ratos AB RATO B W72177111 17-Apr-13 Approve Agenda Management No For For
of Meeting
Ratos AB RATO B W72177111 17-Apr-13 Receive Management No For
President's
Report
Ratos AB RATO B W72177111 17-Apr-13 Receive Financial Management No For
Statements and
Statutory Reports;
Receive Auditor's
Report; Receive
Auditor's Report
on Guidelines for
Remuneration of
Executive
Management
Ratos AB RATO B W72177111 17-Apr-13 Allow Questions Management No For
Ratos AB RATO B W72177111 17-Apr-13 Approve Management No For For
Financial
Statements and
Statutory Reports
Ratos AB RATO B W72177111 17-Apr-13 Approve Management No For For
Discharge of
Board and
President
Ratos AB RATO B W72177111 17-Apr-13 Approve Management No For For
Allocation of
Income and
Dividends of SEK
3.00 per Share;
Approve April
22, 2013, as
Record Date for
Dividend
Payment;
Potential Issuance
of Dividend for
Class C Shares
Ratos AB RATO B W72177111 17-Apr-13 Determine Management No For For
Number of
Members (7) and
Deputy Members
(0) of Board
Ratos AB RATO B W72177111 17-Apr-13 Approve Management No For For
Remuneration of
Directors in the
Amount of SEK
1.0 Million for
Chairman and
SEK 450,000 for
Other Directors;
Approve
Remuneration for
Committee Work;
Approve
Remuneration of
Auditors
Ratos AB RATO B W72177111 17-Apr-13 Reelect Lars Management No Against Against
Berg, Steffan
Bohman, Arne
Karlsson
(Chairman),
Annette Sadolin,
Jan Soderberg,
Per-Olof
Soderberg, and
Margareth Ovrum
as Directors;
Ratify
PricewaterhouseCoopers
as Auditors
Ratos AB RATO B W72177111 17-Apr-13 Elect Lars Share No Against For
Reimers as Holder
Director
Ratos AB RATO B W72177111 17-Apr-13 Authorize Management No Against Against
Chairman of
Board and
Representatives
of Four of
Company's
Largest
Shareholders to
Serve on
Nominating
Committee
Ratos AB RATO B W72177111 17-Apr-13 Approve Management No For For
Remuneration
Policy And Other
Terms of
Employment For
Executive
Management
Ratos AB RATO B W72177111 17-Apr-13 Approve Stock Management No For For
Option Plan for
Key Employees
Ratos AB RATO B W72177111 17-Apr-13 Approve Phantom Management No For For
Stock Option Plan
for Key
Employees
Ratos AB RATO B W72177111 17-Apr-13 Approve Transfer Management No For For
of up to 16,000
Class B Shares in
Connection with
Variable Pay
Ratos AB RATO B W72177111 17-Apr-13 Authorize Share Management No For For
Repurchase
Program
Ratos AB RATO B W72177111 17-Apr-13 Approve Issuance Management No For For
of up to 35
Million Class B
Shares without
Preemptive
Rights
Ratos AB RATO B W72177111 17-Apr-13 Amend Articles: Management No For For
Allow Issuance of
Class C
Preference Shares
Ratos AB RATO B W72177111 17-Apr-13 Approve Issuance Management No For For
of up to 1.25
Million Class C
Shares without
Preemptive
Rights
Ratos AB RATO B W72177111 17-Apr-13 Close Meeting Management No For
Altamir Amboise LTA F0261S106 18-Apr-13 Approve Management Yes For For
Financial
Statements and
Statutory Reports
Altamir Amboise LTA F0261S106 18-Apr-13 Approve Management Yes For For
Consolidated
Financial
Statements and
Statutory Reports
Altamir Amboise LTA F0261S106 18-Apr-13 Approve Management Yes For For
Allocation of
Income and
Dividends of
EUR 0.41 per
Ordinary Share
and Dividends of
EUR 487.00 per
Preferred Stock
(B Shares)
Altamir Amboise LTA F0261S106 18-Apr-13 Approve Management Yes Against Against
Auditors' Special
Report Regarding
New Related-
Party
Transactions
Altamir Amboise LTA F0261S106 18-Apr-13 Reelect Sophie Management Yes For For
Javary as
Supervisory
Board Member
Altamir Amboise LTA F0261S106 18-Apr-13 Reelect Joel Management Yes For For
Seche as
Supervisory
Board Member
Altamir Amboise LTA F0261S106 18-Apr-13 Reelect Jean Management Yes For For
Besson as
Supervisory
Board Member
Altamir Amboise LTA F0261S106 18-Apr-13 Reelect Jean- Management Yes For For
Hugues Loyez as
Supervisory
Board Member
Altamir Amboise LTA F0261S106 18-Apr-13 Approve Management Yes Against Against
Remuneration of
Supervisory
Board Members
in the Aggregate
Amount of EUR
260,000
Altamir Amboise LTA F0261S106 18-Apr-13 Authorize Management Yes For For
Repurchase of Up
to 5 Percent of
Issued Share
Capital
Altamir Amboise LTA F0261S106 18-Apr-13 Approve Management Yes For For
Employee Stock
Purchase Plan
Altamir Amboise LTA F0261S106 18-Apr-13 Change Company Management Yes For For
Name to Altamir
and Amend
Article 3 of
Bylaws
Accordingly
Altamir Amboise LTA F0261S106 18-Apr-13 Pursuant to Item Management Yes For For
12 Above, Amend
Article 1 and 15
of Bylaws Re:
Change in
Company Name
Altamir Amboise LTA F0261S106 18-Apr-13 Amend Article 10 Management Yes Against Against
of Bylaws Re:
Owners of
Preferred Stock
(B Shares)
Altamir Amboise LTA F0261S106 18-Apr-13 Authorize Filing Management Yes For For
of Required
Documents/Other
Formalities
Altamir Amboise LTA F0261S106 18-Apr-13 Authorize Share Yes Against For
Repurchase of Up Holder
to 6 Percent of
Issued Share
Capital
Bure Equity AB BURE W72479103 22-Apr-13 Open Meeting Management No For
Bure Equity AB BURE W72479103 22-Apr-13 Elect Chairman of Management No For For
Meeting
Bure Equity AB BURE W72479103 22-Apr-13 Prepare and Management No For For
Approve List of
Shareholders
Bure Equity AB BURE W72479103 22-Apr-13 Approve Agenda Management No For For
of Meeting
Bure Equity AB BURE W72479103 22-Apr-13 Designate Management No For For
Inspector(s) of
Minutes of
Meeting
Bure Equity AB BURE W72479103 22-Apr-13 Acknowledge Management No For For
Proper Convening
of Meeting
Bure Equity AB BURE W72479103 22-Apr-13 Receive Management No For
President's
Report
Bure Equity AB BURE W72479103 22-Apr-13 Receive Financial Management No For
Statements and
Statutory Reports
Bure Equity AB BURE W72479103 22-Apr-13 Approve Management No For For
Financial
Statements and
Statutory Reports
Bure Equity AB BURE W72479103 22-Apr-13 Approve Management No For For
Allocation of
Income and
Dividends of SEK
0.50 per Share
Bure Equity AB BURE W72479103 22-Apr-13 Approve Management No For For
Discharge of
Board and
President
Bure Equity AB BURE W72479103 22-Apr-13 Determine Management No For For
Number of
Members and
Deputy Members
of Board
Bure Equity AB BURE W72479103 22-Apr-13 Approve Management No For For
Remuneration of
Directors
Bure Equity AB BURE W72479103 22-Apr-13 Elect Directors Management No For For
Bure Equity AB BURE W72479103 22-Apr-13 Ratify Auditors Management No For For
Bure Equity AB BURE W72479103 22-Apr-13 Approve Management No For For
Remuneration of
Auditors
Bure Equity AB BURE W72479103 22-Apr-13 Elect Members of Management No For For
Nominating
Committee OR
Authorize
Chairman of
Board and
Representatives
of X of
Company's
Largest
Shareholders to
Serve on
Nominating
Committee
Bure Equity AB BURE W72479103 22-Apr-13 Approve Management No For For
Remuneration
Policy And Other
Terms of
Employment For
Executive
Management
Bure Equity AB BURE W72479103 22-Apr-13 Approve SEK 1.7 Management No For For
Million Reduction
In Share Capital
via Share
Cancellation;
Approve
Capitalization of
Reserves of SEK
1.7 Million for a
Bonus Issue
Bure Equity AB BURE W72479103 22-Apr-13 Approve Sale of Management No For For
Estonian,
Nowegian, Italian
and USA
Mercury-
Subsidiaries to
their Operating
Management;
Approve Share
Based Incentive
Program for their
Key Employees in
Mercury-
Subsidiaries in the
Subsidiaries
Bure Equity AB BURE W72479103 22-Apr-13 Authorize Share Management No For For
Repurchase
Program
Bure Equity AB BURE W72479103 22-Apr-13 Close Meeting Management No For
Ratos AB RATO B W72177111 25-Apr-13 Open Meeting; Management No For For
Elect Chairman of
Meeting
Ratos AB RATO B W72177111 25-Apr-13 Prepare and Management No For For
Approve List of
Shareholders
Ratos AB RATO B W72177111 25-Apr-13 Designate Management No For For
Inspector(s) of
Minutes of
Meeting
Ratos AB RATO B W72177111 25-Apr-13 Acknowledge Management No For For
Proper Convening
of Meeting
Ratos AB RATO B W72177111 25-Apr-13 Approve Agenda Management No For For
of Meeting
Ratos AB RATO B W72177111 25-Apr-13 Approve Transfer Management No For For
of Shares in the
Company's
Subsidiary BTJ
Group AB to Per
Samuelson
Ratos AB RATO B W72177111 25-Apr-13 Close Meeting Management No For
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Mary C. Baskin
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Neil M. Hahl
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Philip R. Harper
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. John A. Koskinen
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Stan Lundine
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Kenneth D.
Peterson, Jr.
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Alvin N. Puryear
American Capital, ACAS 02503Y103 26-Apr-13 Elect Director Management Yes Against Against
Ltd. Malon Wilkus
American Capital, ACAS 02503Y103 26-Apr-13 Ratify Auditors Management Yes For For
Ltd.
Eurazeo RF F3296A108 07-May-13 Approve Management Yes For For
Financial
Statements and
Statutory Reports
Eurazeo RF F3296A108 07-May-13 Approve Management Yes For For
Allocation of
Income and
Dividends of
EUR 1.20 per
Share
Eurazeo RF F3296A108 07-May-13 Approve Management Yes For For
Consolidated
Financial
Statements and
Statutory Reports
Eurazeo RF F3296A108 07-May-13 Approve Management Yes Against Against
Auditors' Special
Report on
Related-Party
Transactions
Eurazeo RF F3296A108 07-May-13 Reelect Jean Management Yes For For
Laurent as
Supervisory
Board Member
Eurazeo RF F3296A108 07-May-13 Reelect Kristen Management Yes For For
van Riel as
Supervisory
Board Member
Eurazeo RF F3296A108 07-May-13 Reelect Jacques Management Yes For For
Veyrat as
Supervisory
Board Member
Eurazeo RF F3296A108 07-May-13 Elect Stephane Management Yes For For
Pallez as
Supervisory
Board Member
Eurazeo RF F3296A108 07-May-13 Authorize Management Yes For For
Repurchase of Up
to 10 Percent of
Issued Share
Capital
Eurazeo RF F3296A108 07-May-13 Amend Article 8 Management Yes For For
of Bylaws Re:
Shareholding
Disclosure
Thresholds
Eurazeo RF F3296A108 07-May-13 Authorize Management Yes For For
Decrease in Share
Capital via
Cancellation of
Repurchased
Shares
Eurazeo RF F3296A108 07-May-13 Authorize up to 3 Management Yes For For
Percent of Issued
Capital for Use in
Stock Option
Plan
Eurazeo RF F3296A108 07-May-13 Approve Management Yes For For
Employee Stock
Purchase Plan
Eurazeo RF F3296A108 07-May-13 Authorize Board Management Yes Against Against
to Issue Free
Warrants with
Preemptive
Rights During a
Public Tender
Offer
Eurazeo RF F3296A108 07-May-13 Authorize Filing Management Yes For For
of Required
Documents/Other
Formalities
HgCapital Trust plc HGT G4441G106 08-May-13 Accept Financial Management Yes For For
Statements and
Statutory Reports
HgCapital Trust plc HGT G4441G106 08-May-13 Approve Management Yes For For
Remuneration
Report
HgCapital Trust plc HGT G4441G106 08-May-13 Approve Management Yes For For
Dividend
HgCapital Trust plc HGT G4441G106 08-May-13 Re-elect Peter Management Yes For For
Gale as Director
HgCapital Trust plc HGT G4441G106 08-May-13 Re-elect Richard Management Yes For For
Brooman as
Director
HgCapital Trust plc HGT G4441G106 08-May-13 Reappoint Management Yes For For
Deloitte LLP as
Auditors
HgCapital Trust plc HGT G4441G106 08-May-13 Authorise Board Management Yes For For
to Fix
Remuneration of
Auditors
HgCapital Trust plc HGT G4441G106 08-May-13 Authorise Market Management Yes For For
Purchase of
Ordinary Shares
HgCapital Trust plc HGT G4441G106 08-May-13 Authorise Issue Management Yes For For
of Equity with
Pre-emptive
Rights
HgCapital Trust plc HGT G4441G106 08-May-13 Authorise Issue Management Yes For For
of Equity without
Pre-emptive
Rights
HgCapital Trust plc HGT G4441G106 08-May-13 Authorise the Management Yes For For
Company to Call
EGM with Two
Weeks' Notice
HgCapital Trust plc HGT G4441G106 08-May-13 Adopt New Management Yes For For
Articles of
Association
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Marcel R. Coutu
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Maureen
Kempston Darkes
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Lance Liebman
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Frank J.
McKenna
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Youssef A. Nasr
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. James A. Pattison
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Seek Ngee Huat
Brookfield Asset BAM.A 112585104 09-May-13 Elect Director Management Yes For For
Management Inc. Diana L. Taylor
Brookfield Asset BAM.A 112585104 09-May-13 Approve Deloitte Management Yes For For
Management Inc. LLP as Auditors
and Authorize
Board to Fix
Their
Remuneration
Brookfield Asset BAM.A 112585104 09-May-13 Advisory Vote on Management Yes For For
Management Inc. Executive
Compensation
Approach
Onex Corporation OCX 68272K103 09-May-13 Ratify Management Yes For For
PricewaterhouseCoopers
LLP as Auditors
Onex Corporation OCX 68272K103 09-May-13 Authorize Board Management Yes For For
to Fix
Remuneration of
Auditors
Onex Corporation OCX 68272K103 09-May-13 Elect Director Management Yes For For
William A.
Etherington
Onex Corporation OCX 68272K103 09-May-13 Elect Director Management Yes For For
Peter C. Godsoe
Onex Corporation OCX 68272K103 09-May-13 Elect Director Management Yes For For
Serge Gouin
Onex Corporation OCX 68272K103 09-May-13 Elect Director Management Yes For For
Arni C.
Thorsteinson
Onex Corporation OCX 68272K103 09-May-13 Amend Stock Management Yes For For
Option Plan
Princess Private PEY G72442125 10-May-13 Accept Financial Management Yes For For
Equity Holding Statements and
Ltd Statutory Reports
Princess Private PEY G72442125 10-May-13 Approve Management Yes For For
Equity Holding PricewaterhouseCoopers
Ltd CI LLP as
Auditors and
Authorise Board
to Fix Their
Remuneration
Princess Private PEY G72442125 10-May-13 Elect Henning Management Yes For For
Equity Holding von der Forst as
Ltd Director
Princess Private PEY G72442125 10-May-13 Reelect Brian Management Yes For For
Equity Holding Human as
Ltd Director
Princess Private PEY G72442125 10-May-13 Reelect Urs Management Yes For For
Equity Holding Wietlisbach as
Ltd Director
Princess Private PEY G72442125 10-May-13 Approve Issuance Management Yes For For
Equity Holding of Equity or
Ltd Equity-Linked
Securities without
Preemptive
Rights
Princess Private PEY G72442125 10-May-13 Approve Share Management Yes For For
Equity Holding Repurchase
Ltd Program
IP Group plc IPO G49348116 14-May-13 Accept Financial Management Yes For For
Statements and
Statutory Reports
IP Group plc IPO G49348116 14-May-13 Approve Management Yes For For
Remuneration
Report
IP Group plc IPO G49348116 14-May-13 Reappoint BDO Management Yes For For
LLP as Auditors
IP Group plc IPO G49348116 14-May-13 Authorise Board Management Yes For For
to Fix
Remuneration of
Auditors
IP Group plc IPO G49348116 14-May-13 Re-elect Alan Management Yes For For
Aubrey as
Director
IP Group plc IPO G49348116 14-May-13 Re elect Dr Bruce Management Yes For For
Smith as Director
IP Group plc IPO G49348116 14-May-13 Re-elect Francis Management Yes For For
Carpenter as
Director
IP Group plc IPO G49348116 14-May-13 Re-elect Dr Management Yes For For
Alison Fielding
as Director
IP Group plc IPO G49348116 14-May-13 Re-elect Michael Management Yes For For
Townend as
Director
IP Group plc IPO G49348116 14-May-13 Re-elect Jonathan Management Yes For For
Brooks as
Director
IP Group plc IPO G49348116 14-May-13 Re-elect Michael Management Yes For For
Humphrey as
Director
IP Group plc IPO G49348116 14-May-13 Re-elect Greg Management Yes For For
Smith as Director
IP Group plc IPO G49348116 14-May-13 Re-elect Charles Management Yes For For
Winward as
Director
IP Group plc IPO G49348116 14-May-13 Authorise Issue Management Yes For For
of Equity with
Pre-emptive
Rights
IP Group plc IPO G49348116 14-May-13 Authorise Issue Management Yes For For
of Equity without
Pre-emptive
Rights
IP Group plc IPO G49348116 14-May-13 Approve EU Management Yes For For
Political
Donations and
Expenditure
IP Group plc IPO G49348116 14-May-13 Authorise Market Management Yes For For
Purchase of
Ordinary Shares
IP Group plc IPO G49348116 14-May-13 Authorise the Management Yes For For
Company to Call
EGM with Two
Weeks' Notice
Candover CDI G18200108 15-May-13 Accept Financial Management Yes For For
Investments plc Statements and
Statutory Reports
Candover CDI G18200108 15-May-13 Approve Management Yes For For
Investments plc Remuneration
Report
Candover CDI G18200108 15-May-13 Re-elect Malcolm Management Yes For For
Investments plc Fallen as Director
Candover CDI G18200108 15-May-13 Reappoint Grant Management Yes For For
Investments plc Thornton UK
LLP as Auditors
Candover CDI G18200108 15-May-13 Authorise Board Management Yes For For
Investments plc to Fix
Remuneration of
Auditors
Candover CDI G18200108 15-May-13 Authorise Issue Management Yes For For
Investments plc of Equity with
Pre-emptive
Rights
Candover CDI G18200108 15-May-13 Authorise Issue Management Yes For For
Investments plc of Equity without
Pre-emptive
Rights
Candover CDI G18200108 15-May-13 Authorise Market Management Yes For For
Investments plc Purchase of
Ordinary Shares
Candover CDI G18200108 15-May-13 Authorise the Management Yes For For
Investments plc Company to Call
EGM with Two
Weeks' Notice
Castle Private CPEN H12925139 15-May-13 Accept Financial Management Yes For For
Equity AG Statements and
Statutory Reports
Castle Private CPEN H12925139 15-May-13 Approve Management Yes For For
Equity AG Discharge of
Board and Senior
Management
Castle Private CPEN H12925139 15-May-13 Approve Management Yes For For
Equity AG Allocation of
Income and
Dividends of
CHF 0.75 per
Share
Castle Private CPEN H12925139 15-May-13 Approve CHF Management Yes For For
Equity AG 17.5 million
Reduction in
Share Capital
through
Cancellation of
Shares
Castle Private CPEN H12925139 15-May-13 Authorize Management Yes For For
Equity AG Repurchase of up
to 15.55 Percent
of Issued Share
Capital
Castle Private CPEN H12925139 15-May-13 Reelect Gilbert Management Yes For For
Equity AG Chalk as Director
Castle Private CPEN H12925139 15-May-13 Reelect Konrad Management Yes For For
Equity AG Baechinger as
Director
Castle Private CPEN H12925139 15-May-13 Reelect Thomas Management Yes For For
Equity AG Amstutz as
Director
Castle Private CPEN H12925139 15-May-13 Reelect Marcel Management Yes For For
Equity AG Erni as Director
Castle Private CPEN H12925139 15-May-13 Reelect Robert Management Yes For For
Equity AG Knapp as
Director
Castle Private CPEN H12925139 15-May-13 Reelect Heinz Management Yes For For
Equity AG Nipp as Director
Castle Private CPEN H12925139 15-May-13 Reelect James Management Yes For For
Equity AG Pluhar as
Director
Castle Private CPEN H12925139 15-May-13 Ratify Management Yes For For
Equity AG PricewaterhouseCoopers
Ltd. as Auditors
AURELIUS AG AR4 D04986101 16-May-13 Receive Financial Management Yes For
Statements and
Statutory Reports
for Fiscal 2012
(Non-Voting)
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Allocation of
Income and
Dividends of
EUR 4.10 per
Share
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Discharge of
Management
Board Member
Dirk Markus for
Fiscal 2012
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Discharge of
Management
Board Member
Gert Purkert for
Fiscal 2012
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Discharge of
Management
Board Member
Donatus Albrecht
for Fiscal 2012
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Discharge of
Management
Board Member
Ulrich Radlmayr
for Fiscal 2012
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Discharge of
Supervisory
Board for Fiscal
2012
AURELIUS AG AR4 D04986101 16-May-13 Ratify Warth & Management Yes For For
Klein Grant
Thornton AG as
Auditors for
Fiscal 2013
AURELIUS AG AR4 D04986101 16-May-13 Approve Management Yes For For
Remuneration of
Supervisory
Board in the
Amount of EUR
X
AURELIUS AG AR4 D04986101 16-May-13 Elect Dirk Management Yes For For
Roesing to the
Supervisory
Board
AURELIUS AG AR4 D04986101 16-May-13 Elect Bernd Management Yes For For
Muehlfriedel to
the Supervisory
Board
AURELIUS AG AR4 D04986101 16-May-13 Elect Holger Management Yes For For
Schulze to the
Supervisory
Board
AURELIUS AG AR4 D04986101 16-May-13 Elect Thomas Management Yes For For
Hoch as Alternate
Supervisory
Board Member
AURELIUS AG AR4 D04986101 16-May-13 Approve EUR Management Yes For For
19.2 Million
Capitalization of
Reserves
AURELIUS AG AR4 D04986101 16-May-13 Approve Creation Management Yes Against Against
of EUR 14.4
Million Pool of
Capital without
Preemptive
Rights
AURELIUS AG AR4 D04986101 16-May-13 Approve Issuance Management Yes Against Against
of Warrants/
Bonds with
Warrants
Attached/
Convertible
Bonds with
Partial Exclusion
of Preemptive
Rights up to
Aggregate
Nominal Amount
of EUR 20
Million; Approve
Creation of EUR
3.7 Million Pool
of Capital to
Guarantee
Conversion
Rights
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. Julie A. Dobson
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. Keith B. Jarrett
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. Andrew E. Lietz
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. George
MacKenzie
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. George D.
McClelland
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. Jack L. Messman
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. John J. Roberts
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. Robert J.
Rosenthal
Safeguard SFE 786449207 23-May-13 Elect Director Management Yes For For
Scientifics, Inc. Stephen T.
Zarrilli
Safeguard SFE 786449207 23-May-13 Ratify Auditors Management Yes For For
Scientifics, Inc.
Safeguard SFE 786449207 23-May-13 Advisory Vote to Management Yes For For
Scientifics, Inc. Ratify Named
Executive
Officers'
Compensation
Ackermans & Van B01165156 27-May-13 Receive Management Yes For
Haaren Directors'
Reports (Non-
Voting)
Ackermans & Van B01165156 27-May-13 Receive Management Yes For
Haaren Auditors' Reports
(Non-Voting)
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Financial
Statements,
Allocation of
Income, and
Dividends of
EUR 1.67 per
Share
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Luc
Bertrand
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
DirectorJacques
Delen
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Teun
Jurgens
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Pierre
Macharis
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Julien
Pestiaux
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Thierry
van Baren
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Frederic
van Haaren
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Director Pierre
Willaert
Ackermans & Van B01165156 27-May-13 Approve Management Yes For For
Haaren Discharge of
Auditors
Ackermans & Van B01165156 27-May-13 Reelect Luc Management Yes For For
Haaren Bertrand as
Director
Ackermans & Van B01165156 27-May-13 Reelect Frederic Management Yes Against Against
Haaren van Haaren as
Director
Ackermans & Van B01165156 27-May-13 Reelect Alexia Management Yes Against Against
Haaren Bertrand as
Director
Ackermans & Van B01165156 27-May-13 Ratify Ernst & Management Yes For For
Haaren Young as
Auditors and
Approve
Auditors'
Remuneration at
EUR 46,480
Ackermans & Van B01165156 27-May-13 Approve Management Yes Against Against
Haaren Remuneration
Report
Ackermans & Van B01165156 27-May-13 Approve Management Yes Against Against
Haaren Severance
Agreement of
Koen Janssen
Ackermans & Van B01165156 27-May-13 Allow Questions Management Yes For
Haaren
Wendel MF F98370103 28-May-13 Approve Management Yes For For
Financial
Statements and
Statutory Reports
Wendel MF F98370103 28-May-13 Approve Management Yes For For
Consolidated
Financial
Statements and
Statutory Reports
Wendel MF F98370103 28-May-13 Approve Management Yes For For
Allocation of
Income and
Dividends of
EUR 1.75 per
Share
Wendel MF F98370103 28-May-13 Approve Management Yes Against Against
Auditors' Special
Report on
Related-Party
Transactions
Regarding new
Transactions
Wendel MF F98370103 28-May-13 Approve Management Yes Against Against
Severance
Payment
Agreement with
Frederic Lemoine
Wendel MF F98370103 28-May-13 Approve Management Yes Against Against
Severance
Payment
Agreement with
Bernard Gautier
Wendel MF F98370103 28-May-13 Reelect Edouard Management Yes Against Against
de l Espee as
Supervisory
Board Member
Wendel MF F98370103 28-May-13 Elect Benedicte Management Yes Against Against
Coste as
Supervisory
Board Member
Wendel MF F98370103 28-May-13 Elect Priscilla de Management Yes Against Against
Moustier as
Supervisory
Board Member
Wendel MF F98370103 28-May-13 Elect Laurent Management Yes For For
Burelle as
Supervisory
Board Member
Wendel MF F98370103 28-May-13 Renew Management Yes For For
Appointment of
Ernst and Young
Audit as Auditor
Wendel MF F98370103 28-May-13 Renew Management Yes For For
Appointment of
PricewaterhouseCoopers
Audit as Auditor
Wendel MF F98370103 28-May-13 Renew Management Yes For For
Appointment of
Auditex as
Alternate Auditor
Wendel MF F98370103 28-May-13 Authorize Management Yes For For
Repurchase of Up
to 10 Percent of
Issued Share
Capital
Wendel MF F98370103 28-May-13 Authorize Management Yes For For
Decrease in Share
Capital via
Cancellation of
Repurchased
Shares
Wendel MF F98370103 28-May-13 Authorize Management Yes For For
Issuance of
Equity or Equity-
Linked Securities
with Preemptive
Rights up to
Aggregate
Nominal Amount
of EUR 100
Million
Wendel MF F98370103 28-May-13 Authorize Management Yes Against Against
Issuance of
Equity or Equity-
Linked Securities
without
Preemptive
Rights up to
Aggregate
Nominal Amount
of EUR 40
Million, with the
Possibility not to
offer them to the
Public
Wendel MF F98370103 28-May-13 Authorize Board Management Yes Against Against
to Increase
Capital in the
Event of
Additional
Demand Related
to Delegation
Submitted to
Shareholder Vote
Under Items 16
and 17
Wendel MF F98370103 28-May-13 Authorize Capital Management Yes Against Against
Increase of up to
10 Percent of
Issued Capital for
Future
Acquisitions
Wendel MF F98370103 28-May-13 Authorize Management Yes For For
Capitalization of
Reserves of Up to
EUR 80 Million
for Bonus Issue
or Increase in Par
Value
Wendel MF F98370103 28-May-13 Set Total Limit Management Yes Against Against
for Capital
Increase to Result
from All Issuance
Requests under
Items 16 to 20 at
EUR 400 Million
Wendel MF F98370103 28-May-13 Approve Management Yes For For
Employee Stock
Purchase Plan
Wendel MF F98370103 28-May-13 Authorize up to Management Yes Against Against
0.9 Percent of
Issued Capital for
Use in Stock
Option Plan
Wendel MF F98370103 28-May-13 Authorize up to Management Yes Against Against
0.3 Percent of
Issued Capital for
Use in Restricted
Stock Plan
Wendel MF F98370103 28-May-13 Authorize Filing Management Yes For For
of Required
Documents/Other
Formalities
Graphite Enterprise GPE G4065P101 13-Jun-13 Accept Financial Management Yes For For
Trust plc Statements and
Statutory Reports
Graphite Enterprise GPE G4065P101 13-Jun-13 Approve Final Management Yes For For
Trust plc Dividend
Graphite Enterprise GPE G4065P101 13-Jun-13 Elect Sandra Management Yes For For
Trust plc Pajarola as
Director
Graphite Enterprise GPE G4065P101 13-Jun-13 Re-elect Peter Management Yes For For
Trust plc Dicks as Director
Graphite Enterprise GPE G4065P101 13-Jun-13 Re-elect Mark Management Yes For For
Trust plc Fane as Director
Graphite Enterprise GPE G4065P101 13-Jun-13 Reappoint Management Yes For For
Trust plc PricewaterhouseCoopers
LLP as Auditors
and Authorise
Their
Remuneration
Graphite Enterprise GPE G4065P101 13-Jun-13 Approve Management Yes For For
Trust plc Remuneration
Report
Graphite Enterprise GPE G4065P101 13-Jun-13 Authorise Issue Management Yes For For
Trust plc of Equity with
Pre-emptive
Rights
Graphite Enterprise GPE G4065P101 13-Jun-13 Authorise Issue Management Yes For For
Trust plc of Equity without
Pre-emptive
Rights
Graphite Enterprise GPE G4065P101 13-Jun-13 Authorise Market Management Yes For For
Trust plc Purchase of
Ordinary Shares
Graphite Enterprise GPE G4065P101 13-Jun-13 Authorise the Management Yes For For
Trust plc Company to Call
EGM with Two
Weeks' Notice
HBM Healthcare HBMN H3553X112 21-Jun-13 Accept Financial Management Yes For For
Investments AG Statements and
Statutory Reports
HBM Healthcare HBMN H3553X112 21-Jun-13 Approve Management Yes For For
Investments AG Discharge of
Board and Senior
Management
HBM Healthcare HBMN H3553X112 21-Jun-13 Approve Management Yes For For
Investments AG Allocation of
Income and
Omission of
Dividends
HBM Healthcare HBMN H3553X112 21-Jun-13 Ratify Ernst & Management Yes For For
Investments AG Young AG as
Auditors
HBM Healthcare HBMN H3553X112 21-Jun-13 Approve CHF 18 Management Yes For For
Investments AG Million
Reduction in
Share Capital via
Cancellation of
Repurchased
Shares
HBM Healthcare HBMN H3553X112 21-Jun-13 Approve CHF Management Yes For For
Investments AG 13.4 Million
Reduction in
Share Capital and
Repayment of
CHF 1.50 per
Share
HBM Healthcare HBMN H3553X112 21-Jun-13 Transact Other Management Yes For
Investments AG Business (Non-
Voting)
ICG Group, Inc. ICGE 44928D108 21-Jun-13 Elect Director Management Yes For For
Thomas A.
Decker
ICG Group, Inc. ICGE 44928D108 21-Jun-13 Elect Director Management Yes For For
Thomas P.
Gerrity
ICG Group, Inc. ICGE 44928D108 21-Jun-13 Elect Director Management Yes For For
Peter K. Miller
ICG Group, Inc. ICGE 44928D108 21-Jun-13 Ratify Auditors Management Yes For For
ICG Group, Inc. ICGE 44928D108 21-Jun-13 Amend Omnibus Management Yes For For
Stock Plan
ICG Group, Inc. ICGE 44928D108 21-Jun-13 Advisory Vote to Management Yes For For
Ratify Named
Executive
Officers'
Compensation
ALPS/WMC DISCIPLINED VALUE FUND F/K/A ALPS/WMC VALUE INTERSECTION FUND
Item 1: Proxy Voting Record - Item1 Proxy Voting Record -
Registrant : ALPS/WMC Value Intersection Fund
Fund Name : ALPS/WMC Value Intersection Fund
________________________________________________________________________________
Accenture plc
Ticker Security ID: Meeting Date Meeting Status
ACN CUSIP G1151C101 02/06/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Elect William Kimsey Mgmt For For For
3 Elect Robert Lipp Mgmt For For For
4 Elect Pierre Nanterme Mgmt For For For
5 Elect Gilles Pelisson Mgmt For For For
6 Elect Wulf von Mgmt For For For
Schimmelmann
7 Ratification of Auditor Mgmt For For For
8 Advisory Vote on Mgmt For For For
Executive
Compensation
9 Amendment to the Share Mgmt For For For
Incentive
Plan
10 Authority to Hold Mgmt For For For
Annual Meeting Outside
of
Ireland
11 Authority to Repurchase Mgmt For For For
Shares
12 Price Range for Mgmt For For For
Issuance of Treasury
Shares
13 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
ACE Limited
Ticker Security ID: Meeting Date Meeting Status
ACE CUSIP H0023R105 05/16/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Robert M. Mgmt For For For
Hernandez
2 Elect Peter Menikoff Mgmt For For For
3 Elect Robert Ripp Mgmt For For For
4 Elect Theodore Shasta Mgmt For For For
5 Repeal of Classified Mgmt For For For
Board
6 2012 Annual Report Mgmt For For For
7 Statutory Financial Mgmt For For For
Statements
8 Consolidated Financial Mgmt For For For
Statements
9 Allocation of Mgmt For For For
Profits/Dividends
10 Discharge of Board of Mgmt For For For
Directors
11 PricewaterhouseCoopers Mgmt For For For
AG,
Zurich
12 PricewaterhouseCoopers Mgmt For For For
13 BDO AG, Zurich Mgmt For For For
14 Amendment to the 2004 Mgmt For For For
Long-Term Incentive
Plan
15 Distribution Via Par Mgmt For For For
Value
Reduction
16 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Actavis, Inc.
Ticker Security ID: Meeting Date Meeting Status
ACT CUSIP 00507K103 05/10/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Jack Michelson Mgmt For For For
2 Elect Ronald R. Taylor Mgmt For For For
3 Elect Andrew L. Turner Mgmt For For For
4 Elect Paul M. Bisaro Mgmt For For For
5 Elect Christopher W. Mgmt For For For
Bodine
6 Elect Michel J. Feldman Mgmt For For For
7 Elect Fred G. Weiss Mgmt For For For
8 Advisory Vote on Mgmt For For For
Executive
Compensation
9 Ratification of Auditor Mgmt For For For
10 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
________________________________________________________________________________
Aetna Inc.
Ticker Security ID: Meeting Date Meeting Status
AET CUSIP 00817Y108 05/17/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Fernando Aguirre Mgmt For For For
2 Elect Mark T. Bertolini Mgmt For For For
3 Elect Frank M. Clark, Mgmt For For For
Jr.
4 Elect Betsy Z. Cohen Mgmt For For For
5 Elect Molly J. Coye Mgmt For For For
6 Elect Roger N. Farah Mgmt For For For
7 Elect Barbara H. Mgmt For For For
Franklin
8 Elect Jeffrey E. Garten Mgmt For For For
9 Elect Ellen M. Hancock Mgmt For For For
10 Elect Richard J. Mgmt For For For
Harrington
11 Elect Edward J. Ludwig Mgmt For For For
12 Elect Joseph P. Newhouse Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Amendment to the 2010 Mgmt For For For
Stock Incentive
Plan
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
17 Shareholder Proposal ShrHoldr Against For Against
Regarding Simple
Majority
Vote
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Board
Oversight of Political
Spending
________________________________________________________________________________
Altria Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
MO CUSIP 02209S103 05/16/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gerald L. Baliles Mgmt For For For
2 Elect Martin J. Mgmt For For For
Barrington
3 Elect John T. Casteen Mgmt For For For
III
4 Elect Dinyar S. Devitre Mgmt For For For
5 Elect Thomas F. Farrell Mgmt For For For
II
6 Elect Thomas W. Jones Mgmt For For For
7 Elect Debra J. Mgmt For For For
Kelly-Ennis
8 Elect W. Leo Kiely III Mgmt For For For
9 Elect Kathryn B. McQuade Mgmt For For For
10 Elect George Munoz Mgmt For For For
11 Elect Nabil Y. Sakkab Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
American Electric Power Company, Inc.
Ticker Security ID: Meeting Date Meeting Status
AEP CUSIP 025537101 04/23/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Nicholas K. Akins Mgmt For For For
2 Elect David J. Anderson Mgmt For For For
3 Elect Ralph D. Crosby, Mgmt For For For
Jr.
4 Elect Linda A. Goodspeed Mgmt For For For
5 Elect Thomas E. Hoaglin Mgmt For For For
6 Elect Sandra Beach Lin Mgmt For For For
7 Elect Michael G. Morris Mgmt For For For
8 Elect Richard C. Mgmt For For For
Notebaert
9 Elect Lionel L. Nowell Mgmt For For For
III
10 Elect Stephen S. Mgmt For For For
Rasmussen
11 Elect Oliver G. Richard Mgmt For For For
III
12 Elect Richard L. Sandor Mgmt For For For
13 Elect Sara M. Tucker Mgmt For For For
14 Elect John F. Turner Mgmt For For For
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
American International Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
AIG CUSIP 026874784 05/15/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Robert H. Mgmt For For For
Benmosche
2 Elect W. Don Cornwell Mgmt For For For
3 Elect John Fitzpatrick Mgmt For For For
4 Elect William G. Mgmt For For For
Jurgensen
5 Elect Christopher S. Mgmt For For For
Lynch
6 Elect Arthur C. Martinez Mgmt For For For
7 Elect George L. Miles, Mgmt For For For
Jr.
8 Elect Henry S. Miller Mgmt For For For
9 Elect Robert S. Miller Mgmt For For For
10 Elect Suzanne Nora Mgmt For For For
Johnson
11 Elect Ronald A. Mgmt For For For
Rittenmeyer
12 Elect Douglas M. Mgmt For For For
Steenland
13 Elect Theresa M. Stone Mgmt For For For
14 2013 Omnibus Incentive Mgmt For For For
Plan
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
17 Ratification of Auditor Mgmt For For For
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Multiple
Board
Service
________________________________________________________________________________
Ameriprise Financial, Inc.
Ticker Security ID: Meeting Date Meeting Status
AMP CUSIP 03076C106 04/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James M. Mgmt For For For
Cracchiolo
2 Elect Lon R. Greenberg Mgmt For For For
3 Elect Warren D. Knowlton Mgmt For For For
4 Elect W. Walker Lewis Mgmt For For For
5 Elect Siri S. Marshall Mgmt For For For
6 Elect Jeffrey Noddle Mgmt For For For
7 Elect H. Jay Sarles Mgmt For For For
8 Elect Robert F. Sharpe, Mgmt For For For
Jr.
9 Elect William H. Turner Mgmt For For For
10 Advisory Vote on Mgmt For Against Against
Executive
Compensation
11 Ratification of Auditor Mgmt For For For
12 Shareholder Proposal ShrHoldr Against For Against
Regarding Simple
Majority
Vote
________________________________________________________________________________
AMGEN Inc.
Ticker Security ID: Meeting Date Meeting Status
AMGN CUSIP 031162100 05/22/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David Baltimore Mgmt For For For
2 Elect Frank J. Biondi, Mgmt For For For
Jr.
3 Elect Robert A. Bradway Mgmt For For For
4 Elect Francois de Mgmt For For For
Carbonnel
5 Elect Vance D. Coffman Mgmt For For For
6 Elect Robert A. Eckert Mgmt For For For
7 Elect Rebecca M. Mgmt For For For
Henderson
8 Elect Frank C. Herringer Mgmt For For For
9 Elect Tyler Jacks Mgmt For For For
10 Elect Gilbert S. Omenn Mgmt For For For
11 Elect Judith C. Pelham Mgmt For For For
12 Elect Leonard D. Mgmt For For For
Schaeffer
13 Elect Ronald D. Sugar Mgmt For For For
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Amendment to the 2009 Mgmt For For For
Equity Incentive
Plan
________________________________________________________________________________
Anadarko Petroleum Corporation
Ticker Security ID: Meeting Date Meeting Status
APC CUSIP 032511107 05/14/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Kevin P. Chilton Mgmt For For For
2 Elect Luke R. Corbett Mgmt For For For
3 Elect H. Paulett Mgmt For For For
Eberhart
4 Elect Peter J. Fluor Mgmt For For For
5 Elect Richard L. George Mgmt For For For
6 Elect Preston M. Geren, Mgmt For For For
III
7 Elect Charles W. Mgmt For For For
Goodyear
8 Elect John R. Gordon Mgmt For For For
9 Elect Eric D. Mullins Mgmt For For For
10 Elect Paula Rosput Mgmt For For For
Reynolds
11 Elect R. A. Walker Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Report on
Political
Spending
________________________________________________________________________________
Aon plc
Ticker Security ID: Meeting Date Meeting Status
AON CUSIP G0408V102 05/17/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Lester B. Knight Mgmt For For For
2 Elect Gregory C. Case Mgmt For For For
3 Elect Fulvio Conti Mgmt For For For
4 Elect Cheryl A. Francis Mgmt For For For
5 Elect Edgar D. Jannotta Mgmt For For For
6 Elect J. Michael Losh Mgmt For For For
7 Elect Robert S. Morrison Mgmt For For For
8 Elect Richard B. Myers Mgmt For For For
9 Elect Richard C. Mgmt For For For
Notebaert
10 Elect Gloria Santona Mgmt For For For
11 Elect Carolyn Y. Woo Mgmt For For For
12 Accounts and Reports Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Ratification of Auditor Mgmt For For For
15 Authority to Set Mgmt For For For
Auditor's
Fees
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 U.K. Remuneration Report Mgmt For For For
18 Global Share Purchase Mgmt For For For
Plan
________________________________________________________________________________
AT&T Inc.
Ticker Security ID: Meeting Date Meeting Status
T CUSIP 00206R102 04/26/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Randall L. Mgmt For For For
Stephenson
2 Elect Gilbert F. Amelio Mgmt For For For
3 Elect Reuben V. Anderson Mgmt For For For
4 Elect James H. Blanchard Mgmt For For For
5 Elect Jaime Chico Pardo Mgmt For For For
6 Elect Scott T. Ford Mgmt For For For
7 Elect James P. Kelly Mgmt For For For
8 Elect Jon C. Madonna Mgmt For For For
9 Elect Michael B. Mgmt For For For
McCallister
10 Elect John B. McCoy Mgmt For For For
11 Elect Joyce M. Roche Mgmt For For For
12 Elect Matthew K. Rose Mgmt For For For
13 Elect Laura D'Andrea Mgmt For For For
Tyson
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Amendment to the Stock Mgmt For For For
Purchase and Deferral
Plan
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Spending
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Lead
Batteries
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Shareholder
Approval of Severance
Agreements
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
________________________________________________________________________________
Bank of America Corporation
Ticker Security ID: Meeting Date Meeting Status
BAC CUSIP 060505559 05/08/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Sharon Allen Mgmt For For For
2 Elect Susan Bies Mgmt For For For
3 Elect Jack Bovender, Jr. Mgmt For For For
4 Elect Frank Bramble, Sr. Mgmt For For For
5 Elect Arnold Donald Mgmt For For For
6 Elect Charles Gifford Mgmt For For For
7 Elect Charles Holliday, Mgmt For For For
Jr.
8 Elect Linda Hudson Mgmt For For For
9 Elect Monica Lozano Mgmt For For For
10 Elect Thomas May Mgmt For For For
11 Elect Brian Moynihan Mgmt For For For
12 Elect Lionel Nowell, III Mgmt For For For
13 Elect R. David Yost Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Ratification of Auditor Mgmt For For For
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Spending
Report
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Proxy
Access
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Multiple
Board
Service
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Feasibility
Study on Prohibition
of Political
Spending
20 Regarding ShrHoldr Against Against For
Discriminitory
Mortgage Servicing and
Foreclosure
Practices
________________________________________________________________________________
BlackRock, Inc.
Ticker Security ID: Meeting Date Meeting Status
BLK CUSIP 09247X101 05/30/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Abdlatif Yousef Mgmt For For For
Al-Hamad
2 Elect Mathis Mgmt For For For
Cabiallavetta
3 Elect Dennis D. Mgmt For For For
Dammerman
4 Elect Jessica P. Einhorn Mgmt For For For
5 Elect Fabrizio Freda Mgmt For For For
6 Elect David H. Komansky Mgmt For For For
7 Elect James E. Rohr Mgmt For For For
8 Elect Susan L. Wagner Mgmt For For For
9 Advisory Vote on Mgmt For For For
Executive
Compensation
10 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Boeing Company
Ticker Security ID: Meeting Date Meeting Status
BA CUSIP 097023105 04/29/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David L. Calhoun Mgmt For For For
2 Elect Arthur D. Mgmt For For For
Collins,
Jr.
3 Elect Linda Z. Cook Mgmt For For For
4 Elect Kenneth M. Mgmt For For For
Duberstein
5 Elect Edmund P. Mgmt For For For
Giambastiani,
Jr.
6 Elect Lawrence W. Mgmt For For For
Kellner
7 Elect Edward M. Liddy Mgmt For For For
8 Elect W. James Mgmt For For For
McNerney,
Jr.
9 Elect Susan C. Schwab Mgmt For For For
10 Elect Ronald A. Williams Mgmt For For For
11 Elect Mike S. Zafirovski Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Supplemental
Executive Retirement
Benefits
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
________________________________________________________________________________
Camden Property Trust
Ticker Security ID: Meeting Date Meeting Status
CPT CUSIP 133131102 05/10/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Richard J. Campo Mgmt For For For
1.2 Elect Scott S. Ingraham Mgmt For For For
1.3 Elect Lewis A. Levey Mgmt For For For
1.4 Elect William B. Mgmt For For For
McGuire,
Jr.
1.5 Elect William F. Paulsen Mgmt For For For
1.6 Elect D. Keith Oden Mgmt For For For
1.7 Elect F. Gardner Parker Mgmt For For For
1.8 Elect Frances Aldrich Mgmt For For For
Sevilla-Sacasa
1.9 Elect Steven A. Webster Mgmt For For For
1.10 Elect Kelvin R. Mgmt For For For
Westbrook
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Chesapeake Energy Corporation
Ticker Security ID: Meeting Date Meeting Status
CHK CUSIP 165167107 06/14/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Bob G. Alexander Mgmt For For For
2 Elect Merrill A. Mgmt For For For
Miller,
Jr.
3 Elect Thomas L. Ryan Mgmt For For For
4 Elect Vincent J. Mgmt For For For
Intrieri
5 Elect Frederic M. Poses Mgmt For For For
6 Elect Archie W. Dunham Mgmt For For For
7 Elect R. Brad Martin Mgmt For For For
8 Elect Louis A. Raspino Mgmt For For For
9 Repeal of Classified Mgmt For For For
Board
10 Amendment to Bylaws to Mgmt For For For
Permit Shareholder
Proxy
Access
11 Elimination of Mgmt For For For
Supermajority
Requirement
12 Amendment to the 2003 Mgmt For For For
Stock Award Plan for
Non-Employee
Directors
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Amendment to the Long Mgmt For For For
Term Incentive
Plan
15 2013 Annual Incentive Mgmt For For For
Plan
16 Ratification of Auditor Mgmt For For For
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Risk
Oversight
Committee
18 Shareholder Proposal ShrHoldr Against Against For
Regarding
Reincorporation
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Compensation
in the Event of a
Change in
Control
________________________________________________________________________________
Chevron Corporation
Ticker Security ID: Meeting Date Meeting Status
CVX CUSIP 166764100 05/29/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Linnet F. Deily Mgmt For For For
2 Elect Robert E. Denham Mgmt For For For
3 Elect Alice P. Gast Mgmt For For For
4 Elect Enrique Mgmt For For For
Hernandez,
Jr.
5 Elect George L. Kirkland Mgmt For For For
6 Elect Charles W. Mgmt For For For
Moorman,
IV
7 Elect Kevin W. Sharer Mgmt For For For
8 Elect John G. Stumpf Mgmt For For For
9 Elect Ronald D. Sugar Mgmt For For For
10 Elect Carl Ware Mgmt For For For
11 Elect John S. Watson Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Amendment to the Mgmt For For For
Long-Term Incentive
Plan
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Hydraulic
Fracturing
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Offshore
Drilling
Report
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Report on
Climate
Change
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Prohibition
on Political
Spending
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Cumulative
Voting
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
22 Shareholder Proposal ShrHoldr Against Against For
Regarding
Environmental
Expertise on
Board
23 Shareholder Proposal ShrHoldr Against Against For
Regarding Country
Selection
Guidelines
________________________________________________________________________________
Citigroup Inc.
Ticker Security ID: Meeting Date Meeting Status
C CUSIP 172967424 04/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Michael L. Corbat Mgmt For For For
2 Elect Franz B. Humer Mgmt For For For
3 Elect Robert L. Joss Mgmt For For For
4 Elect Michael E. O'Neill Mgmt For For For
5 Elect Judith Rodin Mgmt For For For
6 Elect Robert L. Ryan Mgmt For For For
7 Elect Anthony M. Mgmt For For For
Santomero
8 Elect Joan E. Spero Mgmt For For For
9 Elect Diana L. Taylor Mgmt For For For
10 Elect William S. Mgmt For For For
Thompson,
Jr.
11 Elect Ernesto Zedillo Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Amendment to the 2009 Mgmt For For For
Stock Incentive
Plan
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Director
Indemnification
________________________________________________________________________________
ConocoPhillips
Ticker Security ID: Meeting Date Meeting Status
COP CUSIP 20825C104 05/14/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard L. Mgmt For For For
Armitage
2 Elect Richard H. Mgmt For For For
Auchinleck
3 Elect James E. Mgmt For For For
Copeland,
Jr.
4 Elect Jody L Freeman Mgmt For For For
5 Elect Gay Huey Evans Mgmt For For For
6 Elect Ryan M. Lance Mgmt For For For
7 Elect Mohd H. Marican Mgmt For For For
8 Elect Robert A. Niblock Mgmt For For For
9 Elect Harald J. Norvik Mgmt For For For
10 Elect William E. Wade, Mgmt For For For
Jr.
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Reporting
and Reducing
Greenhouse Gas
Emissions
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Adopting
Gender Identity and
Expression Anti-Bias
Policy
________________________________________________________________________________
Covidien Public Limited Company
Ticker Security ID: Meeting Date Meeting Status
COV CUSIP G2554F113 03/20/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Jose E. Almeida Mgmt For For For
2 Elect Joy A. Amundson Mgmt For For For
3 Elect Craig Arnold Mgmt For For For
4 Elect Robert H. Brust Mgmt For For For
5 Elect John M. Connors, Mgmt For For For
Jr.
6 Elect Christopher J. Mgmt For For For
Coughlin
7 Elect Randall J. Hogan, Mgmt For For For
III
8 Elect Martin D. Madaus Mgmt For For For
9 Elect Dennis H. Reilley Mgmt For For For
10 Elect Joseph A. Mgmt For For For
Zaccagnino
11 Appointment of Auditor Mgmt For For For
and Authority to Set
Remuneration
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Amendment to the Stock Mgmt For For For
and Incentive
Plan
14 Authority to Repurchase Mgmt For For For
Shares
15 Authority to Reissue Mgmt For For For
Treasury
Shares
16 Amendments to Articles Mgmt For For For
to Update Share
Transfer
Procedures
17 Advisory Vote on the Mgmt For For For
Reduction of Share
Premium Account in
Connection with Spin
Off
________________________________________________________________________________
Crown Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
CCK CUSIP 228368106 04/25/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jenne K. Britell Mgmt For For For
1.2 Elect John W. Conway Mgmt For For For
1.3 Elect Arnold W. Donald Mgmt For For For
1.4 Elect William G. Little Mgmt For For For
1.5 Elect Hans J. Loliger Mgmt For For For
1.6 Elect James H. Miller Mgmt For For For
1.7 Elect Josef M. Muller Mgmt For For For
1.8 Elect Thomas A. Ralph Mgmt For For For
1.9 Elect Hugues du Rouret Mgmt For For For
1.10 Elect Jim L. Turner Mgmt For For For
1.11 Elect William S. Urkiel Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Approval of the 2013 Mgmt For For For
Stock-Based Incentive
Compensation
Plan
4 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
CVS Caremark Corporation
Ticker Security ID: Meeting Date Meeting Status
CVS CUSIP 126650100 05/09/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect C. David Brown II Mgmt For For For
2 Elect David W. Dorman Mgmt For For For
3 Elect Anne M. Finucane Mgmt For For For
4 Elect Kristen E. Gibney Mgmt For For For
Williams
5 Elect Larry J. Merlo Mgmt For For For
6 Elect Jean-Pierre Millon Mgmt For For For
7 Elect Richard J. Swift Mgmt For For For
8 Elect William C. Weldon Mgmt For For For
9 Elect Tony L. White Mgmt For For For
10 Ratification of Auditor Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Amendment to the 2007 Mgmt For For For
Employee Stock
Purchase
Plan
13 Reduction of Voting Mgmt For For For
Thresholds in the Fair
Price
Provision
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Report on
Political
Spending
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Compensation
in the Event of a
Change in
Control
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
Dollar Tree, Inc.
Ticker Security ID: Meeting Date Meeting Status
DLTR CUSIP 256746108 06/20/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Arnold S. Barron Mgmt For For For
1.2 Elect Macon F. Brock, Mgmt For For For
Jr.
1.3 Elect Mary Anne Citrino Mgmt For For For
1.4 Elect H. Ray Compton Mgmt For For For
1.5 Elect Conrad M Hall Mgmt For For For
1.6 Elect Lemuel E. Lewis Mgmt For For For
1.7 Elect J. Douglas Perry Mgmt For For For
1.8 Elect Bob Sasser Mgmt For For For
1.9 Elect Thomas A. Mgmt For For For
Saunders
III
1.10 Elect Thomas E. Whiddon Mgmt For For For
1.11 Elect Carl P. Zeithaml Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 2013 Director Deferred Mgmt For For For
Compensation
Plan
4 Ratification of Auditor Mgmt For For For
5 Increase of Authorized Mgmt For For For
Common
Stock
________________________________________________________________________________
Dover Corporation
Ticker Security ID: Meeting Date Meeting Status
DOV CUSIP 260003108 05/02/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David H. Benson Mgmt For For For
2 Elect Robert W. Cremin Mgmt For For For
3 Elect Jean-Pierre M. Mgmt For For For
Ergas
4 Elect Peter T. Francis Mgmt For For For
5 Elect Kristiane C. Mgmt For For For
Graham
6 Elect Michael F. Mgmt For For For
Johnston
7 Elect Robert A. Mgmt For For For
Livingston
8 Elect Richard K. Mgmt For For For
Lochridge
9 Elect Bernard G. Rethore Mgmt For For For
10 Elect Michael B. Stubbs Mgmt For For For
11 Elect Stephen M. Todd Mgmt For For For
12 Elect Stephen K. Wagner Mgmt For For For
13 Elect Mary A. Winston Mgmt For For For
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Shareholder Proposal ShrHoldr Against For Against
Regarding Simple
Majority
Vote
________________________________________________________________________________
EBay Inc.
Ticker Security ID: Meeting Date Meeting Status
EBAY CUSIP 278642103 04/18/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David M. Moffett Mgmt For For For
2 Elect Richard T. Mgmt For For For
Schlosberg,
III
3 Elect Thomas J. Tierney Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Privacy and
Data
Security
7 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Eli Lilly and Company
Ticker Security ID: Meeting Date Meeting Status
LLY CUSIP 532457108 05/06/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Ralph Alvarez Mgmt For For For
2 Elect Sir Winfried Mgmt For For For
Bischoff
3 Elect R. David Hoover Mgmt For For For
4 Elect Franklyn G. Mgmt For For For
Prendergast
5 Elect Kathi P. Seifert Mgmt For For For
6 Ratification of Auditor Mgmt For For For
7 Advisory Vote on Mgmt For For For
Executive
Compensation
8 Reapproval of Material Mgmt For For For
Terms of Performance
Goals for the 2002
Lilly Stock
Plan
________________________________________________________________________________
Energizer Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
ENR CUSIP 29266R108 01/28/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Daniel Heinrich Mgmt For For For
2 Elect R. David Hoover Mgmt For For For
3 Elect John Hunter III Mgmt For For For
4 Elect John Klein Mgmt For For For
5 Ratification of Auditor Mgmt For For For
6 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Equifax Inc.
Ticker Security ID: Meeting Date Meeting Status
EFX CUSIP 294429105 05/02/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James E. Mgmt For For For
Copeland,
Jr.
2 Elect Robert D. Daleo Mgmt For For For
3 Elect Walter W. Driver, Mgmt For For For
Jr.
4 Elect Mark L. Feidler Mgmt For For For
5 Elect L. Phillip Humann Mgmt For For For
6 Elect Siri S. Marshall Mgmt For For For
7 Elect John A. McKinley Mgmt For For For
8 Elect Richard F. Smith Mgmt For For For
9 Elect Mark B. Templeton Mgmt For For For
10 Ratification of Auditor Mgmt For For For
11 Amendment to the 2008 Mgmt For For For
Omnibus Incentive
Plan
12 Re-approval of Mgmt For For For
Performance Criteria
Under the 2008 Omnibus
Incentive
Plan
13 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Equity LifeStyle Properties, Inc.
Ticker Security ID: Meeting Date Meeting Status
ELS CUSIP 29472R108 05/08/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Philip Calian Mgmt For For For
1.2 Elect David Contis Mgmt For For For
1.3 Elect Thomas Dobrowski Mgmt For For For
1.4 Elect Thomas Heneghan Mgmt For For For
1.5 Elect Marguerite Nader Mgmt For For For
1.6 Elect Sheli Rosenberg Mgmt For For For
1.7 Elect Howard Walker Mgmt For For For
1.8 Elect Gary Waterman Mgmt For For For
1.9 Elect William Young Mgmt For For For
1.10 Elect Samuel Zell Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Report on
Political
Spending
________________________________________________________________________________
Exxon Mobil Corporation
Ticker Security ID: Meeting Date Meeting Status
XOM CUSIP 30231G102 05/29/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Michael J. Boskin Mgmt For For For
1.2 Elect Peter Mgmt For For For
Brabeck-Letmathe
1.3 Elect Ursula M. Burns Mgmt For For For
1.4 Elect Larry R. Faulkner Mgmt For For For
1.5 Elect Jay S. Fishman Mgmt For For For
1.6 Elect Henrietta H. Fore Mgmt For For For
1.7 Elect Kenneth C. Frazier Mgmt For For For
1.8 Elect William W. George Mgmt For For For
1.9 Elect Samuel J. Mgmt For Withhold Against
Palmisano
1.10 Elect Steven S. Mgmt For For For
Reinemund
1.11 Elect Rex W. Tillerson Mgmt For For For
1.12 Elect William C. Weldon Mgmt For For For
1.13 Elect Edward E. Mgmt For For For
Whitacre,
Jr.
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Majority
Vote in the Election
of
Directors
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Multiple
Board
Service
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
8 Shareholder Proposal ShrHoldr Against Against For
Regarding Feasibility
Study on Prohibition
of Political
Spending
9 Shareholder Proposal ShrHoldr Against Against For
Regarding Adopting
Sexual Orientation and
Gender Identity
Anti-Bias
Policy
10 Shareholder Proposal ShrHoldr Against Against For
Regarding Hydraulic
Fracturing
11 Shareholder Proposal ShrHoldr Against Against For
Regarding Reporting
and Reducing
Greenhouse Gas
Emissions
________________________________________________________________________________
Forest City Enterprises, Inc.
Ticker Security ID: Meeting Date Meeting Status
FCE.A CUSIP 345550107 06/13/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Arthur F. Anton Mgmt For For For
1.2 Elect Scott S. Cowen Mgmt For For For
1.3 Elect Michael P. Mgmt For For For
Esposito,
Jr.
1.4 Elect Stan Ross Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Amendment to the Mgmt For For For
Executive Short-Term
Incentive
Plan
4 Amendment to the Mgmt For For For
Executive Long-Term
Incentive
Plan
5 Amendment to the 1994 Mgmt For For For
Stock
Plan
6 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Forest Laboratories, Inc.
Ticker Security ID: Meeting Date Meeting Status
FRX CUSIP 345838106 08/15/2012 Take No Action
Meeting Type Country of Trade
Proxy Contest United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Dissident Nominee Mgmt N/A TNA N/A
Eric
Ende
1.2 Elect Dissident Nominee Mgmt N/A TNA N/A
Pierre
Legault
1.3 Elect Dissident Nominee Mgmt N/A TNA N/A
Andrew
Fromkin
1.4 Elect Dissident Nominee Mgmt N/A TNA N/A
Daniel
Ninivaggi
1.5 Elect Management Mgmt N/A TNA N/A
Nominee Howard
Solomon
1.6 Elect Management Mgmt N/A TNA N/A
Nominee Nesli
Basgoz
1.7 Elect Management Mgmt N/A TNA N/A
Nominee Christopher
Coughlin
1.8 Elect Management Mgmt N/A TNA N/A
Nominee Gerald
Lieberman
1.9 Elect Management Mgmt N/A TNA N/A
Nominee Brenton
Saunders
1.10 Elect Management Mgmt N/A TNA N/A
Nominee Peter
Zimetbaum
2 Advisory Vote on Mgmt N/A TNA N/A
Executive
Compensation
3 Ratification of Auditor Mgmt N/A TNA N/A
4 Shareholder Proposal ShrHoldr N/A TNA N/A
Regarding Proxy
Access
5 Shareholder Proposal ShrHoldr N/A TNA N/A
Regarding Repeal of
Bylaw
Provisions
________________________________________________________________________________
Forest Laboratories, Inc.
Ticker Security ID: Meeting Date Meeting Status
FRX CUSIP 345838106 08/15/2012 Voted
Meeting Type Country of Trade
Proxy Contest United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Howard Solomon Mgmt For For For
1.2 Elect Nesli Basgoz Mgmt For For For
1.3 Elect Christopher Mgmt For For For
Coughlin
1.4 Elect Dan Goldwasser Mgmt For For For
1.5 Elect Kenneth Goodman Mgmt For For For
1.6 Elect Gerald Lieberman Mgmt For For For
1.7 Elect Lawrence Olanoff Mgmt For For For
1.8 Elect Lester Salans Mgmt For For For
1.9 Elect Brenton Saunders Mgmt For For For
1.10 Elect Peter Zimetbaum Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Ratification of Auditor Mgmt For For For
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Proxy
Access
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Repeal of
Bylaw
Provisions
________________________________________________________________________________
General Electric Company
Ticker Security ID: Meeting Date Meeting Status
GE CUSIP 369604103 04/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect W. Geoffrey Mgmt For For For
Beattie
2 Elect John J. Brennan Mgmt For For For
3 Elect James I. Cash, Jr. Mgmt For For For
4 Elect Francisco D'Souza Mgmt For For For
5 Elect Marijn E. Dekkers Mgmt For For For
6 Elect Ann M. Fudge Mgmt For For For
7 Elect Susan Hockfield Mgmt For For For
8 Elect Jeffrey R. Immelt Mgmt For For For
9 Elect Andrea Jung Mgmt For For For
10 Elect Robert W. Lane Mgmt For For For
11 Elect Ralph S. Larsen Mgmt For For For
12 Elect Rochelle B. Mgmt For For For
Lazarus
13 Elect James J. Mulva Mgmt For For For
14 Elect Mary L. Schapiro Mgmt For For For
15 Elect Robert J. Mgmt For For For
Swieringa
16 Elect James S. Tisch Mgmt For For For
17 Elect Douglas A. Warner Mgmt For For For
III
18 Advisory Vote on Mgmt For For For
Executive
Compensation
19 Ratification of Auditor Mgmt For For For
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Cessation of
All Stock Options and
Bonuses
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Term
Limits
22 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
23 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
24 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
25 Shareholder Proposal ShrHoldr Against Against For
Regarding Double Board
Nominees
________________________________________________________________________________
Genpact Limited
Ticker Security ID: Meeting Date Meeting Status
G CUSIP G3922B107 05/08/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect N.V. Tyagarajan Mgmt For For For
1.2 Elect Robert G. Scott Mgmt For For For
1.3 Elect John W. Barter Mgmt For For For
1.4 Elect Amit Chandra Mgmt For For For
1.5 Elect Laura Conigliaro Mgmt For For For
1.6 Elect David Humphrey Mgmt For For For
1.7 Elect Jagdish Khattar Mgmt For For For
1.8 Elect James C. Madden Mgmt For For For
1.9 Elect Mark Nunnelly Mgmt For For For
1.10 Elect Mark Verdi Mgmt For For For
2 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Gilead Sciences, Inc.
Ticker Security ID: Meeting Date Meeting Status
GILD CUSIP 375558103 05/08/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John F. Cogan Mgmt For For For
1.2 Elect Etienne F. Mgmt For For For
Davignon
1.3 Elect Carla A. Hills Mgmt For For For
1.4 Elect Kevin E. Lofton Mgmt For For For
1.5 Elect John W. Madigan Mgmt For For For
1.6 Elect John C. Martin Mgmt For For For
1.7 Elect Nicholas G. Moore Mgmt For For For
1.8 Elect Richard J. Whitley Mgmt For For For
1.9 Elect Gayle E. Wilson Mgmt For For For
1.10 Elect Per Wold-Olsen Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Amendment to the 2004 Mgmt For For For
Equity Incentive
Plan
4 Increase of Authorized Mgmt For For For
Common
Shares
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
________________________________________________________________________________
Halliburton Company
Ticker Security ID: Meeting Date Meeting Status
HAL CUSIP 406216101 05/15/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Alan M. Bennett Mgmt For For For
2 Elect James Boyd Mgmt For For For
3 Elect Milton Carroll Mgmt For For For
4 Elect Nance Dicciani Mgmt For For For
5 Elect Murry Gerber Mgmt For For For
6 Elect Jose Grubisich Mgmt For For For
7 Elect Abdallah Jum'ah Mgmt For For For
8 Elect David Lesar Mgmt For For For
9 Elect Robert Malone Mgmt For For For
10 Elect Landis Martin Mgmt For For For
11 Elect Debra Reed Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Amendment to Company Mgmt For For For
Stock and Incentive
Plan
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Review of
Human Rights
Policies
________________________________________________________________________________
Hertz Global Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
HTZ CUSIP 42805T105 05/15/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Barry H. Beracha Mgmt For For For
2 Elect Brian A. Bernasek Mgmt For For For
3 Elect George W. Tamke Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Amendment to the Mgmt For For For
Employee Stock
Purchase
Plan
6 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Invesco Ltd.
Ticker Security ID: Meeting Date Meeting Status
IVZ CUSIP G491BT108 05/16/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Joseph R. Canion Mgmt For For For
2 Elect Edward P. Lawrence Mgmt For For For
3 Elect Phoebe A. Wood Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Amendment to the Mgmt For For For
Executive Incentive
Bonus
Plan
6 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
J.M. Smucker Company
Ticker Security ID: Meeting Date Meeting Status
SJM CUSIP 832696405 08/15/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Paul Dolan Mgmt For For For
2 Elect Nancy Lopez Knight Mgmt For For For
3 Elect Gary Oatey Mgmt For For For
4 Elect Alex Shumate Mgmt For For For
5 Elect Timothy Smucker Mgmt For For For
6 Ratification of Auditor Mgmt For For For
7 Advisory Vote on Mgmt For For For
Executive
Compensation
8 Shareholder Proposal ShrHoldr Against For Against
Regarding
Declassification of
the
Board
9 Shareholder Proposal ShrHoldr Against Against For
Regarding Coffee
Sustainability
Report
________________________________________________________________________________
JPMorgan Chase & Co.
Ticker Security ID: Meeting Date Meeting Status
JPM CUSIP 46625H100 05/21/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James A. Bell Mgmt For For For
2 Elect Crandall C. Bowles Mgmt For For For
3 Elect Stephen B. Burke Mgmt For For For
4 Elect David M. Cote Mgmt For For For
5 Elect James S. Crown Mgmt For For For
6 Elect James Dimon Mgmt For For For
7 Elect Timothy P. Flynn Mgmt For For For
8 Elect Ellen V. Futter Mgmt For For For
9 Elect Laban P. Jackson, Mgmt For For For
Jr.
10 Elect Lee R. Raymond Mgmt For For For
11 Elect William C. Weldon Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Allow Shareholders to Mgmt For For For
Act by Written
Consent
15 Key Executive Mgmt For For For
Performance
Plan
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
18 Shareholder Proposal ShrHoldr Against Against For
Regarding
Genocide-Free
Investing
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
Lincoln National Corporation
Ticker Security ID: Meeting Date Meeting Status
LNC CUSIP 534187109 05/23/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect William J. Avery Mgmt For For For
2 Elect William H. Mgmt For For For
Cunningham
3 Elect William P. Payne Mgmt For For For
4 Elect Patrick S. Pittard Mgmt For For For
5 Ratification of Auditor Mgmt For For For
6 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Lorillard, Inc.
Ticker Security ID: Meeting Date Meeting Status
LO CUSIP 544147101 05/14/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Repeal of Classified Mgmt For For For
Board
2 Elect Andrew H. Card, Mgmt For For For
Jr.
3 Elect Virgis W. Colbert Mgmt For For For
4 Elect Richard W. Roedel Mgmt For For For
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Ratification of Auditor Mgmt For For For
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
Lowe's Companies, Inc.
Ticker Security ID: Meeting Date Meeting Status
LOW CUSIP 548661107 05/31/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Raul Alvarez Mgmt For For For
1.2 Elect David W. Bernauer Mgmt For For For
1.3 Elect Leonard L. Berry Mgmt For For For
1.4 Elect Peter C. Browning Mgmt For For For
1.5 Elect Richard W. Mgmt For For For
Dreiling
1.6 Elect Dawn E. Hudson Mgmt For For For
1.7 Elect Robert L. Johnson Mgmt For For For
1.8 Elect Marshall O. Larsen Mgmt For For For
1.9 Elect Richard K. Mgmt For For For
Lochridge
1.10 Elect Robert A. Niblock Mgmt For For For
1.11 Elect Eric C. Wiseman Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
________________________________________________________________________________
Marathon Oil Corporation
Ticker Security ID: Meeting Date Meeting Status
MRO CUSIP 565849106 04/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gregory H. Boyce Mgmt For For For
2 Elect Pierre R. Brondeau Mgmt For For For
3 Elect Clarence P. Mgmt For For For
Cazalot,
Jr.
4 Elect Linda Z. Cook Mgmt For For For
5 Elect Shirley A. Jackson Mgmt For For For
6 Elect Philip Lader Mgmt For For For
7 Elect Michael E.J. Mgmt For For For
Phelps
8 Elect Dennis H. Reilley Mgmt For For For
9 Ratification of Auditor Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
Marathon Petroleum Corp.
Ticker Security ID: Meeting Date Meeting Status
MPC CUSIP 56585A102 04/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect B. Evan Bayh III Mgmt For For For
1.2 Elect William L. Davis, Mgmt For For For
III
1.3 Elect Thomas J. Usher Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Repeal of Classified Mgmt For For For
Board
________________________________________________________________________________
Mckesson Corporation
Ticker Security ID: Meeting Date Meeting Status
MCK CUSIP 58155Q103 07/25/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Andy Bryant Mgmt For For For
2 Elect Wayne Budd Mgmt For For For
3 Elect John Hammergren Mgmt For For For
4 Elect Alton Irby III Mgmt For For For
5 Elect M. Christine Mgmt For For For
Jacobs
6 Elect Marie Knowles Mgmt For For For
7 Elect David Lawrence Mgmt For For For
8 Elect Edward Mueller Mgmt For For For
9 Elect Jane Shaw Mgmt For For For
10 Ratification of Auditor Mgmt For For For
11 Advisory Vote on Mgmt For Against Against
Executive
Compensation
12 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
13 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Compensation
in the Event of a
Change in
Control
________________________________________________________________________________
Merck & Co., Inc.
Ticker Security ID: Meeting Date Meeting Status
MRK CUSIP 58933Y105 05/28/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Leslie A. Brun Mgmt For For For
2 Elect Thomas R. Cech Mgmt For For For
3 Elect Kenneth C. Frazier Mgmt For For For
4 Elect Thomas H. Glocer Mgmt For For For
5 Elect William B. Mgmt For For For
Harrison,
Jr.
6 Elect C. Robert Kidder Mgmt For For For
7 Elect Rochelle B. Mgmt For For For
Lazarus
8 Elect Carlos E. Represas Mgmt For For For
9 Elect Patricia F. Russo Mgmt For For For
10 Elect Craig B. Thompson Mgmt For For For
11 Elect Wendell P. Weeks Mgmt For For For
12 Elect Peter C. Wendell Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
and Charitable
Contributions
Report
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Report on
Public Policy
Advocacy
________________________________________________________________________________
National Oilwell Varco, Inc.
Ticker Security ID: Meeting Date Meeting Status
NOV CUSIP 637071101 05/22/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Merrill A. Mgmt For For For
Miller,
Jr.
2 Elect Greg L. Armstrong Mgmt For For For
3 Elect Ben A. Guill Mgmt For For For
4 Elect David D. Harrison Mgmt For For For
5 Elect Roger L. Jarvis Mgmt For For For
6 Elect Eric L. Mattson Mgmt For For For
7 Ratification of Auditor Mgmt For For For
8 Advisory Vote on Mgmt For For For
Executive
Compensation
9 Amendment to the Mgmt For For For
Long-Term Incentive
Plan
10 Approval of the Annual Mgmt For For For
Cash Incentive
Plan
________________________________________________________________________________
Newfield Exploration Company
Ticker Security ID: Meeting Date Meeting Status
NFX CUSIP 651290108 05/02/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Lee K. Boothby Mgmt For For For
2 Elect Pamela J. Gardner Mgmt For For For
3 Elect John R. Kemp III Mgmt For For For
4 Elect Joseph H. Mgmt For For For
Netherland
5 Elect Howard H. Newman Mgmt For For For
6 Elect Thomas G. Ricks Mgmt For For For
7 Elect Juanita F. Romans Mgmt For For For
8 Elect Charles E. Shultz Mgmt For For For
9 Elect Richard K. Mgmt For For For
Stoneburner
10 Elect J. Terry Strange Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Amendment to the 2011 Mgmt For For For
Omnibus Stock
Plan
14 Shareholder Proposal ShrHoldr Against Against For
Regarding
Environmental
Expertise on
Board
________________________________________________________________________________
Newmont Mining Corporation
Ticker Security ID: Meeting Date Meeting Status
NEM CUSIP 651639106 04/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Bruce R. Brook Mgmt For For For
2 Elect J. Kofi Bucknor Mgmt For For For
3 Elect Vincent A. Calarco Mgmt For For For
4 Elect Joseph A. Carrabba Mgmt For For For
5 Elect Noreen Doyle Mgmt For For For
6 Elect Gary J. Goldberg Mgmt For For For
7 Elect Veronica M. Hagen Mgmt For For For
8 Elect Jane Nelson Mgmt For For For
9 Elect Donald C. Roth Mgmt For For For
10 Elect Simon R. Thompson Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 2013 Stock Incentive Mgmt For For For
Plan
14 Performance Pay Plan Mgmt For For For
________________________________________________________________________________
News Corporation
Ticker Security ID: Meeting Date Meeting Status
NWS CUSIP 65248E104 06/11/2013 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Certificate Amendment Mgmt For For For
Regarding Separation
Transactions
2 Certificate Amendment Mgmt For For For
Regarding Non-Cash
Distributions
________________________________________________________________________________
NextEra Energy, Inc.
Ticker Security ID: Meeting Date Meeting Status
NEE CUSIP 65339F101 05/23/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Sherry S. Barrat Mgmt For For For
2 Elect Robert M. Beall II Mgmt For For For
3 Elect James L. Camaren Mgmt For For For
4 Elect Kenneth B. Dunn Mgmt For For For
5 Elect Lewis Hay, III Mgmt For For For
6 Elect Toni Jennings Mgmt For For For
7 Elect James L. Robo Mgmt For For For
8 Elect Rudy E. Schupp Mgmt For For For
9 Elect John L. Skolds Mgmt For For For
10 Elect William H. Swanson Mgmt For For For
11 Elect Michael H. Thaman Mgmt For For For
12 Elect Hansel E. Tookes Mgmt For For For
II
13 Ratification of Auditor Mgmt For For For
14 Approval of the Mgmt For For For
Material Terms under
the 2013 Executive
Annual Incentive
Plan
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Shareholder Regarding ShrHoldr Against Against For
Nuclear Fuel Storage
and
Safety
________________________________________________________________________________
Oracle Corporation
Ticker Security ID: Meeting Date Meeting Status
ORCL CUSIP 68389X105 11/07/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jeffrey Berg Mgmt For For For
1.2 Elect H. Raymond Bingham Mgmt For For For
1.3 Elect Michael Boskin Mgmt For For For
1.4 Elect Safra Catz Mgmt For For For
1.5 Elect Bruce Chizen Mgmt For For For
1.6 Elect George Conrades Mgmt For For For
1.7 Elect Lawrence Ellison Mgmt For For For
1.8 Elect Hector Mgmt For For For
Garcia-Molina
1.9 Elect Jeffrey Henley Mgmt For For For
1.10 Elect Mark Hurd Mgmt For For For
1.11 Elect Donald Lucas Mgmt For For For
1.12 Elect Naomi Seligman Mgmt For For For
2 Advisory Vote on Mgmt For Against Against
Executive
Compensation
3 Amendment to the 1993 Mgmt For For For
Directors' Stock
Plan
4 Ratification of Auditor Mgmt For For For
5 Shareholder Proposal ShrHoldr Against Against For
Regarding the Use of
Multiple Metrics for
Executive Performance
Measures
6 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
7 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
8 Shareholder Proposal ShrHoldr Against Against For
Regarding Compensation
in the Event of a
Change in
Control
________________________________________________________________________________
Parker-Hannifin Corporation
Ticker Security ID: Meeting Date Meeting Status
PH CUSIP 701094104 10/24/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Robert Bohn Mgmt For For For
1.2 Elect Linda Harty Mgmt For For For
1.3 Elect William Kassling Mgmt For For For
1.4 Elect Robert Kohlhepp Mgmt For For For
1.5 Elect Klaus-Peter Muller Mgmt For For For
1.6 Elect Candy Obourn Mgmt For For For
1.7 Elect Joseph Scaminace Mgmt For For For
1.8 Elect Wolfgang Schmitt Mgmt For For For
1.9 Elect Ake Svensson Mgmt For For For
1.10 Elect James Wainscott Mgmt For For For
1.11 Elect Donald Washkewicz Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Amendment to the 2009 Mgmt For For For
Omnibus Stock
Incentive
Plan
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
________________________________________________________________________________
Patterson-UTI Energy, Inc.
Ticker Security ID: Meeting Date Meeting Status
PTEN CUSIP 703481101 06/05/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Mark S. Siegel Mgmt For For For
1.2 Elect Kenneth N. Berns Mgmt For For For
1.3 Elect Charles O. Buckner Mgmt For For For
1.4 Elect Michael W. Conlon Mgmt For For For
1.5 Elect Curtis W. Huff Mgmt For For For
1.6 Elect Terry H. Hunt Mgmt For For For
1.7 Elect Cloyce A. Talbott Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
PBF Energy Inc.
Ticker Security ID: Meeting Date Meeting Status
PBF CUSIP 69318G106 05/21/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Thomas D. O'Malley Mgmt For For For
2 Elect Spencer Abraham Mgmt For For For
3 Elect Jefferson F. Allen Mgmt For For For
4 Elect Martin J. Brand Mgmt For For For
5 Elect Timothy H. Day Mgmt For For For
6 Elect David I. Foley Mgmt For For For
7 Elect Dennis M. Houston Mgmt For For For
8 Elect Edward F. Kosnik Mgmt For For For
9 Elect Neil A. Wizel Mgmt For For For
10 Ratification of Auditor Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Frequency of Advisory Mgmt 3 Years 1 Year Against
Vote on Executive
Compensation
________________________________________________________________________________
Pfizer Inc.
Ticker Security ID: Meeting Date Meeting Status
PFE CUSIP 717081103 04/25/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Dennis A. Ausiello Mgmt For For For
2 Elect M. Anthony Burns Mgmt For For For
3 Elect W. Don Cornwell Mgmt For For For
4 Elect Frances D. Mgmt For For For
Fergusson
5 Elect William H. Gray, Mgmt For For For
III
6 Elect Helen H. Hobbs Mgmt For For For
7 Elect Constance J. Mgmt For For For
Horner
8 Elect James M. Kilts Mgmt For For For
9 Elect George A. Lorch Mgmt For For For
10 Elect Suzanne Nora Mgmt For For For
Johnson
11 Elect Ian C. Read Mgmt For For For
12 Elect Stephen W. Sanger Mgmt For For For
13 Elect Marc Mgmt For For For
Tessier-Lavigne
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
________________________________________________________________________________
PG&E Corporation
Ticker Security ID: Meeting Date Meeting Status
PCG CUSIP 69331C108 05/06/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David R. Andrews Mgmt For For For
2 Elect Lewis Chew Mgmt For For For
3 Elect C. Lee Cox Mgmt For For For
4 Elect Anthony F. Mgmt For For For
Earley,
Jr.
5 Elect Fred J. Fowler Mgmt For For For
6 Elect Maryellen C. Mgmt For For For
Herringer
7 Elect Roger H. Kimmel Mgmt For For For
8 Elect Richard A. Meserve Mgmt For For For
9 Elect Forrest E. Miller Mgmt For For For
10 Elect Rosendo G. Parra Mgmt For For For
11 Elect Barbara L. Rambo Mgmt For For For
12 Elect Barry Lawson Mgmt For For For
Williams
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
________________________________________________________________________________
Philip Morris International Inc.
Ticker Security ID: Meeting Date Meeting Status
PM CUSIP 718172109 05/08/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Harold Brown Mgmt For For For
2 Elect Mathis Mgmt For For For
Cabiallavetta
3 Elect Andre Mgmt For For For
Calantzopoulos
4 Elect Louis Camilleri Mgmt For For For
5 Elect J. Dudley Fishburn Mgmt For For For
6 Elect Jennifer Li Mgmt For For For
7 Elect Graham Mackay Mgmt For For For
8 Elect Sergio Marchionne Mgmt For For For
9 Elect Kalpana Morparia Mgmt For For For
10 Elect Lucio Noto Mgmt For For For
11 Elect Robert Polet Mgmt For For For
12 Elect Carlos Slim Helu Mgmt For For For
13 Elect Stephen Wolf Mgmt For For For
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Phillips 66
Ticker Security ID: Meeting Date Meeting Status
PSX CUSIP 718546104 05/08/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Greg C. Garland Mgmt For For For
2 Elect John E. Lowe Mgmt For For For
3 Ratification of Auditor Mgmt For For For
4 2013 Omnibus Stock and Mgmt For For For
Performance Incentive
Plan
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Prudential Financial, Inc.
Ticker Security ID: Meeting Date Meeting Status
PRU CUSIP 744320102 05/14/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Thomas J. Mgmt For For For
Baltimore
Jr.
2 Elect Gordon M. Bethune Mgmt For For For
3 Elect Gaston Caperton Mgmt For For For
4 Elect Gilbert F. Mgmt For For For
Casellas
5 Elect James G. Cullen Mgmt For For For
6 Elect William H. Gray, Mgmt For For For
III
7 Elect Mark B. Grier Mgmt For For For
8 Elect Constance J. Mgmt For For For
Horner
9 Elect Martina Mgmt For For For
Hund-Mejean
10 Elect Karl J. Krapek Mgmt For For For
11 Elect Christine A. Poon Mgmt For For For
12 Elect John R. Strangfeld Mgmt For For For
13 Elect James A. Unruh Mgmt For For For
14 Ratification of Auditor Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to Act
by Written
Consent
________________________________________________________________________________
PVH Corp.
Ticker Security ID: Meeting Date Meeting Status
PVH CUSIP 693656100 06/20/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Mary Baglivo Mgmt For For For
2 Elect Emanuel Chirico Mgmt For For For
3 Elect Juan R. Figuereo Mgmt For For For
4 Elect Joseph B. Fuller Mgmt For For For
5 Elect Fred Gehring Mgmt For For For
6 Elect Margaret L. Mgmt For For For
Jenkins
7 Elect Bruce Maggin Mgmt For For For
8 Elect V. James Marino Mgmt For For For
9 Elect Helen McCluskey Mgmt For For For
10 Elect Henry Nasella Mgmt For For For
11 Elect Rita M. Rodriguez Mgmt For For For
12 Elect Craig W. Rydin Mgmt For For For
13 Approval of the Mgmt For For For
Material Terms under
the Performance
Incentive Bonus
Plan
14 Approval of the Mgmt For For For
Material Terms under
the Long-Term
Incentive
Plan
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Teradata Corporation
Ticker Security ID: Meeting Date Meeting Status
TDC CUSIP 88076W103 04/30/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Edward P. Boykin Mgmt For For For
2 Elect Cary T. Fu Mgmt For For For
3 Elect Victor L. Lund Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Ratification of Auditor Mgmt For For For
6 Shareholder Proposal ShrHoldr For For For
Regarding
Declassification of
the
Board
________________________________________________________________________________
The Dow Chemical Company
Ticker Security ID: Meeting Date Meeting Status
DOW CUSIP 260543103 05/09/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Arnold A. Allemang Mgmt For For For
2 Elect Ajay S. Banga Mgmt For For For
3 Elect Jacqueline K. Mgmt For For For
Barton
4 Elect James A. Bell Mgmt For For For
5 Elect Jeff M. Fettig Mgmt For For For
6 Elect Andrew N. Liveris Mgmt For For For
7 Elect Paul Polman Mgmt For For For
8 Elect Dennis H. Reilley Mgmt For For For
9 Elect James M. Ringler Mgmt For For For
10 Elect Ruth G. Shaw Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Shareholder Proposal ShrHoldr Against Against For
Regarding Retention of
Shares Until
Retirement
________________________________________________________________________________
The PNC Financial Services Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
PNC CUSIP 693475105 04/23/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard Berndt Mgmt For For For
2 Elect Charles Bunch Mgmt For For For
3 Elect Paul Chellgren Mgmt For For For
4 Elect William Demchak Mgmt For For For
5 Elect Kay Coles James Mgmt For For For
6 Elect Richard Kelson Mgmt For For For
7 Elect Bruce Lindsay Mgmt For For For
8 Elect Anthony Massaro Mgmt For For For
9 Elect Jane Pepper Mgmt For For For
10 Elect James Rohr Mgmt For For For
11 Elect Donald Shepard Mgmt For For For
12 Elect Lorene Steffes Mgmt For For For
13 Elect Dennis Strigl Mgmt For For For
14 Elect Thomas Usher Mgmt For For For
15 Elect George Walls, Jr. Mgmt For For For
16 Elect Helge Wehmeier Mgmt For For For
17 Ratification of Auditor Mgmt For For For
18 Advisory Vote on Mgmt For For For
Executive
Compensation
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Lending
Portfolio Exposure to
Climate Change
Risk
________________________________________________________________________________
The TJX Companies, Inc.
Ticker Security ID: Meeting Date Meeting Status
TJX CUSIP 872540109 06/11/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Zein Abdalla Mgmt For For For
2 Elect Jose B. Alvarez Mgmt For For For
3 Elect Alan M. Bennett Mgmt For For For
4 Elect Bernard Cammarata Mgmt For For For
5 Elect David T. Ching Mgmt For For For
6 Elect Michael F. Hines Mgmt For For For
7 Elect Amy B. Lane Mgmt For For For
8 Elect Dawn G. Lepore Mgmt For For For
9 Elect Carol Meyrowitz Mgmt For For For
10 Elect John F. O'Brien Mgmt For For For
11 Elect Willow B. Shire Mgmt For For For
12 Ratification of Auditor Mgmt For For For
13 Amendment to the Stock Mgmt For For For
Incentive
Plan
14 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Thermo Fisher Scientific Inc.
Ticker Security ID: Meeting Date Meeting Status
TMO CUSIP 883556102 05/22/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect C. Martin Harris Mgmt For For For
2 Elect Judy C. Lewent Mgmt For For For
3 Elect Jim P. Manzi Mgmt For For For
4 Elect Lars R. Sorenson Mgmt For For For
5 Elect Elaine S. Ullian Mgmt For For For
6 Elect Marc N. Casper Mgmt For For For
7 Elect Nelson J. Chai Mgmt For For For
8 Elect Tyler Jacks Mgmt For For For
9 Advisory Vote on Mgmt For For For
Executive
Compensation
10 2013 Stock Incentive Mgmt For For For
Plan
11 2013 Annual Incentive Mgmt For For For
Award
Plan
12 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Towers Watson & Co.
Ticker Security ID: Meeting Date Meeting Status
TW CUSIP 891894107 11/16/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Victor Ganzi Mgmt For For For
2 Elect John Haley Mgmt For For For
3 Elect Leslie Heisz Mgmt For For For
4 Elect Brendan O'Neill Mgmt For For For
5 Elect Linda Rabbitt Mgmt For For For
6 Elect Gilbert Ray Mgmt For For For
7 Elect Paul Thomas Mgmt For For For
8 Elect Wilhelm Zeller Mgmt For For For
9 Ratification of Auditor Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
TRW Automotive Holdings Corp.
Ticker Security ID: Meeting Date Meeting Status
TRW CUSIP 87264S106 05/14/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jody G. Miller Mgmt For For For
1.2 Elect John C. Plant Mgmt For For For
1.3 Elect Neil P. Simpkins Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
United Continental Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
UAL CUSIP 910047109 06/12/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Carolyn Corvi Mgmt For For For
1.2 Elect Jane C. Garvey Mgmt For For For
1.3 Elect Walter Isaacson Mgmt For For For
1.4 Elect Henry L. Meyer III Mgmt For For For
1.5 Elect Oscar Munoz Mgmt For For For
1.6 Elect Laurence E. Mgmt For For For
Simmons
1.7 Elect Jeffery A. Smisek Mgmt For For For
1.8 Elect David J. Vitale Mgmt For For For
1.9 Elect John H. Walker Mgmt For For For
1.10 Elect Charles A. Mgmt For For For
Yamarone
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Approval of Material Mgmt For For For
Terms Under the 2008
Incentive Compensation
Plan
5 Approval of Material Mgmt For For For
Terms Under the 2010
Incentive
Plan
6 Right to Call a Special Mgmt For For For
Meeting
________________________________________________________________________________
United Technologies Corporation
Ticker Security ID: Meeting Date Meeting Status
UTX CUSIP 913017109 04/29/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Louis Chenevert Mgmt For For For
2 Elect John V. Faraci Mgmt For For For
3 Elect Jean-Pierre Mgmt For For For
Garnier
4 Elect Jamie S. Gorelick Mgmt For For For
5 Elect Edward A. Kangas Mgmt For For For
6 Elect Ellen J. Kullman Mgmt For For For
7 Elect Marshall O. Larsen Mgmt For For For
8 Elect Harold W. McGraw Mgmt For For For
III
9 Elect Richard B. Myers Mgmt For For For
10 Elect H. Patrick Swygert Mgmt For For For
11 Elect Andre Villeneuve Mgmt For For For
12 Elect Christine Todd Mgmt For For For
Whitman
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
UnitedHealth Group Incorporated
Ticker Security ID: Meeting Date Meeting Status
UNH CUSIP 91324P102 06/03/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect William C. Mgmt For For For
Ballard,
Jr.
2 Elect Edson Bueno Mgmt For For For
3 Elect Richard T. Burke Mgmt For For For
4 Elect Robert J. Darretta Mgmt For For For
5 Elect Stephen J. Hemsley Mgmt For For For
6 Elect Michele J. Hooper Mgmt For For For
7 Elect Rodger A. Lawson Mgmt For For For
8 Elect Douglas W. Mgmt For For For
Leatherdale
9 Elect Glenn M. Renwick Mgmt For For For
10 Elect Kenneth I. Shine Mgmt For For For
11 Elect Gail R. Wilensky Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
________________________________________________________________________________
VeriSign, Inc.
Ticker Security ID: Meeting Date Meeting Status
VRSN CUSIP 92343E102 05/23/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect D. James Bidzos Mgmt For For For
2 Elect William L. Mgmt For For For
Chenevich
3 Elect Kathleen A. Cote Mgmt For For For
4 Elect Roger H. Moore Mgmt For For For
5 Elect John D. Roach Mgmt For For For
6 Elect Louis A. Simpson Mgmt For For For
7 Elect Timothy Tomlinson Mgmt For For For
8 Advisory Vote on Mgmt For For For
Executive
Compensation
9 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Visa Inc.
Ticker Security ID: Meeting Date Meeting Status
V CUSIP 92826C839 01/30/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gary Coughlan Mgmt For For For
2 Elect Mary Cranston Mgmt For For For
3 Elect Francisco Javier Mgmt For For For
Fernandez
Carbajal
4 Elect Robert Matschullat Mgmt For For For
5 Elect Cathy Minehan Mgmt For For For
6 Elect Suzanne Nora Mgmt For For For
Johnson
7 Elect David Pang Mgmt For For For
8 Elect Joseph Saunders Mgmt For For For
9 Elect Charles Scharf Mgmt For For For
10 Elect William Shanahan Mgmt For For For
11 Elect John Swainson Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Expenditures
________________________________________________________________________________
Wells Fargo & Company
Ticker Security ID: Meeting Date Meeting Status
WFC CUSIP 949746101 04/23/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect John D. Baker II Mgmt For For For
2 Elect Elaine L. Chao Mgmt For For For
3 Elect John S. Chen Mgmt For For For
4 Elect Lloyd H. Dean Mgmt For For For
5 Elect Susan E. Engel Mgmt For For For
6 Elect Enrique Mgmt For For For
Hernandez,
Jr.
7 Elect Donald M. James Mgmt For For For
8 Elect Cynthia H. Mgmt For For For
Milligan
9 Elect Federico F. Pena Mgmt For For For
10 Elect Howard V. Mgmt For For For
Richardson
11 Elect Judith M. Runstad Mgmt For For For
12 Elect Stephen W. Sanger Mgmt For For For
13 Elect John G. Stumpf Mgmt For For For
14 Elect Susan G. Swenson Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Approve the Company's Mgmt For For For
Amended and Restated
Long-Term Incentive
Compensation
Plan
17 Ratification of Auditor Mgmt For For For
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
20 Shareholder Proposal ShrHoldr Against Against For
Regarding
Discriminitory
Mortgage Servicing and
Foreclosure
Practices
________________________________________________________________________________
Xcel Energy Inc.
Ticker Security ID: Meeting Date Meeting Status
XEL CUSIP 98389B100 05/22/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Gail K. Boudreaux Mgmt For For For
2 Elect Fredric W. Mgmt For For For
Corrigan
3 Elect Richard K. Davis Mgmt For For For
4 Elect Benjamin G.S. Mgmt For For For
Fowke
III
5 Elect Albert F. Moreno Mgmt For For For
6 Elect Richard T. O'Brien Mgmt For For For
7 Elect Christopher J. Mgmt For For For
Policinski
8 Elect A. Patricia Mgmt For For For
Sampson
9 Elect James J. Sheppard Mgmt For For For
10 Elect David A. Mgmt For For For
Westerlund
11 Elect Kim Williams Mgmt For For For
12 Elect Timothy V. Wolf Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
________________________________________________________________________________
Xilinx, Inc.
Ticker Security ID: Meeting Date Meeting Status
XLNX CUSIP 983919101 08/08/2012 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Philip Gianos Mgmt For For For
2 Elect Moshe Gavrielov Mgmt For For For
3 Elect John Doyle Mgmt For For For
4 Elect Jerald Fishman Mgmt For For For
5 Elect William Howard, Mgmt For For For
Jr.
6 Elect J. Michael Mgmt For For For
Patterson
7 Elect Albert Pimentel Mgmt For For For
8 Elect Marshall Turner, Mgmt For For For
Jr.
9 Elect Elizabeth Mgmt For For For
Vanderslice
10 Amendment to the 1990 Mgmt For For For
Employee Qualified
Stock Purchase
Plan
11 Amendment to the 2007 Mgmt For For For
Equity Incentive
Plan
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Zions Bancorporation
Ticker Security ID: Meeting Date Meeting Status
ZION CUSIP 989701107 05/24/2013 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Jerry Atkin Mgmt For For For
2 Elect R. Cash Mgmt For For For
3 Elect Patricia Frobes Mgmt For For For
4 Elect J. David Heaney Mgmt For For For
5 Elect Roger Porter Mgmt For For For
6 Elect Stephen Quinn Mgmt For For For
7 Elect Harris Simmons Mgmt For For For
8 Elect L. Simmons Mgmt For For For
9 Elect Shelley Thomas Mgmt For For For
Williams
10 Elect Steven Wheelwright Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chairman
CLOUGH CHINA FUND
Vote Summary
LENOVO GROUP LTD
Security Y5257Y107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 03-Jul-2012
ISIN HK0992009065 Agenda 703878011 - Management
Record Date 28-Jun-2012 Holding Recon Date 28-Jun-2012
City / Country HONG KONG / Hong Kong Vote Deadline Date 26-Jun-2012
SEDOL(s) 5924279-6218089-B01DLP9 -B175X83 Quick Code
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0531/LTN20120531246.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
1 To receive and consider the audited accounts for the year ended March 31, 2012 Management For For
together with the reports of the directors and auditor thereon
2 To declare a final dividend for the issued ordinary shares for the year ended March 31, Management For For
2012
3(a) To re-elect Mr. Zhao John Huan as director Management For For
3(b) To re-elect Mr. Nobuyuki Idei as director Management For For
3(c) To re-elect Mr. Zhu Linan as director Management For For
3(d) To re-elect Ms. Ma Xuezheng as director Management For For
3(e) To re-elect Mr. Ting Lee Sen as director Management For For
3(f) To re-elect Mr. William O. Grabe as director Management For For
3(g) To authorize the board of directors to fix directors' fees Management For For
4 To re-appoint PricewaterhouseCoopers as auditor and authorize the board of directors Management For For
to fix auditor's remuneration
5 Ordinary Resolution - To grant a general mandate to the directors to allot, issue and Management For For
deal with additional ordinary shares not exceeding 20% of the aggregate nominal
amount of the issued ordinary share capital of the Company
6 Ordinary Resolution - To grant a general mandate to the directors to repurchase Management For For
ordinary shares not exceeding 10% of the aggregate nominal amount of the issued
ordinary share capital of the Company
7 Ordinary Resolution - To extend the general mandate to the directors to issue new Management For For
ordinary shares of the Company by adding the number of the shares repurchased
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,000,000 0 26-Jun-2012 28-Jun-2012
CHINA
FUND
CHINA LIFE INSURANCE CO LTD
Security Y1477R204 Meeting Type ExtraOrdinary General Meeting
Ticker Symbol Meeting Date 10-Jul-2012
ISIN CNE1000002L3 Agenda 703943109 - Management
Record Date 08-Jun-2012 Holding Recon Date 08-Jun-2012
City / Country BEIJING / China Vote Deadline Date 28-Jun-2012
SEDOL(s) 6718976- B02W3K4- B06KKF8 Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 992492 Non-Voting
DUE TO RECEIPT OF ADDITIONAL RESOLUTIONS. ALL VOTES
RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND
YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK
YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0524/LTN20120524197.pdf AND http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/0620/LTN20120620191.pdf
1 To consider and approve the election of Mr. Yang Mingsheng as an executive Management For For
director of the fourth session of the board of directors of the company
2 To consider and approve the election of Mr. Wan Feng as an executive director of Management For For
the fourth session of the board of directors of the company
3 To consider and approve the election of Mr. Lin Dairen as an executive director of Management For For
the fourth session of the board of directors of the company
4 To consider and approve the election of Ms. Liu Yingqi as an executive director of Management For For
the fourth session of the board of directors of the company
5 To consider and approve the election of Mr. Miao Jianmin as a non-executive Management For For
director of the fourth session of the board of directors of the company
6 To consider and approve the election of Mr. Zhang Xiangxian as a non-executive Management For For
director of the fourth session of the board of directors of the company
7 To consider and approve the election of Mr. Wang Sidong as a non-executive Management For For
director of the fourth session of the board of directors of the company
8 To consider and approve the election of Mr. Sun Changji as an independent Management For For
director of the fourth session of the board of directors of the company
9 To consider and approve the election of Mr. Bruce Douglas Moore as an Management For For
independent director of the fourth session of the board of directors of the company
10 To consider and approve the election of Mr. Anthony Francis Neoh as an Management For For
independent director of the fourth session of the board of directors of the company
11 To consider and approve the election of Ms. Xia Zhihua as a shareholder Management For For
representative supervisor of the fourth session of the supervisory committee of the
company
12 To consider and approve the election of Mr. Shi Xiangming as a shareholder Management For For
representative supervisor of the fourth session of the supervisory committee of the
company
13 To consider and approve the election of Mr. Tang Jianbang as an Independent Director of Management For For
the fourth session of the Board of Directors of the Company
14 To consider and approve the election of Mr. Luo Zhongmin as an External Supervisor of Management For For
the fourth session of the Supervisory Committee of the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 153,000 0 26-Jun-2012 29-Jun-2012
CHINA
FUND
VTECH HOLDINGS LTD, HAMILTON
Security G9400S132 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 13-Jul-2012
ISIN BMG9400S1329 Agenda 703910186 - Management
Record Date 09-Jul-2012 Holding Recon Date 09-Jul-2012
City / Country HONG KONG / Bermuda Vote Deadline Date 10-Jul-2012
SEDOL(s) 6928560 - B02V635 - Quick Code
B1BJHN4
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0608/LTN20120608259.pdf
1 To receive and consider the audited financial statements and the reports of the directors Management For For
of the Company (''Directors'') and the auditor of the Company (''Auditor'') for the
year ended 31 March 2012
2 To consider and declare a final dividend in respect of the year ended 31 March 2012 Management For For
3.a To re-elect Dr. Allan Wong Chi Yun as Director Management For For
3.b To re-elect Dr. William Fung Kwok Lun as Director Management For For
3.c To re-elect Mr. Denis Morgie Ho Pak Cho as Director Management For For
3.d To fix the remuneration of the Directors Management For For
4 To re-appoint KPMG as the Auditor and authorise the board of Directors to fix their Management For For
remuneration
5 To grant a general mandate to the Directors to repurchase shares representing up to Management For For
10% of the issued share capital of the Company at the date of the Annual General
Meeting
6 To grant a general mandate to the Directors to allot, issue and deal with additional Management For For
shares representing up to 10% of the issued share capital of the Company at the date of
the Annual General Meeting
7 To extend the general mandate granted to the Directors to allot, issue and deal with Management For For
additional shares by the addition of such number of shares to be repurchased by the
Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 280,600 0 26-Jun-2012 11-Jul-2012
CHINA
FUND
TEXWINCA HOLDINGS LTD
Security G8770Z106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 09-Aug-2012
ISIN BMG8770Z1068 Agenda 703961967 - Management
Record Date 03-Aug-2012 Holding Recon Date 03-Aug-2012
City / Country HONG KONG / Bermuda Vote Deadline Date 06-Aug-2012
SEDOL(s) 5951545 - 6039558 - Quick Code
B02V5W7
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0711/LTN20120711334.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the Audited Consolidated Financial Statements, the Report of Management For For
the Directors and the Independent Auditors' Report for the year ended 31 March 2012
2 To declare a final dividend Management For For
3.a.1 To re-elect Director: Mr. Poon Bun Chak Management For For
3.a.2 To re-elect Director: Mr. Poon Kei Chak Management For For
3.a.3 To re-elect Director: Mr. Poon Kai Chak Management For For
3.a.4 To re-elect Director: Mr. Ting Kit Chung Management For For
3.a.5 To re-elect Director: Mr. Poon Ho Wa Management For For
3.a.6 To re-elect Director: Mr. Au Son Yiu Management For For
3.a.7 To re-elect Director: Mr. Cheng Shu Wing Management For For
3.a.8 To re-elect Director: Mr. Law Brian Chung Nin Management For For
3.b To authorise the Board of Directors to fix the Directors' remuneration Management For For
4 To appoint Auditors and to authorise the Board of Directors to fix their remuneration Management For For
5 To grant a general mandate to the Directors to repurchase the Company's shares not exceeding Management For For
10% of the issued share capital of the Company as at the date of this resolution
6 To grant a general mandate to the Directors to allot, issue and deal with additional shares of the Management For For
Company not exceeding 20% of the issued share capital of the Company as at the date of this
resolution
7 To extend the general mandate granted to the Directors to issue additional shares of the Management For For
Company by the aggregate nominal amount of the shares repurchased by the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 574,000 0 20-Jul-2012 07-Aug-2012
CHINA
FUND
SA SA INTERNATIONAL HOLDINGS LTD
Security G7814S102 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-Aug-2012
ISIN KYG7814S1021 Agenda 703960232 - Management
Record Date 21-Aug-2012 Holding Recon Date 21-Aug-2012
City / Country HONG KONG / Cayman Vote Deadline Date 20-Aug-2012
Islands
SEDOL(s) 6003401 - B054NY1 Quick Code
-B1BJS31
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/0709/LTN20120709497.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the audited consolidated financial statements and the reports of Management For For
the directors and auditors for the year ended 31 March 2012
2 To consider and declare a final dividend and a special dividend for the year ended 31 Management For For
March 2012
3.1.a To re-elect the following retiring director as independent non-executive director of the Management For For
Company: Ms Ki Man Fung Leonie
3.1.b To re-elect the following retiring director as independent non-executive director of the Management For For
Company: Mr Tan Wee Seng
3.2 To authorise the board of directors (the "Board") to fix the remuneration of the Management For For
aforesaid directors
4 To re-appoint PricewaterhouseCoopers as auditors of the Company and to authorise the Management For For
Board to fix their remuneration
5.1 To grant a general mandate to the directors to issue additional shares of the Company Management For For
5.2 To grant a general mandate to the directors to purchase shares of the Company Management For For
5.3 To add the aggregate nominal amount of shares which are purchased or otherwise Management For For
acquired under the general mandate granted to the directors pursuant to Ordinary
Resolution No. 5(2) to the aggregate nominal amount of the shares which may be
issued under the general mandate in Ordinary Resolution No. 5(1)
6.1 To adopt the new share option scheme of the Company Management For For
6.2 To terminate the 2002 Share Option Scheme of the Company Management For For
7.1 To approve the amendments to Clauses 2, 4, 6 and 7 of the memorandum of association Management For For
of the Company
7.2 To approve the amendments to the Table of Contents and articles 2, 3, 4, 6, 7, 9, 10, 14, Management For For
15, 16, 18, 20, 31, 37, 38, 43, 44, 63, 70, 72, 73, 75, 78, 80, 81, 82, 83, 84, 85, 92, 93,
96, 98, 100, 106, 107, 116, 120, 122, 126, 133, 136, 137, 143, 146, 155, 157, 163, 165,
169, 172, 182 and 183 of the articles of association of the Company
7.3 Conditional on the passing of Special Resolutions No. 7(1) & 7(2), to adopt the Management For For
amended and restated memorandum and articles of association of the Company as the
new memorandum and articles of association of the Company
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE
DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,698,000 0 11-Jul-2012 21-Aug-2012
CHINA
FUND
STELUX HOLDINGS INTERNATIONAL LTD (INCORPORATED IN
Security G8465C107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-Aug-2012
ISIN BMG8465C1073 Agenda 703978772 - Management
Record Date 17-Aug-2012 Holding Recon Date 17-Aug-2012
City / Country HONG KONG / Bermuda Vote Deadline Date 20-Aug-2012
SEDOL(s) 6864448 - B1HJFK1 Quick Code
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/SEH K/
2012/0719/LTN20120719354.PDF
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive, consider and adopt the audited financial statements of the Company and the Management For For
reports of the Directors and auditors thereon for the year ended 31st March, 2012
2A To declare a final dividend for the year ended 31st March, 2012 Management For For
2B To declare a special dividend for the year ended 31st March, 2012 Management For For
3A To re-elect Mr. Sakorn Kanjanapas as director Management For For
3B To re-elect Mr. Vincent Lau Tak Bui as director Management For For
3C To fix the maximum number of directors Management For For
3D To fix the directors' fees (including any new director who may be appointed) for the ensuing Management For For
year
4 To consider and, if thought fit, re-appoint PricewaterhouseCoopers as auditors of the Company Management For For
to hold office from the conclusion of the meeting until the conclusion of the next Annual
General Meeting of the Company and to authorise the directors to fix their remuneration
5A To approve a bonus issue of shares Management For For
5B To give a general mandate to the directors to repurchase shares not exceeding 10% of the Management For For
issued share capital of the Company
5C To give a general mandate to the directors to issue additional shares not exceeding 20% of the Management For For
issued share capital of the Company
5D To extend the general mandate granted to the directors to issue additional shares Management For For
6 To amend the following Bye-laws of the Company : 78, 79, 81, 108(A)(vii), 109(B)(ii) and 116 Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 3,476,000 0 25-Jul-2012 21-Aug-2012
CHINA
FUND
BOSIDENG INTERNATIONAL HOLDINGS LTD
Security G12652106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-Aug-2012
ISIN KYG126521064 Agenda 703984357 - Management
Record Date 22-Aug-2012 Holding Recon Date 22-Aug-2012
City / Country HONG KONG/Cayman Vote Deadline Date 21-Aug-2012
Islands
SEDOL(s) B24FZ32 - B28GHL3 - Quick Code
B3B7XR8
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/SEH K/
2012/0726/LTN20120726123.pdf
1 To adopt the financial statements and reports of the directors and auditors for the year Management For For
ended March 31, 2012
2 To declare a final dividend of HKD 12 cents per ordinary share Management For For
3.i To re-elect Dr. Kong Shengyuan as an executive director Management For For
3.ii To re-elect Ms. Huang Qiaolian as an executive director Management For For
3.iii To re-elect Mr. Shen Jingwu as a non-executive director Management For For
3.iv To re-elect Mr. Dong Binggen as an independent non-executive director Management For For
3.v To authorise the board of directors to fix the directors' remuneration Management For For
4 To appoint the auditors and to authorise the board of directors to fix the remuneration Management For For
of the auditors
5.A To grant a general mandate to the directors to allot, issue and deal with the shares in Management For For
accordance with ordinary resolution number 5(A) as set out in the notice of the Annual
General Meeting
5.B To grant a general mandate to the directors to repurchase the shares in accordance with Management For For
ordinary resolution number 5(B) as set out in the notice of the Annual General Meeting
5.C Conditional upon ordinary resolutions number 5(A) and 5(B) being passed, to extend Management For For
the general mandate to the directors to allot, issue and deal with additional shares by
the number of shares repurchased in accordance with ordinary resolution number 5(C)
as set out in the notice of the Annual General Meeting
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,022,000 0 08-Aug-2012 24-Aug-2012
CHINA
FUND
CHINA SHENHUA ENERGY COMPANY LTD
Security Y1504C113 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 14-Sep-2012
ISIN CNE1000002R0 Agenda 703987151 - Management
Record Date 14-Aug-2012 Holding Recon Date 14-Aug-2012
City / Country BEIJING / China Vote Deadline Date 05-Sep-2012
SEDOL(s) B09N7M0 - B0CCG94 - Quick Code
B1BJQZ9
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR-RESOLUTION "1". THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/SEH K/
2012/0729/LTN20120729006.pdf-and- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0729/LTN20120729008.pdf
1 To consider and, if thought fit, to approve the following mandate and authorise the Management For For
board of directors of the Company to carry out the following:-(1) To determine the
proposed issue of debt financing instruments of the Company within the limit of
issuance, including but not limited to short-term debentures, medium-term notes, super
short-term commercial papers, corporate bonds and enterprise bonds in domestic
market as well as Renminbi denominated bonds and foreign currency denominated
bonds, etc. in overseas market (excluding convertible bonds that may be converted into
equity securities). (2) To determine and finalise, based on the Company's needs and
market conditions, the specific terms and conditions of and CONTD
CONT CONTD all relevant matters in connection with the proposed issue of debt- Non-Voting
financing instruments, including but not limited to type, principal, interest-rate,
term, issuance timing, targets and use of proceeds of such debt-financing
instruments to be issued within the aforesaid limit and the-production, execution
and disclosure of all necessary documents. (3) To-ensure the gearing ratio (total
liabilities/total assets) based on the-Company's consolidated financial statements
upon completion of each issuance- not exceeding 50%, in addition to the
compliance with the restrictions by the-government and relevant regulatory
authorities on the issuance size of the-debt financing instruments to be issued by
the Company under CONTD
CONT CONTD these authorisations. The gearing ratio is calculated based on the-latest Non-Voting
published (quarterly, interim or annual) financial statements of the-Company prior
to the proposed issue, taking into consideration the amount of-debt financing
instruments issued or repaid at the end of the reporting-period up to the date of the
proposed issue as well as the size of the- proposed issuance. (4) To satisfy the
following criteria for any corporate-bonds to be issued through a domestic
exchange: the principal shall not-exceed RMB50 billion; the term shall not exceed
10 years; and such corporate-bonds may be issued to the Company's shareholders
by way of placing,-arrangement details of which (availability of placing, CONTD
CONT CONTD placing ratio, etc.) shall be determined by the board of directors- Non-Voting
according to market conditions and the terms and conditions of the proposed-
issue. (5) To delegate the mandate to Dr. Ling Wen, the executive director-and
president of the Company, and Ms. Zhang Kehui, the chief financial-officer,
within the scope of this mandate for determining other matters-related to such
issuance and implementing specific measures upon determining-the type,
principal, term and use of proceeds of each issuance of the debt-financing
instruments by the board of directors of the Company. (6) The-mandate and the
authorisations set out in this resolution shall remain-effective within 24 months
commencing from the date on which this resolution-is approved by shareholders at
the general meeting
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 224,000 0 08-Aug-2012 06-Sep-2012
CHINA
FUND
SAMSONITE INTERNATIONAL S.A, LUXEMBOURG
Security L80308106 Meeting Type Ordinary General Meeting
Ticker Symbol Meeting Date 14-Sep-2012
ISIN LU0633102719 Agenda 704024708 - Management
Record Date 11-Sep-2012 Holding Recon Date 11-Sep-2012
City / Country LUXEMBO URG / Vote Deadline Date 07-Sep-2012
Luxembourg
SEDOL(s) B4KW2N0 - Quick Code
B4Q1532 -
B7T3RP2
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY-FOR ALL RESOLUTIONS. THANK YOU.
1 To approve and adopt the rules of the share award scheme pursuant to which the Management For For
Company intends to attract skilled and experienced personnel, to incentivize them to
remain with the Company's group and to motivate them to strive for the future
development and expansion of the Company's group by providing them with the
opportunity to acquire shares in the Company, a copy of which marked "A" is
produced to the meeting and for the purpose of identification signed by the Chairman
thereof (the "Share Award Scheme")
2 To authorize the board of directors of the Company (the "Board") to grant awards of Management For For
options or restricted share units ("RSUs") pursuant to the Share Award Scheme and to
allot and issue shares, direct and procure any professional trustee as may be appointed
by the Company to assist with the administration, exercise and vesting of options and
RSUs to transfer shares and otherwise deal with shares underlying the options and/or
RSUs granted pursuant to the Share Award Scheme as and when they vest or are
exercised (as case may be)
3 To approve the grant of a mandate authorizing the Board to grant awards of RSUs Management For For
pursuant to the Share Award Scheme in respect of a maximum number of new shares
equal to 10 per cent. of the shares in issue as at the date of adoption of the Share Award
Scheme during the period from the date of adoption until the earliest of (a) the
conclusion of the Company's next annual general meeting, (b) the end of the period
within which the Company is required by any applicable law or its articles of
incorporation to hold its next annual general meeting and (c) the date on which the
resolution granting such authorization is varied or revoked by ordinary resolution of the
Shareholders in general meeting (the "Applicable Period") and to allot, issue and deal
with shares underlying the RSUs granted pursuant to the Share Award Scheme during
the Applicable Period as and when such RSUs vest
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 470,100 0 05-Sep-2012 10-Sep-2012
CHINA
FUND
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD
Security Y69790106 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 20-Sep-2012
ISIN CNE1000003X6 Agenda 703989725 - Management
Record Date 20-Aug-2012 Holding Recon Date 20-Aug-2012
City / Country SHENZHE N / China Vote Deadline Date 14-Sep-2012
SEDOL(s) B01FLR7 - B01NLS2 - Quick Code
B03NP99
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/SEH K/
2012/0801/LTN20120801697.pdf
1 To consider and approve "the resolution in relation to the amendment to the Articles of Management For For
Association of the Company" : Article 213
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE
DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- --------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY 212,500 0 08-Aug-2012 12-Sep-2012
CHINA MELLON
FUND
L'OCCITANE INTERNATIONAL SA, LUXEMBOURG
Security L6071D109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 26-Sep-2012
ISIN LU0501835309 Agenda 704027499 - Management
Record Date 20-Sep-2012 Holding Recon Date 20-Sep-2012
City / Country HONG KONG / Luxembourg Vote Deadline Date 21-Sep-2012
SEDOL(s) B3PG229 - B44XWS4 - Quick Code
B573F45
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/SEH K/
2012/0824/LTN20120824032.pdf-AND http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0924/LTN20120924405.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
1 To receive and adopt the statutory accounts and audited consolidated financial statements Management For For
of the Company for the year ended 31 March 2012 and to acknowledge the content of the
reports of the board of directors and the auditors of the Company
2 To declare a final dividend of a total amount of EUR 36.3 million for the year ended 31 Management For For
March 2012
3.I Re-elect the retiring director of the Company for a term of 3 years: Mr. Reinold Geiger Management For For
3.II Re-elect the retiring director of the Company for a term of 3 years: Mr. Emmanuel Laurent Management For For
Jacques Osti
3.III Re-elect the retiring director of the Company for a term of 3 years: Mr. Andre Joseph Management For For
Hoffmann
3.IV Re-elect the retiring director of the Company for a term of 3 years: Mr. Karl Guenard Management For For
3.V Re-elect the retiring director of the Company for a term of 3 years: Mr. Martial Thierry Management For For
Lopez
4.A To give a general mandate to the directors to allot, issue and deal with additional shares not Management For For
exceeding 20% of the issued share capital of the Company
4.B To give a general mandate to the directors to repurchase shares not exceeding 10% of the Management For For
issued share capital of the Company within a price range between HKD 10 and HKD 30
4.C To ratify and approve the repurchase of 6,655,500 shares by the Company during the year Management For For
ended 31 March 2012
4.D To extend the authority given to the directors pursuant to ordinary resolution no. 4(A) to Management For For
issue shares by adding to the issued share capital of the Company the number of shares
repurchased under ordinary resolution no. 4(B)
5 To renew the mandate granted to PricewaterhouseCoopers to act as approved statutory Management For For
auditor of the Company for the financial year ending 31 March 2013
6 To re-appoint PricewaterhouseCoopers as the external auditor of the Company to hold the Management For For
office from the conclusion of the Annual General Meeting until the next annual general
meeting of the Company
7 To approve the remuneration to be granted to certain directors of the Company and to Management For For
authorize the board of directors to implement any subsequent actions which may be
required, including, for the avoidance of doubt, the payment modalities
8 To grant discharge to the directors for the exercise of their mandate during the financial Management For For
year ended 31 March 2012
9 To grant discharge to the statutory auditors PricewaterhouseCoopers for the exercise of Management For For
their mandate during the financial year ended 31 March 2012
10 To approve the remuneration to be granted to PricewaterhouseCoopers as the approved Management For For
statutory auditor of the Company
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF Non-
YOU HAVE A-LREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS Voting
PROXY FORM UNLESS YOU DEC-IDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 717,250 0 05-Sep-2012 24-Sep-2012
CHINA
FUND
ZHAOJIN MINING INDUSTRY COMPANY LTD, BEIJING
Security Y988A6104 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 08-Oct-2012
ISIN CNE1000004R6 Agenda 704024809 - Management
Record Date 07-Sep-2012 Holding Recon Date 07-Sep-2012
City / Country SHANDO NG / China Vote Deadline Date 02-Oct-2012
SEDOL(s) B1H5082 - B1L31Z6 - Quick Code
B1MYPY5
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0822/LTN20120822335.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTION "1". THANK YOU.
1 To consider and approve the proposed issue of short term bonds Management For For
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE
DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 191,500 0 05-Sep-2012 03-Oct-2012
CHINA
FUND
CHINA TELECOM CORP LTD, BEIJING
Security Y1505D102 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 16-Oct-2012
ISIN CNE1000002V2 Agenda 704040500 - Management
Record Date 14-Sep-2012 Holding Recon Date 14-Sep-2012
City / Country BEIJING / China Vote Deadline Date 05-Oct-2012
SEDOL(s) 3226944 - 6559335 - Quick Code 515617000
B01XKW9 -
B06KKC-5B16PQ74
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0830/LTN20120830609.pdf AND http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/0830/LTN20120830363.pd-f
1 Ordinary resolution numbered 1 of the Notice of EGM dated 30 August 2012 (to Management For For
approve the agreement in relation to the acquisition of certain assets and associated
liabilities of the CDMA Network)
2 Ordinary resolution numbered 2 of the Notice of EGM dated 30 August 2012 (to Management For For
approve the continuing connected transactions contemplated under the Engineering
Framework Agreement and the proposed Annual Caps)
3 Ordinary resolution numbered 3 of the Notice of EGM dated 30 August 2012 (to Management For For
approve the continuing connected transactions contemplated under the Ancillary
Telecommunications Services Framework Agreement and the proposed Annual
Caps)
4 Ordinary resolution numbered 4 of the Notice of EGM dated 30 August 2012 (to approve Management For For
the election of Mr. Chen Liangxian as a Director of the Company)
5 Ordinary resolution numbered 5 of the Notice of EGM dated 30 August 2012 (to approve Management For For
the election of Mr. Shao Chunbao as a Supervisor of the Company)
6 Ordinary resolution numbered 6 of the Notice of EGM dated 30 August 2012 (to approve Management For For
the election of Mr. Hu Jing as a Supervisor of the Company)
7.1 Special resolution numbered 7.1 of the Notice of EGM dated 30 August 2012 (to approve Management For For
the amendments to Article 13 of the articles of association of the Company)
7.2 Special resolution numbered 7.2 of the Notice of EGM dated 30 August 2012 (to approve Management For For
the amendments to Article 118 of the articles of association of the Company)
7.3 Special resolution numbered 7.3 of the Notice of EGM dated 30 August 2012 (to authorise Management For For
any Director of the Company to complete registration or fi ling of the amendments to the
articles of association)
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF Non-Voting
YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS
PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,802,000 0 05-Sep-2012 11-Oct-2012
CHINA
FUND
CHINA PETROLEUM & CHEMICAL CORP SINOPEC, BEIJING
Security Y15010104 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 16-Oct-2012
ISIN CNE1000002Q2 Agenda 704064790 - Management
Record Date 07-Sep-2012 Holding Recon Date 07-Sep-2012
City / Country BEIJING / China Vote Deadline Date 09-Oct-2012
SEDOL(s) 6291819 - 7027756 - Quick Code
B01XKR4
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' ONLY-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0826/LTN20120826074.pdf
1 That, as set out in the circular dated 24 August 2012 issued by Sinopec Corp. to its Management For For
shareholders (the "Circular"): (a) the Renewal of Major Continuing Connected
Transactions (including the relevant proposed caps) and the Non-Major Continuing
Connected Transactions (including the relevant proposed caps) for the three years
ending on 31 December 2015 be and are hereby approved; (b) the Continuing
Connected Transactions Third Supplemental Agreement entered into between
Sinopec Corp. (on behalf of itself and its subsidiaries) and China Petrochemical
Corporation (on behalf of itself and members of the Sinopec Group) be and is
hereby approved, ratified and confirmed; (c) Mr. Wang Xinhua, the Chief Financial
Officer of Sinopec Corp., be and is hereby authorized to sign or execute such other
documents or supplemental agreements on behalf of Sinopec Corp. and to take all
such actions pursuant to the relevant board resolutions as necessary or desirable
2 To consider and approve the Zhong Ke Guangdong refinery integration project (the Management For For
"Refinery Project") as set out in the Circular and to authorise Mr. Wang Tianpu,
Vice Chairman of the Board of Directors of Sinopec Corp. and President of
Sinopec Corp. to take all necessary actions in relation to the Refinery Project,
including but not limited to the formulation and execution of all the necessary legal
documents
3 To consider and approve the proposed amendments to the articles of association of Management For For
Sinopec Corp. as set out in the Circular and to authorise the secretary to the Board
of Directors of Sinopec Corp. to, on behalf of Sinopec Corp., deal with all
procedural requirements such as applications, approvals, registrations and filings in
relation to the proposed amendments to the articles of association (including
cosmetic amendments as requested by the regulatory authorities)
Account Account Internal Ballot Unavailable Vote Date
Number Name Account Custodian Shares Shares Date Confirmed
------- ------- -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 675,000 0 26-Sep-2012 10-Oct-2012
CHINA
FUND
HAIER ELECTRONICS GROUP CO LTD
Security G42313125 Meeting Type Special General Meeting
Ticker Symbol Meeting Date 16-Oct-2012
ISIN BMG423131256 Agenda 704068801 - Management
Record Date 15-Oct-2012 Holding Recon 15-Oct-2012
Date
City / Country HONG KONG / Bermuda Vote Deadline 11-Oct-2012
Date
SEDOL(s) B1TL3R8 - B1TR8B5 - Quick Code
B1TWXP9
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0927/LTN20120927060.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/0927/LTN20120927062.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To approve, ratify and confirm: the Logistics Services Agreement, the Logistics Management For For
Services Cap, and the continuing connected transactions contemplated thereunder;
and the authorisation of execution and implementation of the agreement and the
transactions contemplated thereunder
2 To approve, ratify and confirm: the Products Procurement Agreement, the Products Management For For
Procurement Cap, and the continuing connected transactions contemplated
thereunder; and the authorisation of execution and implementation of the
agreement and the transactions contemplated thereunder
3 To approve, ratify and confirm: the Materials Procurement Agreement, the Management For For
Materials Procurement Cap, and the continuing connected transactions
contemplated thereunder and the authorisation of execution and implementation of
the agreement and the transactions contemplated thereunder
4 To approve, ratify and confirm: the Export Agreement, the Export Cap, and the Management For For
continuing connected transactions contemplated thereunder and the authorisation of
execution and implementation of the agreement and the transactions contemplated
thereunder
5 To approve and authorise any one Director, or any two Directors or one Director Management For For
and the Company Secretary if the affixation of the common seal is necessary, be
and/is hereby authorized for and on behalf of the Company to execute all the
aforesaid agreements and all such other documents, instruments and agreements
and to do all acts or things deemed by him/her/them to be necessary or expedience
to implement and/or give effect to the aforesaid agreement(s) and all transactions
contemplated thereunder, and to agree to any amendment to any of the terms of
such agreement(s) which in the opinion of the Director(s) is/are in the interests of
the Company and in accordance with the Listing Rules (where relevant)
Account Account Internal Ballot Unavailable Vote Date
Number Name Account Custodian Shares Shares Date Confirmed
------- ------- -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 864,000 0 02-Oct-2012 12-Oct-2012
CHINA
FUND
BANK OF CHINA LTD, BEIJING
Security Y0698A107 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 25-Oct-2012
ISIN CNE1000001Z5 Agenda 704049813 - Management
Record Date 24-Sep-2012 Holding Recon 24-Sep-2012
Date
City / Country BEIJING / China Vote Deadline 15-Oct-2012
Date
SEDOL(s) B154564 - B15ZP90 - Quick Code
B15ZV58
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0907/LTN20120907671.pdf
1 To consider and approve the Remuneration Plan for the Chairman, Executive Management For For
Directors, Chairman of Board of Supervisors and Shareholder Representative
Supervisors of 2011
2 To consider and approve the Proposal regarding the Appointment of Ernst & Management For For
Young Hua Ming as the Bank's External Auditor for 2013
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,877,300 0 18-Sep-2012 19-Oct-2012
CHINA
FUND
INDUSTRIAL AND COMMERCIAL BANK OF CHINA LTD, BEIJI
Security Y3990B112 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 05-Nov-2012
ISIN CNE1000003G1 Agenda 704059369 - Management
Record Date 28-Sep-2012 Holding Recon 28-Sep-2012
Date
City / Country BEIJING / China Vote Deadline 30-Oct-2012
Date
SEDOL(s) B1G1QD8 - B1GD009 - Quick Code
B1GT900
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY NOTICE ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/SEH K/2012/0913/L-TN20120913631.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2012/091-3/LTN20120913639.pdf
1 To consider and approve the proposed amendments to the Articles of Association of Management For For
Industrial and Commercial Bank of China Limited as set out in Appendix I to the
circular of the Bank dated 14 September 2012 and to authorize the Chairman and the
President to make further adjustments or amendments according to the regulators'
recommendations on amendments
2 To consider and approve the 2012-2014 Capital Planning of Industrial and Commercial Management For For
Bank of China as set out in Appendix II to the circular of the Bank dated 14 September
2012
3 To consider and approve the appointment of KPMG Huazhen as external auditors of Management For For
the Bank for 2013 and to fix the aggregate audit fees for 2013 at RMB133.6 million,
among which RMB77.51 million will be paid for annual audit, RMB35.48 million for
interim review, RMB4.64 million each for agreed-upon procedures of financial
information of the first and third quarters and RMB11.33 million for internal control
audit
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK Non-Voting
AND POSTPONEMENT OF MEETING DATE FROM 2 NOV 2012 TO 5 NOV
2012. IF YOU HAVE ALREADY SENT IN-YOUR VOTES, PLEASE DO NOT
RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ---------
260462 CLOUGH 260462 BNY MELLON 3,525,967 0 18-Sep-2012
CHINA
FUND
SMARTONE TELECOMMUNICATIONS HOLDINGS LTD
Security G8219Z105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 06-Nov-2012
ISIN BMG8219Z1059 Agenda 704073422 - Management
Record Date 01-Nov-2012 Holding Recon 01-Nov-2012
Date
City / Country HONG KONG / Bermuda Vote Deadline 01-Nov-2012
Date
SEDOL(s) 5611496 - 6856995 - Quick Code
B02V4Z3 - B17MHY8
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY CLICKING Non-Voting
ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/1003/LTN2012100313-93.pdf AND PROXY FORM IS AVAILABLE BY
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2012/1003/LTN2012100312-76.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To adopt the audited financial statements and the Reports of the Directors and Auditor for Management For For
the year ended 30 June 2012
2 To approve the payment of final dividend of HKD 0.53 per share, with a scrip dividend Management For For
alternative, in respect of the year ended 30 June 2012
3.i.a To re-elect Mr. Cheung Wing-yui as Director Management For For
3.i.b To re-elect Mr. David Norman Prince as Director Management For For
3.i.c To re-elect Mr. Siu Hon-wah, Thomas as Director Management For For
3.i.d To re-elect Mr. Tsim Wing-kit, Alfred as Director Management For For
3.i.e To re-elect Mr. Gan Fock-kin, Eric as Director Management For For
3.ii To authorise the Board of Directors to fix the fees of Directors Management For For
4 To re-appoint PricewaterhouseCoopers as Auditor of the Company and to authorise the Management For For
Board of Directors to fix their remuneration
5 To give a general mandate to the Board of Directors to issue and dispose of additional Management For For
shares in the Company not exceeding 10% of the nominal amount of the issued share
capital
6 To give a general mandate to the Board of Directors to repurchase shares of the Company Management For For
not exceeding 10% of the nominal amount of the issued share capital
7 To extend the general mandate granted to the Board of Directors to issue shares in the Management For For
capital of the Company by the number of shares repurchased
PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF Non-Voting
COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 249,455 0 11-Oct-2012 02-Nov-2012
CHINA
FUND
CSR CORPORATION LTD
Security Y1822T103 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 12-Nov-2012
ISIN CNE100000BG0 Agenda 704131882 - Management
Record Date 12-Oct-2012 Holding Recon 12-Oct-2012
Date
City / Country BEIJING / China Vote Deadline 05-Nov-2012
Date
SEDOL(s) B2Q89Q0 - B2R2ZC9 - Quick Code
B3CQ330 - B3CR4C9 -
B3CSBD2
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 125038 Non-Voting
DUE TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2012/1026/L-TN20121026477.pdf, http://
www.hkexnews.hk/listedco/listconews/sehk/ 2012/0925/L-TN20120925469.pdf
AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/102-
6/LTN20121026487.pdf
1 THAT (a) to authorise the Company to issue debt financing instruments Management For For
denominated in RMB in accordance with the plan set out below: The categories of
the debt financing instruments denominated in RMB (hereafter as the
"Debentures") proposed to be issued include corporate bonds, ultra-short-term
debentures, short-term debentures and/or medium-term notes, with the total
outstanding repayment amount not exceeding an aggregate of RMB15 billion. (b)
to authorise the Company to issue debt financing instruments denominated in RMB
in accordance with the following principal terms: (1) Issuer: the Company. (2) Size
of issue: the specific size of issue will be determined in line with the capital
requirements and market conditions, with the total outstanding repayment amount
of the Debentures not exceeding an aggregate of RMB15 billion, provided that
requirements of relevant laws and regulations and regulatory documents are
complied with. (3) Term(s) and category(ies): the Debentures shall have a term not
exceeding 10 years and can take the form of single term debenture or a
combination of multiple categories with different terms. The specific composition
of such terms and the issue size of each category with a specific term will be
determined in accordance with relevant requirements and the market conditions,
and the issue size of each category of Debentures shall not exceed the limit
applicable to the issue of such category of debentures by the Company in
accordance with relevant requirements of the State. (4) Use of proceeds: the
proceeds to be raised from such issue will be used for satisfying the production and
operation needs of the Company, the adjustment of the structure of liabilities,
replenishment of working capital and/or project investments. (5) Validity term of
the resolution: from the approval date of this resolution at the EGM to the date on
which the 2012 annual general meeting of the Company is held. Where the
Company resolves to implement the issue and also obtains the approval(s),
permit(s) or registration(s) from regulatory authorities for such issue within the
above validity term of the resolution, the Company may complete the issue within
the validity period determined under such approval(s), permit(s) or registration(s).
(c) to grant a general and unconditional mandate to the board of directors of the
Company to deal with the following matters within the scope of the principal terms
of the issue as set out in paragraph (b) above, pursuant to relevant laws and
regulations, the opinions and advices of regulatory authorities, the operation needs
of the Company as well as the then market conditions: (1) to determine the type(s),
specific category(ies), specific terms and conditions as well as other matters of the
Debentures, including but not limited to all the matters in relation to the issue such
as the size of issue, actual total amount, currency, issue price, interest rate or the
determination method thereof, place of issue, timing of issue, term(s), whether to
issue in tranches and the number of tranches, whether to adopt any terms for
repurchase and redemption, rating arrangements, guarantee matters, term of
repayment of the principal and interests, use of proceeds, as well as listing and
underwriting arrangements; (2) to carry out all necessary and incidental actions and
procedures for the issue of Debentures, including but not limited to, engaging
intermediary agencies, handling, on behalf of the Company, the approval,
registration and filing procedures with relevant regulatory authorities relating to the
application for the issue, executing all necessary legal documents relating to the
issue and dealing with other matters relating to the issue and trading of the
Debentures; (3) to approve, confirm and ratify any of the aforesaid actions or
procedures relating to the issue of the Debentures already taken by the Company;
(4) to execute and publish/dispatch relevant announcement(s) and circular(s) in
relation to the issue of the Debentures and to comply with, if necessary, any
relevant information disclosure and/or approval procedures, pursuant to the
requirements of domestic regulatory authorities and the Rules Governing the
Listing of Securities on The Stock Exchange of Hong Kong Limited; (5) to make
relevant adjustments to the relevant matters of the issue of the Debentures or to
determine whether to proceed with the issue in accordance with the opinions from
relevant domestic regulatory authorities and the changes in policies and market
conditions, provided that such adjustments and decision shall be within the scope
of the authorisations of the general meeting and shall be subject to re-voting at a
general meeting of the Company if otherwise required by the relevant laws and
regulations and the articles of association of the Company; (6) to determine and
deal with all relevant matters in relation to the listing of the Debentures, if
necessary, upon the completion of the issue; (7) to deal with other specific matters
in relation to the issue of the Debentures and to execute all the required documents;
and (8) the board of directors of the Company is hereby permitted to further
delegate the aforesaid authorisations to the Chairman and the President of the
Company for the implementation of the issue
2.i To consider and approve the resolution in relation to the amendments to the Management For For
Articles of Association and that the Board committee, comprising the Chairman
and the President, be authorised to make necessary and appropriate amendments to
the Articles of Association in accordance with the requirements raised by the
relevant regulatory authorities from time to time in the subsequent approval process
of the Articles of Association after the amendments to the articles below are
considered and approved at the EGM: amendments to articles regarding profit
distribution in the Articles of Association
2.ii To consider and approve the resolution in relation to the amendments to the Management For For
Articles of Association and that the Board committee, comprising the Chairman
and the President, be authorised to make necessary and appropriate amendments to
the Articles of Association in accordance with the requirements raised by the
relevant regulatory authorities from time to time in the subsequent approval process
of the Articles of Association after the amendments to the articles below are
considered and approved at the EGM: amendments to articles regarding expansion
of the management of the Company in the Articles of Association
2.iii To consider and approve the resolution in relation to the amendments to the Management For For
Articles of Association and that the Board committee, comprising the Chairman
and the President, be authorised to make necessary and appropriate amendments to
the Articles of Association in accordance with the requirements raised by the
relevant regulatory authorities from time to time in the subsequent approval process
of the Articles of Association after the amendments to the articles below are
considered and approved at the EGM: amendments to articles regarding corporate
governance in the Articles of Association
2.iv To consider and approve the resolution in relation to the amendments to the Management For For
Articles of Association and that the Board committee, comprising the Chairman
and the President, be authorised to make necessary and appropriate amendments to
the Articles of Association in accordance with the requirements raised by the
relevant regulatory authorities from time to time in the subsequent approval process
of the Articles of Association after the amendments to the articles below are
considered and approved at the EGM: amendments to articles regarding internal
approval procedures on material operation and investment matters of the Company
in the Articles of Association
3 To consider and approve the resolution in relation to consideration of the Management For For
Shareholders' Return Plan for the Next Three Years
4 To consider and approve the resolution in relation to the amendments to the Rules Management For For
of Procedure for General Meetings
5 To consider and approve the resolution in relation to the amendments to the Rules Management For For
of Procedure for the Board
6 To consider and approve the resolution in relation to the amendments to the Management For For
Management Rules on External Guarantees
7 To consider and approve the resolution in relation to the further utilisation of an Management For For
aggregate of no more than RMB3.658 billion out of the proceeds to temporarily
supplement working capital
8 To consider and approve the resolution in relation to the election of Mr. Chen Management For For
Dayang as an executive director of the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 605,000 0 05-Nov-2012 07-Nov-2012
CHINA
FUND
SITOY GROUP HOLDINGS LTD, GRAND CAYMAN
Security G8190E105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 16-Nov-2012
ISIN KYG8190E1052 Agenda 704084552 - Management
Record Date 13-Nov-2012 Holding Recon 13-Nov-2012
Date
City / Country HONG KONG / Cayman Vote Deadline 09-Nov-2012
Islands Date
SEDOL(s) B6ZNMQ5 - B74D133 Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED Non-Voting
TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY FOR ALL
RESOLUTIONS.THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://
www.hkexnews.hk/listedco/listconews/sehk/
2012/1010/LTN20121010081.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/
2012/1010/LTN20121010079.pdf
1 To receive and approve the audited consolidated financial Management For For
statements of the Company and its subsidiaries, the report of the
directors (the "Directors") and the independent auditors' report
of the Company for the year ended 30 June 2012
2 To declare a final dividend of HK20 cents per share for the year Management For For
ended 30 June 2012
3 (a) To re-elect Mr. Yeung Michael Wah Keung as executive Management For For
Director
3 (b) To re-elect Mr. Yeung Wo Fai as executive Director Management For For
3 (c) To re-elect Mr. Yu Chun Kau as executive Director Management For For
3 (d) To re-elect Mr. Chan Ka Dig Adam as executive Director Management For For
3 (e) To re-elect Mr. Yeung Andrew Kin as executive Director Management For For
3 (f) To re-elect Mr. Yeung Chi Tat as independent non-executive Management For For
Director
3 (g) To re-elect Mr. Kwan Po Chuen, Vincent as Management For For
independent non-executive Director
3 (h) To re-elect Mr. Lung Hung Cheuk as independent Management For For
non-executive Director
3 (i) To authorise the board (the "Board") of Directors Management For For
of the Company to fix the Directors' remuneration
4 To re-appoint Ernst & Young as auditors and Management For For
authorise the Board to fix their remuneration
5(1) To grant a general unconditional mandate to the Management For For
Directors to repurchase shares in the Company not
exceeding 10% of the aggregate nominal amount of
share capital of the Company in issue as at the
date of the passing of the relevant resolution
5(2) To grant a general unconditional mandate to the Management For For
Directors to allot, issue or otherwise deal with
additional shares in the Company not exceeding
20% of the aggregate nominal amount of the share
capital of the Company in issue as at the date of
the passing of the relevant resolution
5(3) Conditional upon resolutions 5(1) and 5(2) being Management For For
passed, the general unconditional mandate granted
to the Directors to allot, issue or otherwise
deal with additional shares of the Company
pursuant to resolution 5(2) be extended by the
addition thereto of an amount representing the
aggregate nominal amount of the share capital of
the Company repurchased by the Company under the
authority granted pursuant to resolution 5(1)
6 To approve the amendments to the Articles of Management For For
Association of the Company : Article 13.6,
Article 14.15, Article 16.2, Article 16.18,
Article 16.22
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,048,000 0 18-Oct-2012 14-Nov-2012
CHINA
FUND
GREAT WALL MOTOR CO LTD
Security Y2882P106 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 11-Dec-2012
ISIN CNE100000338 Agenda 704123405 - Management
Record Date 09-Nov-2012 Holding Recon 09-Nov-2012
Date
City / Country HEBEI PROVINC E/China Vote Deadline 04-Dec-2012
Date
SEDOL(s) 6718255 - B01XL04 - Quick Code
B1BJQS2 - B4MLS82
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL- LINKS:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/1025/LTN20121025390.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/SEH K/2012/1025/LTN20121025396.pdf
1 To approve and confirm the following proposed amendments to the Articles of Management For For
Association of the Company ("Articles of Association") and to authorize any one
director or the company secretary of the Company to execute all such documents
and/or do all such acts as he/she may deem necessary or expedient and in the
interest of the Company in order to effect the proposed amendments, comply with
the changes in the PRC laws and regulations, and satisfy the requirements (if any)
of the relevant PRC authorities, and to deal with other related issues arising from
the amendments to the Articles of Association: 1. Clause 3 of Article 2 of the
original Articles of Association which reads "The business licence number:
1300001002263" shall be amended to read as: "The business licence number of the
Company: 130000400000628". CONTD
CONT CONTD 2. Clause 1 of Article 188 of the original Articles of Association-which Non-Voting
reads "The dividend shall be distributed by the Company once a year,-and shall be
decided by the ordinary resolution by the shareholders' general-meeting. After the
resolution on the profit distribution plan is made, the-Board of Directors shall,
within two months after the shareholders' general-meeting, complete the
distribution of the dividend (or shares)." shall be-amended to read as: "Dividend of
the Company shall be decided by an ordinary- resolution at shareholders' general
meeting. After adoption of the resolution-on profit distribution, the Board of
Directors shall complete the- distribution of the dividend (or shares) within two
months after the-shareholders' general meeting." 3. Article 189 of the CONTD
CONT CONTD original Articles of Association which reads "The profit distribution-of the Non-Voting
Company should put emphasis on the reasonable investment return to the-
shareholders and profit distribution policies shall be implemented on a- continuous
and steady basis. The Company may distribute cash interim-dividend. The
Company may distribute dividend in the form of: (1) cash; or-(2) shares." shall be
amended to read as: "The profit distribution policy of-the Company is as follows:
(1) The Company shall adopt a continuous and-steady profit distribution policy
with an emphasis on providing reasonable- investment return to its investors and
maintaining the sustainable-development of the Company. (2) The Company may
distribute dividend in the-form of: 1. cash; or 2. shares. (3) The Company shall
distribute its-distributable profits CONTD
CONT CONTD on an annual basis and may distribute interim dividend. (4) The Non-Voting
Company-shall give priority to distribute its dividend in cash. Subject to-
satisfactory operating results with sufficient cash flow for its normal-business
operation and sustainable development in the absence of major-investment plan or
substantial capital expenditures, the Company intends to-distribute not less than
10% of the net profits attributable to shareholders-of the relevant year as cash
dividends if it records profits for the annual- reporting period and has positive
accumulated undistributed profits. Without-jeopardizing the reasonable share
capital and shareholding structure, the-Company may distribute dividends in shares
when the valuation of its shares-is at a reasonable level with a view to providing
investment return to its-CONTD
CONT CONTD shareholders and sharing its corporate value. Proposal on share- Non-Voting
distribution shall be passed by the Board of Directors of the Company before-
submitting to the shareholders' general meeting for approval. (5) The profit-
distribution policy and the dividend distribution proposal shall be prepared,-
considered and passed by the Board of Directors before submitting to the-
shareholders' general meeting for approval. Independent directors shall-explicitly
give their views on cash dividend distribution proposal of the-Company. The Board
of Directors and the shareholders' general meeting shall-fully take into account the
opinions of the independent directors and public-investors when considering and
approving the profit distribution policy and-the dividend distribution proposal. (6)
If the Company adjusts or changes its-CONTD
CONT CONTD profit distribution policy in response to the economic environment or-its Non-Voting
operations, the adjusted or changed profit distribution policy shall-comply with the
relevant requirements of the CSRC and stock exchanges. Any-proposed
adjustments or changes to the profit distribution policy and any-proposal that no
profit distribution proposal can be formulated in accordance-with the cash profit
distribution policy shall be considered and passed by-the Board of Directors of the
Company before submitting to the shareholders'-general meeting for approval.
Such proposals shall be passed by more than-two- thirds of voting rights held by
the shareholders present at such-shareholders' general meeting. When the above
proposals are being considered- at the meetings of the Board of Directors,
independent directors shall CONTD
CONT CONTD explicitly give their views on the above proposals. (7) If the Board of- Non-Voting
Directors of the Company does not propose a cash profit distribution, it-shall
disclose the reasons thereof in its periodical reports which shall-contain the
independent opinions of the independent directors. (8) If the-fund of the Company
is misappropriated by any shareholder, the Company shall-deduct the cash dividend
distributable to such shareholder to repay the fund-misappropriated." 4. Others
Other clauses of the Articles of Association-remain unchanged. If any number of
the chapters and clauses of the Articles-of Association is affected due to the
addition, deletion or re-arrangement of-certain clauses of the Articles of
Association, the numbers of the chapters-and clauses of the Articles of Association
shall be renumbered or descended-CONTD
CONT CONTD and the cross references to the numbers of the chapters and clauses of-the Non-Voting
Articles of Association shall be correspondingly changed
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 647,500 0 26-Oct-2012 05-Dec-2012
CHINA
FUND
MAANSHAN IRON & STEEL CO LTD
Security Y5361G109 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 12-Dec-2012
ISIN CNE1000003R8 Agenda 704123594 - Management
Record Date 12-Nov-2012 Holding Recon 12-Nov-2012
Date
City / Country ANHUI PROVINC E / Vote Deadline 05-Dec-2012
China Date
SEDOL(s) 6600879 - B01BP40 - Quick Code
B01XLM6
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS . THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/1025/LTN20121025703.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/1025/LTN20121025723.pdf
1 To consider and approve the New Sale and Purchase of Ore Agreement, for a term Management For For
of three years from 2013 to 2015, entered into between the Company and Magang
(Group) Holding Company Limited on 12 October 2012, the transactions
contemplated under the agreement and the annual caps
2 To consider and approve the Energy Saving and Environmental Protection Management For For
Agreement, for a term of three years from 2013 to 2015, entered into between the
Company and Anhui Xinchuang Energy Saving and Environmental Protection
Technology Company Limited on 12 October 2012, the transactions contemplated
under the agreement and the annual caps
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE
DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,112,000 0 26-Oct-2012 06-Dec-2012
CHINA
FUND
AIR CHINA LTD
Security Y002A6104 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 20-Dec-2012
ISIN CNE1000001S0 Agenda 704193426 - Management
Record Date 20-Nov-2012 Holding Recon 20-Nov-2012
Date
City / Country BEIJING / China Vote Deadline 13-Dec-2012
Date
SEDOL(s) B04KNF1 - B04V2F7 - Quick Code
B04YG10 - B0584Q2
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 138347 Non-Voting
DUE TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' ONLY-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY CARD ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/SEH K/2012/1203/L-TN201212031663.pdf AND http://
www.hkexnews.hk/listedco/listconews/SEH K/2012/12-03/LTN201212031645.pdf
1 To consider and approve the proposed adoption of the shareholders' return plan for Management For For
the three years from 2012 to 2014 as set out in Appendix II of the circular
despatched by the Company on 5 November 2012
2 To consider and approve the proposed amendments to the articles of association of Management For For
the Company as set out in Appendix I of the circular despatched by the Company
on 5 November 2012 and the chairman and/or any person authorised by the
chairman be authorised to adjust, at his or her discretion, the said amendments in
accordance with the opinion of the relevant PRC authorities (the proposed
amendment to the Articles of Association will be submitted to the relevant PRC
authorities for approval and filing after being approved at the EGM)
3 To consider and approve the appointment of Deloitte Touche Tohmatsu CPA Ltd. Management For For
as the Company's internal control auditor for the year 2012 to audit the
effectiveness of the Company's internal control for the year 2012 and to issue the
internal control audit report, and the authorisation to the management of the
Company to determine the remuneration of Deloitte Touche Tohmatsu CPA Ltd.
for conducting its internal control audit for the year 2012
4 To consider and approve the resolutions concerning the entry into continuing Management For For
connected transaction agreements for the three years from 1 January 2013 to 31
December 2015 and their respective annual caps
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 500,000 0 10-Dec-2012 17-Dec-2012
CHINA
FUND
CHINA RAILWAY CONSTRUCTION CORPORATION LTD
Security Y1508P110 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 28-Dec-2012
ISIN CNE100000981 Agenda 704161544 - Management
Record Date 27-Nov-2012 Holding Recon 27-Nov-2012
Date
City / Country BEIJING/China Vote Deadline 19-Dec-2012
Date
SEDOL(s) B2PFVH7 - B2Q4J02 - Quick Code
B2RJ1K0
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2012/1111/LTN-20121111015.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2012/1111/-LTN20121111023.pdf
1 To consider and approve the amendments to the articles regarding cash dividend in Management For For
the Articles of Association of China Railway Construction Corporation Limited
("Articles of Association"); and to authorize the Secretary to the Board to make all
necessary applications, submissions, registrations and filings and other related
matters (including revisions to wordings as required by the competent PRC
authorities) in connection with the amendments to the Articles of Association
2 To consider and approve the Shareholders' Return Plan of China Railway Management For For
Construction Corporation Limited for the Coming Three Years of 2012-2014
3 That (1) the Company would register and issue medium-term notes with an Management For For
aggregate balance of principal amount of not more than 40% of the net assets as
stated in the audited financial report of the Company for each reporting period with
the National Association of Financial Market Institutional Investors, subject to
automatic adjustment of the cap of the aggregate balance of the principal amount
for registration and issuance based on the increase/decrease of the Company's net
assets, which is valid for a term of 36 months (from the date of approval at the
EGM). The proceeds shall be primarily used as replenishment of the Company's
working capital and capital expenditure for the projects invested by the Company.
The registered amount of medium-term notes with the National Association of
Financial Market Institutional CONTD
CONT CONTD Investors may be issued in multiple tranches within two years from the- Non-Voting
date of acceptance of registration, with the term of the medium-term notes-not
more than 15 years. (2) the Company would register and issue short- term-
financing bonds with an aggregate balance of principal amount of not more-than
40% of the net assets as stated in the audited financial report of the-Company for
each reporting period with the National Association of Financial-Market
Institutional Investors, subject to automatic adjustment of the cap of-the aggregate
balance of the principal amount for registration and issuance-based on the increase/
decrease of the Company's net assets, which is valid-for a term of 36 months (from
the date of approval at the EGM). The proceeds-shall be primarily used as
replenishment of the Company's working capital.- CONTD
CONT CONTD The registered amount of short-term financing bonds with the National- Non-Voting
Association of Financial Market Institutional Investors may be issued in-multiple
tranches within two years from the date of acceptance of-registration, with the term
of the short-term financing bonds not more than-one year. (3) an authorization be
granted to the Chairman of the Company or-other persons authorized by the
Chairman to determine and handle all matters-in relation to the issue within the
scope of the abovementioned registration- and issuance of medium-term notes and
short- term financing bonds, including-but not limited to, determining the specific
timing of issue, the size of-issue, the number of tranches, the interest rate;
executing all necessary-documents, including but not limited to, requests,
prospectuses, underwriting-agreements CONTD
CONT CONTD and announcements in relation to the proposed issue of the medium-term- Non-Voting
notes and short-term financing bonds by the Company; completing all necessary-
procedures, including but not limited to, completing the relevant- registrations in
the national inter-bank market and taking all other-necessary actions
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- -------- ----------- ----------- -----------
260462 CLOUGH 260462 BNY MELLON 401,000 0 14-Nov-2012 20-Dec-2012
CHINA FUND
DONGFENG MOTOR GROUP COMPANY LTD
Security Y21042109 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 23-Jan-2013
ISIN CNE100000312 Agenda 704185734 - Management
Record Date 21-Dec-2012 Holding Recon 21-Dec-2012
Date
City / Country BEIJING/China Vote Deadline 11-Jan-2013
Date
SEDOL(s) B0PH5N3 - B0TBB66 - Quick Code
B0XZY65
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTIONS "1 AND 2". THANK
YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2012/1127/LTN-20121127131.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2012/1127/-LTN20121127139.pdf
AND http://www.hkexnews.hk/listedco/listconews/sehk/ 2012/12-
28/LTN20121228174.pdf
1 To consider and approve the resolution in respect of change of directors of the Management For For
Board: candidate for independent non-executive director: Mr. Ma Zhigeng
2 To authorize the Board to apply for a registered amount and issue at its discretion Management For For
of super & short-term commercial paper
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN MEETING Non-Voting
LOCATION FROM HUBEI TO BEIJING. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU-.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 436,000 0 03-Dec-2012 17-Jan-2013
CHINA
FUND
ANGANG STEEL COMPANY LTD
Security Y0132D105 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 30-Jan-2013
ISIN CNE1000001V4 Agenda 704211274 - Management
Record Date 31-Dec-2012 Holding Recon 31-Dec-2012
Date
City / Country LIAONING PROVINC Vote Deadline 23-Jan-2013
E/China Date
SEDOL(s) 5985511 - 6015644 - Quick Code
B01W468
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/1217/LTN20121217202.pdf-AND http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/1217/LTN20121217194.pdf
1 That the Assets Exchange Agreement and the transactions contemplated thereunder Management For For
be and are hereby approved, and the Directors of the Company be authorised to do
such further acts and things and execute further documents and take all such steps
which in their opinion may be necessary, desirable or expedient to implement and/
or give effect to the terms of the Assets Exchange Agreement
2 That the Share Transfer Agreement and the transactions contemplated thereunder Management For For
be and are hereby approved, and the Directors of the Company be authorised to do
such further acts and things and execute further documents and take all such steps
which in their opinion may be necessary, desirable or expedient to implement and/
or give effect to the terms of the Share Transfer Agreement
3 That the Entrustment Agreement, the transactions contemplated thereunder and the Management For For
proposed annual monetary caps of such transactions for the years ending 31
December 2013, 2014 and 2015 be and are hereby approved, and the Directors of
the Company be authorised to do such further acts and things and execute further
documents and take all such steps which in their opinion may be necessary,
desirable or expedient to implement and/or give effect to the terms of the
Entrustment Agreement
4 That the proposed amendments to the existing Articles of Association of the Management For For
Company as described in resolution 4 of the Notice of Extraordinary General
Meeting be and are hereby approved and adopted: Articles 111, 240 and 61
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 944,000 0 02-Jan-2013 24-Jan-2013
CHINA
FUND
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD
Security Y69790106 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 05-Feb-2013
ISIN CNE1000003X6 Agenda 704215638 - Management
Record Date 04-Jan-2013 Holding Recon 04-Jan-2013
Date
City / Country SHENZHE N/China Vote Deadline 30-Jan-2013
Date
SEDOL(s) B01FLR7 - B01NLS2 - Quick Code
B03NP99
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/1220/LTN20121220512.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/1220/LTN20121220522.pdf
1 To consider and approve "the resolution in relation to renewal of the grant of the Management For For
general mandate on issuance of new shares to the Board
2 To consider and approve "the resolution regarding the extension of the validity Management For For
period of the resolution in relation to the public issuance of A Share convertible
corporate bonds (including subordinated terms)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 176,000 0 02-Jan-2013 31-Jan-2013
CHINA
FUND
MAANSHAN IRON & STEEL CO LTD
Security Y5361G109 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 05-Feb-2013
ISIN CNE1000003R8 Agenda 704216678 - Management
Record Date 04-Jan-2013 Holding Recon 04-Jan-2013
Date
City / Country MAANSHA N/China Vote Deadline 29-Jan-2013
Date
SEDOL(s) 6600879 - B01BP40 - Quick Code
B01XLM6
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://
www.hkexnews.hk/listedco/listconews/sehk/
2012/1221/LTN20121221670.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/
2012/1221/LTN20121221662.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED Non-Voting
TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-RESOLUTION
"1". THANK YOU.
1 Elect Mr. Su Shihuai as director of the Company Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,542,000 0 02-Jan-2013 30-Jan-2013
CHINA
FUND
SPT ENERGY GROUP INC, GRAND CAYMAN
Security G8405W106 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 05-Feb-2013
ISIN KYG8405W1069 Agenda 704244110 - Management
Record Date 31-Jan-2013 Holding Recon 31-Jan-2013
Date
City / Country BEIJING/Cayman Islands Vote Deadline 29-Jan-2013
Date
SEDOL(s) Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2013/0118/LTN20130118198.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2013/0118/LTN20130118190.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTIONS "1". THANK YOU.
1 (i) To grant a specific mandate to the Directors (as defined in the Notice) to issue Management For For
the Conversion Shares (as defined in the Notice); (ii) To approve the terms and
conditions of the amendment deed executed by the Company, CSOF Inno
Investments Limited and Everbright Inno Investments Limited and dated 31
December 2012; (iii) To authorize the Directors to sign documents and to take
actions as they consider necessary
PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE. IF YOU HAVE-ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,130,000 0 23-Jan-2013 01-Feb-2013
CHINA
FUND
CHINA GAS HOLDINGS LTD
Security G2109G103 Meeting Type Special General Meeting
Ticker Symbol Meeting Date 08-Feb-2013
ISIN BMG2109G1033 Agenda 704246405 - Management
Record Date 05-Feb-2013 Holding Recon 05-Feb-2013
Date
City / Country HONG KONG/Bermuda Vote Deadline 01-Feb-2013
Date
SEDOL(s) 5919093 - 6460794 - Quick Code
B05PDC2
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2013/0122/LTN20130122226.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2013/0122/LTN20130122219.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 (a) The Acquisition and the transactions contemplated under the Share Purchase Management For For
Agreement (a copy of which has been produced to the SGM marked "A" and
signed by the chairman of the SGM for the purpose of identification), be and
hereby approved, confirmed and ratified; and (b) any one of the directors of the
Company be and hereby authorized to do all such acts and things and to sign all
documents and to take any steps which in their absolute discretion considered to be
necessary, desirable or expedient for the purpose of implementing and/or giving
effect to the Acquisition and the transactions contemplated under the Share
Purchase Agreement
2 Subject to completion of the Share Purchase Agreement, to the fulfilment of the Management For For
conditions relating to the allotment of the Consideration Shares and to the Directors
approving the issue of the Consideration Shares and conditional upon the Listing
Committee of the Stock Exchange granting the listing of, and the permission to
deal in, the Consideration Shares, the Directors be and are hereby specifically
authorised to allot and issue the Consideration Shares, credited as fully paid, to the
Sellers or their respective nominees in accordance with the terms and conditions of
the Share Purchase Agreement
3 Mr. Ho Yeung be and is hereby re-elected as an independent non-executive director Management For For
of the Company with immediate effect
4 Ms. Chen Yanyan be and is hereby re-elected as an independent non-executive Management For For
director of the Company with immediate effect
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,214,000 0 23-Jan-2013 06-Feb-2013
CHINA
FUND
CHINA LIFE INSURANCE CO LTD
Security Y1477R204 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 19-Feb-2013
ISIN CNE1000002L3 Agenda 704218660 - Management
Record Date 18-Jan-2013 Holding Recon 18-Jan-2013
Date
City / Country BEIJING/China Vote Deadline 13-Feb-2013
Date
SEDOL(s) 6718976 - B02W3K4 - Quick Code
B06KKF8
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL- LINKS:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/1223/LTN20121223023.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2012/1223/LTN20121223027.pdf
1 To consider and approve the appointment of auditors of the Company for the year Management For For
2013
2 To consider and approve the proposed amendments to the Articles of Association Management For For
of the Company: Articles: 10, 157, 158, 211, 212, 213, 214
3 To consider and approve the proposed amendments to the Procedural Rules for the Management For For
Board of Directors Meetings of the Company: Articles: 39, 40, 45
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 715,000 0 02-Jan-2013 14-Feb-2013
CHINA
FUND
ZHAOJIN MINING INDUSTRY COMPANY LTD, BEIJING
Security Y988A6104 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 26-Feb-2013
ISIN CNE1000004R6 Agenda 704227847 - Management
Record Date 25-Jan-2013 Holding Recon 25-Jan-2013
Date
City / Country SHANDO NG PROVINC E / Vote Deadline 19-Feb-2013
China Date
SEDOL(s) B1H5082 - B1L31Z6 - Quick Code
B1MYPY5
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL- LINKS:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2013/0111/LTN20130111203.pdf,- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2013/0111/LTN20130111195.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0111/LTN20130111185.pdf
1.a To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Lu Dongshang as an executive Director of
the Company
1.b To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Weng Zhanbin as an executive Director of
the Company
1.c To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Li Xiuchen as an executive Director of the
Company
1.d To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Liang Xinjun as a non-executive Director
of the Company
1.e To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Cong Jianmao as a non-executive Director
of the Company
1.f To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Ye Kai as a non-executive Director of the
Company
1.g To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Kong Fanhe as a non-executive Director
of the Company
1.h To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To appoint Mr. Xie Jiyuan as an independent non-
executive Director of the Company
1.i To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Ye Tianzhu as an independent non-
executive Director of the Company
1.j To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Ms. Chen Jinrong as an independent non-
executive Director of the Company
1.k To consider and approve the following candidate as Director of the fourth session Management For For
of the Board of the Company with a term of three years commencing from the
conclusion of the EGM : To re-elect Mr. Choy Sze Chung Jojo as an independent
non-executive Director of the Company
2.a To consider and approve the following candidate as Supervisors acting as Management For For
Shareholders' representatives of the fourth session of the Supervisory Committee
of the Company with a term of three years commencing from the conclusion of the
EGM: To re-elect Mr. Wang Xiaojie as a supervisor acting as shareholders'
representative of the Company
2.b To consider and approve the following candidate as Supervisors acting as Management For For
Shareholders' representatives of the fourth session of the Supervisory Committee
of the Company with a term of three years commencing from the conclusion of the
EGM: To re-elect Ms. Jin Ting as a supervisor acting as shareholders'
representative of the Company
3 To approve the remuneration package for Directors of the fourth session of the Management For For
board and supervisors of the fourth session of the supervisory committee and enter
into written service contracts with members of the board and the supervisory
committee in respect of their remuneration package
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 229,500 0 23-Jan-2013 20-Feb-2013
CHINA
FUND
INDUSTRIAL AND COMMERCIAL BANK OF CHINA LTD, BEIJI
Security Y3990B112 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 20-Mar-2013
ISIN CNE1000003G1 Agenda 704249425 - Management
Record Date 15-Feb-2013 Holding Recon 15-Feb-2013
Date
City / Country BEIJING / China Vote Deadline 13-Mar-2013
Date
SEDOL(s) B1G1QD8 - B1GD009 - Quick Code
B1GT900
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL- LINKS:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2013/0128/LTN20130128352.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2013/0128/LTN20130128343.pdf
1 To consider and approve the election of Sir Malcolm Christopher McCarthy as an Management For For
independent non-executive director of the Bank
2 To consider and approve the election of Mr. Kenneth Patrick Chung as an Management For For
independent non- executive director of the Bank
3 To consider and approve the Bank's 2013 fixed assets investment budget Management For For
4 To approve the issue of eligible tier-2 capital instruments on the terms and Management For For
conditions as set out in the circular dated 29 January 2013
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 6,541,967 0 01-Feb-2013 15-Mar-2013
CHINA
FUND
BANK OF CHINA LTD, BEIJING
Security Y0698A107 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 26-Mar-2013
ISIN CNE1000001Z5 Agenda 704265114 - Management
Record Date 22-Feb-2013 Holding Recon 22-Feb-2013
Date
City / Country BEIJING/China Vote Deadline 19-Mar-2013
Date
SEDOL(s) B154564 - B15ZP90 - Quick Code
B15ZV58
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2013/0207/LTN20130207604.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/sehk/ 2013/0207/LTN20130207602.pdf
1 To consider and approve the proposal on the election of Mr. Wang Shiqiang as Management For For
Non-executive Director of the Bank
2 To consider and approve the proposal on downward adjustment to the conversion Management For For
price of the A share convertible bonds of the Bank
3 To consider and approve the proposal in relation to the amendments of the Articles Management For For
of Association of the Bank
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 8,235,300 0 01-Apr-2013 21-Mar-2013
CHINA
FUND
CHINA MERCHANTS PROPERTY DEVELOPMENT CO LTD
Security Y1492Y101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 10-Apr-2013
ISIN CNE000000891 Agenda 704345291 - Management
Record Date 08-Apr-2013 Holding Recon 08-Apr-2013
Date
City / Country SHENZHE N/China Vote Deadline 05-Apr-2013
Date
SEDOL(s) 6195137 - 6205865 - Quick Code
B197JT0
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------ ----------- ---- -----------
1 2012 annual report and its summary Management For For
2 2012 financial statements Management For For
3 2012 profit distribution plan:1) cash dividend/10 shares (tax Management For For
included): cny3.00000000 2) bonus issue from profit (share/10
shares): none 3) bonus issue from capital reserve (share/10
shares): none
4 Special report on the deposit and use of proceeds raised Management For For
previously
5 Proposal to reappoint the external auditor Management For For
6 Proposal to offer a guarantee for the 350 million Yuan trust loan Management For For
of Shenzhen China Merchants Power Supply Co., Ltd
7 Proposal to offer a guarantee for the 850 million Yuan trust Management For For
Loan of Shenzhen China Merchants Power Supply Co., Ltd
8 Proposal to offer a guarantee for the bank loan of Shenzhen Management For For
China Merchants Power Supply Co., Ltd
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO Non-Voting
MODIFICATION IN TEXT OF RESOLUTION-3. IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FOR-M UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS.
THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 111,900 0 01-Apr-2013 05-Apr-2013
CHINA
FUND
TCL MULTIMEDIA TECHNOLOGY HOLDINGS LTD, GEORGE TOW
Security G8701T138 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 22-Apr-2013
ISIN KYG8701T1388 Agenda 704332749 - Management
Record Date 19-Apr-2013 Holding Recon 19-Apr-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 17-Apr-2013
Islands Date
SEDOL(s) 2548520 - 6193788 - Quick Code
B015616
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0319/LTN20130319250.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0319/LTN20130319230.pdf
1 To receive and adopt the audited consolidated financial statements for the year Management For For
ended 31 December 2012 and the reports of the directors (the "Directors") and
independent auditors (the "Auditors") of the Company thereon
2 To re-appoint Messrs. Ernst & Young as the Auditors and to authorise the board of Management For For
Directors to fix their remuneration
3 To approve the declaration of a final dividend of HKD 14.80 cents per ordinary Management For For
share of the Company to be paid out of the share premium account of the Company
to the Shareholders of the Company whose names appear on the register of
members of the Company on 30 April 2013, Tuesday
4.a To re-elect Mr. Zhao Zhongyao as an executive Director Management For For
4.b To re-elect Mr. Bo Lianming as a non-executive Management For For
Director until the conclusion of the annual
general meeting of the Company of 2016
4.c To re-elect Mr. Huang Xubin as a non-executive Management For For
Director until the conclusion of the annual
general meeting of the Company of 2016
4.d To re-elect Ms. Wu Shihong as an independent Management For For
non-executive Director until the conclusion of
the annual general meeting of the Company of 2016
5 To authorize the board of Directors to fix the Management For For
Directors' remuneration
6 To grant the general mandate to the Directors to Management For For
issue or otherwise deal with unissued Shares of
the Company (the "General Mandate") as set out in
item 6 of the Notice of Annual General Meeting
dated 19 March 2013
7 To grant the repurchase mandate to the Directors Management For For
to repurchase Shares of the Company (the
"Repurchase Mandate") as set out in item 7 of the
Notice of Annual General Meeting dated 19 March
2013
8 To approve the addition to the General Mandate of Management For For
the number of Shares repurchased by the Company
under the Repurchase Mandate as set out in item 8
of the Notice of Annual General Meeting dated 19
March 2013
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 418,000 0 18-Apr-2013 19-Apr-2013
CHINA
FUND
CAPITAMALLS ASIA LTD
Security Y1122V105 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN SG1Z05950543 Agenda 704326885 - Management
Record Date Holding Recon 22-Apr-2013
Date
City / Country SINGAPO RE / Singapore Vote Deadline 18-Apr-2013
Date
SEDOL(s) B442NY4 - B4NB8V4 - Quick Code
B563535 - B8BBV48
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0315/LTN20130315109.pdf-;- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0315/LTN20130315077.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-RESOLUTION "1". THANK YOU.
1 Renewal of the Share Purchase Mandate Management For For
PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF Non-Voting
VOTING OPTION COMMENT. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 647,000 0 01-Apr-2013 19-Apr-2013
CHINA
FUND
CAPITAMALLS ASIA LTD
Security Y1122V105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN SG1Z05950543 Agenda 704326897 - Management
Record Date Holding Recon 22-Apr-2013
Date
City / Country SINGAPO RE/Singapore Vote Deadline 18-Apr-2013
Date
SEDOL(s) B442NY4 - B4NB8V4 - Quick Code
B563535 - B8BBV48
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' ONLY-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0315/LTN-20130315073.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0315/-LTN20130315101.pdf
1 Adoption of Directors' Report, Audited Financial Statements and Auditors' Report Management For For
2 Declaration of Final Dividend: To declare a final 1-tier dividend of SGD 0.01625 Management For For
per share for the year ended 31 December 2012
3 Approval of Directors' Fees Management For For
4.i Re-election of Mr Sunil Tissa Amarasuriya as Director Management For For
4.ii Re-election of Professor Tan Kong Yam as Director Management For For
5.i Re-election of Mr Lim Ming Yan as Director Management For For
5.ii Re-election of Mr Ng Kee Choe as Director Management For For
5.iii Re-election of Mr Bob Tan Beng Hai as Director Management For For
6 Re-appointment of Messrs KPMG LLP as Auditors and authorise the Directors to Management For For
fix the Auditors' remuneration
7 Authority for Directors to issue shares and to make or grant instruments pursuant to Management For For
Section 161 of the Companies Act, Chapter 50 of Singapore
8 Authority for Directors to grant awards, and to allot and issue shares, pursuant to Management For For
the CapitaMalls Asia Performance Share Plan and the CapitaMalls Asia Restricted
Stock Plan
9 Authority for Directors to allot and issue shares pursuant to the CapitaMalls Asia Management For For
Dividend Reinvestment Scheme
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF Non-Voting
DIVIDEND AMOUNT FOR RESOLUTION 2. IF YOU HAVE ALREADY SENT
IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS
YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK
YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 647,000 0 01-Apr-2013 19-Apr-2013
CHINA
FUND
CHINA MEDICAL SYSTEM HOLDINGS LTD
Security G21108124 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN KYG211081248 Agenda 704340568 - Management
Record Date 23-Apr-2013 Holding Recon 23-Apr-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 19-Apr-2013
Islands Date
SEDOL(s) B8873L0 Quick Code
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0321/LTN20130321146.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321049.pdf
1 To receive, consider and adopt the audited consolidated financial statements, the Management For For
reports of the directors and the auditors of the Company for the year ended 31
December 2012
2 To approve the recommended final dividend of USD0.774 (equivalent to Management For For
HKD0.06) per share for the year ended 31 December 2012
3.a To re-elect Ms. Chen Yanling as Executive Director Management For For
3.b To re-elect Mr. Cheung Kam Shing, Terry as independent non-executive Director Management For For
3.c To re-elect Ms. Sa Manlin as executive Director Management For For
3.d To re-elect Dr. Peng Huaizheng as independent non-executive Director Management For For
3.e To authorise the board of Directors to fix the Directors' remuneration Management For For
4 To re-appoint Deloitte Touche Tohmatsu as auditors of the Company and to Management For For
authorise the board of Directors to fix their remuneration
5 To grant a general mandate to the directors of the Company to allot, issue and Management For For
otherwise deal with unissued shares of the Company
6 To grant a general mandate to the directors of the Company to repurchase shares of Management For For
the Company
7 To add the nominal amount of the shares repurchased by the Company to the Management For For
general mandate granted to the directors of the Company under resolution no.5
above
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 723,000 0 01-Apr-2013 22-Apr-2013
CHINA
FUND
CHINA EVERBRIGHT INTERNATIONAL LTD
Security Y14226107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 26-Apr-2013
ISIN HK0257001336 Agenda 704328005 - Management
Record Date 22-Apr-2013 Holding Recon 22-Apr-2013
Date
City / Country HONG KONG/Hong Kong Vote Deadline 18-Apr-2013
Date
SEDOL(s) 6630940 - B01XKN0 - Quick Code
B1HHQJ1
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0315/LTN20130315607.pdf- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0315/LTN20130315605.pdf
1 To receive and consider the audited financial statements and the report of the Management For For
directors and independent auditor's report for the year ended 31st December 2012
2 To declare a final dividend of HK3.0 cents per share for the year ended 31st Management For For
December 2012
3.a.i To re-elect Mr. Chen Xiaoping as director Management For For
3.aii To re-elect Mr. Wang Tianyi as director Management For For
3aiii To re-elect Mr. Cai Shuguang as director Management For For
3.aiv To re-elect Mr. Fan Yan Hok, Philip as director Management For For
3.a.v To re-elect Mr. Zhai Haitao as director Management For For
3.b To authorise the board of directors to fix the remuneration of the directors Management For For
4 To re-appoint KPMG as auditors and to authorise the board of directors to fix their Management For For
remuneration
5.i To grant a general mandate to the directors to issue additional shares not exceeding Management For For
20% of the issued share capital (Ordinary resolution in item 5(1) of the notice of
annual general meeting)
5.ii To grant a general mandate to the directors to repurchase shares not exceeding 10% Management For For
of the issued share capital (Ordinary resolution in item 5(2) of the notice of annual
general meeting)
5.iii To extend the general mandate granted to the directors to issue additional shares Management For For
(Ordinary resolution in item 5(3) of the notice of annual general meeting)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 618,000 0 01-Apr-2013 24-Apr-2013
CHINA
FUND
WANT WANT CHINA HOLDINGS LTD
Security G9431R103 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 26-Apr-2013
ISIN KYG9431R1039 Agenda 704338323 - Management
Record Date 22-Apr-2013 Holding Recon 22-Apr-2013
Date
City / Country HONG KONG / Cayman Vote Deadline 23-Apr-2013
Islands Date
SEDOL(s) B2Q14Z3 - B2QKF02 - Quick Code
B500918
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0321/LTN20130321148.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321144.pdf
1 To consider and approve the financial statements and the reports of the directors and the Management For For
auditor for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3.a To re-elect Mr. Tsai Eng-Meng as a director of the Company Management For For
3.b To re-elect Mr. Chu Chi-Wen as a director of the Company Management For For
3.c To re-elect Mr. Cheng Wen-Hsien as a director of the Company Management For For
3.d To re-elect Mr. Toh David Ka Hock as a director of the Company Management For For
3.e To re-elect Mr. Lee Kwang-Chou as a director of the Company Management For For
3.f To authorize the board of directors of the Company to fix the remuneration of all the Management For For
directors of the Company
4 To re-appoint PricewaterhouseCoopers as the Company's auditor and authorize the board Management For For
of directors of the Company to fix their remuneration for the period ending 31 December
2013
5 To grant a general mandate to the directors of the Company to exercise the powers of the Management For For
Company to repurchase the shares of the Company in accordance with ordinary resolution
number 5 as set out in the notice of Annual General Meeting
6 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
additional shares of the Company in accordance with ordinary resolution number 6 as set
out in the notice of Annual General Meeting
7 Conditional upon ordinary resolutions number 5 and 6 being passed, to extend the general Management For For
mandate granted to the directors of the Company to allot, issue and deal with additional
shares of the Company in accordance with ordinary resolution number 7 as set out in the
notice of Annual General Meeting
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- --------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY 472,000 0 01-Apr-2013 24-Apr-2013
CHINA MELLON
FUND
TONIC INDUSTRIES HOLDINGS LTD
Security G8917Z142 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 26-Apr-2013
ISIN KYG8917Z1422 Agenda 704355583 - Management
Record Date 25-Apr-2013 Holding Recon 25-Apr-2013
Date
City /Country HONG KONG /Cayman Vote Deadline 23-Apr-2013
Islands Date
SEDOL(s) 5912393 - 6079101 Quick Code
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU. Voting
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/ Voting
listedco/listconews/sehk/ 2013/0328/LTN201303281149.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0328/LTN201303281145.pdf
1 To receive and adopt the audited consolidated financial statements and the reports Management For For
of the directors and auditors for the nine months ended 31 December 2012
2.a To re-elect Dr. So Shu Fai as an executive Director Management For For
2.b To re-elect Mr. Yu Zhiliang as an executive Director Management For For
2.c To re-elect Dr. Wong Wing Kuen, Albert as an independent non-executive Director Management For For
2.d To authorize the board of Directors to fix the respective Director's remuneration Management For For
3 To re-appoint Deloitte Touche Tohmatsu as auditors until the conclusion of the Management For For
Company's next annual general meeting and authorize the board of Directors of the
Company to fix their remuneration
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 508,000 0 01-Apr-2013 24-Apr-2013
CHINA
FUND
CHINA OVERSEAS GRAND OCEANS GROUP LTD
Security Y1505S117 Meeting Type Annual General Meeting
Ticker Symbol.. Meeting Date 07-May-2013
ISIN HK0000065737 Agenda 704338309 - Management
Record Date 03-May-2013 Holding Recon 03-May-2013
Date
City / Country HONG KONG / Hong Kong Vote Deadline 02-May-2013
Date
SEDOL(s) 6803247 - B0J2MJ9 - Quick Code
B1HHP16 - B3SC7G3
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0321/LTN20130321170.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321168.pdf
1 To receive and consider the audited financial statements, the directors' report and Management For For
the independent auditors' report for the year ended 31 December 2012
2 To consider and declare a final dividend of HK6.0 cents per ordinary share for the Management For For
year ended 31 December 2012
3.a To re-elect Mr. Hao Jian Min as Director Management For For
3.b To re-elect Mr. Chen Bin as Director Management For For
3.c To re-elect Mr. Yang Hai Song as Director Management For For
3.d To re-elect Mr. Lam Kin Fung, Jeffrey as Director Management For For
4 To authorise the Board of Directors to fix the Directors' remuneration Management For For
5 To appoint auditors for the ensuing year and to authorise the Directors to fix their Management For For
remuneration
6 To give a general mandate to the Directors to repurchase shares of the Company Management For For
not exceeding 10 per cent. of the issued share capital of the Company
7 To give a general mandate to the Directors to allot, issue and deal with additional Management For For
shares not exceeding 20 per cent. of the issued share capital of the Company
8 To extend the general mandate granted to the Directors to allot, issue and deal with Management For For
additional shares of an amount not exceeding the nominal amount of shares
repurchased by the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 202,000 0 09-Apr-2013 03-May-2013
CHINA
FUND
BIOSTIME INTERNATIONAL HOLDINGS LTD, GRAND CAYMAN
Security G11259101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 09-May-2013
ISIN KYG112591014 Agenda 704355785 - Management
Record Date 06-May-2013 Holding Recon 06-May-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 06-May-2013
Islands Date
SEDOL(s) B3XSC72 - B4ZB3G2 - Quick Code
B582530
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-
AVAILABLE BY CLICKING-ON THE URL LINK:- http://www.hkexnews.hk/ Voting
listedco/listconews/sehk/ 2013/0327/LTN20130327704.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0327/LTN20130327945.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU. Voting
1 To receive, consider and adopt the consolidated audited financial statements of the Management For For
Company and its subsidiaries and the reports of the Directors and auditors of the
Company for the year ended 31 December 2012
2a To declare a final dividend equivalent to HKD 0.39 per ordinary share for the year Management For For
ended 31 December 2012 to the shareholders of the Company which shall be paid
out of the share premium of the Company
2b To declare a special dividend equivalent to HKD 0.46 per ordinary share for the Management For For
year ended 31 December 2012 to the shareholders of the Company which shall be
paid out of the share premium of the Company
3ai To re-elect Mr. Luo Fei as an executive Director of the Company Management For For
3aii To re-elect Ms. Kong Qingjuan as an executive Director of the Company Management For For
3aiii To re-elect Dr. Zhang Wenhui as a non-executive Director of the Company Management For For
3aiv To re-appoint Mr. Wu Xiong as a non-executive Director of the Company Management For For
3av To re-appoint Mr. Luo Yun as a non-executive Director of the Company Management For For
3avi To re-appoint Mr. Chen Fufang as a non- executive Director of the Company Management For For
3b To authorise the Board of Directors of the Company to fix the remuneration of the Management For For
Directors of the Company
4 To re-appoint Ernst & Young as auditors of the Company and to authorise the Management For For
Board of Directors of the Company to fix their remuneration
5 To grant a general mandate to the Directors to allot, issue and deal with shares of Management For For
the Company not exceeding 20% of the aggregate nominal amount of the issued
share capital of the Company as at the date of passing this resolution
6 To grant a general mandate to the Directors to purchase shares of the Company not Management For For
exceeding 10% of the aggregate nominal amount of the issued share capital of the
Company as at the date of passing this resolution
7 To extend the general mandate granted under resolution no. 5 by adding the shares Management For For
purchased pursuant to the general mandate granted by resolution no. 6
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 301,000 0 01-Apr-2013 07-May-2013
CHINA
FUND
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD
Security Y69790106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 10-May-2013
ISIN CNE1000003X6 Agenda 704338436 - Management
Record Date 09-Apr-2013 Holding Recon 09-Apr-2013
Date
City / Country SHENZHE N/China Vote Deadline 06-May-2013
Date
SEDOL(s) B01FLR7 - B01NLS2 - Quick Code
B03NP99
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0321/LTN20130321761.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321759.pdf
1 To consider and approve the report of the board of directors of the Company (the Management For For
"Board of Directors") for the year ended December 31, 2012
2 To consider and approve the report of the supervisory committee of the Company Management For For
(the "Supervisory Committee") for the year ended December 31, 2012
3 To consider and approve the annual report and its summary of the Company for the Management For For
year ended December 31, 2012
4 To consider and approve the report of the auditors and the audited financial Management For For
statements of the Company for the year ended December 31, 2012
5 To consider and approve the profit distribution plan for the year ended December Management For For
31, 2012 and the proposed distribution of final dividends
6 To consider and approve the appointment of PricewaterhouseCoopers Zhong Tian Management For For
CPAs Limited Company as the PRC auditor and PricewaterhouseCoopers as the
international auditor of the Company to hold office until the conclusion of the next
annual general meeting and to fix their remuneration
7.1 To consider and approve the appointment of Mr. Lee Yuansiong as an Executive Management For For
Director of the Company to hold office until the expiry of the term of the 9th
Session of the Board of Directors
7.2 To consider and approve the appointment of Mr. Soopakij Chearavanont as a Non- Management For For
executive Director of the Company to hold office until the expiry of the term of the
9th Session of the Board of Directors
7.3 To consider and approve the appointment of Mr. Yang Xiaoping as a Non- Management For For
executive Director of the Company to hold office until the expiry of the term of the
9th Session of the Board of Directors
7.4 To consider and approve the appointment of Mr. Lu Hua as a Non-executive Management For For
Director of the Company to hold office until the expiry of the term of the 9th
Session of the Board of Directors
7.5 To consider and approve the appointment of Mr. Yip Dicky Peter as an Management For For
Independent Non-executive Director of the Company to hold office until the expiry
of the term of the 9th Session of the Board of Directors
7.6 To consider and approve the appointment of Mr. Wong Oscar Sai Hung as an Management For For
Independent Non-executive Director of the Company to hold office until the expiry
of the term of the 9th Session of the Board of Directors
7.7 To consider and approve the appointment of Mr. Sun Dongdong as an Independent Management For For
Non-executive Director of the Company to hold office until the expiry of the term
of the 9th Session of the Board of Directors
8 To consider and approve the appointment of Ms. Zhang Wangjin as a Supervisor Management For For
representing the shareholders of the Company to hold office until the expiry of the
term of the 7th Session of the Supervisory Committee
9 To consider and approve the payment of working allowance to the Independent Management For For
Non-executive Directors of the Company
10 To consider and approve the payment of working allowance to the Independent Management For For
Supervisors of the Company
11 To consider and approve "the Resolution in relation to the Utilization Report on the Management For For
Proceeds from the Previous Fund Raising Activity"
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 218,000 0 01-Apr-2013 07-May-2013
CHINA
FUND
GREAT WALL MOTOR CO LTD
Security Y2882P106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 10-May-2013
ISIN CNE100000338 Agenda 704341243 - Management
Record Date 09-Apr-2013 Holding Recon 09-Apr-2013
Date
City / Country HEBEI PROVINC E/China Vote Deadline 03-May-2013
Date
SEDOL(s) 6718255 - B01XL04 - Quick Code
B1BJQS2
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0321/LTN20130321483.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0321/LTN20130321497.pdf
1 To consider and approve the audited financial statements of the Company for the Management For For
year 2012(details stated in the annual report of the Company for the year 2012)
2 To consider and approve the Report of the Directors for the year 2012 (details Management For For
stated in the annual report of the Company for the year 2012)
3 To consider and approve the profit distribution proposal for the year 2012 (details Management For For
stated in the circular of the Company dated 21 March 2013)
4 To consider and approve the annual report of the Company for the year 2012 and Management For For
its summary report (published on the Company's website: www.gwm.com.cn)
5 To consider and approve the Report of the Independent Directors for the year 2012 Management For For
(published on the Company's website: www.gwm.com.cn)
6 To consider and approve the Report of the Supervisory Committee for the year Management For For
2012 (details stated in the annual report of the Company for the year 2012)
7 To consider and approve the strategies of the Company for the year 2013 (details Management For For
stated in the circular of the Company dated 21 March 2013)
8 To consider and approve the re-appointment of Deloitte Touche Tohmatsu Certified Management For For
Public Accountants LLP as the Company's external auditor for the year ending 31
December 2013, the term of such re-appointment shall commence from the date on
which this resolution is passed until the date of the next annual general meeting, and to
authorise the board of directors (the "Board") of the Company to fix its remunerations
(details stated in the circular dated 21 March 2013)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 741,500 0 01-Apr-2013 06-May-2013
CHINA
FUND
AIA GROUP LTD, HONG KONG
Security Y002A1105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 10-May-2013
ISIN HK0000069689 Agenda 704345152 - Management
Record Date 06-May-2013 Holding Recon Date 06-May-2013
City / Country HONG KONG / Hong Kong Vote Deadline 07-May-2013
Date
SEDOL(s) B4TX8S1 - B4Y5XL0 - Quick Code
B5WGY64
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0325/LTN20130325281.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0325/LTN20130325275.pdf
1 To receive the audited consolidated financial statements of the Company, the Management For For
Report of the Directors and the Independent Auditor's Report for the year ended 30
November 2012
2 To declare a final dividend of 24.67 Hong Kong cents per share for the year ended Management For For
30 November 2012
3 To re-elect Mr. Barry Chun-Yuen Cheung as Independent Non-executive Director Management For For
of the Company
4 To re-elect Mr. George Yong-Boon Yeo as Independent Non-executive Director of Management For For
the Company
5 To re-elect Dr. Narongchai Akrasanee as Independent Non-executive Director of Management For For
the Company
6 To re-elect Dr. Qin Xiao as Independent Non-executive Director of the Company Management For For
7 To re-elect Mr. Mark Edward Tucker as Executive Director of the Company Management For For
8 To re-appoint PricewaterhouseCoopers as auditor of the Company for the term Management For For
from passing of this resolution until the conclusion of the next annual general
meeting and to authorise the board of directors of the Company to fix its
remuneration
9.A To grant a general mandate to the Directors to allot, issue, grant and deal with Management For For
additional shares of the Company, not exceeding 10 per cent of the issued share
capital of the Company at the date of this Resolution, and the discount for any
shares to be issued shall not exceed 10 per cent to the Benchmarked Price
9.B To grant a general mandate to the Directors to repurchase shares of the Company, Management For For
not exceeding 10 per cent of the issued share capital of the Company at the date of
this Resolution
9.C To grant a general mandate to the Directors to allot, issue and deal with additional Management For For
shares of the Company under the restricted share unit scheme adopted by the
Company on 28 September 2010 (as amended)
10 To approve the amendments to the Articles of Association of the Company: Management For For
Articles 101 and 105
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 156,800 0 03-May-2013 08-May-2013
CHINA
FUND
SUNNY OPTICAL TECHNOLOGY (GROUP) CO LTD
Security G8586D109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 10-May-2013
ISIN KYG8586D1097 Agenda 704367932 - Management
Record Date 06-May-2013 Holding Recon Date 06-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 07-May-2013
Islands
SEDOL(s) B1YBT08 - B1YY9W9 Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0328/LTN20130328507.pdf,http:- //
www.hkexnews.hk/listedco/listconews/SEHK/20 13/0328/LTN20130328429.pdf
AND http://www.hkexnews.hk/listedco/listconews/sehk/2
013/0328/LTN20130328437.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the audited consolidated accounts and the reports of Management For For
directors and auditor of the Company for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3a To re-elect Mr. Sun Yang as an executive director of the Company Management For For
3b To re-elect Mr. Chu Peng Fei Richard as an independent non-executive director of Management For For
the Company
3c To re-elect Dr. Liu Xu as an independent non-executive director of the Company; Management For For
and
3d To authorise the board ("Board") of directors ("Directors") of the Company to fix Management For For
the remuneration of the Directors
4 To re-appoint Deloitte Touche Tohmatsu as the Company's external auditor and to Management For For
authorise the Board to fix their remuneration
5 That a general and unconditional mandate be granted to the Directors to exercise all Management For For
the power to allot, issue and otherwise dealt with new shares of the Company not
exceeding 20% of the aggregate nominal amount of the share capital of the
Company in issue as at the date of the passing of the relevant resolution
6 That a general and unconditional mandate be granted to the Directors to repurchase Management For For
shares of the Company on The Stock Exchange of Hong Kong Limited of up to
10% of the aggregate nominal amount of the share capital of the Company in issue
as at the date of the passing of the relevant resolution
7 That subject to the passing of resolutions numbered 5 and 6, the number of shares to be Management For For
allotted, issued and otherwise dealt with by the Directors pursuant to resolution numbered
5 be increased by the aggregate amount of share capital of the Company which are to be
repurchased by the Company pursuant to the authority granted to the Directors under
resolution numbered
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK. IF Non-Voting
YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS
PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 490,000 0 02-Apr-2013 08-May-2013
CHINA
FUND
HILONG HOLDING LTD, GRAND CAYMAN
Security G4509G105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 10-May-2013
ISIN KYG4509G1055 Agenda 704402483 - Management
Record Date 07-May-2013 Holding Recon Date 07-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 07-May-2013
Islands
SEDOL(s) B621F96 Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0409/LTN20130409572.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0409/LTN20130409555.pdf
1 To receive and adopt the audited consolidated financial statements of the Company Management For For
and its subsidiaries and the reports of the directors and of the independent auditor
for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3 To re-elect Mr. Zhang Jun as director Management For For
4 To re-elect Mr. Wang Tao (as specified) as director Management For For
5 To re-elect Mr. Lee Siang Chin as director Management For For
6 To re-elect Mr. Liu Haisheng as director Management For For
7 To authorise the board of directors to fix the remuneration of the directors for the Management For For
year ending 31 December 2013
8 To re-appoint PricewaterhouseCoopers as auditor and to authorise the board of Management For For
directors to fix their remuneration
9 To grant a general mandate to the directors to repurchase shares not exceeding 10% Management For For
of the total number of shares of the Company in issue
10 To grant a general mandate to the directors to issue, allot and deal with unissued Management For For
shares not exceeding 20% of the total number of shares of the Company in issue
11 To extend the general mandate granted to the directors to issue, allot and deal with Management For For
unissued shares by adding the number of shares to be repurchased by the Company
12 To adopt a share option scheme of the Company Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,237,000 0 04-May-2013 08-May-2013
CHINA
FUND
JU TENG INTERNATIONAL HOLDINGS LTD
Security G52105106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 14-May-2013
ISIN KYG521051063 Agenda 704379963 - Management
Record Date 10-May-2013 Holding Recon0 Date 10-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 09-May-2013
Islands
SEDOL(s) B0N6Y91 - B0NYGC2 - Quick Code
B1446V7
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0403/LTN20130403894.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0403/LTN20130403748.pdf
1 To receive and approve the audited consolidated financial statements and the Management For For
reports of the directors and auditors of the Company for the year ended 31
December 2012
2 To approve the declaration of a final dividend for the year ended 31 December Management For For
2012 of HKD 0.12 per share of HKD 0.10 each in the capital of the Company
3.a To re-elect Hsieh Wan-Fu as executive director of the Company Management For For
3.b To re-elect Tsui Yung Kwok as executive director of the Company Management For For
3.c To re-elect Tsai Wen-Yu as independent non-executive director of the Company Management For For
3.d To authorise the board of directors of the Company to fix the remuneration of the Management For For
Directors
4 To re-appoint Ernst & Young as the auditors of the Company for the year ending Management For For
31 December 2013 and to authorise the board of directors of the Company to fix
their Remuneration
5 To grant a general and unconditional mandate to the directors of the Company to Management For For
allot, issue or otherwise deal with the unissued shares in the capital of the Company
not exceeding 20% of the issued share capital of the Company
6 To grant a general mandate to the directors of the Company to purchase the Company's Management For For
shares up to 10% of the issued share capital of the Company
7 To add the nominal amount of the shares repurchased by the Company to the general Management For For
mandate granted to the directors under resolution no.5
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN Non-Voting
RESOLUTION-2. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 508,000 0 08-May-2013 10-May-2013
CHINA
FUND
HYSAN DEVELOPMENT CO LTD
Security Y38203124 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 15-May-2013
ISIN HK0014000126 Agenda 704355507 - Management
Record Date 13-May-2013 Holding Recon Date 13-May-2013
City / Country HONG KONG / Hong Kong Vote Deadline 10-May-2013
Date
SEDOL(s) 5890530 - 6449618 - Quick Code
6449629 - B01Y5G1 -
B170K87
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0328/LTN20130328624.pdf- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0328/LTN20130328601.pdf
1 To receive and consider the Statement of Accounts for the year ended 31 December Management For For
2012 and the Reports of the Directors and Auditor thereon
2.i To re-elect Mr. Frederick Peter CHURCHOUSE Management For For
2.ii To re-elect Mr. Chien LEE Management For For
2.iii To re-elect Mr. Michael Tze Hau LEE Management For For
2.iv To re-elect Mr. Joseph Chung Yin POON Management For For
2.v To re-elect Ms. Wendy Wen Yee YUNG Management For For
3 To re-appoint Messrs. Deloitte Touche Tohmatsu as Auditor of the Company at a Management For For
fee to be agreed by the Directors
4 To give Directors a general mandate to issue and dispose of additional shares in the Management For For
Company not exceeding 10% where the shares are to be allotted wholly for cash,
and in any event 20%, of its issued share capital
5 To give Directors a general mandate to repurchase shares in the Company not Management For For
exceeding 10% of its issued share capital
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 115,000 0 09-May-2013 13-May-2013
CHINA
FUND
TENCENT HOLDINGS LTD, GEORGE TOWN
Security G87572148 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 15-May-2013
ISIN KYG875721485 Agenda 704355797 - Management
Record Date 10-May-2013 Holding Recon Date 10-May-2013
City / Country HONG KONG / Cayman Vote Deadline 10-May-2013
Islands Date
SEDOL(s) B01CT30 - B01HP37 - Quick Code
B04SG67
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0328/LTN201303281202.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0328/LTN201303281196.pdf
1 To receive and consider the audited Financial Statements and the Reports of the Management For For
Directors and Auditor for the year ended 31 December 2012
2 To declare a final dividend Management For For
3.i.a To re-elect Mr Zhang Zhidong as director Management For For
3.i.b To re-elect Mr Ian Charles Stone as director Management For For
3.i.c To re-elect Mr Jacobus Petrus Bekker as director Management For For
3.ii To authorise the Board of Directors to fix the Directors' remuneration Management For For
4 To re-appoint Auditor and to authorise the Board of Directors to fix their Management For For
remuneration
5 To grant a general mandate to the Directors to issue new shares (Ordinary Management For For
Resolution 5 as set out in the notice of the AGM)
6 To grant a general mandate to the Directors to repurchase shares (Ordinary Management For For
Resolution 6 as set out in the notice of the AGM)
7 To extend the general mandate to issue new shares by adding the number of shares Management For For
repurchased (Ordinary Resolution 7 as set out in the notice of the AGM)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------ ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 72,400 0 01-Apr-2013 13-May-2013
CHINA
FUND
GEELY AUTOMOBILE HOLDINGS LTD, GEORGE TOWN
Security G3777B103 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 16-May-2013
ISIN KYG3777B1032 Agenda 704461970 - Management
Record Date 13-May-2013 Holding Recon Date 13-May-2013
City / Country HONG KONG / Cayman Vote Deadline 02-May-2013
Islands Date
SEDOL(s) 6531827 - B02V7T8 - Quick Code
B06GCL6
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0327/LTN20130327696.pdf-and- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0327/LTN20130327690.pdf
1 To receive and consider the report of the directors, audited financial statements and Management For For
auditors' report for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3 To re-elect Mr. Li Shu Fu as an executive director Management For For
4 To re-elect Mr. Yang Jian as an executive director Management For For
5 To re-elect Mr. Gui Sheng Yue as an executive director Management For For
6 To re-elect Dr. Zhao Fuquan as an executive director Management For For
7 To re-elect Ms. Wei Mei as an executive director Management For For
8 To re-elect Mr. Carl Peter Edmund Moriz Forster as a non-executive director Management For For
9 To authorise the board of directors of the Company to fix the remuneration of the Management For For
directors
10 To re-appoint Grant Thornton Hong Kong Limited as the auditors of the Company Management For For
and to authorise the board of directors of the Company to fix their remuneration
11 To grant a general mandate to the directors to repurchase the Company's shares Management For For
12 To grant a general mandate to the directors to issue, allot and otherwise deal with Management For For
the Company's shares
13 To extend the general mandate to allot and issue new shares Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,430,000 0 30-Apr-2013 14-May-2013
CHINA
FUND
CIMC ENRIC HOLDINGS LTD
Security G2198S109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 20-May-2013
ISIN KYG2198S1093 Agenda 704471666 - Management
Record Date 16-May-2013 Holding Recon Date 16-May-2013
City / Country HONGKO NG / Cayman Vote Deadline 06-May-2013
Islands Date
SEDOL(s) B0M6DX9 - B0MTL78 - Quick Code
B12P1Z1
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0408/LTN20130408954.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0408/LTN20130408949.pdf
1 To receive and consider the audited consolidated financial statements and the Management
directors' and independent auditor's reports for the year ended 31 December 2012
2 To declare a final dividend in respect of 2012 of HKD 0.07 per ordinary share and Management
HKD 0.07 per non-redeemable convertible preference share
3.1 To re-elect Mr. Petrus Gerardus Maria van der Burg as director Management
3.2 To re-elect Mr. Tsui Kei Pang as director Management
3.3 To re-elect Mr. Zhang Xueqian as director Management
3.4 To authorise the board of directors to fix the remuneration of directors Management
4 To re-appoint PricewaterhouseCoopers and to authorise the board of directors to fix Management
the remuneration of auditor
5 To grant a general mandate to the directors to issue shares Management
6 To grant a general mandate to the directors to repurchase shares Management
7 To extend the general mandate to be given to the directors to issue shares by Management
addition thereto the share repurchased by the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ---- ---------
260462 CLOUGH 260462 BNY MELLON 482,000 0
CHINA
FUND
HONGHUA GROUP LTD
Security G4584R109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 22-May-2013
ISIN KYG4584R1092 Agenda 704438123 - Management
Record Date 14-May-2013 Holding Recon Date 14-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 15-May-2013
Islands
SEDOL(s) B2PQF34 - B2Q6TY2 - Quick Code
B2R2GS2
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0418/LTN20130418459.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0418/LTN20130418341.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the Audited Consolidated Financial Statements and the Management For For
Reports of the Directors and of the Independent Auditor for the year ended 31
December 2012
2 To declare a final dividend of HKD 0.06 per share of the Company for the year Management For For
ended 31 December 2012
3.i.a To re-elect the following Directors: Zhang Mi Management For For
3.i.b To re-elect the following Directors: Liu Xiaofeng Management For For
3.i.c To re-elect the following Directors: Tai Kwok Leung, Alexander Management For For
3.i.d To re-elect the following Directors: Chen Guoming Management For For
3.ii To authorise the Board of Directors to fix Directors' remuneration Management For For
4 To re-appoint KPMG as Independent Auditor and to authorise the Board of Management For For
Directors to fix Independent Auditor's remuneration
5 To give a general mandate to the Directors to purchase the Company's shares not Management For For
exceeding 10% of the total nominal amount of the issued share capital of the
Company as at the date of passing of this resolution
6 To give a general mandate to the Directors to issue, allot and deal with additional Management For For
shares of the Company not exceeding 20% of the total nominal amount of the
issued share capital of the Company as at the date of passing of this resolution
7 To extend the general mandate granted to the Directors to issue, allot and deal with Management For For
additional shares in the capital of the Company by the number of shares
repurchased by the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 3,116,000 0 23-Apr-2013 20-May-2013
CHINA
FUND
HENGAN INTERNATIONAL GROUP CO LTD
Security G4402L151 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-May-2013
ISIN KYG4402L1510 Agenda 704443150 - Management
Record Date 20-May-2013 Holding Recon Date 20-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 20-May-2013
Islands
SEDOL(s) 5754045 - 6136233 - Quick Code
B02V840
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0418/LTN20130418771.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0418/LTN20130418729.pdf
1 To receive and consider the audited consolidated accounts and the reports of the Management For For
directors and auditors for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3 To re-elect Mr. Xu Shui Shen as an executive director Management For For
4 To re-elect Mr. Sze Wong Kim as an executive director Management For For
5 To re-elect Mr. Hui Ching Chi as an executive director Management For For
6 To re-elect Mr. Wang Ming Fu as an independent non-executive director Management For For
7 To re-elect Mr. Ho Kwai Ching Mark as an independent non-executive director Management For For
8 To re-elect Mr. Zhou Fang Sheng as an independent non-executive director Management For For
9 To authorise the board of directors to fix the remuneration of the directors Management For For
10 To re-appoint auditors and to authorise the board of directors to fix their Management For For
remuneration
11 To grant a general mandate to the board of directors to allot and issue shares Management For For
12 To grant a general mandate to the board of directors to exercise all powers of the Company Management For For
to purchase its own securities
13 To extend the general mandate granted to the board of directors pursuant to Resolution No. Management For For
11 above by an amount representing the aggregate nominal amount of shares in the capital
of the Company purchased by the Company pursuant to the general mandate granted
pursuant to Resolution No. 12 above
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------ ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 68,000 0 23-Apr-2013 21-May-2013
CHINA
FUND
PRINCE FROG INTERNATIONAL HOLDINGS LTD, GRAND CAYM
Security G7247W100 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-May-2013
ISIN KYG7247W1006 Agenda 704446904 - Management
Record Date 20-May-2013 Holding Recon Date 20-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 13-May-2013
Islands
SEDOL(s) Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0419/LTN20130419871.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0419/LTN20130419843.pdf
1 To consider, adopt and receive the audited consolidated financial statements of the Management For For
Company and the reports of the directors and auditors for the year ended 31
December 2012
2 To declare a final dividend of HK6.0 cents per share for the year ended 31 Management For For
December 2012, which shall be paid out of the share premium account of the
Company
3 To re-elect Mr. Huang Xinwen as an executive director of the Company Management For For
4 To re-elect Ms. Hong Fang as an executive director of the Company Management For For
5 To re-elect Mr. Chen Shaojun as an independent non-executive director of the Management For For
Company
6 To authorize the board of directors to fix the respective directors' remuneration Management For For
7 To re-appoint Ernst & Young as auditors of the Company and to authorize the Management For For
board of directors to fix their remuneration
8 To give a general mandate to the directors to repurchase the Company's shares not Management For For
exceeding 10% of the aggregate nominal amount of the issued share capital of the
Company as at the date of passing of this resolution
9 To give a general mandate to the directors to issue, allot and deal with additional Management For For
shares of the Company not exceeding 20% of the aggregate nominal amount of the
issued share capital of the Company as at the date of passing of this resolution
10 To extend the general mandate granted to the directors to issue, allot and deal with Management For For
additional shares in the capital of the Company by the aggregate nominal amount
of shares repurchased by the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 999,000 0 23-Apr-2013 21-May-2013
CHINA
FUND
PETROCHINA CO LTD, BEIJING
Security Y6883Q104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-May-2013
ISIN CNE1000003W8 Agenda 704451094 - Management
Record Date 22-Apr-2013 Holding Recon Date 22-Apr-2013
City / Country BEIJING / China Vote Deadline Date 15-May-2013
SEDOL(s) 5939507 - 6226576 - Quick Code
B01DNL9 - B17H0R7
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 174630 Non-Voting
DUE TO RECEIPT OF PAST RECORD DATE. ALL VOTES RECEIVED ON
THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL
NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0402/LTN 201304021116.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0402/LTN201304021152.pdf
1 To consider and approve the Report of the Board of Directors of the Company for Management For For
the year 2012
2 To consider and approve the Report of the Supervisory Committee of the Company Management For For
for the year 2012
3 To consider and approve the Audited Financial Statements of the Company for the Management For For
year 2012
4 To consider and approve the declaration and payment of the final dividend for the Management For For
year ended 31 December 2012 in the amount and in the manner recommended by
the Board of Directors
5 To consider and approve the authorisation of the Board of Directors to determine Management For For
the distribution of interim dividends for the year 2013
6 To consider and approve the appointment of KPMG Huazhen and KPMG as the Management For For
domestic and international auditors of the Company, respectively, for the year 2013
and to authorise the Board of Directors to determine their remuneration
7(a) To consider and approve the election of Mr. Li Qingyi as the Supervisor of the Management For For
Company
7(b) To consider and approve the election of Mr. Fan Fuchun as the independent Management For For
Supervisor of the Company
8 To consider and approve, by way of special resolution, certain amendments to the Management For For
articles of association of the Company: article 10, 162
9 To consider and approve, by way of special resolution, to unconditionally grant a Management For For
general mandate to determine and handle the issue of debt financing instruments of
the Company with the outstanding balance amount of up to RMB100 billion, upon
such terms and conditions to be determined by the Board of Directors
10 To consider and approve, by way of special resolution, to grant a general mandate Management For For
to the Board of Directors to separately or concurrently issue, allot and deal with
additional domestic shares and overseas listed foreign shares in the Company not
exceeding 20% of each of its existing domestic shares and overseas listed foreign
shares of the Company in issue
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,102,000 0 26-Apr-2013 16-May-2013
CHINA
FUND
KINGSOFT CORPORATION LTD
Security G5264Y108 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-May-2013
ISIN KYG5264Y1089 Agenda 704487582 - Management
Record Date 16-May-2013 Holding Recon Date 16-May-2013
City / Country GUANGD ONG / Cayman Vote Deadline Date 15-May-2013
Islands
SEDOL(s) B27WRM3 - B28CVM0 - Quick Code
B4X6GF9
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 172601 Non-Voting
DUE TO CHANGE IN DIRECTOR NAME. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0506/LTN-20130506663.pdf AND http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0506/-LTN20130506686.pdf
1 To receive and consider the audited consolidated financial statements and the Management For For
report of the directors and the independent auditors' report for the year ended 31
December 2012
2 To declare a final dividend of HKD 0.11 per share for the year ended 31 December Management For For
2012
3.1 To re-elect Mr. Yuk Keung NG as an executive director Management For For
3.2 To re-elect Mr. Chi Ping LAU as a non-executive director Management For For
3.3 To re-elect Mr. David Yuen Kwan TANG as an independent non-executive director Management For For
3.4 To re-elect Mr. Guangming George LU as an independent non-executive director Management For For
3.5 To re-elect Ms. Wenjie WU as an independent non-executive director Management For For
3.6 To authorise the board of directors to fix the directors' remuneration Management For For
4 To re-appoint Ernst & Young as auditor and to authorise the board of directors to Management For For
fix the auditors' remuneration
5 To give a general mandate to the directors to issue new shares of the Company Management For For
6 To give a general mandate to the directors to repurchase shares of the Company Management For For
7 To extend the general mandate to the directors to issue new shares of the Company Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 683,000 0 08-May-2013 17-May-2013
CHINA
FUND
AIR CHINA LTD
Security Y002A6104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-May-2013
ISIN CNE1000001S0 Agenda 704488522 - Management
Record Date 22-Apr-2013 Holding Recon Date 22-Apr-2013
City / Country BEIJING / China Vote Deadline Date 16-May-2013
SEDOL(s) B04KNF1 - B04V2F7 - Quick Code
B04YG10 - B0584Q2
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 179853 Non-Voting
DUE TO ADDITION OF RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0507/L-TN20130507797.pdf http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0507/LT-N20130507791.pdf
AND-ht- tp://www.hkexnews.hk/listedco/listconews/sehk/2
013/0402/LTN201304021928.pdf
1 To consider and approve the report of the board of directors (the "Board") of the Management For For
Company for the year 2012
2 To consider and approve the report of the supervisory committee of the Company Management For For
for the year 2012
3 To consider and approve the audited consolidated financial statements of the Management For For
Company for the year 2012 prepared under the PRC Accounting Standards and the
International Financial Reporting Standards
4 To consider and approve the profit distribution proposal and the dividends Management For For
distribution proposal for the year 2012 as recommended by the Board and to
authorise the Board to implement such proposals
5 To consider and approve the appointment of KPMG as the Company's Management For For
international auditor and KPMG Huazhen (Special General Partnership) as the
Company's domestic auditor and internal control auditor respectively for the year
ending 31 December 2013 and to authorise the management of the Company to
determine their remunerations for the year 2013
6 To authorise the Board of the Company to exercise the powers to allot, issue and Management For For
deal with additional shares of the Company and to make or grant offers, agreements
and option which might require the exercise of such powers in connection with not
exceeding 20% of each of the existing A Shares and H Share (as the case may be)
in issue at the date of passing this resolution, and to authorise the Board of the
Company to increase the registered capital and amend the Articles of Association
of the Company to reflect such increase in the registered capital of the Company
under the general mandate
7 To consider and approve the resolution in relation to the grant of a general mandate Management For For
to the Board of the Company to issue debt financing instruments
8 To consider and approve the revised Measures on Management of the Stock Management For For
Appreciation Rights and the Proposal for the Second Grant of the Stock
Appreciation Rights
9 To consider and approve the resolution in relation to the provision of guarantee by the Management For For
Company for the financing to be obtained by Air China Cargo Co., Ltd., a subsidiary of the
Company, for its purchase of 8 B777-200F freighters
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,560,000 0 08-May-2013 20-May-2013
CHINA
FUND
TECHTRONIC INDUSTRIES CO LTD
Security Y8563B159 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-May-2013
ISIN HK0669013440 Agenda 704414503 - Management
Record Date 22-May-2013 Holding Recon Date 22-May-2013
City / Country HONG KONG / Hong Kong Vote Deadline Date 10-May-2013
SEDOL(s) B0190C7 - B01BM83 - Quick Code
B031W92
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0411/LTN20130411460.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0411/LTN20130411418.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To receive and consider the audited Statement of Accounts and the Reports of the Management For For
Directors and the Auditors of the Company for the year ended December 31, 2012
2 To declare a final dividend of HK10.75 cents per share for the year ended Management For For
December 31, 2012
3a To re-elect Mr. Patrick Kin Wah Chan as Group Executive Director Management For For
3b To re-elect Prof. Roy Chi Ping Chung BBS JP as Non-executive Director Management For For
3c To re-elect Mr. Joel Arthur Schleicher as Independent Non-executive Director Management For For
3d To re-elect Mr. Christopher Patrick Langley OBE as Independent Non-executive Management For For
Director
3e To authorise the Directors to fix their remuneration for the year ending December Management For For
31, 2013
4 To re-appoint Deloitte Touche Tohmatsu as Auditors of the Company and Management For For
authorise the Directors to fix their remuneration
5 To grant a general mandate to the Directors to allot, issue and deal with additional Management For For
shares not exceeding (i) in the case of an allotment and issue of shares for cash,
10% of the aggregate nominal amount of the share capital of the Company in issue
at the date of the resolution and (ii) in the case of an allotment and issue of shares
for a consideration other than cash, 20% of the aggregate nominal amount of the
share capital of the Company in issue at the date of the resolution (less any shares
allotted and issued pursuant to (i) above)
6 To grant a general mandate to the Directors to repurchase shares not exceeding Management For For
10% of the share capital of the Company in issue at the date of the resolution
7 Conditional on the passing of Resolution Nos. 5 and 6, to grant a general mandate Management For For
to the Directors to add the shares repurchased pursuant to Resolution No. 6 to the
amount of issued share capital of the Company which may be allotted pursuant to
Resolution No. 5
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,042,500 0 18-Apr-2013 22-May-2013
CHINA
FUND
BELLE INTERNATIONAL HOLDINGS LTD
Security G09702104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-May-2013
ISIN KYG097021045 Agenda 704446916 - Management
Record Date 23-May-2013 Holding Recon Date 23-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 23-May-2013
Islands
SEDOL(s) B1WJ4X2 - B1XPV83 - Quick Code
B23NYR4
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0419/LTN20130419897.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0419/LTN20130419859.pdf
1 To receive and consider the audited consolidated financial statements and reports Management For For
of the directors and auditor of the Company for the year ended 31 December 2012
2 To declare final dividend for the year ended 31 December 2012 Management For For
3 To re-appoint PricewaterhouseCoopers as the Company's auditor and to authorise Management For For
the board of directors of the Company to fix the auditor's remuneration
4.ai To re-elect Mr. Tang King Loy as an executive director of the Company Management For For
4.aii To re-elect Mr. Gao Yu as a non-executive director of the Company Management For For
4aiii To re-elect Mr. Chan Yu Ling, Abraham as an independent non-executive director Management For For
of the Company
4b To authorise the board of directors of the Company to fix the remuneration of the Management For For
directors
5 To grant a general mandate to the directors of the Company to allot, issue and deal Management For For
with new shares not exceeding 10% of the issued share capital of the Company as
at the date of passing this resolution
6 To grant a general mandate to the directors of the Company to repurchase shares Management For For
not exceeding 10% of the issued share capital of the Company as at the date of
passing this resolution
7 To extend the general mandate granted to the directors of the Company to allot, Management For For
issue and deal with additional shares in the share capital of the Company by an
amount not exceeding the amount of the shares repurchased by the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 232,000 0 30-Apr-2013 24-May-2013
CHINA
FUND
SHENZHOU INTERNATIONAL GROUP LTD
Security G8087W101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-May-2013
ISIN KYG8087W1015 Agenda 704455991 - Management
Record Date 22-May-2013 Holding Recon Date 22-May-2013
City / Country ZHEJAING / Cayman Vote Deadline Date 16-May-2013
Islands
SEDOL(s) B0MP1B0 - B0RF706 - Quick Code
B0ZNNK4
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0424/LTN20130424308. pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0424/LTN20130424288.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and consider the consolidated audited financial statements and the reports of Management For For
the directors and the independent auditors of the Company for the year ended 31
December 2012
2 To approve and declare the payment of a final dividend (including a special dividend) Management For For
for the year ended 31 December 2012
3 To re-elect Mr. Ma Jianrong as director of the Company Management For For
4 To re-elect Mr. Ma Renhe as director of the Company Management For For
5 To re-elect Ms. Zheng Miaohui as director of the Company Management For For
6 To re-elect Mr. Qiu Weiguo as director of the Company Management For For
7 To authorise the board of directors of the Company (the "Board") to fix the Management For For
remuneration of the directors
8 To appoint Ernst & Young as the Company's auditors and to authorise the Board to fix Management For For
their Remuneration
9 To grant a general mandate to the directors of the Company to allot, issue and deal with Management For For
the Company's shares
10 To grant a general mandate to the directors of the Company to repurchase the Management For For
Company's shares
11 To add the nominal value of the shares repurchased by the Company to the mandate Management For For
granted to the directors under resolution no. 9
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN THE Non-Voting
TEXT OF RESOLUTION 5. IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,247,000 0 30-Apr-2013 22-May-2013
CHINA
FUND
ANHUI CONCH CEMENT CO LTD
Security Y01373102 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-May-2013
ISIN CNE1000001W2 Agenda 704462352 - Management
Record Date 26-Apr-2013 Holding Recon Date 26-Apr-2013
City / Country WUHU CITY / China Vote Deadline Date 22-May-2013
SEDOL(s) 6080396 - B01W480 - Quick Code
B1BJMK6
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0411/LTN20130411219. pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0411/LTN20130411184.pdf
1 To approve the report of the board of directors (the "Board") for the year ended 31 Management For For
December 2012
2 To approve the report of the supervisory committee for the year ended 31 December Management For For
2012
3 To approve the audited financial reports prepared in accordance with the PRC Management For For
accounting standards and International Financial Reporting Standards respectively for
the year ended 31 December 2012
4.a To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Guo Wensan as an executive
director of the Company
4.b To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Guo Jingbin as an executive
director of the Company
4.c To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Ji Qinying as an executive
director of the Company
4.d To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Ms Zhang Mingjing as an
executive director of the Company
4.e To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Zhou Bo as an executive
director of the Company
4.f To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Fang Jinwen as an
independent non-executive director of the Company
4.g To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Wong Kun Kau as an
independent non-executive director of the Company
4.h To approve and vote on the resolution regarding the election of the following candidate Management For For
as the directors of the Company each for a term commencing on 28 May 2013 and
expiring on 27 May 2016 (each of which resolutions set out below in respect of the re-
election or appointment of each director of the Company shall be considered and
passed as a separate resolution): To elect and appoint Mr Tai Kwok Leung as an
independent non-executive director of the Company
5.a To approve and vote on the resolution regarding the election of the following candidate as the Management For For
supervisors of the Company each for a term commencing on 28 May 2013 and expiring on
27 May 2016 (each of which resolutions set out below in respect of the re-election or
appointment of each supervisor of the Company shall be considered and passed as a separate
resolution): To elect and appoint Mr Wang Jun as a supervisor of the Supervisory Committee of
the Company
5.b To approve and vote on the resolution regarding the election of the following candidate as the Management For For
supervisors of the Company each for a term commencing on 28 May 2013 and expiring on 27
May 2016 (each of which resolutions set out below in respect of the re-election or appointment
of each supervisor of the Company shall be considered and passed as a separate resolution): To
elect and appoint Mr Zhu Yuming as a supervisor of the Supervisory Committee of the
Company
6 To approve the reappointment of KPMG Huazhen Certified Public Accountants (Special Management For For
General Partnership) and KPMG Certified Public Accountants as the PRC auditors and
international auditors of the Company respectively, and to authorise the Board to determine the
remuneration of the auditors based on the amount of auditing work as required by the
Company's scale of operation were considered and approved
7 To approve the Company's profit distribution proposal for the year 2012 Management For For
8 To approve the grant of a mandate to the Board to exercise the power to allot and issue new Management For For
shares
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 204,500 0 30-Apr-2013 23-May-2013
CHINA
FUND
CHINA PETROLEUM & CHEMICAL CORP SINOPEC, BEIJING
Security Y15010104 Meeting Type Class Meeting
Ticker Symbol Meeting Date 29-May-2013
ISIN CNE1000002Q2 Agenda 704412131 - Management
Record Date 26-Apr-2013 Holding Recon Date 26-Apr-2013
City / Country BEIJING / China Vote Deadline Date 22-May-2013
SEDOL(s) 6291819 - 7027756 - Quick Code
B01XKR4
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT THE PROXY FORM IS AVAILABLE BY CLICKING ON Non-Voting
THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/sehk/
2013/0410/LTN20130410617.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To consider and approve the profit distribution plan for Sinopec Corp. for the year Management For For
ended 31 December 2012
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE
DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,877,000 0 18-Apr-2013 23-May-2013
CHINA
FUND
CHINA TELECOM CORP LTD, BEIJING
Security Y1505D102 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 29-May-2013
ISIN CNE1000002V2 Agenda 704414464 - Management
Record Date 26-Apr-2013 Holding Recon Date 26-Apr-2013
City / Country HONG KONG / China Vote Deadline Date 24-May-2013
SEDOL(s) 3226944 - 6559335 - Quick Code 515617000
B01XKW9 - B06KKC5 -
B16PQ74
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0411/LTN20130411663. pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0411/LTN20130411604.pdf
1 That the consolidated financial statements of the Company, the report of the Board of Management For For
Directors, the report of the Supervisory Committee and the report of the international
auditor for the year ended 31 December 2012 be considered and approved, and the
Board of Directors of the Company (the "Board") be authorised to prepare the budget
of the Company for the year 2013
2 That the profit distribution proposal and the declaration and payment of a final Management For For
dividend for the year ended 31 December 2012 be considered and approved
3 That the appointment of Deloitte Touche Tohmatsu and Deloitte Touche Tohmatsu Management For For
Certified Public Accountants LLP as the international auditors and domestic auditors of
the Company respectively for the year ending on 31 December 2013 be considered and
approved, and the Board be authorised to fix the remuneration of the auditors
4 Ordinary resolution numbered 4 of the Notice of AGM dated 11 April 2013 (to approve Management For For
the election of Mr. Xie Liang as a Director of the Company)
5.1 Special resolution numbered 5.1 of the Notice of AGM dated 11 April 2013 (to Management For For
consider and approve the issue of debentures by the Company)
5.2 Special resolution numbered 5.2 of the Notice of AGM dated 11 April 2013 (to Management For For
authorise the Board to issue debentures and determine the specific terms and
conditions)
6.1 Special resolution numbered 6.1 of the Notice of AGM dated 11 April 2013 (to Management For For
consider and approve the issue of company bonds in the People's Republic of China)
6.2 Special resolution numbered 6.2 of the Notice of AGM dated 11 April 2013 (to Management For For
authorise the Board to issue company bonds and determine the specific terms and
conditions)
7 Special resolution numbered 7 of the Notice of AGM dated 11 April 2013 (To grant a Management For For
general mandate to the Board to issue, allot and deal with additional shares in the
Company not exceeding 20% of each of the existing domestic Shares and H Shares in
issue.)
8 Special resolution numbered 8 of the Notice of AGM dated 11 April 2013 (To Management For For
authorise the Board to increase the registered capital of the Company and to amend the
articles of association of the Company to reflect such increase in the registered capital
of the Company under the general mandate.)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,592,000 0 18-Apr-2013 27-May-2013
CHINA
FUND
CHINA PETROLEUM & CHEMICAL CORP SINOPEC, BEIJING
Security Y15010104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 29-May-2013
ISIN CNE1000002Q2 Agenda 704453024 - Management
Record Date 26-Apr-2013 Holding Recon Date 26-Apr-2013
City / Country BEIJING / China Vote Deadline Date 22-May-2013
SEDOL(s) 6291819 - 7027756 - Quick Code
B01XKR4
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0410/LTN20130410635. pdf- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0410/LTN20130410613.pdf
1 To consider and approve the Report of the Board of Directors of Sinopec Corp. for the Management For For
year 2012
2 To consider and approve the Report of the Board of Supervisors of Sinopec Corp. for Management For For
the year 2012
3 To consider and approve the audited financial reports and audited consolidated Management For For
financial reports of Sinopec Corp. for the year ended 31 December 2012
4 To authorise the Board of Directors of Sinopec Corp. (the "Board") to determine the Management For For
interim profit distribution plan of Sinopec Corp. for the year 2013
5 To consider and approve the appointment of PricewaterhouseCoopers and Management For For
PricewaterhouseCoopers Zhong Tian CPAs Limited Company as external auditors of
Sinopec Corp. for the year 2013, respectively, and to authorise the Board to determine
their remunerations
6 To consider and approve the profit distribution plan of Sinopec Corp. for the year Management For For
ended 31 December 2012
7 To approve the proposed amendments to the articles of association of Sinopec Corp., Management For For
and to authorise the secretary to the Board to, on behalf of Sinopec Corp., deal with all
procedural requirements such as applications, approvals, registrations and filings in
relation to the proposed amendments to the articles of association (including cosmetic
amendments as requested by the regulatory authorities)
8 To extend the term of validity of the Proposal Regarding issuance of RMB30 billion A Management For For
Share Convertible Bonds and Other Related Matters
9 To authorise the Board to determine the proposed plan for the issuance of debt Management For For
financing instrument(s)
10 To grant to the Board a general mandate to issue new domestic shares and/or overseas Management For For
listed foreign shares
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN THE Non-Voting
TEXT OF RESOLUTION 5. IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY-FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,877,000 0 30-Apr-2013 23-May-2013
CHINA
FUND
BANK OF CHINA LTD, BEIJING
Security Y0698A107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 29-May-2013
ISIN CNE1000001Z5 Agenda 704502841 - Management
Record Date 26-Apr-2013 Holding Recon Date 26-Apr-2013
City / Country BEIJING / China Vote Deadline Date 22-May-2013
SEDOL(s) B154564 - B15ZP90 - Quick Code
B15ZV58
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 177102 DUE Non-Voting
TO ADDITION OF RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT
ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0411/LTN-20130411805.pdf, http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0411/LTN-20130411793.pdf, http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0510/LTN-20130510235.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0510/-LTN20130510230.pdf
1 To consider and approve the 2012 Work Report of the Board of Directors of the Bank Management For For
2 To consider and approve the 2012 Work Report of the Board of Supervisors of the Management For For
Bank
3 To consider and approve the 2012 Annual Financial Statements of the Bank Management For For
4 To consider and approve the 2012 Profit Distribution Plan of the Bank Management For For
5 To consider and approve the 2013 Annual Budget of the Bank Management For For
6 To consider and approve the Proposal regarding the Appointment of Ernst & Young Management For For
Hua Ming as the Bank's External Auditor for 2013
7.1 To consider and approve the Re-election of Mr. Li Lihui as Executive Director of the Management For For
Bank
7.2 To consider and approve the Re-election of Mr. Li Zaohang as Executive Director of Management For For
the Bank
7.3 To consider and approve the Re-election of Ms. Jiang Yansong as Non-executive Management For For
Director of the Bank
7.4 To consider and approve the Re-election of Mr. Chow Man Yiu, Paul as Independent Management For For
Non- executive Director of the Bank
8.1 To consider and approve the Election of Mr. Lu Zhengfei as Independent Non- Management For For
executive Director of the Bank
8.2 To consider and approve the Election of Mr. Leung Cheuk Yan as Independent Non- Management For For
executive Director of the Bank
9.1 To consider and approve the Re-election of Mr. Li Jun as Shareholders' Representative Management For For
Supervisor of the Bank
9.2 To consider and approve the Re-election of Mr. Wang Xueqiang as Shareholders' Management For For
Representative Supervisor of the Bank
9.3 To consider and approve the Re-election of Mr. Liu Wanming as Shareholders' Management For For
Representative Supervisor of the Bank
10.1 To consider and approve the Election of Mr. Tian Guoli as Executive Director of the Management For For
Bank
10.2 To consider and approve the Election of Mr. Wang Yong as Non-executive Director of Management For For
the Bank
11.1 To consider and approve the Re-election of Ms. Sun Zhijun as Non-executive Director Management For For
of the Bank
11.2 To consider and approve the Re-election of Ms. Liu Lina as Non-executive Director of Management For For
the Bank
12 To consider and approve the Proposal on the Issuance of the Qualified Write-down Management For For
Tier-2 Capital Instruments
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 3,316,300 0 14-May-2013 27-May-2013
CHINA
FUND
CHINA OVERSEAS LAND & INVESTMENT LTD
Security Y15004107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 30-May-2013
ISIN HK0688002218 Agenda 704412395 - Management
Record Date 28-May-2013 Holding Recon Date 28-May-2013
City / Country HONG KONG / Hong Kong Vote Deadline Date 27-May-2013
SEDOL(s) 5387731 - 6192150 - Quick Code
B01XX64
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0411/LTN20130411275.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0411/LTN20130411259.pdf
1 To receive and adopt the Audited Financial Statements and the Reports of the Directors Management For For
and the Independent Auditor's Report for the year ended 31 December 2012
2 To approve the declaration of a final dividend for the year ended 31 December 2012 of Management For For
HK24 cents per share
3a To re-elect Mr. Hao Jian Min as Director Management For For
3b To re-elect Mr. Xiao Xiao as Director Management For For
3c To re-elect Mr. Guo Yong as Director Management For For
3d To re-elect Mr. Kan Hongbo as Director Management For For
3e To re-elect Dr. Wong Ying Ho, Kennedy as Director Management For For
3f To re-elect Dr. Fan Hsu Lai Tai, Rita as Director Management For For
3g To re-elect Mr. Li Man Bun, Brian David as Director Management For For
4 To authorise the Board to fix the remuneration of the Directors Management For For
5 To appoint Messrs. PricewaterhouseCoopers as Auditor of the Company to hold office Management For For
until the conclusion of the next Annual General Meeting and to authorise the Board to
fix their remuneration
6 To approve the granting to the Directors the general and unconditional mandate to Management For For
repurchase shares in the capital of the Company up to 10% of the issued share capital
of the Company
7 To approve the granting to the Directors the general and unconditional mandate to Management For For
allot, issue and deal with new shares not exceeding 20% of the issued share capital of
the Company
8 To approve the extension of the authority granted to the Directors by Resolution 7 Management For For
above by adding the number of shares repurchased pursuant to the authority granted to
the Directors by Resolution 6 above
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 262,000 0 18-Apr-2013 28-May-2013
CHINA
FUND
CHINA OVERSEAS LAND & INVESTMENT LTD
Security Y15004107 Meeting Type Extra Ordinary General
Meeting
Ticker Symbol Meeting Date 30-May-2013
ISIN HK0688002218 Agenda 704481249 - Management
Record Date 28-May-2013 Holding Recon Date 28-May-2013
City / Country HONG KONG / Hong Kong Vote Deadline Date 27-May-2013
SEDOL(s) 5387731 - 6192150 - Quick Code
B01XX64
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0503/LTN20130503545.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0503/LTN20130503533.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" Non-Voting
WILL BE TREATED THE SAME AS A "TAKE NO ACTION" VOTE.
1 To approve, ratify and confirm the New Master CSCECL Group Engagement Management For For
Agreement (as defined in the circular of the Company dated 6 May 2013 (the
"Circular")) and the transactions contemplated thereunder and the implementation
thereof, and to approve the Cap (as defined in the Circular)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 262,000 0 04-May-2013 28-May-2013
CHINA
FUND
ANGANG STEEL COMPANY LTD
Security Y0132D105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 31-May-2013
ISIN CNE1000001V4 Agenda 704424617 - Management
Record Date 30-Apr-2013 Holding Recon Date 30-Apr-2013
City / Country LIAONING PROVINCE / Vote Deadline Date 24-May-2013
China
SEDOL(s) 5985511 - 6015644 - Quick Code
B01W468
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0415/LTN201304151016.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0415/LTN201304151021.pdf
1 To consider and approve the report of the board of directors of the Company for 2012 Management For For
2 To consider and approve the report of the supervisory committee of the Company for Management For For
2012
3 To consider and approve the auditor's report for the Company for 2012 Management For For
4 To consider and approve the proposal for distribution of profits of the Company for Management For For
2012
5 To consider and approve the proposed remuneration of the directors and supervisors of Management For For
the Company for 2012
6 To consider and approve the proposal for appointment of RSM China Certified Public Management For For
Accountants (Special General Partnership) as the auditor of the Company for 2013 and
to authorize the board of directors to determine their remunerations
7 To consider and approve the 2014 Supply of Materials and Services Agreement and the Management For For
transactions contemplated thereunder, including the proposed annual monetary caps of
transactions for the years of 2014 and 2015
8 To consider and approve the 2014 Supply of Materials Agreement and the transactions Management For For
contemplated thereunder, including the proposed annual monetary caps of transactions
for the years of 2014 and 2015
9 To consider and approve the 2014 Financial Services Agreement and the transactions Management For For
contemplated thereunder, including the proposed annual monetary caps of transactions
for the years of 2014 and 2015
10 To consider and approve the Proposed Bonds Issue as described in resolution 10 of the Management For For
Notice of Annual General Meeting
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 884,000 0 18-Apr-2013 27-May-2013
CHINA
FUND
FAR EAST GLOBAL GROUP LTD
Security G33127104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 31-May-2013
ISIN KYG331271042 Agenda 704431042 - Management
Record Date 28-May-2013 Holding Recon Date 28-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 28-May-2013
Islands
SEDOL(s) B663XN8 Quick Code
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0415/LTN20130415266.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0415/LTN20130415256.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and adopt the audited consolidated financial statements for the year ended Management For For
31 December 2012 together with the reports of the Directors and Auditor
2.a To re-elect Mr. Wang Hai as Director Management For For
2.b To re-elect Mr. Zhou Jinsong as Director Management For For
2.c To re-elect Mr. Yen Homer Shih Hung as Director Management For For
3 To authorise the Board to fix the remuneration of the Directors Management For For
4 To re-appoint PricewaterhouseCoopers as the auditor of the Company and to authorise Management For For
the Board to fix its remuneration
5 To give a general mandate to the Directors to allot, issue and dispose of additional Management For For
shares of the Company, not exceeding 20% of the issued share capital of the Company
at the date of this Resolution
6 To give a general mandate to the Directors to repurchase shares of the Company, not Management For For
exceeding 10% of the issued share capital of the Company at the date of this
Resolution
7 To extend the general mandate granted to the Directors in Resolution (5) Management For For
8 To approve the adoption of new Articles of Association Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 5,982,000 0 18-Apr-2013 29-May-2013
CHINA
FUND
SANDS CHINA LTD
Security G7800X107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 31-May-2013
ISIN KYG7800X1079 Agenda 704474179 - Management
Record Date 20-May-2013 Holding Recon Date 20-May-2013
City / Country TAIPA / Cayman Islands Vote Deadline Date 21-May-2013
SEDOL(s) B4Z67Z4 - B5B23W2 - Quick Code
B7YJHL1
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:-
http://www.hkexnews.hk/listedco/listconews/sehk/
2013/0321/LTN20130321425.pdf-
http://www.hkexnews.hk/listedco/listconews/sehk/
2013/0321/LTN20130321369.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To receive the audited consolidated financial statements of Management For For
the Company and the reports of the directors and auditors
for the year ended December 31, 2012
2 To declare a final dividend of HKD 0.66 per share for the Management For For
year ended December 31, 2012
3.a To re-elect Mr. Toh Hup Hock as executive director Management For For
3.b To re-elect Mr. Michael Alan Leven as non- executive Management For For
director
3.c To re-elect Mr. Jeffrey Howard Schwartz as non- executive Management For For
director
3.d To re-elect Mr. David Muir Turnbull as independent Management For For
non-executive director
3.e To re-elect Mr. Victor Patrick Hoog Antink as independent Management For For
non-executive director
3.f To elect Mr. Steven Zygmunt Strasser as independent Management For For
non-executive director
3.g To authorize the board of directors to fix the respective Management For For
directors' remuneration
4 To re-appoint PricewaterhouseCoopers as auditors and to Management For For
authorize the board of directors to fix their remuneration
5 To give a general mandate to the directors to repurchase Management For For
shares of the Company not exceeding 10% of the issued share
capital of the Company as at the date of passing of this
resolution
6 To give a general mandate to the directors to issue Management For For
additional shares of the Company not exceeding 20% of the
issued share capital of the Company as at the date of
passing of this resolution
7 To extend the general mandate granted to the directors to Management For For
issue additional shares of the Company by the aggregate
nominal amount of the shares repurchased by the Company
8 To approve the adoption of as specified as the formal Management For For
Chinese name of the Company, that the name of the Company
be changed from "Sands China Ltd." to "Sands China Ltd." as
specified and that the existing memorandum and articles of
association of the Company be amended to reflect the
amended name of the Company as necessary
9 To approve the amendments to the memorandum and articles of Management For For
association of the Company: Clause 2 Article 63,69,68,
68a,76,77,80,81,82,83,95,101(1),101(2),101(3),1
15(1)(v),115(1)(vi),115(2),115(3),115(4),137,138, 139
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF Non-Voting
TEXT IN RESOLUTION 4 AND 9. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY-FORM UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 286,000 0 23-May-2013 27-May-2013
CHINA
FUND
ANTON OILFIELD SERVICES GROUP
Security G03999102 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 03-Jun-2013
ISIN KYG039991024 Agenda 704480906 - Management
Record Date 29-May-2013 Holding Recon Date 29-May-2013
City / Country BEIJING/Cayman Islands Vote Deadline Date 27-May-2013
SEDOL(s) B29JZB7 - B2B07R8 - Quick Code
B2Q8LX1
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:
http://www.hkexnews.hk/listedco/listconews/SEH
K/2013/0429/LTN-201304291153.pdf AND
http://www.hkexnews.hk/listedco/listconews/SEH
K/2013/0429/-LTN201304291155.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To receive and adopt the audited consolidated financial Management For For
statements of the Company and the reports of the directors
and auditors for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December Management For For
2012
3.ai To re-elect the following person as director of the Management For For
Company: Mr. Wu DI as an executive director
3.aii To re-elect the following person as director of the Management For For
Company: Mr. Jean Francois Poupeau as a non- executive
director
3aiii To re-elect the following person as director of the Management For For
Company: Mr. Zhang Yongyi as an independent non-executive
director
3.aiv To re-elect the following person as director of the Management For For
Company: Mr. Zhu Xiaoping as an independent non-executive
director
3.av To re-elect the following person as director of the Management For For
Company: Mr. Wang Mingcai as an independent non-executive
director
3.b To authorise the board of directors to fix the remuneration Management For For
of the directors
4 To re-appoint PricewaterhouseCoopers as auditors and Management For For
authorise the board of directors to fix their remuneration
5.A To give a general mandate to the directors to allot, issue Management For For
and deal with additional shares not exceeding 20% of the
issued share capital of the Company
5.B To give a general mandate to the directors to repurchase Management For For
shares not exceeding 10% of the issued share capital of the
Company
5.C To extend the authority given to the directors pursuant to Management For For
ordinary resolution no. 5(A) to issue shares by adding to
the issued share capital of the Company the number of
shares repurchased under ordinary resolution No. 5(B)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,342,000 0 04-May-2013 29-May-2013
CHINA
FUND
ANTON OILFIELD SERVICES GROUP
Security G03999102 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 03-Jun-2013
ISIN KYG039991024 Agenda 704514050 - Management
Record Date 29-May-2013 Holding Recon Date 29-May-2013
City / Country BEIJING / Cayman Vote Deadline Date 24-May-2013
Islands
SEDOL(s) B29JZB7 - B2B07R8 - Quick Code
B2Q8LX1
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ---------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0516/LTN20130516741.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0516/LTN20130516737.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' ONLY FOR RESOLUTION "1". THANK YOU.
1 To approve the Master Agreement (as defined in the circular of the Company dated 16 Management For For
May 2013) and the annual caps in relation to the continuing connected transactions
contemplated thereunder
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,342,000 0 18-May-2013 29-May-2013
CHINA
FUND
SPT ENERGY GROUP INC, GRAND CAYMAN
Security G8405W106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 05-Jun-2013
ISIN KYG8405W1069 Agenda 704450105 - Management
Record Date 30-May-2013 Holding Recon Date 30-May-2013
City / Country HONG KONG / Cayman Vote Deadline Date 30-May-2013
Islands
SEDOL(s) Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------------- ---------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' Non-Voting
OR 'AGAINST' FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0422/LTN20130422363.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0422/LTN20130422345.pdf
1 To receive and adopt the audited consolidated financial statements of the Company and Management For For
the reports of the directors and auditor for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3.a.i To re-elect the following person as director of the Company: Ms. Chen Chunhua as Management For For
non-executive director
3.aii To re-elect the following person as director of the Company: Mr. Wu Kwok Keung Management For For
Andrew as independent non-executive director
3aiii To re-elect the following person as director of the Company: Mr. Wan Kah Ming as Management For For
independent non-executive director
3.aiv To re-elect the following person as director of the Company: Mr. Lin Yang as non- Management For For
executive director
3.a.v To re-elect the following person as director of the Company: Mr. Jin Shumao as Management For For
executive director
3.avi To re-elect the following person as director of the Company: Ms. Zhang Yujuan as Management For For
independent non-executive director
3.b To authorise the board of directors of the Company to fix the remuneration of the Management For For
directors
4 To re-appoint PricewaterhouseCoopers as auditor of the Company and authorise the Management For For
board of directors of the Company to fix their remuneration
5.A To give a general mandate to the directors to allot, issue and deal with additional shares Management For For
not exceeding 20% of the issued share capital of the Company
5.B To give a general mandate to the directors to repurchase shares not exceeding 10% of Management For For
the issued share capital of the Company
5.C Conditional upon passing of ordinary resolutions number 5(A) and 5(B), to extend the Management For For
authority given to the directors pursuant to ordinary resolution no. 5(A) to issue shares
by adding to the aggregate nominal amount of the issued share capital of the Company
which may be allotted by the directors of the Company pursuant to such general
mandate of an amount representing the number of shares repurchased under ordinary
resolution No. 5(B)
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,410,000 0 15-May-2013 03-Jun-2013
CHINA
FUND
CHINA LIFE INSURANCE CO LTD
Security Y1477R204 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 05-Jun-2013
ISIN CNE1000002L3 Agenda 704488813 - Management
Record Date 03-May-2013 Holding Recon Date 03-May-2013
City / Country BEIJING / China Vote Deadline Date 30-May-2013
SEDOL(s) 6718976 - B02W3K4 - Quick Code
B06KKF8
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0417/LTN20130417298.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0417/LTN20130417292.pdf
1 To consider and approve the report of the Board of Directors of the Company for Management For For
the year 2012
2 To consider and approve the report of the Supervisory Committee of the Company Management For For
for the year 2012
3 To consider and approve the financial report of the Company for the year 2012 Management For For
4 To consider and approve the profit distribution plan of the Company for the year Management For For
2012
5 To consider and approve the remuneration of the Directors and Supervisors of the Management For For
Company
6 To consider and approve the remuneration of the auditors of the Company for the Management For For
year 2012
7 To consider and approve the appointment of the auditors of the Company for the Management For For
year 2013
8 To consider and approve the cap amounts in respect of the framework agreement Management For For
for daily connected transactions between the Company and China Guangfa Bank
Co., Ltd
9 To consider and approve the proposed amendments to the Articles of Association Management For For
of the Company: Article 218
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF Non-Voting
TEXT IN RES. NO.9.-IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 605,000 0 09-May-2013 31-May-2013
CHINA
FUND
CHINA STATE CONSTRUCTION INTERNATIONAL HOLDINGS LT
Security G21677136 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 06-Jun-2013
ISIN KYG216771363 Agenda 704414490 - Management
Record Date 03-Jun-2013 Holding Recon 03-Jun-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 23-May-2013
Islands Date
SEDOL(s) B0BM5T8 - B0DD168 - Quick Code
B0V9RW6
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0412/LTN20130412393.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0412/LTN20130412381.pdf
1 To receive and adopt the Audited Financial Statements, the Directors' Report and Management For For
the Independent Auditor's Report for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 of HK9 cents per Management For For
share
3A To re-elect Mr. Kong Qingping as Director Management For For
3B To re-elect Mr. Zhou Yong as Director Management For For
3C To re-elect Mr. Tian Shuchen as Director Management For For
3D To re-elect Mr. Pan Shujie as Director Management For For
3E To re-elect Dr. Raymond Leung Hai Ming as Director Management For For
4 To authorize the Board to fix the remuneration of Directors Management For For
5 To re-appoint PricewaterhouseCoopers as Auditor and to authorize the Board to fix Management For For
its remuneration
6A To approve the Ordinary Resolution No. (6A) of the Notice of Annual General Management For For
Meeting (To give a general mandate to the Directors to issue additional shares of
the Company)
6B To approve the Ordinary Resolution No. (6B) of the Notice of Annual General Management For For
Meeting (To give a general mandate to the Directors to repurchase shares of the
Company)
6C To approve the Ordinary Resolution No. (6C) of the Notice of Annual General Management For For
Meeting (To extend the general mandate grant to the Directors pursuant to
Ordinary Resolution No. (6A) to issue additional shares of the Company)
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE FROM 05 JUNE-TO 03 JUNE 2013. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT RETURN-THIS PROXY FORM UNLESS
YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK
YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,636,000 0 18-Apr-2013 04-Jun-2013
CHINA
FUND
CHINA SUNTIEN GREEN ENERGY CORP LTD, SHIJIAZHUANG
Security Y15207106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 06-Jun-2013
ISIN CNE100000TW9 Agenda 704452907 - Management
Record Date 03-May-2013 Holding Recon 03-May-2013
Date
City / Country HEBEI PROVINCE/China Vote Deadline 30-May-2013
Date
SEDOL(s) B3ZXLP6 - B4ZPFR9 Quick Code
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0422/LTN20130422485.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0422/LTN20130422535.pdf
1 To consider and approve the Report of the Board of Directors (the "Board") of the Management For For
Company for the Year 2012
2 To consider and approve the Report of the Board of Supervisors of the Company Management For For
for the Year 2012
3 To consider and approve the Final Accounts of the Company for the Year Ended 31 Management For For
December 2012
4 To consider and approve the Audited Financial Statements of the Company and the Management For For
Independent Auditors' Report for the Year ended 31 December 2012
5 To consider and approve the Profit Distribution Plan of the Company for the Year Management For For
2012
6 To consider and approve the Budget Arrangement Report of the Company for the Management For For
Year Ended 31 December 2013
7 To consider and approve the re-appointment of Zhong Lei Certified Public Management For For
Accountants Co., Ltd. As specified and Ernst & Young as the Company's PRC
auditors and overseas auditors, respectively, for the year 2013 for a term until the
conclusion of the next annual general meeting of the Company, and to authorise the
Board to determine their respective remunerations
8.a To consider and elect Mr. Zhao Hui Ning as a non-executive director of the second Management For For
session of the Board
8.b To consider and elect Mr. Xiao Gang as a non- executive director of the second Management For For
session of the Board
8.c To consider and elect Mr. Ma Guo Qing as a non- executive director of the second Management For For
session of the Board
8.d To consider and elect Dr. Cao Xin as an executive director of the second session of Management For For
the Board
8.e To consider and elect Mr. Gao Qing Yu as an executive director of the second Management For For
session of the Board
8.f To consider and elect Mr. Wang Hong Jun as an executive director of the second Management For For
session of the Board
8.g To consider and elect Mr. Zhao Hui as an executive director of the second session Management For For
of the Board
8.h To consider and elect Mr. Qin Hai Yan as an independent non-executive director of Management For For
the second session of the Board
8.i To consider and elect Mr. Ding Jun as an independent non-executive director of the Management For For
second session of the Board
8.j To consider and elect Mr. Wang Xiang Jun as an independent non-executive Management For For
director of the second session of the Board; and
8.k To consider and elect Mr. Yue Man Yiu Matthew as an independent nonexecutive Management For For
director of the second session of the Board
9.a To consider and elect Mr. Yang Hong Chi as a non-employee representative Management For For
supervisor of the second session of the Board of Supervisors; and
9.b To consider and elect Mr. Liu Jin Hai as a non- employee representative supervisor Management For For
of the second session of the Board of Supervisors
10 To consider and approve the Directors and Supervisors remuneration package of Management For For
the second session of the Board of Directors and the Board of Supervisors
11 To consider and approve the granting of a general mandate to the Board to issue, Management For For
allot and deal with additional domestic shares and H shares not exceeding 20% of
each of the aggregate nominal values of the domestic shares and H shares of the
Company respectively in issue, and to authorise the Board to make amendments to
the Articles of Association as it thinks fit so as to reflect the new share capital
structure upon the allotment or issue of additional shares pursuant to such mandate:
"That: (A) (a) subject to paragraph (c) and in accordance with the relevant
requirements of the Rules Governing the Listing of Securities on The Stock
Exchange of Hong Kong Limited (the "Listing Rules"), the Articles of Association
of the Company and relevant laws and regulations of the People's Republic of
China (the "PRC"), the CONTD
CONT CONTD exercise by the Board during the Relevant Period (as hereinafter-defined) Non-Voting
of all the powers of the Company to allot, issue or deal with,-either separately or
concurrently, additional domestic shares and H shares of-the Company and to make
or grant offers, agreements, options and rights of-exchange or conversion which
might require the exercise of such powers be- hereby generally and unconditionally
approved; (b) the approval in paragraph-(a) shall authorise the Board during the
Relevant Period (as hereinafter-defined) to make or grant offers, agreements,
options and rights of exchange-or conversion which might require the exercise of
such powers after the-expiration of the Relevant Period; (c) each of the aggregate
nominal values- of domestic shares and H shares allotted, issued or dealt with or
agreed-conditionally CONTD
CONT CONTD or unconditionally to be allotted, issued or dealt with (whether-pursuant to Non-Voting
an option or otherwise) by the Board pursuant to the approval- granted in paragraph
(a) shall not exceed 20% of each of the aggregate-nominal values of domestic
shares and H shares of the Company respectively in-issue at the date of passing this
resolution; (d) the Board will only-exercise the above powers in accordance with
the Company Law of the PRC and-the Listing Rules (as amended from time to
time) and only if all necessary-approvals from the China Securities Regulatory
Commission and/or other-relevant PRC government authorities are obtained; and
(e) for the purpose of-this resolution: "Relevant Period" means the period from the
passing of this-resolution until the earliest of: (i) the conclusion of the next annual-
general meeting of CONTD
CONT CONTD the Company; or (ii) the expiration of the period within which the next- Non-Voting
annual general meeting of the Company is required by the Articles of-Association
or other applicable laws to be held; or (iii) the date of-revocation or variation of the
authority given under this resolution by a- special resolution of the Company in
general meeting. (B) the Board be-authorised to make amendments to the Articles
of Association as necessary so-as to reflect the new share capital structure of the
Company upon the allotment or issue of shares pursuant to the sub- paragraph
(A)(a) of this resolution
12 To consider and approve the amendment of Article 101 of the Articles of Management For For
Association to read as: "The Company shall have a Board of Directors. The Board
of Directors shall consist of 11 Directors, of which four shall be independent non-
executive directors. The Board of Directors shall have one Chairman and two Vice
Chairmen
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN Non-Voting
THE TEXT OF RESOLUTION 11. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 3,739,000 0 30-Apr-2013 31-May-2013
CHINA
FUND
SAMSONITE INTERNATIONAL S.A, LUXEMBOURG
Security L80308106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 06-Jun-2013
ISIN LU0633102719 Agenda 704461968 - Management
Record Date 03-Jun-2013 Holding Recon 03-Jun-2013
Date
City / Country HONG KONG/Luxembourg Vote Deadline 27-May-2013
Date
SEDOL(s) B4Q1532 Quick Code
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0429/LTN-20130429013.pdf AND http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0429/-LTN20130429015.pdf
1 To receive and adopt the audited statutory accounts and audited consolidated Management For For
financial statements of the Company and the reports of the directors (the
"Directors") and auditors for the year ended December 31, 2012
2 To approve the allocation of the results of the Company for the year ended Management For For
December 31, 2012
3 To declare a cash distribution to the shareholders of the Company in an amount of Management For For
thirty-seven million five hundred thousand two hundred and one United States
dollars and sixteen cents (USD 37,500,201.16) out of the Company's distributable
ad hoc reserve
4.a To re-elect Timothy Charles Parker as an executive director for a period of three Management For For
years
4.b To re-elect Kyle Francis Gendreau as an executive director for a period of one year Management For For
4.c To re-elect Bruce Hardy McLain as a non- executive director for a period of three Management For For
years
4.d To re-elect Paul Kenneth Etchells as an independent non-executive director for a Management For For
period of three years
4.e To re-elect Ying Yeh as an independent non- executive director for a period of one Management For For
year
5 To renew the mandate granted to KPMG Luxembourg S.a r.l. to act as approved statutory Management For For
auditor (reviseur d'entreprises agree) of the Company for the year ending December 31,
2013
6 To re-appoint KPMG LLP as the external auditor of the Company to hold office from the Management For For
conclusion of the AGM until the next annual general meeting of the Company
7 To give a general mandate to the Directors to issue additional shares of the Company not Management For For
exceeding 10 per cent. of the issued share capital of the Company as at the date of this
resolution (in accordance with the terms and conditions described in the AGM circular)
8 To give a general mandate to the Directors to repurchase shares of the Company not Management For For
exceeding 10 per cent. of the issued share capital of the Company as at the date of this
resolution (in accordance with the terms and conditions described in the AGM circular)
9 To extend the general mandate granted to the Directors to issue additional shares of the Management For For
Company by the aggregate nominal amount of the shares repurchased by the Company (in
accordance with the terms and conditions described in the AGM circular)
10 To approve the discharge granted to the Directors and the approved statutory auditor Management For For
(reviseur d'entreprises agree) of the Company for the exercise of their respective mandates
during the year ended December 31, 2012
11 To approve the remuneration to be granted to certain Directors of the Company Management For For
12 To approve the remuneration to be granted to KPMG Luxembourg S.a r.l. as the approved Management For For
statutory auditor (reviseur d'entreprises agree) of the Company
PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN Non-Voting
RESOLUTION-4.C. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 212,553 0 30-Apr-2013 04-Jun-2013
CHINA
FUND
YASHILI INTERNATIONAL HOLDINGS LTD, GRAND CAYMAN
Security G98340105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 06-Jun-2013
ISIN KYG983401053 Agenda 704498105 - Management
Record Date 03-Jun-2013 Holding Recon 03-Jun-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 30-May-2013
Islands Date
SEDOL(s) B4NV9B1 - B5VLBG9 - Quick Code
B8Y5SZ7
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 193048 Non-Voting
DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0508/LTN 20130508710.pdf AND http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0508-/LTN20130508694.pdf
1 To receive the audited consolidated financial statements and the reports of the Management For For
directors and auditors for the year ended 31 December 2012
2.a To declare a final dividend for the year ended 31 December 2012 Management For For
2.b To declare a special dividend for the year ended 31 December 2012 Management For For
3.a To re-elect Mr. Zhang Lidian as an executive director Management For For
3.b To re-elect Mr. Zhang Yanpeng as an executive director Management For For
3.c To re-elect Mr. Chen Yongquan as an independent non-executive director Management For For
3.d To re-elect Mr. Samuel King On Wong as an independent non-executive director Management For For
3.e To re-elect Mr. Liu Jinting as an independent non-executive director Management For For
3.f To authorize the board of directors to fix the remuneration of the directors Management For For
4 To re-appoint KPMG as auditors and to authorize the board of directors to fix their Management For For
remuneration
5 To give a general mandate to the directors to repurchase shares of the Company not Management For For
exceeding 10% of the issued share capital of the Company as at the date of passing
of this resolution
6 To give a general mandate to the directors to issue additional shares of the Management For For
Company not exceeding 20% of the issued share capital of the Company as at the
date of passing of this resolution
7 To extend the general mandate granted to the directors to issue additional shares of Management For For
the Company by the aggregate nominal amount of the shares repurchased by the
Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,249,000 0 25-May-2013 04-Jun-2013
CHINA
FUND
CHINA CONSTRUCTION BANK CORPORATION, BEIJING
Security Y1397N101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 06-Jun-2013
ISIN CNE1000002H1 Agenda 704502788 - Management
Record Date 06-May-2013 Holding Recon 06-May-2013
Date
City / Country BEIJING/China Vote Deadline 31-May-2013
Date
SEDOL(s) B0LMTQ3 - B0N9XH1 - Quick Code
B0YK577
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 175851 Non-Voting
DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING ON THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0421/LTN-20130421083.pdf; http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0421/LTN-20130421073.pdf;
http://www.hkexnews.hk/listedco/listconews/sehk/ 2013/0510/LTN-
20130510720.pdf AND http://www.hkexnews.hk/listedco/listconews/SEH K/
2013/0510/-LTN20130510694.pdf
1 The 2012 report of Board of Directors Management For For
2 The 2012 report of Board of Supervisors Management For For
3 The 2012 final financial accounts Management For For
4 The 2012 profit distribution plan Management For For
5 Budget of 2013 fixed assets investment Management For For
6 The appointment of external auditors for 2013 Management For For
7.1 Re-appointment of Mr. Zhang Jianguo as an Executive Director of the Bank Management For For
7.2 Re-appointment of Mr. Zhao Xijun as an Independent Non-executive Director of the Bank Management For For
7.3 Re-appointment of Ms. Chen Yuanling as a Non- executive Director of the Bank Management For For
7.4 Appointment of Mr. Zhu Hongbo as an Executive Director of the Bank Management For For
7.5 Appointment of Mr. Hu Zheyi as an Executive Director of the Bank Management For For
7.6 Appointment of Mr. Chung Shui Ming Timpson as an Independent Non-executive Director Management For For
of the Bank
7.7 Appointment of Ms. Margaret Leung Ko May Yee as an Independent Non-executive Management For For
Director of the Bank
7.8 Appointment of Mr. Wim Kok as an Independent Non-executive Director of the Bank Management For For
7.9 Appointment of Mr. Murray Horn as an Independent Non-executive Director of the Bank Management For For
7.10 Appointment of Mr. Xu Tie as a Non-executive Director of the Bank Management For For
7.11 Appointment of Mr. Qi Shouyin as a Non- executive Director of the Bank Management For For
7.12 Terms of office of proposed Directors Management For For
8.1 Re-appointment of Mr. Zhang Furong as a shareholder representative Supervisor of the Management For For
Bank
8.2 Re-appointment of Ms. Liu Jin as a shareholder representative Supervisor of the Bank Management For For
8.3 Appointment of Ms. Li Xiaoling as a shareholder representative Supervisor of the Bank Management For For
8.4 Appointment of Mr. Bai Jianjun as an external Supervisor of the Bank Management For For
8.5 Appointment of Mr. Wang Xinmin as an External Supervisor of the Bank Management For For
9 Issuance of write-down type eligible capital instruments in the amount of up to RMB60 Management For For
billion by the end of 2015
10 Revisions to the Articles of Association Management For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 4,373,080 0 14-May-2013 03-Jun-2013
CHINA
FUND
INDUSTRIAL AND COMMERCIAL BANK OF CHINA LTD, BEIJI
Security Y3990B112 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 07-Jun-2013
ISIN CNE1000003G1 Agenda 704530105 - Management
Record Date 07-May-2013 Holding Recon 07-May-2013
Date
City / Country BEIJING/China Vote Deadline 24-May-2013
Date
SEDOL(s) B1G1QD8 - B1GD009 - Quick Code
B1GT900
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 191480 Non-Voting
DUE TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AN-D YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING O-N THE URL LINKS: http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0422/LTN-20130422685.pdf, http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0422/LTN-20130422652.pdf,
http://www.hkexnews.hk/listedco/listconews/SEH K/2013/0522/LTN-
20130522542.pdf and http://www.hkexnews.hk/listedco/listconews/SEH K/
2013/0522/-LTN20130522548.pdf
1 To consider and approve the 2012 Work Report of the Board of Directors of the Management For For
Bank
2 To consider and approve the 2012 Work Report of the Board of Supervisors of the Management For For
Bank
3 To consider and approve the Bank's 2012 audited accounts Management For For
4 To consider and approve the Bank's 2012 profit distribution plan Management For For
5 To consider and approve the proposal on launching the engagement of accounting Management For For
firm for 2013
6 To consider and approve the appointment of Mr. Yi Huiman as an executive Management For For
director of the Bank
7 To consider and approve the appointment of Mr. Luo Xi as an executive director of Management For For
the Bank
8 To consider and approve the appointment of Mr. Liu Lixian as an executive Management For For
director of the Bank
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 5,998,967 0 23-May-2013 05-Jun-2013
CHINA
FUND
GIORDANO INTERNATIONAL LTD
Security G6901M101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 14-Jun-2013
ISIN BMG6901M1010 Agenda 704352905 - Management
Record Date 07-Jun-2013 Holding Recon 07-Jun-2013
Date
City / Country HONG KONG/Bermuda Vote Deadline 10-Jun-2013
Date
SEDOL(s) 4264181 - 6282040 - Quick Code
B02V3V2
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0327/LTN20130327817.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0327/LTN20130327797.pdf
1 To receive and adopt the audited financial statements and the reports of the Management For For
Directors and Auditor for the year ended December 31, 2012
2 To declare a final dividend for the year ended December 31, 2012 Management For For
3.i To re-elect Mr. Ishwar Bhagwandas CHUGANI as an Executive Director Management For For
3.ii To re-elect Dr. Barry John BUTTIFANT as an Independent Nonexecutive Director Management For For
4 To re-appoint PricewaterhouseCoopers as the Auditor and to authorize the Management For For
Directors to fix its remuneration
5 To grant a general mandate to the Directors to issue shares in the Company Management For For
6 To grant a general mandate to the Directors to repurchase shares in the Company Management For For
Account Internal Ballot Unavailable Vote Date
Numbert Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 476,000 0 01-Apr-2013 11-Jun-2013
CHINA
FUND
SHIMAO PROPERTY HOLDINGS LIMITED
Security G81043104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 17-Jun-2013
ISIN KYG810431042 Agenda 704462198 - Management
Record Date 13-Jun-2013 Holding Recon 13-Jun-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 12-Jun-2013
Islands Date
SEDOL(s) B16YNS1 - B18J566 - Quick Code
B1BC7Y4
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0426/LTN201304261007.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0426/LTN20130426960.pdf
1 To receive and adopt the audited consolidated financial statements together with Management For For
the reports of the directors and the auditor of the Company for the year ended 31
December 2012
2 To declare the final dividend for the year ended 31 December 2012 Management For For
3.i To re-elect Mr. Hui Wing Mau as an executive director of the Company Management For For
3.ii To re-elect Mr. Liu Sai Fei as an executive director of the Company Management For For
3.iii To re-elect Ms. Tang Fei as an executive director of the Company Management For For
3.iv To re-elect Mr. Liao Lujiang as an executive director of the Company Management For For
3.v To re-elect Mr. Lu Hong Bing as an independent non-executive director of the Management For For
Company
3.vi To authorise the board of directors to fix the remuneration of directors Management For For
4 To re-appoint PricewaterhouseCoopers as auditor of the Company and to authorise Management For For
the board of directors of the Company to fix their remuneration
5 To grant a general mandate to the directors of the Company to issue shares in the Management For For
Company
6 To grant a general mandate to the directors of the Company to repurchase shares in Management For For
the Company
7 To extend the general mandate granted to the directors of the Company to issue Management For For
shares by adding the number of shares repurchased
PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN Non-Voting
NUMBERING. IF YOU HAVE AL-READY SENT IN YOUR VOTES, PLEASE
DO NOT RETURN THIS PROXY FORM UNLESS YOU DECI-DE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 471,500 0 30-Apr-2013 13-Jun-2013
CHINA
FUND
KAISA GROUP HOLDINGS LTD
Security G52132100 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 17-Jun-2013
ISIN KYG521321003 Agenda 704529392 - Management
Record Date 10-Jun-2013 Holding Recon 10-Jun-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 12-Jun-2013
Islands Date
SEDOL(s) B4WD792 - B58RBK4 - Quick Code
B7C03H4
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0522/LTN20130522025.pdf-and- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0522/LTN20130522023.pdf
1 To receive, consider and adopt the audited consolidated financial statements and Management For For
the reports of the directors (the "Directors") and auditors of the Company and its
subsidiaries for the year ended 31 December 2012
2 To re-elect Mr. Kwok Ying Shing, a retiring Director, as an executive Director Management For For
3 To re-elect Mr. Kwok Ying Chi, a retiring Director, as an executive Director Management For For
4 To re-elect Mr. Rao Yong, a retiring Director, as an independent non-executive Management For For
Director
5 To authorise the board of Directors to fix the remuneration of the Directors Management For For
6 To re-appoint the auditors of the Company (the "Auditors") and to authorise the Management For For
board of Directors to fix the remuneration of the Auditors
7 Special Business - to grant a general mandate to the Directors to repurchase the Management For For
Shares not exceeding 10 per cent. of the existing issued share capital of the
Company at the date of passing this Resolution
8 Special Business - to grant a general mandate to the Directors to allot and issue Management For For
new Shares not exceeding 20 per cent. of the existing issued share capital of the
Company at the date of passing this Resolution
9 Special Business - to include the amount of the Shares repurchased by the Management For For
Company under Resolution 7 to the mandate granted to the Directors under
Resolution 8
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,552,000 0 23-May-2013 13-Jun-2013
CHINA
FUND
SHIMAO PROPERTY HOLDINGS LIMITED
Security G81043104 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 17-Jun-2013
ISIN KYG810431042 Agenda 704529405 - Management
Record Date 13-Jun-2013 Holding Recon 13-Jun-2013
Date
City / Country HONG KONG/Cayman Vote Deadline 12-Jun-2013
Islands Date
SEDOL(s) B16YNS1 - B18J566 - Quick Code
B1BC7Y4
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTION "1". THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0522/LTN20130522245.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0522/LTN20130522239.pdf
1 That subject to and conditional upon (i) the completion of necessary filings relating Management For For
to the Share Option Incentive Scheme (the "Scheme") of Shanghai Shimao Co.,
Ltd. ("Shanghai Shimao") made with the China Securities Regulatory Commission
of the People's Republic of China("CSRC") and CSRC having no objection to the
Scheme and (ii) the approval of the shareholders of Shanghai Shimao the adoption
of the Scheme, the terms of which have been tabled at the Meeting marked "A" and
signed by the chairman of the Meeting for identification purpose, the adoption of
the Scheme by Shanghai Shimao be and is hereby approved
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 471,500 0 23-May-2013 13-Jun-2013
CHINA
FUND
CHINA SHENHUA ENERGY COMPANY LTD
Security Y1504C113 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 21-Jun-2013
ISIN CNE1000002R0 Agenda 704462124 - Management
Record Date 20-May-2013 Holding Recon 20-May-2013
Date
City / Country BEIJING/China Vote Deadline 17-Jun-2013
Date
SEDOL(s) B09N7M0 - B0CCG94 - Quick Code
B1BJQZ9
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL- LINKS:http://www.hkexnews.hk/
listedco/listconew s/sehk/2013/0426/LTN20130426141-6.pdf AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0426/LTN201304261412.pdf
1 To consider and, if thought fit, to approve the report of the board of directors of the Management For For
Company for the year ended 31 December 2012
2 To consider and, if thought fit, to approve the report of the board of supervisors of Management For For
the Company for the year ended 31 December 2012
3 To consider and, if thought fit, to approve the audited financial statements of the Management For For
Company for the year ended 31 December 2012
4 To consider and, if thought fit, to approve the Company's profit distribution plan Management For For
for the year ended 31 December 2012: i.e. final dividend for the year ended 31
December 2012 in the amount of RMB0.96 per share (inclusive of tax) be declared
and distributed, the aggregate amount of which is approximately RMB19,094
billion, and to authorise a committee comprising of Dr. Zhang Xiwu, Dr. Zhang
Yuzhuo and Dr. Ling Wen to implement the above mentioned profit distribution
plan and to deal with matters in relation to tax with-holding as required by relevant
laws, regulations and regulatory authorities
5 To consider and, if thought fit, to approve the remuneration of the directors and Management For For
supervisors of the Company for the year ended 31 December 2012: i.e. aggregate
remuneration of the executive directors is in the amount of RMB1,950,975.55;
aggregate remuneration of the non-executive directors is in the amount of
RMB1,350,000, of which the aggregate remuneration of the independent
nonexecutive directors is in the amount of RMB1,350,000, the nonexecutive
directors (other than the independent non-executive directors) are remunerated by
Shenhua Group Corporation Limited and are not remunerated by the Company in
cash; remuneration of the supervisors is in the amount of RMB2,032,514.92
6 To consider and, if thought fit, to approve the appointment of Deloitte Touche Tohmatsu Management For For
and Deloitte Touche Tohmatsu CPA Ltd. as the international and PRC auditors
respectively of the Company and to authorise a committee comprising of Mr. Zhang Xiwu,
Mr. Zhang Yuzhuo, Mr. Ling Wen and Mr. Gong Huazhang, all being directors of the
Company, to determine their 2013 remuneration
7 To consider and, if thought fit, to approve the revision of annual cap under the Current Management For For
Mutual Coal Supply Agreement for the year ending 31 December 2013
8 To consider and, if thought fit, to approve the Supplementary Agreement to the Current Management For For
Financial Services Agreement and the revision of certain annual caps under the Current
Financial Services Agreement for the year ending 31 December 2013
9 To consider and, if thought fit, to approve the Mutual Coal Supply Agreement, the Management For For
proposed annual caps in relation thereto and the transactions contemplated thereunder
10 To consider and, if thought fit, to approve the Mutual Supplies and Services Agreement, Management For For
the proposed annual caps in relation thereto and the transactions contemplated thereunder
11 To consider and, if thought fit, to approve the Financial Services Agreement, the proposed Management For For
annual caps in relation hereto and the transactions contemplated thereunder
12 To consider and, if thought fit, to approve the change of use of a portion of the proceeds Management For For
from the A Share offering
13 To consider and, if thought fit, to approve the amendments to the Articles of Association of Management For For
the Company (details of which are set out in the announcement dated 24 August 2012 and
the circular dated 9 April 2013 and to authorise a committee comprising of Dr. Zhang
Xiwu, Dr. Zhang Yuzhuo and Dr. Ling Wen, all being Directors of the Company, to, after
passing of this resolution, carry out further amendments to the Articles of Association of
the Company as they may consider necessary and appropriate at the request of relevant
regulatory authorities from time to time in the course of filing the Articles of Association
with such regulatory authorities
14 To consider and, if thought fit, to:- (1) approve a general mandate to the board of directors Management For For
to, by reference to market conditions and in accordance with needs of the Company, to
allot, issue and deal with, either separately or concurrently, additional domestic shares (A
shares) and overseas-listed foreign invested shares (H shares) not exceeding 20% of each
of the number of domestic shares (A shares) and the number of overseas-listed foreign
invested shares (H shares) in issue at the time of passing this resolution at annual general
meeting.
Pursuant to PRC laws and regulations, the Company will seek further approval from its
shareholders in general meeting for each issuance of domestic shares (A shares) even
where this general mandate is approved. (2) the board of directors be authorised to
(including but not limited CONTD
CONT CONTD to the following):- (i) formulate and implement detailed issuance plan,-including Non-Voting
but not limited to the class of shares to be issued, pricing-mechanism and/or issuance price
(including price range), number of shares to-be issued, allottees and use of proceeds, time
of issuance, period of-issuance and whether to issue shares to existing shareholders; (ii)
approve-and execute, on behalf of the Company, agreements related to share issuance,-
including but not limited to underwriting agreement and engagement agreements-of
professional advisers; (iii) approve and execute, on behalf of the-Company, documents
related to share issuance for submission to regulatory-authorities, and to carry out approval
procedures required by regulatory-authorities and venues in which the Company is listed;
(iv) amend, as-required by CONTD
CONT CONTD regulatory authorities within or outside China, agreements and-statutory Non-Voting
documents referred to in (ii) and (iii) above; (v) engage the- services of professional
advisers for share issuance related matters, and to-approve and execute all acts, deeds,
documents or other matters necessary,-appropriate or required for share issuance; (vi)
increase the registered- capital of the Company after share issuance, and to make
corresponding-amendments to the articles of association of the Company relating to share-
capital and shareholdings etc, and to carry out statutory registrations and-filings within and
outside China. The above general mandate will expire on-the earlier of ("Relevant
Period"):- (a) the conclusion of the annual general-meeting of the Company for 2013; (b)
the expiration of a period of twelve-months following CONTD
CONT CONTD the passing of this special resolution at the annual general meeting-for 2012; or Non-Voting
(c) the date on which the authority conferred by this special-resolution is revoked or varied
by a special resolution of shareholders at a-general meeting, except where the board of
directors has resolved to issue-domestic shares (A shares) or overseas-listed foreign
invested shares (H- shares) during the Relevant Period and the share issuance is to be
continued-or implemented after the Relevant Period
15 To consider and, if thought fit, to approve the following general mandate to repurchase Management For For
domestic shares (A shares) and overseaslisted foreign invested shares (H shares):- (1)
approve a general mandate to the board of directors to, by reference to market conditions
and in accordance with needs of the Company, to repurchase domestic shares (A shares)
not exceeding 10% of the number of domestic shares (A shares) in issue at the time when
this resolution is passed at annual general meeting and the relevant resolutions are passed
at class meetings of shareholders. Pursuant to PRC laws and regulations, and for
repurchases of domestic shares (A shares), the Company will seek further approval from its
shareholders in general meeting for each repurchase of domestic shares (A shares) even
where the general mandate is granted, but CONTD
CONT CONTD will not be required to seek shareholders' approval at class meetings-of domestic Non-Voting
share (A share) shareholders or overseas-listed foreign invested-share (H share)
shareholders. (2) approve a general mandate to the board of- directors to, by reference to
market conditions and in accordance with needs-of the Company, to repurchase overseas-
listed foreign invested shares (H-shares) not exceeding 10% of the number of overseas-
listed foreign invested- shares (H shares) in issue at the time when this resolution is passed
at-annual general meeting and the relevant resolutions are passed at class- meetings of
shareholders. (3) the board of directors be authorised to-(including but not limited to the
following):- (i) formulate and implement-detailed repurchase plan, including but not
limited to repurchase price,-number of CONTD
CONT CONTD shares to repurchase, time of repurchase and period of repurchase etc;-(ii) notify Non-Voting
creditors in accordance with the PRC Company Law and articles of-association of the
Company; (iii) open overseas share accounts and to carry-out related change of foreign
exchange registration procedures; (iv) carry-out relevant approval procedures required by
regulatory authorities and-venues in which the Company is listed, and to carry out filings
with the-China Securities Regulatory Commission; (v) carry out cancelation procedures-for
repurchased shares, decrease registered capital, and to make- corresponding amendments
to the articles of association of the Company-relating to share capital and shareholdings
etc, and to carry out statutory-registrations and filings within and outside China; (vi)
approve and execute,-on behalf of CONTD
CONT CONTD the Company, documents and matters related to share repurchase. The-above Non-Voting
general mandate will expire on the earlier of ("Relevant Period"):- (a)-the conclusion of the
annual general meeting of the Company for 2013; (b) the-expiration of a period of twelve
months following the passing of this special-resolution at the annual general meeting for
2012, the first A shareholders'-class meeting in 2013 and the first H shareholders' class
meeting in 2013; or-(c) the date on which the authority conferred by this special resolution
is-revoked or varied by a special resolution of shareholders at a general- meeting, or a
special resolution of shareholders at a class meeting of-domestic share (A share)
shareholders or a class meeting of overseas- listed-foreign invested share (H share)
shareholders, except where the board of-CONTD
CONT CONTD directors has resolved to repurchase domestic shares (A shares) or-overseas-listed Non-Voting
foreign invested shares (H shares) during the Relevant Period-and the share repurchase is
to be continued or implemented after the Relevant- Period
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 198,500 0 30-Apr-2013 18-Jun-2013
CHINA
FUND
CHINA SHENHUA ENERGY COMPANY LTD
Security Y1504C113 Meeting Type Class Meeting
Ticker Symbol Meeting Date 21-Jun-2013
ISIN CNE1000002R0 Agenda 704466792 - Management
Record Date 20-May-2013 Holding Recon 20-May-2013
Date
City / Country BEIJING/China Vote Deadline 17-Jun-2013
Date
SEDOL(s) B09N7M0 - B0CCG94 - Quick Code
B1BJQZ9
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0426/LTN201304261428.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0426/LTN201304261424.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To consider and, if thought fit, to approve the following general mandate to Management For For
repurchase domestic shares (A shares) and overseas-listed foreign invested shares
(H shares):- (1) approve a general mandate to the board of directors to, by reference
to market conditions and in accordance with needs of the Company, to repurchase
domestic shares (A shares) not exceeding 10% of the number of domestic shares (A
shares) in issue at the time when this resolution is passed at annual general meeting
and the relevant resolutions are passed at class meetings of shareholders. Pursuant
to PRC laws and regulations, and for repurchases of domestic shares (A shares), the
Company will seek further approval from its shareholders in general meeting for
each repurchase of domestic shares (A shares) even where the general mandate is
granted, but CONTD
CONT CONTD will not be required to seek shareholders' approval at class meetings-of Non-Voting
domestic share (A share) shareholders or overseas-listed foreign invested-share (H
share) shareholders. (2) approve a general mandate to the board of- directors to, by
reference to market conditions and in accordance with needs-of the Company, to
repurchase overseas-listed foreign invested shares (H-shares) not exceeding 10% of
the number of overseas-listed foreign invested- shares (H shares) in issue at the
time when this resolution is passed at-annual general meeting and the relevant
resolutions are passed at class- meetings of shareholders. (3) the board of directors
be authorised to-(including but not limited to the following):- (i) formulate and
implement-detailed repurchase plan, including but not limited to repurchase price,-
number of CONTD
CONT CONTD shares to repurchase, time of repurchase and period of repurchase etc;-(ii) Non-Voting
notify creditors in accordance with the PRC Company Law and articles of-
association of the Company; (iii) open overseas share accounts and to carry-out
related change of foreign exchange registration procedures; (iv) carry-out relevant
approval procedures required by regulatory authorities and-venues in which the
Company is listed, and to carry out filings with the-China Securities Regulatory
Commission; (v) carry out cancelation procedures-for repurchased shares, decrease
registered capital, and to make- corresponding amendments to the articles of
association of the Company-relating to share capital and shareholdings etc, and to
carry out statutory-registrations and filings within and outside China; (vi) approve
and execute,-on behalf of CONTD
CONT CONTD the Company, documents and matters related to share repurchase. The- Non-Voting
above general mandate will expire on the earlier of ("Relevant Period"):- (a)-the
conclusion of the annual general meeting of the Company for 2013; (b) the-
expiration of a period of twelve months following the passing of this special-
resolution at the annual general meeting for 2012, the first A shareholders'-class
meeting in 2013 and the first H shareholders' class meeting in 2013; or-(c) the date
on which the authority conferred by this special resolution is-revoked or varied by
a special resolution of shareholders at a general- meeting, or a special resolution of
shareholders at a class meeting of-domestic share (A share) shareholders or a class
meeting of overseas- listed-foreign invested share (H share) shareholders, except
where the board of-CONTD
CONT CONTD directors has resolved to repurchase domestic shares (A shares) or- Non-Voting
overseas-listed foreign invested shares (H shares) during the Relevant Period-and
the share repurchase is to be continued or implemented after the Relevant- Period
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 198,500 0 30-Apr-2013 18-Jun-2013
CHINA
FUND
SKYWORTH DIGITAL HOLDINGS LTD
Security G8181C100 Meeting Type Special General Meeting
Ticker Symbol Meeting Date 25-Jun-2013
ISIN BMG8181C1001 Agenda 704585984 - Management
Record Date 20-Jun-2013 Holding Recon 20-Jun-2013
Date
City / Country HONG KONG/Bermuda Vote Deadline 11-Jun-2013
Date
SEDOL(s) 5950144 - 6228828 - Quick Code
B3BJXG3
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0604/LTN201306041221.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0604/LTN201306041164.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTION 1. THANK YOU.
1 To waive the assured entitlement requirement in respect of the A shares of as Management For For
specified(China Resources Jinhua Co., Ltd.*) (''China Resources Jinhua'') in
accordance with Practice Note 15 of the Rules Governing the Listing of Securities
on The Stock Exchange of Hong Kong Limited if the proposed disposal of 100%
equity interests in as specified (Shenzhen Skyworth Digital Technology Co., Ltd.*)
to China Resources Jinhua as more particularly described in the circular of the
Company dated 5 June 2013 proceeds
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 2,650,477 0 06-Jun-2013 21-Jun-2013
CHINA
FUND
GREAT WALL MOTOR CO LTD
Security Y2882P106 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 26-Jun-2013
ISIN CNE100000338 Agenda 704501255 - Management
Record Date 27-May-2013 Holding Recon 27-May-2013
Date
City / Country HEBEI/China Vote Deadline 17-Jun-2013
Date
SEDOL(s) 6718255 - B01XL04 - Quick Code
B1BJQS2
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0510/LTN20130510418.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0510/LTN20130510425.pdf
1 To consider and approve the absorption and merger of Baoding Xinchang Auto Management For For
Parts Company Limited, Baoding Great Wall Botai Electrical Appliance
Manufacturing Co., Ltd and Baoding Xincheng Automotive Development
Company Limited in accordance with the proposal set out in Appendix I to the
circular of the Company dated 10 May 2013, and to authorize the Board to
implement and/or give effect to the absorption and merger, to execute all necessary
documents and agreements and to do all such things deemed by them to be
incidental to, ancillary to or in connection with the absorption and merger, and to
approve, ratify and confirm all such actions of the Board in relation to the
absorption and merger
2 To consider and approve the adjustment on use of proceeds and the reallocation of Management For For
remaining proceeds from certain projects to other projects of the Company in
accordance with the proposal set out in Appendix II to the circular of the Company
dated 10 May 2013
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- ------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 679,000 0 11-May-2013 20-Jun-2013
CHINA
FUND
CHINA COMMUNICATIONS SERVICES CORPORATION LTD, BEI
Security Y1436A102 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 27-Jun-2013
ISIN CNE1000002G3 Agenda 704446942 - Management
Record Date 27-May-2013 Holding Recon 27-May-2013
Date
City / Country BEIJING/China Vote Deadline 21-Jun-2013
Date
SEDOL(s) B1HVJ16 - B1L1WC4 - Quick Code
B1L8742
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0422/LTN20130422347.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0422/LTN20130422315.pdf
1 That the consolidated financial statements of the Company, the report of the Management For For
Directors, the report of the Supervisory Committee and the report of the
international auditors for the year ended 31 December 2012 be considered and
approved, and the board of directors of the Company (the "Board") be authorized
to prepare the budget of the Company for the year 2013
2 That the profit distribution proposal and the declaration and payment of a final Management For For
dividend for the year ended 31 December 2012 be considered and approved
3 That the appointment of Deloitte Touche Tohmatsu and Deloitte Touche Tohmatsu Management For For
Certified Public Accountants LLP as the international auditors and domestic
auditors of the Company, respectively, for the year ending 31 December 2013 be
considered and approved, and the Board be authorized to fix the remuneration of
the auditors
4.1 That the grant of a general mandate to the Board to issue debentures denominated Management For For
in local or foreign currencies, in one or more tranches in the PRC and overseas,
including but not limited to, short-term commercial paper, medium term note,
company bond and corporate debts, with a maximum aggregate outstanding
repayment amount of up to RMB6 billion be considered and approved
4.2 That the Board or any two of three directors of the Company duly authorized by the Management For For
Board, namely Mr. Li Ping, Mr. Zheng Qibao and Ms. Hou Rui, taking into
account the specific needs of the Company and market conditions, be and are
hereby generally and unconditionally authorized to determine the specific terms
and conditions of, and other matters relating to, the issue of debentures, and do all
such acts which are necessary and incidental to the issue of debentures
4.3 That the grant of the general mandate under this resolution shall come into effect Management For For
upon approval from the general meeting and will be valid for 12 months from that
date
5 That the grant of a general mandate to the Board to issue, allot and deal with the Management For For
additional shares in the Company not exceeding 20% of each of the existing
domestic shares and H shares (as the case may be) in issue be considered and
approved
6 That the Board be authorized to increase the registered capital of the Company to Management For For
reflect the issue of shares in the Company authorized under special resolution 5,
and to make such appropriate and necessary amendments to the Articles of
Association as they think fit to reflect such increases in the registered capital of the
Company and to take any other action and complete any formality required to
effect such increase of the registered capital of the Company
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------ -------- ----------- --------- ----------- ------------ ------------
260462 CLOUGH 260462 BNY MELLON 1,250,000 0 23-Apr-2013 24-Jun-2013
CHINA
FUND
RIVERFRONT GLOBAL GROWTH FUND
Investment Company Report
WISDOMTREE FUND
Security 97717W307 Meeting Type Special
Ticker Symbol DLN Meeting Date 08-Aug-2012
ISIN US97717W3079 Agenda 933640977 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------ ----------- ---- ----------- ------------------
1. Approve Investment Advisory Agreement Management For For For
2A. Approve Sub-Investment Advisory Agreement Management For For For
3. Approve Sub-Investment Advisory Agreement Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 8,296 0 10-Jun-2012 10-Jun-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
WISDOMTREE FUND
Security 97717W281 Meeting Type Special
Ticker Symbol DGS Meeting Date 08-Aug-2012
ISIN US97717W2816 Agenda 933640977 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------ ----------- ---- ----------- ------------------
1. Approve Investment Advisory Agreement Management For For For
2A. Approve Sub-Investment Advisory Agreement Management For For For
3. Approve Sub-Investment Advisory Agreement Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 9,300 0 10-Jun-2012 10-Jun-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
KLA-TENCOR CORPORATION
Security 482480100 Meeting Type Annual
Ticker Symbol KLAC Meeting Date 07-Nov-2012
ISIN US4824801009 Agenda 933690439 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------- ----------- --------- ----------- ------------------
1 Election of Directors Management
1 ROBERT P. AKINS Withheld Against Withheld
Comments: Nominee has served on the board for at least one year and attended less than 75% of the meetings
in the last fiscal year.
2 ROBERT T. BOND For For For
3 KIRAN M. PATEL For For For
4 DAVID C. WANG For For For
2 Ratify Appointment of Independent Auditors Management For For For
3 Declassify Board Management For For For
4 14A Executive Compensation Management For For For
Account Internal Unavailable Date
Number Account Name Account Custodian Ballot Shares Shares Vote Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 1,764 0 17-Oct-2012 17-Oct-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
ORACLE CORPORATION
Security 68389X105 Meeting Type Annual
Ticker Symbol ORCL Meeting Date 07-Nov-2012
ISIN US68389X1054 Agenda 933690302 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1 Election of Directors Management
1 JEFFREY S. BERG For For For
2 H. RAYMOND BINGHAM For For For
3 MICHAEL J. BOSKIN For For For
4 SAFRA A. CATZ For For For
5 BRUCE R. CHIZEN For For For
6 GEORGE H. CONRADES For For For
7 LAWRENCE J. ELLISON For For For
8 HECTOR GARCIA-MOLINA For For For
9 JEFFREY O. HENLEY For For For
10 MARK V. HURD For For For
11 DONALD L. LUCAS For For For
12 NAOMI O. SELIGMAN For For For
2 14A Executive Compensation Management Against Against Against
Comments-Disconnect between pay and performance; no performance-based LTI awards
3 Amend Stock Compensation Plan Management For For For
4 Ratify Appointment of Independent Auditors Management For For For
5 S/H Proposal - Corporate Governance Shareholder For Against For
Comments-the best remuneration policies are those based on a variety of performance metrics, which better
gauge a Company's overall financial performance
6 S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-
shareholder agenda
7 S/H Proposal - Corporate Governance Shareholder Against For Against
8 S/H Proposal - Corporate Governance Shareholder For Against For
Comments-Accelerated vesting of awards does not ensure a link between pay and performance.
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 2,437 0 31-Oct-2012 31-Oct-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
CRACKER BARREL OLD COUNTRY STORE INC
Security 22410J106 Meeting Type Contested-Annual
Ticker Symbol CBRL Meeting Date 15-Nov-2012
ISIN US22410J1060 Agenda 933695249 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ----------- -------- ----------- ------------------
1. Election of Directors Management
1 THOMAS H. BARR For For For
2 JAMES W. BRADFORD For For For
3 SANDRA B. COCHRAN For For For
4 GLENN A. DAVENPORT For For For
5 RICHARD J. DOBKIN For For For
6 NORMAN E. JOHNSON For For For
7 WILLIAM W. MCCARTEN For For For
8 MARTHA M. MITCHELL For For For
9 COLEMAN H. PETERSON For For For
10 ANDREA M. WEISS For For For
2. Ratify Shareholder Rights Plan Management Against Against Against
Comments-Not in best interests of shareholders
3. 14A Executive Compensation Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 1,422 0 03-Nov-2012 03-Nov-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
000442065 RIVERFRONT 000442065 BNY MELLON 1,422 0 03-Nov-2012 03-Nov-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
CRACKER BARREL OLD COUNTRY STORE INC
Security 22410J106 Meeting Type Contested-Annual
Ticker Symbol CBRL Meeting Date 15-Nov-2012
ISIN US22410J1060 Agenda 933695251 - Opposition
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
01 Election of Directors Management
1 SARDAR BIGLARI Case By Case
2 PHILIP L. COOLEY Case By Case
3 MGT NOM T. H. BARR Case By Case
4 MGT NOM S. B. COCHRAN Case By Case
5 MGT NOM G. A. DAVENPORT Case By Case
6 MGT NOM N. E. JOHNSON Case By Case
7 MGT NOM W. W. MCCARTEN Case By Case
8 MGT NOM M. M. MITCHELL Case By Case
9 MGT NOM C. H. PETERSON Case By Case
10 MGT NOM A. M. WEISS Case By Case
02 Ratify Shareholder Rights Plan Management Case By Case
03 14A Executive Compensation Management Case By Case
04 Ratify Appointment of Independent Auditors Management Case By Case
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ---- ---------
000442065 RIVERFRONT 000442065 BNY MELLON 1,422 0
GLOBAL
ALLOCATION
MUTUAL
FUND
MICROSOFT CORPORATION
Security 594918104 Meeting Type Annual
Ticker Symbol MSFT Meeting Date 28-Nov-2012
ISIN US5949181045 Agenda 933691784 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors (Majority Voting) Management For For For
2. Election of Directors (Majority Voting) Management For For For
3. Election of Directors (Majority Voting) Management For For For
4. Election of Directors (Majority Voting) Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. 14A Executive Compensation Management For For For
11. Adopt Employee Stock Purchase Plan Management For For For
12. Ratify Appointment of Independent Auditors Management For For For
13. S/H Proposal - Adopt Cumulative Voting Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 5,893 0 07-Nov-2012 07-Nov-2012
GLOBAL
ALLOCATION
MUTUAL
FUND
APPLE INC.
Security 037833100 Meeting Type Annual
Ticker Symbol AAPL Meeting Date 27-Feb-2013
ISIN US0378331005 Agenda 933725042 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 WILLIAM CAMPBELL For For For
2 TIMOTHY COOK For For For
3 MILLARD DREXLER For For For
4 AL GORE For For For
5 ROBERT IGER For For For
6 ANDREA JUNG For For For
7 ARTHUR LEVINSON For For For
8 RONALD SUGAR For For For
2. Approve Charter Amendment Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. 14A Executive Compensation Management For For For
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Comments-The Company has share ownership and compensation guidelines that sufficiently encourage long-term
focus and help align executive and shareholder inter
6. S/H Proposal - Human Rights Related Shareholder Against For Against
Comments-This is a binding resolution and its terms may be overly prescriptive; While we would prefer to see
board oversight of this issue, we do not believe t
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 527 0 13-Feb-2013 13-Feb-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
QUALCOMM INCORPORATED
Security 747525103 Meeting Type Annual
Ticker Symbol QCOM Meeting Date 05-Mar-2013
ISIN US7475251036 Agenda 933726397 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------- ----------- ---- ----------- ------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
1C Election of Directors (Majority Voting) Management For For For
1D Election of Directors (Majority Voting) Management For For For
1E Election of Directors (Majority Voting) Management For For For
1F Election of Directors (Majority Voting) Management For For For
1G Election of Directors (Majority Voting) Management For For For
1H Election of Directors (Majority Voting) Management For For For
1I Election of Directors (Majority Voting) Management For For For
1J Election of Directors (Majority Voting) Management For For For
1K Election of Directors (Majority Voting) Management For For For
02 Amend Stock Compensation Plan Management For For For
03 Ratify Appointment of Independent Auditors Management For For For
04 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 2,800 0 23-Feb-2013 23-Feb-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
MEADWESTVACO CORPORATION
Security 583334107 Meeting Type Annual
Ticker Symbol MWV Meeting Date 22-Apr-2013
ISIN US5833341077 Agenda 933755413 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management Against Against Against
Comments-Pay and performance disconnect
4. Amend Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 4,230 0 03-Apr-2013 03-Apr-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
JOHNSON & JOHNSON
Security 478160104 Meeting Type Annual
Ticker Symbol JNJ Meeting Date 25-Apr-2013
ISIN US4781601046 Agenda 933745068 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Political/Government Shareholder Against For Against
6. S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-
shareholder agenda
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 1,764 0 08-Apr-2013 08-Apr-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
DANAHER CORPORATION
Security 235851102 Meeting Type Annual
Ticker Symbol DHR Meeting Date 07-May-2013
ISIN US2358511028 Agenda 933772635 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
1.4 Election of Directors (Majority Voting) Management For For For
1.5 Election of Directors (Majority Voting) Management For For For
1.6 Election of Directors (Majority Voting) Management For For For
1.7 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. Amend Stock Compensation Plan Management For For For
4. 14A Executive Compensation Management Against Against Against
Comments-Poor LTI design; Pay and performance disconnect
5. S/H Proposal - Corporate Governance Shareholder Against For Against
6. S/H Proposal - Political/Government Shareholder For Against For
Comments-Providing enhanced disclosure of political spending and associated oversight is in shareholders' best
interests
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 2,331 0 16-Apr-2013 16-Apr-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
MCDONALD'S CORPORATION
Security 580135101 Meeting Type Annual
Ticker Symbol MCD Meeting Date 23-May-2013
ISIN US5801351017 Agenda 933781999 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ ------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Executive Compensation Shareholder Against For Against
6. S/H Proposal - Human Rights Related Shareholder Against For Against
7. S/H Proposal - Health Issues Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 1,522 0 07-May-2013 07-May-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
TIME WARNER INC.
Security 887317303 Meeting Type Annual
Ticker Symbol TWX Meeting Date 23-May-2013
ISIN US8873173038 Agenda 933774956 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 3,282 0 13-May-2013 13-May-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
DOLLAR TREE, INC.
Security 256746108 Meeting Type Annual
Ticker Symbol DLTR Meeting Date 20-Jun-2013
ISIN US2567461080 Agenda 933826527 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- -------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 ARNOLD S. BARRON For For For
2 MACON F. BROCK, JR. For For For
3 MARY ANNE CITRINO For For For
4 H. RAY COMPTON For For For
5 CONRAD M. HALL For For For
6 LEMUEL E. LEWIS For For For
7 J. DOUGLAS PERRY For For For
8 BOB SASSER For For For
9 THOMAS A. SAUNDERS III For For For
10 THOMAS E. WHIDDON For For For
11 CARL P. ZEITHAML For For For
2. 14A Executive Compensation Management For For For
3. Approve Stock Compensation Plan Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
5. Authorize Common Stock Increase Management Against Against Against
Comments-No reason for increase specified; enough shares currently authorized
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 3,495 0 31-May-2013 31-May-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
POWERHARES GLOBAL EXCHANGE
Security 73936Q769 Meeting Type Special
Ticker Symbol BKLN Meeting Date 20-Jun-2013
ISIN US73936Q7694 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 37,341 0 04-Jun-2013 04-Jun-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B829 Meeting Type Special
Ticker Symbol SPHB Meeting Date 20-Jun-2013
ISIN US73937B8292 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- --------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 80,386 0 04-Jun-2013 04-Jun-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
POWERSHARES GLOBAL EXCHANGE
Security 73936T789 Meeting Type Special
Ticker Symbol PXF Meeting Date 20-Jun-2013
ISIN US73936T7899 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442065 RIVERFRONT 000442065 BNY MELLON 9,272 0 04-Jun-2013 04-Jun-2013
GLOBAL
ALLOCATION
MUTUAL
FUND
RIVERFRONT DYNAMIC EQUITY INCOME FUND
Investment Company Report
WISDOMTREE FUND
Security 97717W281 Meeting Type Special
Ticker Symbol DGS Meeting Date 08-Aug-2012
ISIN US97717W2816 Agenda 933640977 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------ ----------- ---- ----------- ------------------
1. Approve Investment Advisory Agreement Management For For For
2A. Approve Sub-Investment Advisory Agreement Management For For For
3. Approve Sub-Investment Advisory Agreement Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 25,268 0 10-Jun-2012 10-Jun-2012
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
KLA-TENCOR CORPORATION
Security 482480100 Meeting Type Annual
Ticker Symbol KLAC Meeting Date 07-Nov-2012
ISIN US4824801009 Agenda 933690439 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- --------- ----------- ------------------
1 Election of Directors Management
1 ROBERT P. AKINS Withheld Against Withheld
Comments: Nominee has served on the board for at least one year and attended less than 75% of the
meetings in the last fiscal year.
2 ROBERT T. BOND For For For
3 KIRAN M. PATEL For For For
4 DAVID C. WANG For For For
2 Ratify Appointment of Independent Auditors Management For For For
3 Declassify Board Management For For For
4 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 5,981 0 17-Oct-2012 17-Oct-2012
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
ORACLE CORPORATION
Security 68389X105 Meeting Type Annual
Ticker Symbol ORCL Meeting Date 07-Nov-2012
ISIN US68389X1054 Agenda 933690302 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1 Election of Directors Management
1 JEFFREY S. BERG For For For
2 H. RAYMOND BINGHAM For For For
3 MICHAEL J. BOSKIN For For For
4 SAFRA A. CATZ For For For
5 BRUCE R. CHIZEN For For For
6 GEORGE H. CONRADES For For For
7 LAWRENCE J. ELLISON For For For
8 HECTOR GARCIA-MOLINA For For For
9 JEFFREY O. HENLEY For For For
10 MARK V. HURD For For For
11 DONALD L. LUCAS For For For
12 NAOMI O. SELIGMAN For For For
2 14A Executive Compensation Management Against Against Against
Comments-Disconnect between pay and performance; no performance-based LTI awards
3 Amend Stock Compensation Plan Management For For For
4 Ratify Appointment of Independent Auditors Management For For For
5 S/H Proposal - Corporate Governance Shareholder For Against For
Comments-the best remuneration policies are those based on a variety of performance metrics, which better
gauge a Company's overall financial performance
6 S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-
shareholder agenda
7 S/H Proposal - Corporate Governance Shareholder Against For Against
8 S/H Proposal - Corporate Governance Shareholder For Against For
Comments-Accelerated vesting of awards does not ensure a link between pay and performance.
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 8,396 0 31-Oct-2012 31-Oct-2012
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
CRACKER BARREL OLD COUNTRY STORE INC
Security 22410J106 Meeting Type Contested-Annual
Ticker Symbol CBRL Meeting Date 15-Nov-2012
ISIN US22410J1060 Agenda 933695249 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 THOMASH. BARR For For For
2 JAMES W. BRADFORD For For For
3 SANDRA B. COCHRAN For For For
4 GLENN A. DAVENPORT For For For
5 RICHARD J. DOBKIN For For For
6 NORMAN E. JOHNSON For For For
7 WILLIAM W. MCCARTEN For For For
8 MARTHA M. MITCHELL For For For
9 COLEMAN H. PETERSON For For For
10 ANDREA M. WEISS For For For
2. Ratify Shareholder Rights Plan Management Against Against Against
Comments-Not in best interests of shareholders
3. 14A Executive Compensation Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 4,901 0 03-Nov-2012 03-Nov-2012
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
000442068 RIVERFRONT 000442068 BNY MELLON 4,901 0 03-Nov-2012 03-Nov-2012
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
CRACKER BARREL OLD COUNTRY STORE INC
Security 22410J106 Meeting Type Contested-Annual
Ticker Symbol CBRL Meeting Date 15-Nov-2012
ISIN US22410J1060 Agenda 933695251 - Opposition
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
01 Election of Directors Management
1 SARDAR BIGLARI Case By Case
2 PHILIP L. COOLEY Case By Case
3 MGT NOM T. H. BARR Case By Case
4 MGT NOM S. B. COCHRAN Case By Case
5 MGT NOM G. A. DAVENPORT Case By Case
6 MGT NOM N. E. JOHNSON Case By Case
7 MGT NOM W. W. MCCARTEN Case By Case
8 MGT NOM M. M. MITCHELL Case By Case
9 MGT NOM C. H. PETERSON Case By Case
10 MGT NOM A. M. WEISS Case By Case
02 Ratify Shareholder Rights Plan Management Case By Case
03 14A Executive Compensation Management Case By Case
04 Ratify Appointment of Independent Auditors Management Case By Case
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ---- ---------
000442068 RIVERFRONT 000442068 BNY MELLON 4,901 0
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
MICROSOFT CORPORATION
Security 594918104 Meeting Type Annual
Ticker Symbol MSFT Meeting Date 28-Nov-2012
ISIN US5949181045 Agenda 933691784 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors (Majority Voting) Management For For For
2. Election of Directors (Majority Voting) Management For For For
3. Election of Directors (Majority Voting) Management For For For
4. Election of Directors (Majority Voting) Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. 14A Executive Compensation Management For For For
11. Adopt Employee Stock Purchase Plan Management For For For
12. Ratify Appointment of Independent Auditors Management For For For
13. S/H Proposal - Adopt Cumulative Voting Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 19,949 0 07-Nov-2012 07-Nov-2012
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
APPLE INC.
Security 037833100 Meeting Type Annual
Ticker Symbol AAPL Meeting Date 27-Feb-2013
ISIN US0378331005 Agenda 933725042 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ----------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 WILLIAM CAMPBELL For For For
2 TIMOTHY COOK For For For
3 MILLARD DREXLER For For For
4 AL GORE For For For
5 ROBERT IGER For For For
6 ANDREA JUNG For For For
7 ARTHUR LEVINSON For For For
8 RONALD SUGAR For For For
2. Approve Charter Amendment Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. 14A Executive Compensation Management For For For
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Comments-The Company has share ownership and compensation guidelines that sufficiently encourage long-term
focus and help align executive and shareholder inter
6. S/H Proposal - Human Rights Related Shareholder Against For Against
Comments-This is a binding resolution and its terms may be overly prescriptive; While we would prefer to see board
oversight of this issue, we do not believe t
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 1,351 0 13-Feb-2013 13-Feb-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
QUALCOMM INCORPORATED
Security 747525103 Meeting Type Annual
Ticker Symbol QCOM Meeting Date 05-Mar-2013
ISIN US7475251036 Agenda 933726397 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
1C Election of Directors (Majority Voting) Management For For For
1D Election of Directors (Majority Voting) Management For For For
1E Election of Directors (Majority Voting) Management For For For
1F Election of Directors (Majority Voting) Management For For For
1G Election of Directors (Majority Voting) Management For For For
1H Election of Directors (Majority Voting) Management For For For
1I Election of Directors (Majority Voting) Management For For For
1J Election of Directors (Majority Voting) Management For For For
1K Election of Directors (Majority Voting) Management For For For
02 Amend Stock Compensation Plan Management For For For
03 Ratify Appointment of Independent Auditors Management For For For
04 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 6,513 0 23-Feb-2013 23-Feb-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
MEADWESTVACO CORPORATION
Security 583334107 Meeting Type Annual
Ticker Symbol MWV Meeting Date 22-Apr-2013
ISIN US5833341077 Agenda 933755413 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management Against Against Against
Comments-Pay and performance disconnect
4. Amend Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 9,557 0 03-Apr-2013 03-Apr-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
JOHNSON & JOHNSON
Security 478160104 Meeting Type Annual
Ticker Symbol JNJ Meeting Date 25-Apr-2013
ISIN US4781601046 Agenda 933745068 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Political/Government Shareholder Against For Against
6. S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-shareholder
agenda
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 5,636 0 08-Apr-2013 08-Apr-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
DANAHER CORPORATION
Security 235851102 Meeting Type Annual
Ticker Symbol DHR Meeting Date 07-May-2013
ISIN US2358511028 Agenda 933772635 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
1.4 Election of Directors (Majority Voting) Management For For For
1.5 Election of Directors (Majority Voting) Management For For For
1.6 Election of Directors (Majority Voting) Management For For For
1.7 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. Amend Stock Compensation Plan Management For For For
4. 14A Executive Compensation Management Against Against Against
Comments-Poor LTI design; Pay and performance disconnect
5. S/H Proposal - Corporate Governance Shareholder Against For Against
6. S/H Proposal - Political/Government Shareholder For Against For
Comments-Providing enhanced disclosure of political spending and associated oversight is in shareholders' best
interests
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 6,236 0 16-Apr-2013 16-Apr-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
MCDONALD'S CORPORATION
Security 580135101 Meeting Type Annual
Ticker Symbol MCD Meeting Date 23-May-2013
ISIN US5801351017 Agenda 933781999 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Executive Compensation Shareholder Against For Against
6. S/H Proposal - Human Rights Related Shareholder Against For Against
7. S/H Proposal - Health Issues Shareholder Against For Against
Account Unavailable
Number Account Name Internal Account Custodian Ballot Shares Shares Vote Date Date Confirmed
------- ------------ ---------------- ----------- ------------- ----------- ------------ --------------
000442068 RIVERFRONT 000442068 BNY MELLON 3,974 0 07-May-2013 07-May-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
TIME WARNER INC.
Security 887317303 Meeting Type Annual
Ticker Symbol TWX Meeting Date 23-May-2013
ISIN US8873173038 Agenda 933774956 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 9,809 0 13-May-2013 13-May-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
DOLLAR TREE, INC.
Security 256746108 Meeting Type Annual
Ticker Symbol DLTR Meeting Date 20-Jun-2013
ISIN US2567461080 Agenda 933826527 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1. Election of Directors Management
1 ARNOLD S. BARRON For For For
2 MACON F. BROCK, JR. For For For
3 MARY ANNE CITRINO For For For
4 H. RAY COMPTON For For For
5 CONRAD M. HALL For For For
6 LEMUEL E. LEWIS For For For
7 J. DOUGLAS PERRY For For For
8 BOB SASSER For For For
9 THOMAS A. SAUNDERS III For For For
10 THOMAS E. WHIDDON For For For
11 CARL P. ZEITHAML For For For
2. 14A Executive Compensation Management For For For
3. Approve Stock Compensation Plan Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
5. Authorize Common Stock Increase Management Against Against Against
Comments-No reason for increase specified; enough shares currently authorized
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 8,070 0 31-May-2013 31-May-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B829 Meeting Type Special
Ticker Symbol SPHB Meeting Date 20-Jun-2013
ISIN US73937B8292 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 208,833 0 04-Jun-2013 04-Jun-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
POWERSHARES GLOBAL EXCHANGE
Security 73936T789 Meeting Type Special
Ticker Symbol PXF Meeting Date 20-Jun-2013
ISIN US73936T7899 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442068 RIVERFRONT 000442068 BNY MELLON 28,399 0 04-Jun-2013 04-Jun-2013
DYNAMIC
EQUITY
INCOME
MUTUAL
FUND
RIVERFRONT GLOBAL ALLOCATION FUND
Investment Company Report
WISDOMTREE FUND
Security 97717W281 Meeting Type Special
Ticker Symbol DGS Meeting Date 08-Aug-2012
ISIN US97717W2816 Agenda 933640977 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------ ----------- ---- ----------- ------------------
1. Approve Investment Advisory Agreement Management For For For
2A. Approve Sub-Investment Advisory Agreement Management For For For
3. Approve Sub-Investment Advisory Agreement Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 14,130 0 10-Jun-2012 10-Jun-2012
GLOBAL
GROWTH
MUTUAL
FUND
WISDOMTREE FUND
Security 97717W307 Meeting Type Special
Ticker Symbol DLN Meeting Date 08-Aug-2012
ISIN US97717W3079 Agenda 933640977 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------ ----------- ---- ----------- ------------------
1. Approve Investment Advisory Agreement Management For For For
2A. Approve Sub-Investment Advisory Agreement Management For For For
3. Approve Sub-Investment Advisory Agreement Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 28,413 0 10-Jun-2012 10-Jun-2012
GLOBAL
GROWTH
MUTUAL
FUND
KLA-TENCOR CORPORATION
Security 482480100 Meeting Type Annual
Ticker Symbol KLAC Meeting Date 07-Nov-2012
ISIN US4824801009 Agenda 933690439 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------- ----------- --------- ----------- ------------------
1 Election of Directors Management
1 ROBERT P. AKINS Withheld Against Withheld
Comments: Nominee has served on the board for at least one year and attended less than 75% of the
meetings in the last fiscal year.
2 ROBERT T. BOND For For For
3 KIRAN M. PATEL For For For
4 DAVID C. WANG For For For
2 Ratify Appointment of Independent Auditors Management For For For
3 Declassify Board Management For For For
4 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 5,111 0 17-Oct-2012 17-Oct-2012
GLOBAL
GROWTH
MUTUAL
FUND
MICROSOFT CORPORATION
Security 594918104 Meeting Type Annual
Ticker Symbol MSFT Meeting Date 28-Nov-2012
ISIN US5949181045 Agenda 933691784 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors (Majority Voting) Management For For For
2. Election of Directors (Majority Voting) Management For For For
3. Election of Directors (Majority Voting) Management For For For
4. Election of Directors (Majority Voting) Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. 14A Executive Compensation Management For For For
11. Adopt Employee Stock Purchase Plan Management For For For
12. Ratify Appointment of Independent Auditors Management For For For
13. S/H Proposal - Adopt Cumulative Voting Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 12,045 0 07-Nov-2012 07-Nov-2012
GLOBAL
GROWTH
MUTUAL
FUND
APPLE INC.
Security 037833100 Meeting Type Annual
Ticker Symbol AAPL Meeting Date 27-Feb-2013
ISIN US0378331005 Agenda 933725042 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 WILLIAM CAMPBELL For For For
2 TIMOTHY COOK For For For
3 MILLARD DREXLER For For For
4 AL GORE For For For
5 ROBERT IGER For For For
6 ANDREA JUNG For For For
7 ARTHUR LEVINSON For For For
8 RONALD SUGAR For For For
2. Approve Charter Amendment Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. 14A Executive Compensation Management For For For
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Comments-The Company has share ownership and compensation guidelines that sufficiently encourage long-term
focus and help align executive and shareholder inter
6. S/H Proposal - Human Rights Related Shareholder Against For Against
Comments-This is a binding resolution and its terms may be overly prescriptive; While we would prefer to see
board oversight of this issue, we do not believe t
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 750 0 13-Feb-2013 13-Feb-2013
GLOBAL
GROWTH
MUTUAL
FUND
QUALCOMM INCORPORATED
Security 747525103 Meeting Type Annual
Ticker Symbol QCOM Meeting Date 05-Mar-2013
ISIN US7475251036 Agenda 933726397 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------- ----------- ---- ----------- ------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
1C Election of Directors (Majority Voting) Management For For For
1D Election of Directors (Majority Voting) Management For For For
1E Election of Directors (Majority Voting) Management For For For
1F Election of Directors (Majority Voting) Management For For For
1G Election of Directors (Majority Voting) Management For For For
1H Election of Directors (Majority Voting) Management For For For
1I Election of Directors (Majority Voting) Management For For For
1J Election of Directors (Majority Voting) Management For For For
1K Election of Directors (Majority Voting) Management For For For
02 Amend Stock Compensation Plan Management For For For
03 Ratify Appointment of Independent Auditors Management For For For
04 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 2,293 0 23-Feb-2013 23-Feb-2013
GLOBAL
GROWTH
MUTUAL
FUND
MEADWESTVACO CORPORATION
Security 583334107 Meeting Type Annual
Ticker Symbol MWV Meeting Date 22-Apr-2013
ISIN US5833341077 Agenda 933755413 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management Against Against Against
Comments-Pay and performance disconnect
4. Amend Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 10,780 0 03-Apr-2013 03-Apr-2013
GLOBAL
GROWTH
MUTUAL
FUND
JOHNSON & JOHNSON
Security 478160104 Meeting Type Annual
Ticker Symbol JNJ Meeting Date 25-Apr-2013
ISIN US4781601046 Agenda 933745068 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Political/Government Shareholder Against For Against
6. S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-
shareholder agenda
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 5,355 0 08-Apr-2013 08-Apr-2013
GLOBAL
GROWTH
MUTUAL
FUND
MCDONALD'S CORPORATION
Security 580135101 Meeting Type Annual
Ticker Symbol MCD Meeting Date 23-May-2013
ISIN US5801351017 Agenda 933781999 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Executive Compensation Shareholder Against For Against
6. S/H Proposal - Human Rights Related Shareholder Against For Against
7. S/H Proposal - Health Issues Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 4,259 0 07-May-2013 07-May-2013
GLOBAL
GROWTH
MUTUAL
FUND
TIME WARNER INC.
Security 887317303 Meeting Type Annual
Ticker Symbol TWX Meeting Date 23-May-2013
ISIN US8873173038 Agenda 933774956 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 4,832 0 13-May-2013 13-May-2013
GLOBAL
GROWTH
MUTUAL
FUND
DOLLAR TREE, INC.
Security 256746108 Meeting Type Annual
Ticker Symbol DLTR Meeting Date 20-Jun-2013
ISIN US2567461080 Agenda 933826527 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- -------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 ARNOLD S. BARRON For For For
2 MACON F. BROCK, JR. For For For
3 MARY ANNE CITRINO For For For
4 H. RAY COMPTON For For For
5 CONRAD M. HALL For For For
6 LEMUEL E. LEWIS For For For
7 J. DOUGLAS PERRY For For For
8 BOB SASSER For For For
9 THOMAS A. SAUNDERS III For For For
10 THOMAS E. WHIDDON For For For
11 CARL P. ZEITHAML For For For
2. 14A Executive Compensation Management For For For
3. Approve Stock Compensation Plan Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
5. Authorize Common Stock Increase Management Against Against Against
Comments-No reason for increase specified; enough shares currently authorized
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 4,960 0 31-May-2013 31-May-2013
GLOBAL
GROWTH
MUTUAL
FUND
POWERHARES GLOBAL EXCHANGE
Security 73936Q769 Meeting Type Special
Ticker Symbol BKLN Meeting Date 20-Jun-2013
ISIN US73936Q7694 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 44,915 0 04-Jun-2013 04-Jun-2013
GLOBAL
GROWTH
MUTUAL
FUND
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B829 Meeting Type Special
Ticker Symbol SPHB Meeting Date 20-Jun-2013
ISIN US73937B8292 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 105,893 0 04-Jun-2013 04-Jun-2013
GLOBAL
GROWTH
MUTUAL
FUND
POWERSHARES GLOBAL EXCHANGE
Security 73936T789 Meeting Type Special
Ticker Symbol PXF Meeting Date 20-Jun-2013
ISIN US73936T7899 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442066 RIVERFRONT 000442066 BNY MELLON 19,214 0 04-Jun-2013 04-Jun-2013
GLOBAL
GROWTH
MUTUAL
FUND
RIVERFRONT MODERATE GROWTH & INCOME FUND
Investment Company Report
WISDOMTREE FUND
Security 97717W281 Meeting Type Special
Ticker Symbol DGS Meeting Date 08-Aug-2012
ISIN US97717W2816 Agenda 933640977 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------ ----------- ---- ----------- ------------------
1. Approve Investment Advisory Agreement Management For For For
2A. Approve Sub-Investment Advisory Agreement Management For For For
3. Approve Sub-Investment Advisory Agreement Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 12,671 0 10-Jun-2012 10-Jun-2012
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
KLA-TENCOR CORPORATION
Security 482480100 Meeting Type Annual
Ticker Symbol KLAC Meeting Date 07-Nov-2012
ISIN US4824801009 Agenda 933690439 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- --------- ----------- ------------------
1 Election of Directors Management
1 ROBERT P. AKINS Withheld Against Withheld
Comments: Nominee has served on the board for at least one year and attended less than 75% of the
meetings in the last fiscal year.
2 ROBERT T. BOND For For For
3 KIRAN M. PATEL For For For
4 DAVID C. WANG For For For
2 Ratify Appointment of Independent Auditors Management For For For
3 Declassify Board Management For For For
4 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 11,645 0 17-Oct-2012 17-Oct-2012
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
MICROSOFT CORPORATION
Security 594918104 Meeting Type Annual
Ticker Symbol MSFT Meeting Date 28-Nov-2012
ISIN US5949181045 Agenda 933691784 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors (Majority Voting) Management For For For
2. Election of Directors (Majority Voting) Management For For For
3. Election of Directors (Majority Voting) Management For For For
4. Election of Directors (Majority Voting) Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. 14A Executive Compensation Management For For For
11. Adopt Employee Stock Purchase Plan Management For For For
12. Ratify Appointment of Independent Auditors Management For For For
13. S/H Proposal - Adopt Cumulative Voting Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 26,992 0 07-Nov-2012 07-Nov-2012
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
APPLE INC.
Security 037833100 Meeting Type Annual
Ticker Symbol AAPL Meeting Date 27-Feb-2013
ISIN US0378331005 Agenda 933725042 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- -------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 WILLIAM CAMPBELL For For For
2 TIMOTHY COOK For For For
3 MILLARD DREXLER For For For
4 AL GORE For For For
5 ROBERT IGER For For For
6 ANDREA JUNG For For For
7 ARTHUR LEVINSON For For For
8 RONALD SUGAR For For For
2. Approve Charter Amendment Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. 14A Executive Compensation Management For For For
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Comments-The Company has share ownership and compensation guidelines that sufficiently encourage long-term
focus and help align executive and shareholder inter
6. S/H Proposal - Human Rights Related Shareholder Against For Against
Comments-This is a binding resolution and its terms may be overly prescriptive; While we would prefer to see board
oversight of this issue, we do not believe t
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 2,186 0 13-Feb-2013 13-Feb-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
QUALCOMM INCORPORATED
Security 747525103 Meeting Type Annual
Ticker Symbol QCOM Meeting Date 05-Mar-2013
ISIN US7475251036 Agenda 933726397 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
1C Election of Directors (Majority Voting) Management For For For
1D Election of Directors (Majority Voting) Management For For For
1E Election of Directors (Majority Voting) Management For For For
1F Election of Directors (Majority Voting) Management For For For
1G Election of Directors (Majority Voting) Management For For For
1H Election of Directors (Majority Voting) Management For For For
1I Election of Directors (Majority Voting) Management For For For
1J Election of Directors (Majority Voting) Management For For For
1K Election of Directors (Majority Voting) Management For For For
02 Amend Stock Compensation Plan Management For For For
03 Ratify Appointment of Independent Auditors Management For For For
04 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 7,665 0 23-Feb-2013 23-Feb-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
MEADWESTVACO CORPORATION
Security 583334107 Meeting Type Annual
Ticker Symbol MWV Meeting Date 22-Apr-2013
ISIN US5833341077 Agenda 933755413 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management Against Against Against
Comments-Pay and performance disconnect
4. Amend Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 28,567 0 03-Apr-2013 03-Apr-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
JOHNSON & JOHNSON
Security 478160104 Meeting Type Annual
Ticker Symbol JNJ Meeting Date 25-Apr-2013
ISIN US4781601046 Agenda 933745068 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Political/Government Shareholder Against For Against
6. S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-shareholder
agenda
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 13,648 0 08-Apr-2013 08-Apr-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
MCDONALD'S CORPORATION
Security 580135101 Meeting Type Annual
Ticker Symbol MCD Meeting Date 23-May-2013
ISIN US5801351017 Agenda 933781999 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Executive Compensation Shareholder Against For Against
6. S/H Proposal - Human Rights Related Shareholder Against For Against
7. S/H Proposal - Health Issues Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 10,508 0 07-May-2013 07-May-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
TIME WARNER INC.
Security 887317303 Meeting Type Annual
Ticker Symbol TWX Meeting Date 23-May-2013
ISIN US8873173038 Agenda 933774956 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 12,136 0 13-May-2013 13-May-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
DOLLAR TREE, INC.
Security 256746108 Meeting Type Annual
Ticker Symbol DLTR Meeting Date 20-Jun-2013
ISIN US2567461080 Agenda 933826527 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------ ----------- ---- ----------- ------------------
1. Election of Directors Management
1 ARNOLD S. BARRON For For For
2 MACON F. BROCK, JR. For For For
3 MARY ANNE CITRINO For For For
4 H. RAY COMPTON For For For
5 CONRAD M. HALL For For For
6 LEMUEL E. LEWIS For For For
7 J. DOUGLAS PERRY For For For
8 BOB SASSER For For For
9 THOMAS A. SAUNDERS III For For For
10 THOMAS E. WHIDDON For For For
11 CARL P. ZEITHAML For For For
2. 14A Executive Compensation Management For For For
3. Approve Stock Compensation Plan Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
5. Authorize Common Stock Increase Management Against Against Against
Comments-No reason for increase specified; enough shares currently authorized
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 15,429 0 31-May-2013 31-May-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
POWERHARES GLOBAL EXCHANGE
Security 73936Q769 Meeting Type Special
Ticker Symbol BKLN Meeting Date 20-Jun-2013
ISIN US73936Q7694 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------ ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 158,719 0 04-Jun-2013 04-Jun-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B829 Meeting Type Special
Ticker Symbol SPHB Meeting Date 20-Jun-2013
ISIN US73937B8292 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ----------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 205,431 0 04-Jun-2013 04-Jun-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B779 Meeting Type Special
Ticker Symbol SPLV Meeting Date 20-Jun-2013
ISIN US73937B7799 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 115,347 0 04-Jun-2013 04-Jun-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
POWERSHARES GLOBAL EXCHANGE
Security 73936T789 Meeting Type Special
Ticker Symbol PXF Meeting Date 20-Jun-2013
ISIN US73936T7899 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------ ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ----------- ------------- ----------- ------------ ------------
000442067 RIVERFRONT 000442067 BNY MELLON 40,883 0 04-Jun-2013 04-Jun-2013
MODERATE
GROWTH
& INCOME
MUTUAL
FUND
RIVERFRONT CONSERVATIVE INCOME BUILDER FUND
Investment Company Report
KLA-TENCOR CORPORATION
Security 482480100 Meeting Type Annual
Ticker Symbol KLAC Meeting Date 07-Nov-2012
ISIN US4824801009 Agenda 933690439 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- --------- ----------- ------------------
1 Election of Directors Management
1 ROBERT P. AKINS Withheld Against Withheld
Comments: Nominee has served on the board for at least one year and attended less than 75% of the
meetings in the last fiscal year.
2 ROBERT T. BOND For For For
3 KIRAN M. PATEL For For For
4 DAVID C. WANG For For For
2 Ratify Appointment of Independent Auditors Management For For For
3 Declassify Board Management For For For
4 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 41 0 17-Oct-2012 17-Oct-2012
Conservative
Income
Builder
Mutual
Fund
MICROSOFT CORPORATION
Security 594918104 Meeting Type Annual
Ticker Symbol MSFT Meeting Date 28-Nov-2012
ISIN US5949181045 Agenda 933691784 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors (Majority Voting) Management For For For
2. Election of Directors (Majority Voting) Management For For For
3. Election of Directors (Majority Voting) Management For For For
4. Election of Directors (Majority Voting) Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. 14A Executive Compensation Management For For For
11. Adopt Employee Stock Purchase Plan Management For For For
12. Ratify Appointment of Independent Auditors Management For For For
13. S/H Proposal - Adopt Cumulative Voting Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 96 0 07-Nov-2012 07-Nov-2012
Conservative
Income
Builder
Mutual
Fund
APPLE INC.
Security 037833100 Meeting Type Annual
Ticker Symbol AAPL Meeting Date 27-Feb-2013
ISIN US0378331005 Agenda 933725042 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 WILLIAM CAMPBELL For For For
2 TIMOTHY COOK For For For
3 MILLARD DREXLER For For For
4 AL GORE For For For
5 ROBERT IGER For For For
6 ANDREA JUNG For For For
7 ARTHUR LEVINSON For For For
8 RONALD SUGAR For For For
2. Approve Charter Amendment Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. 14A Executive Compensation Management For For For
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Comments- The Company has share ownership and compensation guidelines that sufficiently encourage long-
term focus and help align executive and shareholder inter
6. S/H Proposal - Human Rights Related Shareholder Against For Against
Comments-This is a binding resolution and its terms may be overly prescriptive; While we would prefer to see
board oversight of this issue, we do not believe t
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 28 0 13-Feb-2013 13-Feb-2013
Conservative
Income
Builder
Mutual
Fund
QUALCOMM INCORPORATED
Security 747525103 Meeting Type Annual
Ticker Symbol QCOM Meeting Date 05-Mar-2013
ISIN US7475251036 Agenda 933726397 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
1C Election of Directors (Majority Voting) Management For For For
1D Election of Directors (Majority Voting) Management For For For
1E Election of Directors (Majority Voting) Management For For For
1F Election of Directors (Majority Voting) Management For For For
1G Election of Directors (Majority Voting) Management For For For
1H Election of Directors (Majority Voting) Management For For For
1I Election of Directors (Majority Voting) Management For For For
1J Election of Directors (Majority Voting) Management For For For
1K Election of Directors (Majority Voting) Management For For For
02 Amend Stock Compensation Plan Management For For For
03 Ratify Appointment of Independent Auditors Management For For For
04 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 97 0 23-Feb-2013 23-Feb-2013
Conservative
Income
Builder
Mutual
Fund
MEADWESTVACO CORPORATION
Security 583334107 Meeting Type Annual
Ticker Symbol MWV Meeting Date 22-Apr-2013
ISIN US5833341077 Agenda 933755413 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management Against Against Against
Comments-Pay and performance disconnect
4. Amend Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 621 0 03-Apr-2013 03-Apr-2013
Conservative
Income
Builder
Mutual
Fund
JOHNSON & JOHNSON
Security 478160104 Meeting Type Annual
Ticker Symbol JNJ Meeting Date 25-Apr-2013
ISIN US4781601046 Agenda 933745068 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Political/Government Shareholder Against For Against
6. S/H Proposal - Establish Independent Chairman Shareholder For Against For
Comments-An independent chairman is better able to oversee the executives of a company and set a pro-
shareholder agenda
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 231 0 08-Apr-2013 08-Apr-2013
Conservative
Income
Builder
Mutual
Fund
MCDONALD'S CORPORATION
Security 580135101 Meeting Type Annual
Ticker Symbol MCD Meeting Date 23-May-2013
ISIN US5801351017 Agenda 933781999 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Executive Compensation Shareholder Against For Against
5. S/H Proposal - Executive Compensation Shareholder Against For Against
6. S/H Proposal - Human Rights Related Shareholder Against For Against
7. S/H Proposal - Health Issues Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 206 0 07-May-2013 07-May-2013
Conservative
Income
Builder
Mutual
Fund
TIME WARNER INC.
Security 887317303 Meeting Type Annual
Ticker Symbol TWX Meeting Date 23-May-2013
ISIN US8873173038 Agenda 933774956 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 262 0 13-May-2013 13-May-2013
Conservative
Income
Builder
Mutual
Fund
DOLLAR TREE, INC.
Security 256746108 Meeting Type Annual
Ticker Symbol DLTR Meeting Date 20-Jun-2013
ISIN US2567461080 Agenda 933826527 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- -------- ----------- ------------------
1. Election of Directors Management
1 ARNOLD S. BARRON For For For
2 MACON F. BROCK, JR. For For For
3 MARY ANNE CITRINO For For For
4 H. RAY COMPTON For For For
5 CONRAD M. HALL For For For
6 LEMUEL E. LEWIS For For For
7 J. DOUGLAS PERRY For For For
8 BOB SASSER For For For
9 THOMAS A. SAUNDERS III For For For
10 THOMAS E. WHIDDON For For For
11 CARL P. ZEITHAML For For For
2. 14A Executive Compensation Management For For For
3. Approve Stock Compensation Plan Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
5. Authorize Common Stock Increase Management Against Against Against
Comments-No reason for increase specified; enough shares currently authorized
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 364 0 31-May-2013 31-May-2013
Conservative
Income
Builder
Mutual
Fund
POWERHARES GLOBAL EXCHANGE
Security 73936Q769 Meeting Type Special
Ticker Symbol BKLN Meeting Date 20-Jun-2013
ISIN US73936Q7694 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 5,228 0 04-Jun-2013 04-Jun-2013
Conservative
Income
Builder
Mutual
Fund
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B829 Meeting Type Special
Ticker Symbol SPHB Meeting Date 20-Jun-2013
ISIN US73937B8292 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------------- ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 3,115 0 04-Jun-2013 04-Jun-2013
Conservative
Income
Builder
Mutual
Fund
POWERSHARES EXCHANGE GLBL NUCLEAR ENERGY
Security 73937B779 Meeting Type Special
Ticker Symbol SPLV Meeting Date 20-Jun-2013
ISIN US73937B7799 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------ ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 3,493 0 04-Jun-2013 04-Jun-2013
Conservative
Income
Builder
Mutual
Fund
POWERSHARES GLOBAL EXCHANGE
Security 73936T789 Meeting Type Special
Ticker Symbol PXF Meeting Date 20-Jun-2013
ISIN US73936T7899 Agenda 933829991 - Management
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 RONN R. BAGGE For For For
2 TODD J. BARRE For For For
3 KEVIN M. CAROME For For For
4 MARC M. KOLE For For For
5 YUNG BONG LIM For For For
6 PHILIP M. NUSSBAUM For For For
7 GARY R. WICKER For For For
8 DONALD H. WILSON For For For
Account Internal Ballot Unavailable Vote Date
Number Account Name Account Custodian Shares Shares Date Confirmed
------- ------------- ---------- ----------- ------ ----------- ------------ ------------
000445954 RiverFront 000445954 BNY MELLON 887 0 04-Jun-2013 04-Jun-2013
Conservative
Income
Builder
Mutual
Fund
DISCIPLINED GROWTH INVESTORS FUND
Vote Summary Report
Date range covered: 07/01/2012 to 09/30/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Yahoo! Inc.
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
YHOO 12-Jul-12 USA 984332106 Annual 17-May-12 29,475
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1 Elect Director Alfred J. Amoroso Mgmt For For
2 Elect Director John D. Hayes Mgmt For For
3 Elect Director Susan M. James Mgmt For For
4 Elect Director David W. Kenny Mgmt For For
5 Elect Director Peter Liguori Mgmt For For
6 Elect Director Daniel S. Loeb Mgmt For For
7 Elect Director Thomas J. McInerney Mgmt For For
8 Elect Director Brad D. Smith Mgmt For For
9 Elect Director Maynard G. Webb, Jr. Mgmt For For
10 Elect Director Harry J. Wilson Mgmt For For
11 Elect Director Michael J. Wolf Mgmt For For
12 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For Against
13 Amend Omnibus Stock Plan Mgmt For Against
14 Amend Non-Employee Director Omnibus Stock Plan Mgmt For For
15 Ratify Auditors Mgmt For For
Ralph Lauren Corporation
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
RL 09-Aug-12 USA 751212101 Annual 21-Jun-12 4,781
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1.1 Elect Director Frank A. Bennack, Jr. Mgmt For For
1.2 Elect Director Joel L. Fleishman Mgmt For For
1.3 Elect Director Steven P. Murphy Mgmt For For
2 Ratify Auditors Mgmt For For
Vote Summary Report
Date range covered: 07/01/2012 to 09/30/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Ralph Lauren Corporation
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Approve Executive Incentive Bonus Plan Mgmt For For
Plantronics, Inc.
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
PLT 10-Aug-12 USA 727493108 Annual 12-Jun-12 15,000
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1.1 Elect Director Marv Tseu Mgmt For For
1.2 Elect Director Ken Kannappan Mgmt For For
1.3 Elect Director Brian Dexheimer Mgmt For For
1.4 Elect Director Robert Hagerty Mgmt For For
1.5 Elect Director Gregg Hammann Mgmt For For
1.6 Elect Director John Hart Mgmt For For
1.7 Elect Director Marshall Mohr Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Amend Qualified Employee Stock Purchase Plan Mgmt For For
4 Ratify Auditors Mgmt For For
5 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Microchip Technology Incorporated
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
MCHP 17-Aug-12 USA 595017104 Annual 22-Jun-12 11,300
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1.1 Elect Director Steve Sanghi Mgmt For For
Vote Summary Report
Date range covered: 07/01/2012 to 09/30/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Microchip Technology Incorporated
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1.2 Elect Director Albert J. Hugo-Martinez Mgmt For For
1.3 Elect Director L.B. Day Mgmt For For
1.4 Elect Director Matthew W. Chapman Mgmt For For
1.5 Elect Director Wade F. Meyercord Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Approve Conversion of Securities Mgmt For For
4 Ratify Auditors Mgmt For For
5 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Nutrisystem, Inc.
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
NTRI 05-Sep-12 USA 67069D108 Special 27-Jul-12 9,532
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1 Amend Omnibus Stock Plan Mgmt For Against
ViaSat, Inc.
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
VSAT 20-Sep-12 USA 92552V100 Annual 23-Jul-12 3,969
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1.1 Elect Director Robert Johnson Mgmt For For
1.2 Elect Director John Stenbit Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Amend Omnibus Stock Plan Mgmt For Against
Vote Summary Report
Date range covered: 07/01/2012 to 09/30/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Open Text Corporation
Ticker Meeting Date Country Security ID Meeting Type Record Date Shares Voted
OTC 27-Sep-12 Canada 683715106 Annual/Special 20-Aug-12 16,031
Vote
Proponent Mgmt Rec Instruction
--------- -------- -----------
1.1 Elect Director P. Thomas Jenkins Mgmt For For
1.2 Elect Director Mark Barrenechea Mgmt For For
1.3 Elect Director Randy Fowlie Mgmt For For
1.4 Elect Director Gail Hamilton Mgmt For For
1.5 Elect Director Brian J. Jackman Mgmt For For
1.6 Elect Director Stephen J. Sadler Mgmt For For
1.7 Elect Director Michael Slaunwhite Mgmt For For
1.8 Elect Director Katharine B. Stevenson Mgmt For For
1.9 Elect Director Deborah Weinstein Mgmt For For
2 Approve KPMG LLP as Auditors and Authorize Board to Fix Their
Remuneration Mgmt For For
3 Amend Stock Option Plan Mgmt For For
Vote Summary Report
Date range covered: 10/01/2012 to 12/31/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Account Watchlist(s): None
Country Watchlist(s): None
Issuer Watchlist(s): None
Paychex, Inc.
Meeting Date: 23-Oct-12 Country: USA Security ID: 704326107
Record Date: 24-Aug-12 Meeting Type: Annual Ticker: PAYX
Shares Voted: 7,600
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1a Elect Director B. Thomas Golisano Mgmt For For
1b Elect Director Joseph G. Doody Mgmt For For
1c Elect Director David J. S. Flaschen Mgmt For For
1d Elect Director Phillip Horsley Mgmt For For
1e Elect Director Grant M. Inman Mgmt For For
1f Elect Director Pamela A. Joseph Mgmt For For
1g Elect Director Martin Mucci Mgmt For For
1h Elect Director Joseph M. Tucci Mgmt For For
1i Elect Director Joseph M. Velli Mgmt For For
2 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
3 Ratify Auditors Mgmt For For
Seagate Technology plc
Meeting Date: 24-Oct-12 Country: Ireland Security ID: G7945M107
Record Date: 04-Sep-12 Meeting Type: Annual Ticker: STX
Shares Voted: 29,713
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ------------------------------------- --------- -------- -----------
1a Elect Director Stephen J. Luczo Mgmt For For
1b Elect Director Frank J. Biondi, Jr. Mgmt For For
Vote Summary Report
Date range covered: 10/01/2012 to 12/31/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Account Watchlist(s): None
Country Watchlist(s): None
Issuer Watchlist(s): None
Seagate Technology plc
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1c Elect Director Michael R. Cannon Mgmt For For
1d Elect Director Mei-Wei Cheng Mgmt For For
1e Elect Director William T. Coleman Mgmt For For
1f Elect Director Jay L. Geldmacher Mgmt For For
1g Elect Director Seh-Woong Jeong Mgmt For For
1h Elect Director Lydia M. Marshall Mgmt For For
1i Elect Director Kristen M. Onken Mgmt For For
1j Elect Director Chong Sup Park Mgmt For For
1k Elect Director Gregorio Reyes Mgmt For For
1l Elect Director Edward J. Zander Mgmt For For
2 Amend Employee Stock Purchase Plan Mgmt For For
3 Determine Price Range for
Reissuance of Treasury Shares Mgmt For For
4 Authorize the Holding of the 2013
AGM at a Location Outside Ireland Mgmt For For
5 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For
6 Ratify Auditors Mgmt For For
Eaton Corporation
Meeting Date: 26-Oct-12 Country: USA Security ID: 278058102
Record Date: 13-Sep-12 Meeting Type: Special Ticker: ETN
Shares Voted: 22,125
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------- --------- -------- -----------
1 Approve Merger Agreement Mgmt For For
Vote Summary Report
Date range covered: 10/01/2012 to 12/31/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Account Watchlist(s): None
Country Watchlist(s): None
Issuer Watchlist(s): None
Eaton Corporation
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ----------------------------------------------------------------------------- --------- -------- -----------
2 Approve Reduction of Capital of New Eaton to Allow Creation of Distributable
Reserves of New Eaton which are Required Under Irish Law to Allow New Eaton
to Make Distributions and to Pay Dividends and Repurchase or Redeem Shares Mgmt For For
3 Advisory Vote on Golden Parachutes Mgmt For Against
4 Adjourn Meeting Mgmt For For
Aviat Networks, Inc.
Meeting Date: 13-Nov-12 Country: USA Security ID: 05366Y102
Record Date: 20-Sep-12 Meeting Type: Annual Ticker: AVNW
Shares Voted: 30,175
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director William A. Hasler Mgmt For For
1.2 Elect Director Clifford H. Higgerson Mgmt For For
1.3 Elect Director Charles D. Kissner Mgmt For For
1.4 Elect Director Michael A. Pangia Mgmt For For
1.5 Elect Director Raghavendra Rau Mgmt For For
1.6 Elect Director Mohsen Sohi Mgmt For For
1.7 Elect Director James C. Stoffel Mgmt For For
1.8 Elect Director Edward F. Thompson Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 10/01/2012 to 12/31/2012
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Account Watchlist(s): None
Country Watchlist(s): None
Issuer Watchlist(s): None
Ethan Allen Interiors Inc.
Meeting Date: 13-Nov-12 Country: USA Security ID: 297602104
Record Date: 18-Sep-12 Meeting Type: Annual Ticker: ETH
Shares Voted: 26,894
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director James W. Schmotter Mgmt For For
1.2 Elect Director Frank G. Wisner Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For Against
FactSet Research Systems Inc.
Meeting Date: 18-Dec-12 Country: USA Security ID: 303075105
Record Date: 22-Oct-12 Meeting Type: Annual Ticker: FDS
Shares Voted: 9,569
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Scott A. Billeadeau Mgmt For For
1.2 Elect Director Philip A. Hadley Mgmt For For
1.3 Elect Director Joseph R. Zimmel Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 01/01/2013 to 03/31/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Intuit Inc.
Meeting Date: 17-Jan-13 Country: USA Security ID: 461202103
Record Date: 23-Nov-12 Meeting Type: Annual Ticker: INTU
Shares Voted: 28,075
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ----------------------------------- --------- -------- -----------
1a Elect Director Christopher W. Brody Mgmt For For
1b Elect Director William V. Campbell Mgmt For For
1c Elect Director Scott D. Cook Mgmt For For
1d Elect Director Diane B. Greene Mgmt For For
1e Elect Director Edward A. Kangas Mgmt For For
1f Elect Director Suzanne Nora Johnson Mgmt For For
1g Elect Director Dennis D. Powell Mgmt For For
1h Elect Director Brad D. Smith Mgmt For For
1i Elect Director Jeff Weiner Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named
Executive Mgmt For For
Officers' Compensation
4 Approve Executive Incentive Bonus
Plan Mgmt For For
Dolby Laboratories, Inc.
Meeting Date: 05-Feb-13 Country: USA Security ID: 25659T107
Record Date: 13-Dec-12 Meeting Type: Annual Ticker: DLB
Shares Voted: 10,575
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director Kevin Yeaman Mgmt For For
1.2 Elect Director Peter Gotcher Mgmt For For
1.3 Elect Director David Dolby Mgmt For For
Vote Summary Report
Date range covered: 01/01/2013 to 03/31/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Dolby Laboratories, Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- --------- -----------
1.4 Elect Director Nicholas Donatiello, Jr. Mgmt For For
1.5 Elect Director Micheline Chau Mgmt For For
1.6 Elect Director Bill Jasper Mgmt For For
1.7 Elect Director Sanford Robertson Mgmt For For
1.8 Elect Director Roger Siboni Mgmt For For
1.9 Elect Director Avadis Tevanian, Jr. Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Amend Qualified Employee Stock Purchase Plan Mgmt For For
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For Against
5 Advisory Vote on Say on Pay Frequency Mgmt One Year One Year
6 Ratify Auditors Mgmt For For
Plexus Corp.
Meeting Date: 13-Feb-13 Country: USA Security ID: 729132100
Record Date: 06-Dec-12 Meeting Type: Annual Ticker: PLXS
Shares Voted: 39,500
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ------------------------------------- --------- -------- -----------
1.1 Elect Director Ralf R. Boer Mgmt For For
1.2 Elect Director Stephen P. Cortinovis Mgmt For For
1.3 Elect Director David J. Drury Mgmt For For
1.4 Elect Director Dean A. Foate Mgmt For For
1.5 Elect Director Rainer Jueckstock Mgmt For For
1.6 Elect Director Peter Kelly Mgmt For For
1.7 Elect Director Phil R. Martens Mgmt For For
1.8 Elect Director Michael V. Schrock Mgmt For For
Vote Summary Report
Date range covered: 01/01/2013 to 03/31/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Plexus Corp.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.9 Elect Director Mary A. Winston Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Varian Medical Systems, Inc.
Meeting Date: 14-Feb-13 Country: USA Security ID: 92220P105
Record Date: 18-Dec-12 Meeting Type: Annual Ticker: VAR
Shares Voted: 10,975
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director R. Andrew Eckert Mgmt For For
1.2 Elect Director Mark R. Laret Mgmt For For
1.3 Elect Director Erich R. Reinhardt Mgmt For For
2 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
3 Ratify Auditors Mgmt For For
4 Declassify the Board of Directors SH Against For
Apple Inc.
Meeting Date: 27-Feb-13 Country: USA Security ID: 037833100
Record Date: 02-Jan-13 Meeting Type: Annual Ticker: AAPL
Shares Voted: 1,008
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director William Campbell Mgmt For For
Vote Summary Report
Date range covered: 01/01/2013 to 03/31/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Apple Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.2 Elect Director Timothy Cook Mgmt For For
1.3 Elect Director Millard Drexler Mgmt For For
1.4 Elect Director Al Gore Mgmt For For
1.5 Elect Director Robert Iger Mgmt For For
1.6 Elect Director Andrea Jung Mgmt For For
1.7 Elect Director Arthur Levinson Mgmt For For
1.8 Elect Director Ronald Sugar Mgmt For For
2 Amend Articles of Incorporation Mgmt For For
3 Ratify Auditors Mgmt For For
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For Against
5 Stock Retention/Holding Period SH Against For
6 Establish Board Committee on Human Rights SH Against Against
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
IHS Inc.
Meeting Date: 10-Apr-13 Country: USA Security ID: 451734107
Record Date: 14-Feb-13 Meeting Type: Annual Ticker: IHS
Shares Voted: 3,800
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director Roger Holtback Mgmt For For
1.2 Elect Director Jean-Paul Montupet Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For
Eaton Corporation plc
Meeting Date: 24-Apr-13 Country: Ireland Security ID: G29183103
Record Date: 25-Feb-13 Meeting Type: Annual Ticker: ETN
Shares Voted: 26,914
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1a Elect Director George S. Barrett Mgmt For For
1b Elect Director Todd M. Bluedorn Mgmt For For
1c Elect Director Christopher M.
Connor Mgmt For For
1d Elect Director Michael J. Critelli Mgmt For For
1e Elect Director Alexander M. Cutler Mgmt For For
1f Elect Director Charles E. Golden Mgmt For For
1g Elect Director Linda A. Hill Mgmt For For
1h Elect Director Arthur E. Johnson Mgmt For For
1i Elect Director Ned C. Lautenbach Mgmt For For
1j Elect Director Deborah L. McCoy Mgmt For For
1k Elect Director Gregory R. Page Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Eaton Corporation plc
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1l Elect Director Gerald B. Smith Mgmt For For
2 Ratify Auditors Mgmt For For
3 Approve Executive Incentive Bonus Plan Mgmt For For
4 Approve Executive Incentive Bonus Plan Mgmt For For
5 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
6 Approval of Overseas Market Purchases of the Company Shares Mgmt For For
7 Approve the Price Range for the Reissuance of Shares Mgmt For For
TCF Financial Corporation
Meeting Date: 24-Apr-13 Country: USA Security ID: 872275102
Record Date: 25-Feb-13 Meeting Type: Annual Ticker: TCB
Shares Voted: 29,200
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ------------------------------------ --------- -------- -----------
1.1 Elect Director Raymond L. Barton Mgmt For For
1.2 Elect Director Peter Bell Mgmt For For
1.3 Elect Director William F. Bieber Mgmt For For
1.4 Elect Director Theodore J. Bigos Mgmt For For
1.5 Elect Director William A. Cooper Mgmt For For
1.6 Elect Director Thomas A. Cusick Mgmt For For
1.7 Elect Director Craig R. Dahl Mgmt For For
1.8 Elect Director Karen L. Grandstrand Mgmt For For
1.9 Elect Director Thomas F. Jasper Mgmt For For
1.10 Elect Director George G. Johnson Mgmt For For
1.11 Elect Director Vance K. Opperman Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
TCF Financial Corporation
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ----------------------------------- --------- -------- -----------
1.12 Elect Director James M. Ramstad Mgmt For For
1.13 Elect Director Gerald A. Schwalbach Mgmt For For
1.14 Elect Director Barry N. Winslow Mgmt For For
1.15 Elect Director Richard A. Zona Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For For
3 Amend Executive Incentive Bonus
Plan Mgmt For For
4 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For Against
5 Ratify Auditors Mgmt For For
Intuitive Surgical, Inc.
Meeting Date: 25-Apr-13 Country: USA Security ID: 46120E602
Record Date: 25-Feb-13 Meeting Type: Annual Ticker: ISRG
Shares Voted: 1,537
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director Amal M. Johnson Mgmt For For
1.2 Elect Director Eric H. Halvorson Mgmt For For
1.3 Elect Director Alan J. Levy Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For
4 Ratify Auditors Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Janus Capital Group Inc.
Meeting Date: 25-Apr-13 Country: USA Security ID: 47102X105
Record Date: 01-Mar-13 Meeting Type: Annual Ticker: JNS
Shares Voted: 47,000
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1a Elect Director Timothy K. Armour Mgmt For For
1b Elect Director G. Andrew Cox Mgmt For For
1c Elect Director J. Richard Fredericks Mgmt For For
1d Elect Director Deborah R. Gatzek Mgmt For For
1e Elect Director Seiji Inagaki Mgmt For For
1f Elect Director Lawrence E. Kochard Mgmt For For
1g Elect Director Richard M. Weil Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For Against
4 Approve Executive Incentive Bonus Plan Mgmt For For
Graco Inc.
Meeting Date: 26-Apr-13 Country: USA Security ID: 384109104
Record Date: 25-Feb-13 Meeting Type: Annual Ticker: GGG
Shares Voted: 7,150
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Eric P. Etchart Mgmt For For
1.2 Elect Director J. Kevin Gilligan Mgmt For For
1.3 Elect Director William G. Van Dyke Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Graco Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
4 Adopt Majority Voting for
Uncontested Election of Directors Mgmt For For
Noble Corporation
Meeting Date: 26-Apr-13 Country: Switzerland Security ID: H5833N103
Record Date: 08-Apr-13 Meeting Type: Annual Ticker: NE
Shares Voted: 24,157
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1a Elect Director Michael A. Cawley Mgmt For For
1b Elect Director Gordon T. Hall Mgmt For For
1c Elect Director Ashley Almanza Mgmt For For
2 Accept Financial Statements and
Statutory Reports Mgmt For For
3 Approve Dividends Mgmt For For
4 Ratify PricewaterhouseCoopers LLP
as Independent Registered Public
Accounting Firm and
PricewaterhouseCoopers AG as
Statutory Auditor Mgmt For For
5 Approve Discharge of Board and
Senior Management Mgmt For For
6 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For
7 Approve Extension of CHF 133
Million Pool of Capital without
Preemptive Rights Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
ARM Holdings plc
Meeting Date: 02-May-13 Country: United Kingdom Security ID: G0483X122
Record Date: 25-Mar-13 Meeting Type: Annual Ticker: ARM
Shares Voted: 25,037
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------- --------- -------- -----------
Meeting for ADR Holders Mgmt
1 Accept Financial Statements and Statutory Reports Mgmt For For
2 Approve Final Dividend Mgmt For For
3 Approve Remuneration Report Mgmt For For
4 Re-elect Sir John Buchanan as Director Mgmt For For
5 Re-elect Warren East as Director Mgmt For For
6 Re-elect Andy Green as Director Mgmt For For
7 Re-elect Larry Hirst as Director Mgmt For For
8 Re-elect Mike Muller as Director Mgmt For For
9 Re-elect Kathleen O'Donovan as Director Mgmt For For
10 Re-elect Janice Roberts as Director Mgmt For For
11 Re-elect Philip Rowley as Director Mgmt For For
12 Re-elect Tim Score as Director Mgmt For For
13 Re-elect Simon Segars as Director Mgmt For For
14 Reappoint PricewaterhouseCoopers LLP as Auditors Mgmt For For
15 Authorise Board to Fix Remuneration of Auditors Mgmt For For
16 Approve Long Term Incentive Plan Mgmt For For
17 Authorise Issue of Equity with Pre-emptive Rights Mgmt For For
18 Authorise Issue of Equity without Pre-emptive Rights Mgmt For For
19 Authorise Market Purchase of Ordinary Shares Mgmt For For
20 Authorise the Company to Call EGM with Two Weeks' Notice Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Trimble Navigation Limited
Meeting Date: 07-May-13 Country: USA Security ID: 896239100
Record Date: 08-Mar-13 Meeting Type: Annual Ticker: TRMB
Shares Voted: 26,475
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director Steven W. Berglund Mgmt For For
1.2 Elect Director John B. Goodrich Mgmt For For
1.3 Elect Director William Hart Mgmt For For
1.4 Elect Director Merit E. Janow Mgmt For For
1.5 Elect Director Ulf J. Johansson Mgmt For For
1.6 Elect Director Ronald S. Nersesian Mgmt For For
1.7 Elect Director Mark S. Peek Mgmt For For
1.8 Elect Director Nickolas W. Vande
Steeg Mgmt For For
2 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For
3 Ratify Auditors Mgmt For For
Imation Corp.
Meeting Date: 08-May-13 Country: USA Security ID: 45245A107
Record Date: 11-Mar-13 Meeting Type: Annual Ticker: IMN
Shares Voted: 800
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1a Elect Director Theodore H.
Bunting, Jr. Mgmt For For
1b Elect Director William G. LaPerch Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Ratify Auditors Mgmt For For
4 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
E*TRADE Financial Corporation
Meeting Date: 09-May-13 Country: USA Security ID: 269246401
Record Date: 11-Mar-13 Meeting Type: Annual Ticker: ETFC
Shares Voted: 25,381
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1a Elect Director Paul T. Idzik Mgmt For For
1b Elect Director Frederick W. Kanner Mgmt For For
1c Elect Director James Lam Mgmt For For
1d Elect Director Rodger A. Lawson Mgmt For For
1e Elect Director Rebecca Saeger Mgmt For For
1f Elect Director Joseph L. Sclafani Mgmt For For
1g Elect Director Joseph M. Velli Mgmt For For
1h Elect Director Donna L. Weaver Mgmt For For
1i Elect Director Stephen H. Willard Mgmt For For
2 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
3 Ratify Auditors Mgmt For For
JetBlue Airways Corporation
Meeting Date: 09-May-13 Country: USA Security ID: 477143101
Record Date: 15-Mar-13 Meeting Type: Annual Ticker: JBLU
Shares Voted: 68,750
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1a Elect Director David Barger Mgmt For For
1b Elect Director Jens Bischof Mgmt For For
1c Elect Director Peter Boneparth Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
JetBlue Airways Corporation
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1d Elect Director David Checketts Mgmt For Against
1e Elect Director Virginia Gambale Mgmt For For
1f Elect Director Stephan Gemkow Mgmt For Against
1g Elect Director Ellen Jewett Mgmt For For
1h Elect Director Stanley McChrystal Mgmt For For
1i Elect Director Joel Peterson Mgmt For For
1j Elect Director Ann Rhoades Mgmt For For
1k Elect Director Frank Sica Mgmt For For
1l Elect Director Thomas Winkelmann Mgmt For For
2 Ratify Auditors Mgmt For For
3 Amend Qualified Employee Stock Purchase Plan Mgmt For For
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Edwards Lifesciences Corporation
Meeting Date: 14-May-13 Country: USA Security ID: 28176E108
Record Date: 20-Mar-13 Meeting Type: Annual Ticker: EW
Shares Voted: 25,550
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Robert A. Ingram Mgmt For For
1.2 Elect Director William J. Link Mgmt For For
1.3 Elect Director Wesley W. von Schack Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Amend Nonqualified Employee Stock Purchase Plan Mgmt For For
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Edwards Lifesciences Corporation
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- -------------------------------------- --------- -------- -----------
5 Ratify Auditors Mgmt For For
6 Declassify the Board of Directors Mgmt For For
7 Reduce Supermajority Vote Requirement Mgmt For For
8 Amend Bylaws -- Call Special Meetings SH Against For
Select Comfort Corporation
Meeting Date: 14-May-13 Country: USA Security ID: 81616X103
Record Date: 19-Mar-13 Meeting Type: Annual Ticker: SCSS
Shares Voted: 44,749
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Michael J. Harrison Mgmt For For
1.2 Elect Director Shelly R. Ibach Mgmt For For
1.3 Elect Director David T. Kollat Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Ratify Auditors Mgmt For For
The Middleby Corporation
Meeting Date: 14-May-13 Country: USA Security ID: 596278101
Record Date: 20-Mar-13 Meeting Type: Annual Ticker: MIDD
Shares Voted: 9,918
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
The Middleby Corporation
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Selim A. Bassoul Mgmt For For
1.2 Elect Director Robert B. Lamb Mgmt For For
1.3 Elect Director John R. Miller, III Mgmt For For
1.4 Elect Director Gordon O'Brien Mgmt For For
1.5 Elect Director Philip G. Putnam Mgmt For For
1.6 Elect Director Sabin C. Streeter Mgmt For For
2 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
3 Require Majority Vote for the Election of Directors Mgmt For For
4 Ratify Auditors Mgmt For For
Akamai Technologies, Inc.
Meeting Date: 15-May-13 Country: USA Security ID: 00971T101
Record Date: 22-Mar-13 Meeting Type: Annual Ticker: AKAM
Shares Voted: 26,600
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ----------------------------------------------- --------- -------- -----------
1.1 Elect Director Pamela J. Craig Mgmt For For
1.2 Elect Director F. Thomson Leighton Mgmt For For
1.3 Elect Director Paul Sagan Mgmt For For
1.4 Elect Director Naomi O. Seligman Mgmt For For
2 Approve Omnibus Stock Plan Mgmt For For
3a Declassify the Board of Directors Mgmt For For
3b Amend Certificate of Incorporation to Provide Mgmt For For
Directors May be Removed With or Without Cause
3c Reduce Supermajority Vote Requirement Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Akamai Technologies, Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
5 Ratify Auditors Mgmt For For
Align Technology, Inc.
Meeting Date: 16-May-13 Country: USA Security ID: 016255101
Record Date: 22-Mar-13 Meeting Type: Annual Ticker: ALGN
Shares Voted: 15,700
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director David E. Collins Mgmt For For
1.2 Elect Director Joseph Lacob Mgmt For For
1.3 Elect Director C. Raymond Larkin, Jr. Mgmt For For
1.4 Elect Director George J. Morrow Mgmt For For
1.5 Elect Director David C. Nagel Mgmt For For
1.6 Elect Director Thomas M. Prescott Mgmt For For
1.7 Elect Director Greg J. Santora Mgmt For For
1.8 Elect Director Warren S. Thaler Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Amend Omnibus Stock Plan Mgmt For Against
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Gentex Corporation
Meeting Date: 16-May-13 Country: USA Security ID: 371901109
Record Date: 22-Mar-13 Meeting Type: Annual Ticker: GNTX
Shares Voted: 39,975
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Pete Hoekstra Mgmt For For
1.2 Elect Director John Mulder Mgmt For For
1.3 Elect Director Frederick Sotok Mgmt For For
2 Report on Sustainability SH Against For
3 Require Independent Board Chairman SH Against For
4 Ratify Auditors Mgmt For For
5 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
6 Approve Qualified Employee Stock Purchase Plan Mgmt For For
Ultra Petroleum Corp.
Meeting Date: 21-May-13 Country: Canada Security ID: 903914109
Record Date: 25-Mar-13 Meeting Type: Annual/Special Ticker: UPL
Shares Voted: 20,300
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Michael D. Watford Mgmt For For
1.2 Elect Director W. Charles Helton Mgmt For For
1.3 Elect Director Stephen J. McDaniel Mgmt For For
1.4 Elect Director Roger A. Brown Mgmt For For
1.5 Elect Director Michael J. Keeffe Mgmt For For
2 Ratify Ernst & Young, LLP as Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Royal Caribbean Cruises Ltd.
Meeting Date: 22-May-13 Country: Liberia Security ID: V7780T103
Record Date: 25-Mar-13 Meeting Type: Annual Ticker: RCL
Shares Voted: 23,725
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1a Elect Director William L. Kimsey Mgmt For For
1b Elect Director Thomas J. Pritzker Mgmt For For
1c Elect Director Bernt Reitan Mgmt For For
2 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
3 Ratify PricewaterhouseCoopers LLP as Auditors Mgmt For For
4 Declassify the Board of Directors SH Against For
L Brands, Inc.
Meeting Date: 23-May-13 Country: USA Security ID: 501797104
Record Date: 03-Apr-13 Meeting Type: Annual Ticker: LTD
Shares Voted: 32,405
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Dennis S. Hersch Mgmt For For
1.2 Elect Director David T. Kollat Mgmt For For
1.3 Elect Director William R. Loomis, Jr. Mgmt For For
1.4 Elect Director Leslie H. Wexner Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Declassify the Board of Directors Mgmt For For
5 Pro-rata Vesting of Equity Plans SH Against For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Landstar System, Inc.
Meeting Date: 23-May-13 Country: USA Security ID: 515098101
Record Date: 28-Mar-13 Meeting Type: Annual Ticker: LSTR
Shares Voted: 18,250
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Homaira Akbari Mgmt For For
1.2 Elect Director Diana M. Murphy Mgmt For For
1.3 Elect Director Larry J. Thoele Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Approve Non-Employee Director Restricted Stock Plan Mgmt For For
DreamWorks Animation SKG, Inc.
Meeting Date: 29-May-13 Country: USA Security ID: 26153C103
Record Date: 02-Apr-13 Meeting Type: Annual Ticker: DWA
Shares Voted: 24,212
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director Jeffrey Katzenberg Mgmt For Withhold
1.2 Elect Director Lewis W. Coleman Mgmt For For
1.3 Elect Director Harry Brittenham Mgmt For Withhold
1.4 Elect Director Thomas E. Freston Mgmt For For
1.5 Elect Director Lucian Grainge Mgmt For For
1.6 Elect Director Mellody Hobson Mgmt For For
1.7 Elect Director Jason Kilar Mgmt For For
1.8 Elect Director Michael Montgomery Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
DreamWorks Animation SKG, Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ----------------------------------------------------------------------- --------- -------- -----------
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For Against
4 Approve Executive Incentive Bonus Plan Mgmt For For
5 Approve Recapitalization Plan for all Stock to Have One-vote per Share SH Against For
Incyte Corporation
Meeting Date: 30-May-13 Country: USA Security ID: 45337C102
Record Date: 02-Apr-13 Meeting Type: Annual Ticker: INCY
Shares Voted: 1,400
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Richard U. De Schutter Mgmt For For
1.2 Elect Director Barry M. Ariko Mgmt For For
1.3 Elect Director Julian C. Baker Mgmt For For
1.4 Elect Director Paul A. Brooke Mgmt For For
1.5 Elect Director Wendy L. Dixon Mgmt For For
1.6 Elect Director Paul A. Friedman Mgmt For For
1.7 Elect Director Roy A. Whitfield Mgmt For Withhold
2 Amend Omnibus Stock Plan Mgmt For Against
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Ratify Auditors Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
The Cheesecake Factory Incorporated
Meeting Date: 30-May-13 Country: USA Security ID: 163072101
Record Date: 04-Apr-13 Meeting Type: Annual Ticker: CAKE
Shares Voted: 12,050
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1a Elect Director David Overton Mgmt For For
1b Elect Director Alexander L. Cappello Mgmt For For
1c Elect Director Jerome I. Kransdorf Mgmt For For
1d Elect Director Laurence B. Mindel Mgmt For For
1e Elect Director David B. Pittaway Mgmt For For
1f Elect Director Douglas L. Schmick Mgmt For For
1g Elect Director Herbert Simon Mgmt For For
2 Amend Omnibus Stock Plan Mgmt For Against
3 Ratify Auditors Mgmt For For
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Cabela's Incorporated
Meeting Date: 05-Jun-13 Country: USA Security ID: 126804301
Record Date: 08-Apr-13 Meeting Type: Annual Ticker: CAB
Shares Voted: 30,375
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ------------------------------------- --------- -------- -----------
1.1 Elect Director Theodore M. Armstrong Mgmt For For
1.2 Elect Director James W. Cabela Mgmt For For
1.3 Elect Director John H. Edmondson Mgmt For For
1.4 Elect Director John Gottschalk Mgmt For For
1.5 Elect Director Dennis Highby Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Cabela's Incorporated
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.6 Elect Director Reuben Mark Mgmt For For
1.7 Elect Director Michael R. McCarthy Mgmt For For
1.8 Elect Director Thomas L. Millner Mgmt For For
1.9 Elect Director Beth M. Pritchard Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Approve Omnibus Stock Plan Mgmt For Against
5 Approve Qualified Employee Stock Purchase Plan Mgmt For For
6 Approve Executive Incentive Bonus Plan Mgmt For For
Nutrisystem, Inc.
Meeting Date: 05-Jun-13 Country: USA Security ID: 67069D108
Record Date: 08-Apr-13 Meeting Type: Annual Ticker: NTRI
Shares Voted: 10,682
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Robert F. Bernstock Mgmt For For
1.2 Elect Director Paul Guyardo Mgmt For For
1.3 Elect Director Michael J. Hagan Mgmt For For
1.4 Elect Director Jay Herratti Mgmt For For
1.5 Elect Director Brian P. Tierney Mgmt For For
1.6 Elect Director Andrea Weiss Mgmt For For
1.7 Elect Director Stephen T. Zarrilli Mgmt For For
1.8 Elect Director Dawn M. Zier Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Garmin Ltd.
Meeting Date: 07-Jun-13 Country: Switzerland Security ID: H2906T109
Record Date: 11-Apr-13 Meeting Type: Annual Ticker: GRMN
Shares Voted: 21,613
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1 Accept Consolidated Financial Statements and Statutory Reports Mgmt For For
2 Accept Financial Statements and Statutory Reports Mgmt For For
3 Approve Dividends Mgmt For For
4 Approve Discharge of Board and Senior Management Mgmt For For
5.1 Elect Director Joseph J. Hartnett Mgmt For For
5.2 Elect Director Thomas P. Poberezny Mgmt For For
6 Amend Omnibus Stock Plan Mgmt For Against
7 Ratify Ernst and Young LLP as Auditors Mgmt For For
8 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
9 Transact Other Business (Voting) Mgmt For Against
tw telecom inc.
Meeting Date: 07-Jun-13 Country: USA Security ID: 87311L104
Record Date: 10-Apr-13 Meeting Type: Annual Ticker: TWTC
Shares Voted: 31,200
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ---------------------------------- --------- -------- -----------
1.1 Elect Director Gregory J. Attorri Mgmt For For
1.2 Elect Director Spencer B. Hays Mgmt For For
1.3 Elect Director Larissa L. Herda Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
tw telecom inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.4 Elect Director Kevin W. Mooney Mgmt For For
1.5 Elect Director Kirby G. Pickle Mgmt For For
1.6 Elect Director Roscoe C. Young, II Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
4 Require Independent Board Chairman SH Against For
The TJX Companies, Inc.
Meeting Date: 11-Jun-13 Country: USA Security ID: 872540109
Record Date: 15-Apr-13 Meeting Type: Annual Ticker: TJX
Shares Voted: 63,375
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------- --------- -------- -----------
1.1 Elect Director Zein Abdalla Mgmt For For
1.2 Elect Director Jose B. Alvarez Mgmt For For
1.3 Elect Director Alan M. Bennett Mgmt For For
1.4 Elect Director Bernard Cammarata Mgmt For For
1.5 Elect Director David T. Ching Mgmt For For
1.6 Elect Director Michael F. Hines Mgmt For For
1.7 Elect Director Amy B. Lane Mgmt For For
1.8 Elect Director Dawn G. Lepore Mgmt For For
1.9 Elect Director Carol Meyrowitz Mgmt For For
1.10 Elect Director John F. O'Brien Mgmt For For
1.11 Elect Director Willow B. Shire Mgmt For For
2 Ratify Auditors Mgmt For For
3 Amend Omnibus Stock Plan Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
The TJX Companies, Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
4 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Autodesk, Inc.
Meeting Date: 13-Jun-13 Country: USA Security ID: 052769106
Record Date: 19-Apr-13 Meeting Type: Annual Ticker: ADSK
Shares Voted: 34,850
Proposal
Number Vote
Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1a Elect Director Carl Bass Mgmt For For
1b Elect Director Crawford W. Beveridge Mgmt For For
1c Elect Director J. Hallam Dawson Mgmt For For
1d Elect Director Thomas Georgens Mgmt For For
1e Elect Director Per-Kristian Halvorsen Mgmt For For
1f Elect Director Mary T. McDowell Mgmt For For
1g Elect Director Lorrie M. Norrington Mgmt For For
1h Elect Director Stacy J. Smith Mgmt For For
1i Elect Director Steven M. West Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
The Corporate Executive Board Company
Meeting Date: 13-Jun-13 Country: USA Security ID: 21988R102
Record Date: 18-Apr-13 Meeting Type: Annual Ticker: CEB
Shares Voted: 15,775
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
The Corporate Executive Board Company
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.1 Elect Director Thomas L. Monahan, III Mgmt For For
1.2 Elect Director Gregor S. Bailar Mgmt For For
1.3 Elect Director Stephen M. Carter Mgmt For For
1.4 Elect Director Gordon J. Coburn Mgmt For For
1.5 Elect Director L. Kevin Cox Mgmt For For
1.6 Elect Director Nancy J. Karch Mgmt For For
1.7 Elect Director Daniel O. Leemon Mgmt For For
1.8 Elect Director Jeffrey R. Tarr Mgmt For For
2 Ratify Auditors Mgmt For For
3 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
Yahoo! Inc.
Meeting Date: 25-Jun-13 Country: USA Security ID: 984332106
Record Date: 26-Apr-13 Meeting Type: Annual Ticker: YHOO
Shares Voted: 48,000
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- ----------------------------------- --------- -------- -----------
1.1 Elect Director John D. Hayes Mgmt For For
1.2 Elect Director Susan M. James Mgmt For For
1.3 Elect Director Max R. Levchin Mgmt For For
1.4 Elect Director Peter Liguori Mgmt For For
1.5 Elect Director Daniel S. Loeb Mgmt For For
1.6 Elect Director Marissa A. Mayer Mgmt For For
1.7 Elect Director Thomas J. McInerney Mgmt For For
Vote Summary Report
Date range covered: 04/01/2013 to 06/30/2013
Location(s): All locations
Institution Account(s): The Disciplined Growth Investors Fund
Yahoo! Inc.
Proposal Vote
Number Proposal Proponent Mgmt Rec Instruction
-------- --------------------------------------------------------------- --------- -------- -----------
1.8 Elect Director Maynard G. Webb, Jr. Mgmt For For
1.9 Elect Director Harry J. Wilson Mgmt For For
1.10 Elect Director Michael J. Wolf Mgmt For For
2 Advisory Vote to Ratify Named Executive Officers' Compensation Mgmt For For
3 Ratify Auditors Mgmt For For
4 Report on Sustainability SH Against For
5 Report on Political Contributions SH Against For
EMERALD BANKING AND FINANCE FUND
Investment Company Report
TOMPKINS FINANCIAL CORPORATION
Security 890110109 Meeting Type Annual
Ticker Symbol TMP Meeting Date 18-Jul-2012
ISIN US8901101092 Agenda 933651122 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. Election of Directors Management
1 JOHN E. ALEXANDER For For
2 PAUL J. BATTAGLIA For For
3 JAMES J. BYRNES For For
4 DANIEL J. FESSENDEN For For
5 JAMES W. FULMER For For
6 REEDER D. GATES For For
7 JAMES R. HARDIE For For
8 CARL E. HAYNES For For
9 SUSAN A. HENRY For For
10 PATRICIA A. JOHNSON For For
11 SANDRA A. PARKER For For
12 THOMAS R. ROCHON For For
13 STEPHEN S. ROMAINE For For
14 MICHAEL H. SPAIN For For
15 WILLIAM D. SPAIN, JR. For For
16 CRAIG YUNKER For For
3. Ratify Appointment of Independent Auditors Management For For
4. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 8,520 0 07-Jun-2012 07-Jun-2012
CALIFORNIA UNITED BANK
Security 130781107 Meeting Type Special
Ticker Symbol CUNB Meeting Date 23-Jul-2012
ISIN US1307811075 Agenda 933663747 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. Approve Merger Agreement Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 77,229 0 27-Jun-2012 27-Jun-2012
WALKER & DUNLOP INC.
Security 93148P102 Meeting Type Special
Ticker Symbol WD Meeting Date 30-Aug-2012
ISIN US93148P1021 Agenda 933673166 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1. Approve Acquisition Agreement Management For For
2. Amend Stock Compensation Plan Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 41,410 0 08-Aug-2012 08-Aug-2012
BOFI HOLDING, INC.
Security 05566U108 Meeting Type Annual
Ticker Symbol BOFI Meeting Date 08-Nov-2012
ISIN US05566U1088 Agenda 933691900 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 JERRY F. ENGLERT Withheld Against
2 GREGORY GARRABRANTS Withheld Against
3 PAUL GRINBERG Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 13,630 0 11-Oct-2012 11-Oct-2012
NORTHEAST BANCORP
Security 663904209 Meeting Type Annual
Ticker Symbol NBN Meeting Date 28-Nov-2012
ISIN US6639042091 Agenda 933700507 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MATTHEW B. BOTEIN Withheld Against
2 CHERYL LYNN DORSEY Withheld Against
3 PETER W. MCCLEAN Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. Increase Share Capital Management Against Against
5. Amend Stock Compensation Plan Management For For
6. Approve Motion to Adjourn Meeting Management Against Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 30,000 0 20-Nov-2012 20-Nov-2012
CAPITOL FEDERAL FINANCIAL INC
Security 14057J101 Meeting Type Annual
Ticker Symbol CFFN Meeting Date 22-Jan-2013
ISIN US14057J1016 Agenda 933718908 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
I Election of Directors Management
1 JOHN B. DICUS Withheld Against
2 JAMES G. MORRIS Withheld Against
3 JEFFREY R. THOMPSON Withheld Against
II 14A Executive Compensation Management For For
III Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 50,225 0 02-Jan-2013 02-Jan-2013
TECHE HOLDING COMPANY
Security 878330109 Meeting Type Annual
Ticker Symbol TSH Meeting Date 29-Jan-2013
ISIN US8783301091 Agenda 933724280 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DONELSON T. CAFFERY, JR Withheld Against
2 ERNEST FREYOU Withheld Against
3 PATRICK O. LITTLE Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 16,999 0 23-Jan-2013 23-Jan-2013
PROVIDENT NEW YORK BANCORP
Security 744028101 Meeting Type Annual
Ticker Symbol PBNY Meeting Date 21-Feb-2013
ISIN US7440281019 Agenda 933724987 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1. Election of Directors Management
1 JAMES F. DEUTSCH Withheld Against
2 WILLIAM F. HELMER Withheld Against
3 R. MICHAEL KENNEDY Withheld Against
4 JACK KOPNISKY Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 16,830 0 06-Feb-2013 06-Feb-2013
NBT BANCORP INC.
Security 628778102 Meeting Type Special
Ticker Symbol NBTB Meeting Date 05-Mar-2013
ISIN US6287781024 Agenda 933733099 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 6,320 0 13-Feb-2013 13-Feb-2013
PACWEST BANCORP
Security 695263103 Meeting Type Special
Ticker Symbol PACW Meeting Date 20-Mar-2013
ISIN US6952631033 Agenda 933735942 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 9,010 0 12-Mar-2013 12-Mar-2013
FIRST CALIFORNIA FINANCIAL GROUP, INC.
Security 319395109 Meeting Type Special
Ticker Symbol FCAL Meeting Date 20-Mar-2013
ISIN US3193951098 Agenda 933736336 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. 14A Extraordinary Transaction Executive Compensation Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 23,792 0 12-Mar-2013 12-Mar-2013
URSTADT BIDDLE PROPERTIES INC.
Security 917286205 Meeting Type Annual
Ticker Symbol UBA Meeting Date 21-Mar-2013
ISIN US9172862057 Agenda 933732100 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 CATHERINE U. BIDDLE* Withheld Against
2 WILLING L. BIDDLE# Withheld Against
3 E. VIRGIL CONWAY# Withheld Against
4 ROBERT J. MUELLER# Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. Authorize Dual Classes of Stock Increase Management Against Against
4. Approve Charter Amendment Management Against Against
5. Eliminate Supermajority Requirements Management For For
6. Amend Restricted Stock Award Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 22,180 0 20-Feb-2013 20-Feb-2013
LAKELAND FINANCIAL CORPORATION
Security 511656100 Meeting Type Annual
Ticker Symbol LKFN Meeting Date 09-Apr-2013
ISIN US5116561003 Agenda 933740234 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BLAKE W. AUGSBURGER Withheld Against
2 CHARLES E. NIEMIER Withheld Against
3 BRIAN J. SMITH Withheld Against
4 BRADLEY J. TOOTHAKER Withheld Against
5 RONALD D. TRUEX Withheld Against
2. Approve Stock Compensation Plan Management For For
3. Amend Articles-Board Related Management For For
4. 14A Executive Compensation Management For For
5. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 27,563 0 14-Mar-2013 14-Mar-2013
HANCOCK HOLDING COMPANY
Security 410120109 Meeting Type Annual
Ticker Symbol HBHC Meeting Date 12-Apr-2013
ISIN US4101201097 Agenda 933742365 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES B. ESTABROOK, JR. Withheld Against
2 HARDY B. FOWLER Withheld Against
3 RANDALL W. HANNA Withheld Against
4 ERIC J. NICKELSEN Withheld Against
5 ROBERT W. ROSEBERRY Withheld Against
6 ANTHONY J. TOPAZI Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 11,416 0 20-Mar-2013 20-Mar-2013
BANK OF THE OZARKS, INC.
Security 063904106 Meeting Type Annual
Ticker Symbol OZRK Meeting Date 15-Apr-2013
ISIN US0639041062 Agenda 933737578 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GEORGE GLEASON For For
2 JEAN AREHART For For
3 NICHOLAS BROWN For For
4 RICHARD CISNE For For
5 ROBERT EAST For For
6 LINDA GLEASON For For
7 PETER KENNY For For
8 HENRY MARIANI For For
9 ROBERT PROOST For For
10 R.L. QUALLS For For
11 JOHN REYNOLDS For For
12 DAN THOMAS For For
13 S. WEST-SCANTLEBURY For For
2. Amend Stock Option Plan Management For For
3. Amend Non-Employee Director Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 51,598 0 13-Mar-2013 13-Mar-2013
OLD LINE BANCSHARES, INC.
Security 67984M100 Meeting Type Special
Ticker Symbol OLBK Meeting Date 15-Apr-2013
ISIN US67984M1009 Agenda 933739964 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 60,705 0 13-Mar-2013 13-Mar-2013
WSB HOLDINGS, INC.
Security 92934C101 Meeting Type Special
Ticker Symbol WSB Meeting Date 15-Apr-2013
ISIN US92934C1018 Agenda 933739976 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. 14A Executive Compensation Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 25,000 0 13-Mar-2013 13-Mar-2013
CASS INFORMATION SYSTEMS, INC.
Security 14808P109 Meeting Type Annual
Ticker Symbol CASS Meeting Date 15-Apr-2013
ISIN US14808P1093 Agenda 933751059 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LAWRENCE A. COLLETT Withheld Against
2 WAYNE J. GRACE Withheld Against
3 JAMES J. LINDEMANN Withheld Against
4 ANDREW J. SIGNORELLI Withheld Against
2. Authorize Common Stock Increase Management Against Against
3. Amend Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 17,722 0 28-Mar-2013 28-Mar-2013
PINNACLE FINANCIAL PARTNERS, INC.
Security 72346Q104 Meeting Type Annual
Ticker Symbol PNFP Meeting Date 16-Apr-2013
ISIN US72346Q1040 Agenda 933739433 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 SUE G. ATKINSON Withheld Against
2 HAROLD GORDON BONE Withheld Against
3 GREGORY L. BURNS Withheld Against
4 GARY L. SCOTT Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 14,460 0 28-Mar-2013 28-Mar-2013
CITIZENS FINANCIAL SERVICES, INC.
Security 174615104 Meeting Type Annual
Ticker Symbol CZFS Meeting Date 16-Apr-2013
ISIN US1746151042 Agenda 933739851 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1. Election of Directors Management
1 MARK L. DALTON For For
2 THOMAS E. FREEMAN For For
3 RUDOLPH J. VAN DER HIEL For For
2. Ratify Appointment of Independent Auditors Management Against Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 7,211 0 05-Apr-2013 05-Apr-2013
AMERICAN BUSINESS BANK
Security 02475L105 Meeting Type Annual
Ticker Symbol AMBZ Meeting Date 16-Apr-2013
ISIN US02475L1052 Agenda 933746490 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DONALD P. JOHNSON For For
2 TRENT D. MERRILL For For
3 EDITH MATTHAI For For
4 ROBERT F. SCHACK For For
5 WESLEY E. SCHAEFER For For
6 JON H. SCHLOBOHM For For
7 D. VAN DIEST SKILLING For For
8 ROBERT I. USDAN For For
9 LEON BLANKSTEIN For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 23,120 0 20-Mar-2013 20-Mar-2013
PROSPERITY BANCSHARES, INC.
Security 743606105 Meeting Type Annual
Ticker Symbol PB Meeting Date 16-Apr-2013
ISIN US7436061052 Agenda 933752378 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LEAH HENDERSON* Withheld Against
2 NED S. HOLMES* Withheld Against
3 DAVID ZALMAN* Withheld Against
4 W.R. COLLIER# Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 14,070 0 01-Apr-2013 01-Apr-2013
THE FIRST OF LONG ISLAND CORPORATION
Security 320734106 Meeting Type Annual
Ticker Symbol FLIC Meeting Date 16-Apr-2013
ISIN US3207341062 Agenda 933753609 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 HOWARD THOMAS HOGAN, JR Withheld Against
2 JOHN T. LANE Withheld Against
3 MILBREY RENNIE TAYLOR Withheld Against
4 WALTER C. TEAGLE III Withheld Against
5 MICHAEL N. VITTORIO Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 30,190 0 01-Apr-2013 01-Apr-2013
HOME BANCSHARES, INC.
Security 436893200 Meeting Type Annual
Ticker Symbol HOMB Meeting Date 18-Apr-2013
ISIN US4368932004 Agenda 933743014 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 JOHN W. ALLISON For For
2 C. RANDALL SIMS For For
3 RANDY E. MAYOR For For
4 MILBURN ADAMS For For
5 ROBERT H. ADCOCK, JR. For For
6 RICHARD H. ASHLEY For For
7 DALE A. BRUNS For For
8 RICHARD A. BUCKHEIM For For
9 JACK E. ENGELKES For For
10 JAMES G. HINKLE For For
11 ALEX R. LIEBLONG For For
2. 14A Executive Compensation Management For For
3. Authorize Common Stock Increase Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 28,270 0 20-Mar-2013 20-Mar-2013
CARDINAL FINANCIAL CORPORATION
Security 14149F109 Meeting Type Annual
Ticker Symbol CFNL Meeting Date 19-Apr-2013
ISIN US14149F1093 Agenda 933753483 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 B.G. BECK* Withheld Against
2 WILLIAM J. NASSETTA# Withheld Against
3 ALICE M. STARR# Withheld Against
4 STEVEN M. WILTSE# Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 64,140 0 02-Apr-2013 02-Apr-2013
CAMPUS CREST COMMUNITIES, INC.
Security 13466Y105 Meeting Type Annual
Ticker Symbol CCG Meeting Date 22-Apr-2013
ISIN US13466Y1055 Agenda 933744179 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 TED W. ROLLINS For For
2 MICHAEL S. HARTNETT For For
3 RICHARD S. KAHLBAUGH For For
4 DENIS MCGLYNN For For
5 WILLIAM G. POPEO For For
6 DANIEL L. SIMMONS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 88,263 0 01-Apr-2013 01-Apr-2013
SCBT FINANCIAL CORPORATION
Security 78401V102 Meeting Type Annual
Ticker Symbol SCBT Meeting Date 23-Apr-2013
ISIN US78401V1026 Agenda 933742353 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 JIMMY E. ADDISON For For
2 ROBERT H. DEMERE, JR. For For
3 ROBERT R. HORGER For For
4 HARRY M. MIMS, JR. For For
5 JOHN C. POLLOK For For
6 JAMES W. ROQUEMORE For For
7 JOHN W. WILLIAMSON, III For For
2. Ratify Appointment of Independent Auditors Management For For
Account Account Internal Unavailable Vote Date
Number Name Account Custodian Ballot Shares Shares Date Confirmed
------- ----------- ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 6,020 0 11-Apr-2013 11-Apr-2013
FIRST FINANCIAL BANKSHARES, INC.
Security 32020R109 Meeting Type Annual
Ticker Symbol FFIN Meeting Date 23-Apr-2013
ISIN US32020R1095 Agenda 933742428 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 STEVEN L. BEAL For For
2 TUCKER S. BRIDWELL For For
3 JOSEPH E. CANON For For
4 DAVID COPELAND For For
5 F. SCOTT DUESER For For
6 MURRAY EDWARDS For For
7 RON GIDDIENS For For
8 TIM LANCASTER For For
9 KADE L. MATTHEWS For For
10 JOHNNY E. TROTTER For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 21,150 0 13-Mar-2013 13-Mar-2013
RENASANT CORPORATION
Security 75970E107 Meeting Type Annual
Ticker Symbol RNST Meeting Date 23-Apr-2013
ISIN US75970E1073 Agenda 933744864 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 JOHN M. CREEKMORE Withheld Against
2 JILL V. DEER Withheld Against
3 NEAL A. HOLLAND, JR. Withheld Against
4 E. ROBINSON MCGRAW Withheld Against
5 THEODORE S. MOLL Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 Transact Other Business Management For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 12,860 0 01-Apr-2013 01-Apr-2013
THE ELMIRA SAVINGS BANK, FSB
Security 289660102 Meeting Type Annual
Ticker Symbol ESBK Meeting Date 23-Apr-2013
ISIN US2896601026 Agenda 933763636 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN R. ALEXANDER Withheld Against
2 ANTHONY J. COOPER Withheld Against
3 MICHAEL P. HOSEY Withheld Against
4 KATHERINE H. ROEHLKE Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 7,875 0 02-Apr-2013 02-Apr-2013
SIGNATURE BANK
Security 82669G104 Meeting Type Annual
Ticker Symbol SBNY Meeting Date 24-Apr-2013
ISIN US82669G1040 Agenda 933744472 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JUDITH HUNTINGTON Withheld Against
2 MICHAEL PAPPAGALLO Withheld Against
3 JOHN TAMBERLANE Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 21,180 0 28-Mar-2013 28-Mar-2013
REPUBLIC BANCORP INC.
Security 760281204 Meeting Type Annual
Ticker Symbol RBCAA Meeting Date 25-Apr-2013
ISIN US7602812049 Agenda 933740260 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 CRAIG A. GREENBERG For For
2 MICHAEL T. RUST For For
3 SANDRA METTS SNOWDEN For For
4 R. WAYNE STRATTON For For
5 SUSAN STOUT TAMME For For
6 A. SCOTT TRAGER For For
7 STEVEN E. TRAGER For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 15,170 0 20-Mar-2013 20-Mar-2013
SVB FINANCIAL GROUP
Security 78486Q101 Meeting Type Annual
Ticker Symbol SIVB Meeting Date 25-Apr-2013
ISIN US78486Q1013 Agenda 933743595 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GREG W. BECKER For For
2 ERIC A. BENHAMOU For For
3 DAVID M. CLAPPER For For
4 ROGER F. DUNBAR For For
5 JOEL P. FRIEDMAN For For
6 C. RICHARD KRAMLICH For For
7 LATA KRISHNAN For For
8 JEFFREY N. MAGGIONCALDA For For
9 KATE D. MITCHELL For For
10 JOHN F. ROBINSON For For
11 GAREN K. STAGLIN For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 18,008 0 20-Mar-2013 20-Mar-2013
CAPITALSOURCE INC.
Security 14055X102 Meeting Type Annual
Ticker Symbol CSE Meeting Date 25-Apr-2013
ISIN US14055X1028 Agenda 933744054 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANDREW B. FREMDER Withheld Against
2 C. WILLIAM HOSLER Withheld Against
3 JAMES J. PIECZYNSKI Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 82,540 0 02-Apr-2013 02-Apr-2013
BRYN MAWR BANK CORPORATION
Security 117665109 Meeting Type Annual
Ticker Symbol BMTC Meeting Date 25-Apr-2013
ISIN US1176651099 Agenda 933745602 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 LYNN B. MCKEE Withheld Against
2 WENDELL F. HOLLAND Withheld Against
3 DAVID E. LEES Withheld Against
4 FREDERICK C. PETERS II Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 18,290 0 01-Apr-2013 01-Apr-2013
SOUTHERN NATIONAL BANCORP OF VA, INC.
Security 843395104 Meeting Type Annual
Ticker Symbol SONA Meeting Date 25-Apr-2013
ISIN US8433951048 Agenda 933750449 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------ ----------- --------- -----------
1. Election of Directors Management
1 R. RODERICK PORTER Withheld Against
2 W. BRUCE JENNINGS Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 20,188 0 01-Apr-2013 01-Apr-2013
FARMERS NATIONAL BANC CORP.
Security 309627107 Meeting Type Annual
Ticker Symbol FMNB Meeting Date 25-Apr-2013
ISIN US3096271073 Agenda 933752277 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 RALPH D. MACALI Withheld Against
2 EARL R. SCOTT Withheld Against
3 GREGG STROLLO Withheld Against
2. Eliminate Pre-Emptive Rights Management For For
3. Authorize Common Stock Increase Management For For
4. 14A Executive Compensation Management For For
5. Ratify Appointment of Independent Auditors Management For For
6. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 100,315 0 27-Mar-2013 27-Mar-2013
PEOPLES BANCORP INC.
Security 709789101 Meeting Type Annual
Ticker Symbol PEBO Meeting Date 25-Apr-2013
ISIN US7097891011 Agenda 933753825 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DAVID L. MEAD Withheld Against
2 SUSAN D. RECTOR Withheld Against
3 THOMAS J. WOLF Withheld Against
2. 14A Executive Compensation Management For For
3. Amend Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 15,000 0 01-Apr-2013 01-Apr-2013
HINGHAM INSTITUTION FOR SAVINGS
Security 433323102 Meeting Type Annual
Ticker Symbol HIFS Meeting Date 25-Apr-2013
ISIN US4333231029 Agenda 933755968 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------ ----------- --------- -----------
1. Election of Directors Management
1 HOWARD M. BERGER, ESQ. Withheld Against
2 MARION J. FAHEY Withheld Against
3 KEVIN W. GAUGHEN, ESQ. Withheld Against
4 JULIO R. HERNANDO, ESQ. Withheld Against
5 ROBERT K. SHERIDAN, ESQ Withheld Against
6 EDWARD L. SPARDA Withheld Against
2. Elect Company Clerk/Secretary Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 3,300 0 01-Apr-2013 01-Apr-2013
EVANS BANCORP, INC.
Security 29911Q208 Meeting Type Annual
Ticker Symbol EVBN Meeting Date 25-Apr-2013
ISIN US29911Q2084 Agenda 933756958 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PHILLIP BROTHMAN Withheld Against
2 DAVID J. NASCA Withheld Against
3 THOMAS H. WARING, JR. Withheld Against
4 LEE C. WORTHAM Withheld Against
2. Adopt Employee Stock Purchase Plan Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
5. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------- ---------- ------------- ----------- ----------- -----------
6734305000 6734305000 6734305000 UNION BANK 15,950 0 02-Apr-2013 02-Apr-2013
FIRST COMMUNITY BANCSHARES, INC.
Security 31983A103 Meeting Type Annual
Ticker Symbol FCBC Meeting Date 30-Apr-2013
ISIN US31983A1034 Agenda 933748709 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN M. MENDEZ Withheld Against
2 RICHARD S. JOHNSON Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 6,140 0 11-Apr-2013 11-Apr-2013
ORRSTOWN FINANCIAL SERVICES, INC.
Security 687380105 Meeting Type Annual
Ticker Symbol ORRF Meeting Date 30-Apr-2013
ISIN US6873801053 Agenda 933765274 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GLENN W. SNOKE Withheld Against
2 GREGORY A. ROSENBERRY Withheld Against
3 MARK K. KELLER Withheld Against
4 THOMAS R. QUINN, JR. Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. Transact Other Business Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 10,392 0 02-Apr-2013 02-Apr-2013
QCR HOLDINGS, INC.
Security 74727A104 Meeting Type Annual
Ticker Symbol QCRH Meeting Date 01-May-2013
ISIN US74727A1043 Agenda 933748608 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PATRICK S. BAIRD Withheld Against
2 LARRY J. HELLING Withheld Against
3 DOUGLAS M. HULTQUIST Withheld Against
4 MARK C. KILMER Withheld Against
2. Election of Directors (Majority Voting) Management Against Against
3. 14A Executive Compensation Management For For
4. Approve Stock Compensation Plan Management For For
5. Ratify Shareholder Rights Plan Management For For
6. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 5,909 0 01-Apr-2013 01-Apr-2013
HERITAGE FINANCIAL CORPORATION
Security 42722X106 Meeting Type Annual
Ticker Symbol HFWA Meeting Date 01-May-2013
ISIN US42722X1063 Agenda 933749078 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 BRIAN S. CHARNESKI For For
2 GARY B. CHRISTENSEN For For
3 JOHN A. CLEES For For
4 KIMBERLY T. ELLWANGER For For
5 BRIAN L. VANCE For For
6 ANN WATSON For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 25,050 0 02-Apr-2013 02-Apr-2013
FIRST HORIZON NATIONAL CORPORATION
Security 320517105 Meeting Type Annual
Ticker Symbol FHN Meeting Date 02-May-2013
ISIN US3205171057 Agenda 933746503 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------- ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 88,960 0 01-Apr-2013 01-Apr-2013
HORIZON BANCORP
Security 440407104 Meeting Type Annual
Ticker Symbol HBNC Meeting Date 02-May-2013
ISIN US4404071049 Agenda 933752203 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 SUSAN D. AARON Withheld Against
2 CHARLEY E. GILLISPIE Withheld Against
3 LARRY N. MIDDLETON Withheld Against
4 ROBERT E. SWINEHART Withheld Against
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 59,383 0 02-Apr-2013 02-Apr-2013
WASHINGTON BANKING COMPANY
Security 937303105 Meeting Type Annual
Ticker Symbol WBCO Meeting Date 02-May-2013
ISIN US9373031056 Agenda 933758964 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 RHODA L. ALTOM For For
2 MARK D. CRAWFORD For For
3 DEBORAH J. GAVIN For For
4 JAY T. LIEN For For
5 GRAGG E. MILLER For For
6 ANTHONY B. PICKERING For For
7 ROBERT T. SEVERNS For For
8 JOHN L. WAGNER For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 28,463 0 02-Apr-2013 02-Apr-2013
AMERICAN CAMPUS COMMUNITIES, INC.
Security 024835100 Meeting Type Annual
Ticker Symbol ACC Meeting Date 02-May-2013
ISIN US0248351001 Agenda 933763547 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 WILLIAM C. BAYLESS JR. For For
2 R.D. BURCK For For
3 G. STEVEN DAWSON For For
4 CYDNEY C. DONNELL For For
5 EDWARD LOWENTHAL For For
6 OLIVER LUCK For For
7 WINSTON W. WALKER For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 13,770 0 11-Apr-2013 11-Apr-2013
XENITH BANKSHARES, INC.
Security 98410X105 Meeting Type Annual
Ticker Symbol XBKS Meeting Date 02-May-2013
ISIN US98410X1054 Agenda 933767165 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 LARRY L. FELTON For For
2 PALMER P. GARSON For For
3 PATRICK D. HANLEY For For
4 PETER C. JACKSON For For
5 T. GAYLON LAYFIELD, III For For
6 MICHAEL A. MANCUSI For For
7 MALCOLM S. MCDONALD For For
8 ROBERT J. MERRICK For For
9 SCOTT A. REED For For
10 MARK B. SISISKY For For
11 THOMAS G. SNEAD, JR. For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 24,650 0 11-Apr-2013 11-Apr-2013
SUSQUEHANNA BANCSHARES, INC.
Security 869099101 Meeting Type Annual
Ticker Symbol SUSQ Meeting Date 03-May-2013
ISIN US8690991018 Agenda 933746414 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ANTHONY J. AGNONE, SR. For For
2 WAYNE E. ALTER, JR. For For
3 HENRY R. GIBBEL For For
4 BRUCE A. HEPBURN For For
5 DONALD L. HOFFMAN For For
6 SARA G. KIRKLAND For For
7 JEFFREY F. LEHMAN For For
8 MICHAEL A. MORELLO For For
9 SCOTT J. NEWKAM For For
10 ROBERT E. POOLE, JR. For For
11 WILLIAM J. REUTER For For
12 ANDREW S. SAMUEL For For
13 CHRISTINE SEARS For For
14 JAMES A. ULSH For For
2. Adopt Omnibus Stock Option Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 82,426 0 02-Apr-2013 02-Apr-2013
AXIS CAPITAL HOLDINGS LIMITED
Security G0692U109 Meeting Type Annual
Ticker Symbol AXS Meeting Date 03-May-2013
ISIN BMG0692U1099 Agenda 933752051 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GEOFFREY BELL Withheld Against
2 ALBERT A. BENCHIMOL Withheld Against
3 CHRISTOPHER V. GREETHAM Withheld Against
4 MAURICE A. KEANE Withheld Against
5 HENRY B. SMITH Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 6,840 0 02-Apr-2013 02-Apr-2013
BRIDGE BANCORP, INC.
Security 108035106 Meeting Type Annual
Ticker Symbol BDGE Meeting Date 03-May-2013
ISIN US1080351067 Agenda 933771140 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MARCIA Z. HEFTER Withheld Against
2 EMANUEL ARTURI Withheld Against
3 RUDOLPH J. SANTORO Withheld Against
4 HOWARD H. NOLAN Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 28,500 0 11-Apr-2013 11-Apr-2013
GUARANTY BANCORP
Security 40075T102 Meeting Type Annual
Ticker Symbol GBNK Meeting Date 07-May-2013
ISIN US40075T1025 Agenda 933768220 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ------- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
2 Ratify Appointment of Independent Auditors Management For For
3 Approve Reverse Stock Split Management For For
4 14A Executive Compensation Management For For
5 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 112,530 0 11-Apr-2013 11-Apr-2013
NBT BANCORP INC.
Security 628778102 Meeting Type Annual
Ticker Symbol NBTB Meeting Date 07-May-2013
ISIN US6287781024 Agenda 933774223 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1. Fix Number of Directors Management Abstain Against
2. Election of Directors Management
1 DARYL R. FORSYTHE For For
2 PATRICIA T. CIVIL For For
3 ROBERT A. WADSWORTH For For
4 JACK H. WEBB For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 6,320 0 17-Apr-2013 17-Apr-2013
ENTERPRISE FINANCIAL SERVICES CORP
Security 293712105 Meeting Type Annual
Ticker Symbol EFSC Meeting Date 08-May-2013
ISIN US2937121059 Agenda 933756732 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ------- -----------
1. Election of Directors Management
1 PETER F. BENOIST For For
2 JAMES J. MURPHY, JR. For For
3 MICHAEL A. DECOLA For For
4 WILLIAM H. DOWNEY For For
5 JOHN S. EULICH For For
6 ROBERT E. GUEST, JR. For For
7 JUDITH S. HEETER For For
8 LEWIS A. LEVEY For For
9 BIRCH M. MULLINS For For
10 BRENDA D. NEWBERRY For For
11 JOHN M. TRACY For For
12 SANDRA A. VAN TREASE For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
5. Approve Stock Compensation Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 11,356 0 02-Apr-2013 02-Apr-2013
HOME BANCORP INC
Security 43689E107 Meeting Type Annual
Ticker Symbol HBCP Meeting Date 08-May-2013
ISIN US43689E1073 Agenda 933777421 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL P. MARAIST Withheld Against
2 RICHARD J. BOURGEOIS Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 11,680 0 17-Apr-2013 17-Apr-2013
CONNECTONE BANCORP, INC
Security 20786U101 Meeting Type Annual
Ticker Symbol CNOB Meeting Date 08-May-2013
ISIN US20786U1016 Agenda 933789680 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 FRANK SORRENTINO III Withheld Against
2 FRANK W. BAIER Withheld Against
3 STEVEN M. GOLDMAN Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 50,000 0 24-Apr-2013 24-Apr-2013
OLD NATIONAL BANCORP
Security 680033107 Meeting Type Annual
Ticker Symbol ONB Meeting Date 09-May-2013
ISIN US6800331075 Agenda 933746464 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ALAN W. BRAUN For For
2 LARRY E. DUNIGAN For For
3 NIEL C. ELLERBROOK For For
4 ANDREW E. GOEBEL For For
5 ROBERT G. JONES For For
6 PHELPS L. LAMBERT For For
7 ARTHUR H. MCELWEE, JR. For For
8 JAMES T. MORRIS For For
9 RANDALL T. SHEPARD For For
10 KELLY N. STANLEY For For
11 LINDA E. WHITE For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 19,950 0 11-Apr-2013 11-Apr-2013
GLIMCHER REALTY TRUST
Security 379302102 Meeting Type Annual
Ticker Symbol GRT Meeting Date 09-May-2013
ISIN US3793021029 Agenda 933756631 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 TIMOTHY J. O'BRIEN Withheld Against
2 NILES C. OVERLY Withheld Against
3 WILLIAM S. WILLIAMS Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 63,190 0 11-Apr-2013 11-Apr-2013
MONARCH FINANCIAL HOLDINGS, INC.
Security 60907Q100 Meeting Type Annual
Ticker Symbol MNRK Meeting Date 09-May-2013
ISIN US60907Q1004 Agenda 933773358 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LAWTON H. BAKER, CPA Withheld Against
2 JEFFERY F. BENSON Withheld Against
3 ROBERT M. OMAN Withheld Against
4 VIRGINIA S. CROSS Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 31,740 0 11-Apr-2013 11-Apr-2013
BERKSHIRE HILLS BANCORP, INC.
Security 084680107 Meeting Type Annual
Ticker Symbol BHLB Meeting Date 09-May-2013
ISIN US0846801076 Agenda 933775390 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN B. DAVIES Withheld Against
2 RODNEY C. DIMOCK Withheld Against
3 LAURIE NORTON MOFFATT Withheld Against
4 J. WILLIAR DUNLAEVY Withheld Against
2. Approve Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 9,950 0 17-Apr-2013 17-Apr-2013
SAUL CENTERS, INC.
Security 804395101 Meeting Type Annual
Ticker Symbol BFS Meeting Date 10-May-2013
ISIN US8043951016 Agenda 933758320 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 GEORGE P. CLANCY, JR. Withheld Against
2 GENERAL PAUL X. KELLEY Withheld Against
3 CHARLES R. LONGSWORTH Withheld Against
4 THOMAS H. MCCORMICK Withheld Against
5 PATRICK F. NOONAN Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 Authorize Common Stock Increase Management Against Against
4 Amend Stock Option Plan Management For For
5 Transact Other Business Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 14,060 0 11-Apr-2013 11-Apr-2013
PACWEST BANCORP
Security 695263103 Meeting Type Annual
Ticker Symbol PACW Meeting Date 13-May-2013
ISIN US6952631033 Agenda 933779968 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 MARK N. BAKER For For
2 CRAIG A. CARLSON For For
3 STEPHEN M. DUNN For For
4 JOHN M. EGGEMEYER For For
5 BARRY C. FITZPATRICK For For
6 GEORGE E. LANGLEY For For
7 SUSAN E. LESTER For For
8 TIMOTHY B. MATZ For For
9 ARNOLD W. MESSER For For
10 DANIEL B. PLATT For For
11 JOHN W. ROSE For For
12 ROBERT A. STINE For For
13 MATTHEW P. WAGNER For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. Approve Motion to Adjourn Meeting Management For For
5. Transact Other Business Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 14,550 0 25-Apr-2013 25-Apr-2013
TEXAS CAPITAL BANCSHARES, INC.
Security 88224Q107 Meeting Type Annual
Ticker Symbol TCBI Meeting Date 14-May-2013
ISIN US88224Q1076 Agenda 933766896 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GEORGE F. JONES, JR. For For
2 PETER B. BARTHOLOW For For
3 JAMES H. BROWNING For For
4 PRESTON M. GEREN III For For
5 FREDERICK B. HEGI, JR. For For
6 LARRY L. HELM For For
7 JAMES R. HOLLAND, JR. For For
8 W.W. MCALLISTER III For For
9 ELYSIA HOLT RAGUSA For For
10 STEVEN P. ROSENBERG For For
11 GRANT E. SIMS For For
12 ROBERT W. STALLINGS For For
13 DALE W. TREMBLAY For For
14 IAN J. TURPIN For For
2. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 19,123 0 11-Apr-2013 11-Apr-2013
CAROLINA TRUST BANK
Security 144200102 Meeting Type Annual
Ticker Symbol CART Meeting Date 14-May-2013
ISIN US1442001020 Agenda 933780264 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ------- -----------
1 Election of Directors Management
1 BRYAN ELLIOTT BEAL For For
2 TERRI Q. BLAKE For For
3 NANCY B. PASCHALL For For
4 JOSEPH M. RHYNE, III For For
5 JIM R. WATSON For For
6 ROGER D. WILLIAMS For For
2 14A Executive Compensation Management For For
3 14A Executive Compensation Vote Frequency Management 1 Year For
4 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 30,000 0 17-Apr-2013 17-Apr-2013
PENNYMAC MORTGAGE INVESTMENT TRUST
Security 70931T103 Meeting Type Annual
Ticker Symbol PMT Meeting Date 15-May-2013
ISIN US70931T1034 Agenda 933778613 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 MATTHEW BOTEIN Withheld Against
2 SCOTT W. CARNAHAN Withheld Against
3 FRANK P. WILLEY Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 16,870 0 02-May-2013 02-May-2013
HOPFED BANCORP, INC.
Security 439734104 Meeting Type Contested-Annual
Ticker Symbol HFBC Meeting Date 15-May-2013
ISIN US4397341045 Agenda 933789541 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ------- -----------
01 Election of Directors Management
1 DR. THOMAS I. MILLER For For
2 STEVE HUNT For For
3 MICHAEL L. WOOLFOLK For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
04 14A Executive Compensation Vote Frequency Management 1 Year For
05 Approve Stock Compensation Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 16,003 0 14-May-2013 14-May-2013
CENTRAL VALLEY COMMUNITY BANCORP
Security 155685100 Meeting Type Annual
Ticker Symbol CVCY Meeting Date 15-May-2013
ISIN US1556851004 Agenda 933794100 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 SIDNEY B. COX For For
2 DANIEL N. CUNNINGHAM For For
3 EDWIN S. DARDEN JR. For For
4 DANIEL J. DOYLE For For
5 STEVEN D. MCDONALD For For
6 LOUIS MCMURRAY For For
7 JOSEPH B. WEIRICK For For
8 WILLIAM S. SMITTCAMP For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 34,580 0 25-Apr-2013 25-Apr-2013
MERIDIAN INTERSTATE BANCORP, INC.
Security 58964Q104 Meeting Type Annual
Ticker Symbol EBSB Meeting Date 15-May-2013
ISIN US58964Q1040 Agenda 933797790 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ANNA R. DIMARIA Withheld Against
2 RICHARD F. FERNANDEZ Withheld Against
3 DOMENIC A. GAMBARDELLA Withheld Against
4 THOMAS J. GUNNING Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 9,697 0 25-Apr-2013 25-Apr-2013
INDEPENDENT BANK CORP.
Security 453836108 Meeting Type Annual
Ticker Symbol INDB Meeting Date 16-May-2013
ISIN US4538361084 Agenda 933768143 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 BENJAMIN A. GILMORE, II Withheld Against
2 EILEEN C. MISKELL Withheld Against
3 CARL RIBEIRO Withheld Against
4 JOHN H. SPURR, JR. Withheld Against
5 THOMAS R. VENABLES Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 15,250 0 24-Apr-2013 24-Apr-2013
COBIZ FINANCIAL INC.
Security 190897108 Meeting Type Annual
Ticker Symbol COBZ Meeting Date 16-May-2013
ISIN US1908971088 Agenda 933768939 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------- ------------ ---- -----------
1. Election of Directors Management
1 STEVEN BANGERT For For
2 MICHAEL B. BURGAMY For For
3 MORGAN GUST For For
4 EVAN MAKOVSKY For For
5 DOUGLAS L. POLSON For For
6 MARY K. RHINEHART For For
7 NOEL N. ROTHMAN For For
8 BRUCE H. SCHROFFEL For For
9 TIMOTHY J. TRAVIS For For
10 MARY BETH VITALE For For
11 MARY M. WHITE For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. S/H Proposal - Establish Independent Chairman Shareholder For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 124,563 0 11-Apr-2013 11-Apr-2013
EAGLE BANCORP, INC.
Security 268948106 Meeting Type Annual
Ticker Symbol EGBN Meeting Date 16-May-2013
ISIN US2689481065 Agenda 933777940 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LESLIE M. ALPERSTEIN Withheld Against
2 ROBERT P. PINCUS Withheld Against
3 DONALD R. ROGERS Withheld Against
4 LELAND M. WEINSTEIN Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Unavailable Vote Date
Number Account Name Internal Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ---------------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 53,546 0 17-Apr-2013 17-Apr-2013
VIEWPOINT FINANCIAL GROUP INC
Security 92672A101 Meeting Type Annual
Ticker Symbol VPFG Meeting Date 16-May-2013
ISIN US92672A1016 Agenda 933787446 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BRUCE W. HUNT Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 44,883 0 24-Apr-2013 24-Apr-2013
TANGER FACTORY OUTLET CENTERS, INC.
Security 875465106 Meeting Type Annual
Ticker Symbol SKT Meeting Date 17-May-2013
ISIN US8754651060 Agenda 933771467 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 10,090 0 17-Apr-2013 17-Apr-2013
UNITED INSURANCE HOLDINGS CORP.
Security 910710102 Meeting Type Annual
Ticker Symbol UIHC Meeting Date 17-May-2013
ISIN US9107101027 Agenda 933805268 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GREGORY C. BRANCH Withheld Against
2 KENT G. WHITTEMORE Withheld Against
3 JOHN L. FORNEY Withheld Against
2. Adopt Omnibus Stock Option Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
5. 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 100,000 0 02-May-2013 02-May-2013
FIRST BUSINESS FINL SVCS INC.
Security 319390100 Meeting Type Annual
Ticker Symbol FBIZ Meeting Date 20-May-2013
ISIN US3193901002 Agenda 933769208 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAN A. EDDY Withheld Against
2 JOHN M. SILSETH Withheld Against
3 DEAN W. VOEKS Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 25,125 0 11-Apr-2013 11-Apr-2013
TOMPKINS FINANCIAL CORPORATION
Security 890110109 Meeting Type Annual
Ticker Symbol TMP Meeting Date 20-May-2013
ISIN US8901101092 Agenda 933777394 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------ ----------- ---- -----------
1. Election of Directors Management
1 JOHN E. ALEXANDER For For
2 PAUL J. BATTAGLIA For For
3 JAMES J. BYRNES For For
4 DANIEL J. FESSENDEN For For
5 JAMES W. FULMER For For
6 REEDER D. GATES For For
7 JAMES R. HARDIE For For
8 CARL E. HAYNES For For
9 SUSAN A. HENRY For For
10 PATRICIA A. JOHNSON For For
11 FRANK C. MILEWSKI For For
12 SANDRA A. PARKER For For
13 THOMAS R. ROCHON For For
14 STEPHEN S. ROMAINE For For
15 MICHAEL H. SPAIN For For
16 WILLIAM D. SPAIN, JR. For For
17 ALFRED J. WEBER For For
18 CRAIG YUNKER For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 7,520 0 11-Apr-2013 11-Apr-2013
WHITESTONE REIT
Security 966084204 Meeting Type Annual
Ticker Symbol WSR Meeting Date 20-May-2013
ISIN Agenda 933782686 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PAUL T. LAMBERT Withheld Against
2. Amend Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 15,250 0 10-May-2013 10-May-2013
CENTER BANCORP, INC.
Security 151408101 Meeting Type Annual
Ticker Symbol CNBC Meeting Date 20-May-2013
ISIN US1514081017 Agenda 933797562 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ALEXANDER A. BOL For For
2 ANTHONY C. WEAGLEY For For
3 FREDERICK S. FISH For For
4 HOWARD KENT For For
5 NICHOLAS MINOIA For For
6 HAROLD SCHECHTER For For
7 LAWRENCE B. SEIDMAN For For
8 WILLIAM A. THOMPSON For For
9 RAYMOND VANARIA For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 17,704 0 24-Apr-2013 24-Apr-2013
FLUSHING FINANCIAL CORPORATION
Security 343873105 Meeting Type Annual
Ticker Symbol FFIC Meeting Date 21-May-2013
ISIN US3438731057 Agenda 933780290 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN R. BURAN Withheld Against
2 JAMES D. BENNETT Withheld Against
3 VINCENT F. NICOLOSI Withheld Against
4 GERARD P. TULLY, SR. Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 12,500 0 25-Apr-2013 25-Apr-2013
MID-AMERICA APARTMENT COMMUNITIES, INC.
Security 59522J103 Meeting Type Annual
Ticker Symbol MAA Meeting Date 21-May-2013
ISIN US59522J1034 Agenda 933791077 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 H. ERIC BOLTON, JR. For For
2 ALAN B. GRAF, JR. For For
3 RALPH HORN For For
4 PHILIP W. NORWOOD For For
5 W. REID SANDERS For For
6 WILLIAM B. SANSOM For For
7 GARY SHORB For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Account Internal Unavailable Vote Date
Number Name Account Custodian Ballot Shares Shares Date Confirmed
------- ----------- ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 4,030 0 25-Apr-2013 25-Apr-2013
ACCESS NATIONAL CORPORATION
Security 004337101 Meeting Type Annual
Ticker Symbol ANCX Meeting Date 21-May-2013
ISIN US0043371014 Agenda 933797699 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT C. SHOEMAKER Withheld Against
2 THOMAS M. KODY Withheld Against
3 J. RANDOLPH BABBITT Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 52,909 0 25-Apr-2013 25-Apr-2013
WESTERN ALLIANCE BANCORPORATION
Security 957638109 Meeting Type Annual
Ticker Symbol WAL Meeting Date 21-May-2013
ISIN US9576381092 Agenda 933805220 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------ ----------- --------- -----------
1. Election of Directors Management
1 CARY MACK Withheld Against
2 TODD MARSHALL Withheld Against
3 M. NAFEES NAGY Withheld Against
4 JAMES E. NAVE Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 40,387 0 02-May-2013 02-May-2013
MIDSOUTH BANCORP, INC.
Security 598039105 Meeting Type Annual
Ticker Symbol MSL Meeting Date 22-May-2013
ISIN US5980391057 Agenda 933779502 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 WILL CHARBONNET, SR. Withheld Against
2 CLAYTON PAUL HILLIARD Withheld Against
3 JOSEPH V. TORTORICE, JR Withheld Against
4 LEONARD "PETE" ABINGTON Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 15,169 0 24-Apr-2013 24-Apr-2013
SOVRAN SELF STORAGE, INC.
Security 84610H108 Meeting Type Annual
Ticker Symbol SSS Meeting Date 22-May-2013
ISIN US84610H1086 Agenda 933782787 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ROBERT J. ATTEA For For
2 KENNETH F. MYSZKA For For
3 ANTHONY P. GAMMIE For For
4 CHARLES E. LANNON For For
5 JAMES R. BOLDT For For
6 STEPHEN R. RUSMISEL For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 3,700 0 25-Apr-2013 25-Apr-2013
CAPITAL BANK FINANCIAL CORP.
Security 139794101 Meeting Type Annual
Ticker Symbol CBF Meeting Date 22-May-2013
ISIN US1397941014 Agenda 933783222 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ------- -----------
1 Election of Directors Management
1 CHARLES F. ATKINS For For
2 MARTHA M. BACHMAN For For
3 RICHARD M. DEMARTINI For For
4 PETER N. FOSS For For
5 WILLIAM A. HODGES For For
6 OSCAR A. KELLER III For For
7 JEFFREY E. KIRT For For
8 SAMUEL E. LYNCH For For
9 MARC D. OKEN For For
10 R. EUGENE TAYLOR For For
11 WILLIAM G. WARD, SR. For For
2 Ratify Appointment of Independent Auditors Management For For
3 Adopt Omnibus Stock Option Plan Management For For
4 14A Executive Compensation Management For For
5 14A Executive Compensation Vote Frequency Management 1 Year For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 15,510 0 10-May-2013 10-May-2013
PARK STERLING CORP
Security 70086Y105 Meeting Type Annual
Ticker Symbol PSTB Meeting Date 22-May-2013
ISIN US70086Y1055 Agenda 933789173 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------ ----------- --------- -----------
01 Election of Directors Management
1 LESLIE M. BAKER, JR. Withheld Against
2 LARRY W. CARROLL Withheld Against
3 KIM S. PRICE Withheld Against
4 BEN R. RUDISILL, II Withheld Against
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 22,050 0 25-Apr-2013 25-Apr-2013
STATE BANK FINANCIAL CORPORATION
Security 856190103 Meeting Type Annual
Ticker Symbol STBZ Meeting Date 22-May-2013
ISIN US8561901039 Agenda 933789565 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 8,750 0 25-Apr-2013 25-Apr-2013
HERITAGE OAKS BANCORP
Security 42724R107 Meeting Type Annual
Ticker Symbol HEOP Meeting Date 22-May-2013
ISIN US42724R1077 Agenda 933791421 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------ ----------- ---- -----------
1 Election of Directors Management
1 MICHAEL J. MORRIS For For
2 DONALD CAMPBELL For For
3 MICHAEL J. BEHRMAN For For
4 MARK C. FUGATE For For
5 DANIEL J. O'HARE For For
6 DEE LACEY For For
7 JAMES J. LYNCH For For
8 MICHAEL E. PFAU For For
9 ALEXANDER F. SIMAS For For
10 LAWRENCE P. WARD For For
11 SIMONE F. LAGOMARSINO For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 71,360 0 24-Apr-2013 24-Apr-2013
TERRITORIAL BANCORP INC
Security 88145X108 Meeting Type Annual
Ticker Symbol TBNK Meeting Date 22-May-2013
ISIN US88145X1081 Agenda 933791661 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 KIRK W. CALDWELL Withheld Against
2 FRANCIS E. TANAKA Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 8,830 0 25-Apr-2013 25-Apr-2013
EVERBANK FINANCIAL CORP
Security 29977G102 Meeting Type Annual
Ticker Symbol EVER Meeting Date 23-May-2013
ISIN US29977G1022 Agenda 933773815 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GERALD S. ARMSTRONG Withheld Against
2 JOSEPH D. HINKEL Withheld Against
3 ROBERT J. MYLOD, JR. Withheld Against
4 RUSSELL B. NEWTON, III Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 94,270 0 17-Apr-2013 17-Apr-2013
AMTRUST FINANCIAL SERVICES, INC.
Security 032359309 Meeting Type Annual
Ticker Symbol AFSI Meeting Date 23-May-2013
ISIN US0323593097 Agenda 933778156 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DONALD T. DECARLO For For
2 SUSAN C. FISCH For For
3 ABRAHAM GULKOWITZ For For
4 GEORGE KARFUNKEL For For
5 MICHAEL KARFUNKEL For For
6 JAY J. MILLER For For
7 BARRY D. ZYSKIND For For
2. Ratify Appointment of Independent Auditors Management For For
3. Authorize Common Stock Increase Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 24,428 0 17-Apr-2013 17-Apr-2013
HERSHA HOSPITALITY TRUST
Security 427825104 Meeting Type Annual
Ticker Symbol HT Meeting Date 23-May-2013
ISIN US4278251040 Agenda 933803430 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management Abstain Against
1B. Election of Directors (Majority Voting) Management Abstain Against
1C. Election of Directors (Majority Voting) Management Abstain Against
1D. Election of Directors (Majority Voting) Management Abstain Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 44,350 0 02-May-2013 02-May-2013
CORTLAND BANCORP
Security 220587109 Meeting Type Annual
Ticker Symbol CLDB Meeting Date 28-May-2013
ISIN US2205871096 Agenda 933800751 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES M. GASIOR Withheld Against
2 RICHARD B. THOMPSON Withheld Against
3 JOSEPH P. LANGHENRY Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year For
4. Ratify Appointment of Independent Auditors Management For For
5. Transact Other Business Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 19,926 0 17-May-2013 17-May-2013
EAST WEST BANCORP, INC.
Security 27579R104 Meeting Type Annual
Ticker Symbol EWBC Meeting Date 28-May-2013
ISIN US27579R1041 Agenda 933801993 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 IRIS S. CHAN For For
2 RUDOLPH I. ESTRADA For For
3 JULIA S. GOUW For For
4 PAUL H. IRVING For For
5 ANDREW S. KANE For For
6 TAK-CHUEN CLARENCE KWAN For For
7 JOHN LEE For For
8 HERMAN Y. LI For For
9 JACK C. LIU For For
10 DOMINIC NG For For
11 KEITH W. RENKEN For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 19,720 0 02-May-2013 02-May-2013
UNITED COMMUNITY FINANCIAL CORP.
Security 909839102 Meeting Type Special
Ticker Symbol UCFC Meeting Date 28-May-2013
ISIN US9098391025 Agenda 933809610 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Stock Issuance Management For For
2. Stock Issuance Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 69,100 0 08-May-2013 08-May-2013
CUBESMART
Security 229663109 Meeting Type Annual
Ticker Symbol CUBE Meeting Date 29-May-2013
ISIN US2296631094 Agenda 933791065 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 WILLIAM M. DIEFENDERFER For For
2 PIERO BUSSANI For For
3 DEAN JERNIGAN For For
4 MARIANNE M. KELER For For
5 DEBORAH R. SALZBERG For For
6 JOHN F. REMONDI For For
7 JEFFREY F. ROGATZ For For
8 JOHN W. FAIN For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 21,230 0 25-Apr-2013 25-Apr-2013
PACIFIC PREMIER BANCORP, INC.
Security 69478X105 Meeting Type Annual
Ticker Symbol PPBI Meeting Date 29-May-2013
ISIN US69478X1054 Agenda 933791786 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 KENNETH A. BOUDREAU For For
2 JOHN J. CARONA For For
3 STEVEN R. GARDNER For For
4 JOSEPH L. GARRETT For For
5 JOHN D. GODDARD For For
6 JEFF C. JONES For For
7 MICHAEL L. MCKENNON For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 100,314 0 02-May-2013 02-May-2013
HOWARD BANCORP, INC.
Security 442496105 Meeting Type Annual
Ticker Symbol HBMD Meeting Date 29-May-2013
ISIN US4424961054 Agenda 933810853 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 ROBERT J. HARTSON Withheld Against
2 PAUL I. LATTA, JR. Withheld Against
3 ROBERT W. SMITH, JR. Withheld Against
4 DONNA HILL STATON Withheld Against
2. Approve Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
5. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 59,296 0 10-May-2013 10-May-2013
HOMESTREET INC
Security 43785V102 Meeting Type Annual
Ticker Symbol HMST Meeting Date 30-May-2013
ISIN US43785V1026 Agenda 933802577 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management Abstain Against
1B. Election of Directors (Majority Voting) Management Abstain Against
1C. Election of Directors (Majority Voting) Management Abstain Against
1D. Election of Directors (Majority Voting) Management Abstain Against
1E. Election of Directors (Majority Voting) Management Abstain Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 26,182 0 02-May-2013 02-May-2013
INVESTORS BANCORP, INC.
Security 46146P102 Meeting Type Annual
Ticker Symbol ISBC Meeting Date 30-May-2013
ISIN US46146P1021 Agenda 933814053 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1. Approve Merger Agreement Management Abstain Against
2. Election of Directors Management
1 DOMENICK A. CAMA For For
2 JAMES J. GARIBALDI For For
3 VINCENT D. MANAHAN III For For
4 JAMES H. WARD III For For
3. Approve Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
5. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 28,473 0 10-May-2013 10-May-2013
ATLAS FINANCIAL HOLDINGS, INC.
Security G06207115 Meeting Type Annual
Ticker Symbol AFH Meeting Date 30-May-2013
ISIN KYG062071157 Agenda 933820981 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- ---- -----------
01 Election of Directors Management
1 JORDAN KUPINSKY For For
2 GORDON PRATT For For
3 LARRY SWETS, JR. For For
4 SCOTT WOLLNEY For For
5 JOHN T. FITZGERALD For For
02 Ratify Appointment of Independent Auditors Management For For
03 Adopt Stock Option Plan Management For For
04 Adopt Incentive Stock Option Plan Management For For
05 14A Executive Compensation Management For For
06 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 31,650 0 29-May-2013 29-May-2013
WALKER & DUNLOP INC.
Security 93148P102 Meeting Type Annual
Ticker Symbol WD Meeting Date 05-Jun-2013
ISIN US93148P1021 Agenda 933814130 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ALAN BOWERS For For
2 ANDREW FLORANCE For For
3 MITCHELL GAYNOR For For
4 CYNTHIA HALLENBECK For For
5 MICHAEL MALONE For For
6 JOHN RICE For For
7 DANA SCHMALTZ For For
8 HOWARD SMITH For For
9 EDMUND TAYLOR For For
10 WILLIAM WALKER For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 41,410 0 13-May-2013 13-May-2013
TREE.COM, INC.
Security 894675107 Meeting Type Annual
Ticker Symbol TREE Meeting Date 12-Jun-2013
ISIN US8946751075 Agenda 933812314 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 PETER HORAN For For
2 W. MAC LACKEY For For
3 DOUGLAS LEBDA For For
4 JOSEPH LEVIN For For
5 STEVEN OZONIAN For For
6 MARK SANFORD For For
2 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 27,087 0 17-May-2013 17-May-2013
SUMMIT HOTEL PROPERTIES INC
Security 866082100 Meeting Type Annual
Ticker Symbol INN Meeting Date 12-Jun-2013
ISIN US8660821005 Agenda 933814801 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 KERRY W. BOEKELHEIDE For For
2 DANIEL P. HANSEN For For
3 BJORN R.L. HANSON For For
4 DAVID S. KAY For For
5 THOMAS W. STOREY For For
6 WAYNE W. WIELGUS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 90,210 0 17-May-2013 17-May-2013
OAK VALLEY BANCORP
Security 671807105 Meeting Type Annual
Ticker Symbol OVLY Meeting Date 18-Jun-2013
ISIN US6718071052 Agenda 933821375 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES L. GILBERT Withheld Against
2 JANET S. PELTON Withheld Against
3 ROGER M. SCHRIMP Withheld Against
4 DANNY L. TITUS Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year Against
5. Approve Charter Amendment Management For For
6A. Approve Charter Amendment Management For For
6B. Approve Charter Amendment Management For For
6C. Approve Charter Amendment Management For For
6D. Approve Charter Amendment Management Against Against
6E. Approve Charter Amendment Management Against Against
7. Approve Charter Amendment Management For For
8. Approve Charter Amendment Management Against Against
9. Approve Charter Amendment Management For For
10. Approve Charter Amendment Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 6,224 0 24-May-2013 24-May-2013
EVERCORE PARTNERS INC.
Security 29977A105 Meeting Type Annual
Ticker Symbol EVR Meeting Date 19-Jun-2013
ISIN US29977A1051 Agenda 933813861 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ROGER C. ALTMAN For For
2 PEDRO ASPE For For
3 RICHARD I. BEATTIE For For
4 FRANCOIS DE ST. PHALLE For For
5 GAIL B. HARRIS For For
6 CURT HESSLER For For
7 ROBERT B. MILLARD For For
8 ANTHONY N. PRITZKER For For
9 RALPH L. SCHLOSSTEIN For For
2. Amend Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 13,960 0 13-May-2013 13-May-2013
RENASANT CORPORATION
Security 75970E107 Meeting Type Special
Ticker Symbol RNST Meeting Date 25-Jun-2013
ISIN US75970E1073 Agenda 933837316 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. Approve Motion to Adjourn Meeting Management For For
3. Transact Other Business Management For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ ----------- ----------- ------------- ----------- ------------ ------------
6734305000 6734305000 6734305000 UNION BANK 12,860 0 06-Jun-2013 06-Jun-2013
EMERALD GROWTH FUND
Investment Company Report
CATALYST HEALTH SOLUTIONS, INC.
Security 14888B103 Meeting Type Special
Ticker Symbol CHSI Meeting Date 02-Jul-2012
ISIN US14888B1035 Agenda 933655524 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------- ----------- ---- -----------
1. Approve Merger Agreement Management For For
2. 14A Executive Compensation Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 22,355 0 18-Jun-2012 18-Jun-2012
FRANCESCA'S HOLDINGS CORPORATION
Security 351793104 Meeting Type Annual
Ticker Symbol FRAN Meeting Date 10-Jul-2012
ISIN US3517931040 Agenda 933644038 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PATRICIA BENDER Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 61,359 0 06-Jun-2012 06-Jun-2012
MEDIVATION, INC.
Security 58501N101 Meeting Type Annual
Ticker Symbol MDVN Meeting Date 13-Jul-2012
ISIN US58501N1019 Agenda 933651069 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 DANIEL D. ADAMS For For
2 GREGORY H. BAILEY, M.D. For For
3 KIM D. BLICKENSTAFF For For
4 DAVID T. HUNG, M.D. For For
5 W. ANTHONY VERNON For For
2 Amend Stock Compensation Plan Management For For
3 Approve Charter Amendment Management Against Against
4 Approve Charter Amendment Management Against Against
5 Ratify Appointment of Independent Auditors Management For For
6 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 24,868 0 18-Jun-2012 18-Jun-2012
FINISH LINE, INC.
Security 317923100 Meeting Type Annual
Ticker Symbol FINL Meeting Date 19-Jul-2012
ISIN US3179231002 Agenda 933661870 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BILL KIRKENDALL Withheld Against
2 WILLIAM P. CARMICHAEL Withheld Against
3 RICHARD P. CRYSTAL Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 28,338 0 25-Jun-2012 25-Jun-2012
TRIUMPH GROUP, INC.
Security 896818101 Meeting Type Annual
Ticker Symbol TGI Meeting Date 19-Jul-2012
ISIN US8968181011 Agenda 933662389 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 PAUL BOURGON For For
2 ELMER L. DOTY For For
3 RALPH E. EBERHART For For
4 JEFFRY D. FRISBY For For
5 RICHARD C. GOZON For For
6 RICHARD C. ILL For For
7 ADAM J. PALMER For For
8 JOSEPH M. SILVESTRI For For
9 GEORGE SIMPSON For For
2. 14A Executive Compensation Management For For
3. Amend Articles-Board Related Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 37,436 0 27-Jun-2012 27-Jun-2012
JAZZ PHARMACEUTICALS PLC
Security G50871105 Meeting Type Annual
Ticker Symbol JAZZ Meeting Date 27-Jul-2012
ISIN IE00B4Q5ZN47 Agenda 933659851 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------- ----------- -------- -----------
1.1 Election of Directors (Majority Voting) Management Abstain Against
1.2 Election of Directors (Majority Voting) Management Abstain Against
1.3 Election of Directors (Majority Voting) Management Abstain Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 27,020 0 25-Jun-2012 25-Jun-2012
WALKER & DUNLOP INC.
Security 93148P102 Meeting Type Special
Ticker Symbol WD Meeting Date 30-Aug-2012
ISIN US93148P1021 Agenda 933673166 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------- ----------- ---- -----------
1. Approve Acquisition Agreement Management For For
2. Amend Stock Compensation Plan Management For For
3. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 70,800 0 08-Aug-2012 08-Aug-2012
MATTRESS FIRM HOLDING CORP.
Security 57722W106 Meeting Type Annual
Ticker Symbol MFRM Meeting Date 05-Sep-2012
ISIN US57722W1062 Agenda 933670689 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 R. STEPHEN STAGNER Withheld Against
2 WILLIAM E. WATTS Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year Against
4. Ratify Appointment of Independent Management For For
Auditors
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 35,502 0 01-Aug-2012 01-Aug-2012
INTEGRATED DEVICE TECHNOLOGY, INC.
Security 458118106 Meeting Type Annual
Ticker Symbol IDTI Meeting Date 13-Sep-2012
ISIN US4581181066 Agenda 933675691 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 JOHN SCHOFIELD For For
2 JEFF MCCREARY For For
3 UMESH PADVAL For For
4 GORDON PARNELL For For
5 DONALD SCHROCK For For
6 RON SMITH, PH.D. For For
7 T.L. TEWKSBURY III, PHD For For
8 PETER FELD For For
2. 14A Executive Compensation Management For For
3. Amend Employee Stock Purchase Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 118,688 0 22-Aug-2012 22-Aug-2012
INPHI CORPORATION
Security 45772F107 Meeting Type Special
Ticker Symbol IPHI Meeting Date 19-Sep-2012
ISIN US45772F1075 Agenda 933683410 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1. Miscellaneous Corporate Actions Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 51,146 0 13-Sep-2012 13-Sep-2012
REXNORD CORPORATION
Security 76169B102 Meeting Type Annual
Ticker Symbol RXN Meeting Date 20-Sep-2012
ISIN US76169B1026 Agenda 933680577 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 TODD A. ADAMS Withheld Against
2 LAURENCE M. BERG Withheld Against
3 GEORGE M. SHERMAN Withheld Against
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year Against
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 11,980 0 19-Sep-2012 19-Sep-2012
CARPENTER TECHNOLOGY CORPORATION
Security 144285103 Meeting Type Annual
Ticker Symbol CRS Meeting Date 08-Oct-2012
ISIN US1442851036 Agenda 933687317 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 CARL G. ANDERSON, JR. Withheld Against
2 DR. PHILIP M. ANDERSON Withheld Against
3 DR. JEFFREY WADSWORTH Withheld Against
4 WILLIAM A. WULFSOHN Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 17,480 0 26-Sep-2012 26-Sep-2012
BAZAARVOICE INC
Security 073271108 Meeting Type Annual
Ticker Symbol BV Meeting Date 09-Oct-2012
ISIN US0732711082 Agenda 933682292 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 NEERAJ AGRAWAL Withheld Against
2 CHRISTOPHER A. PACITTI Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 22,570 0 19-Sep-2012 19-Sep-2012
PHOTOMEDEX, INC.
Security 719358301 Meeting Type Annual
Ticker Symbol PHMD Meeting Date 06-Nov-2012
ISIN US7193583017 Agenda 933696241 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 LEWIS C. PELL For For
2 DR. YOAV BEN-DROR For For
3 DR. DOLEV RAFAELI For For
4 DENNIS M. MCGRATH For For
5 DR. NAHUM MELUMAD For For
6 JAMES W. SIGHT For For
7 STEPHEN P. CONNELLY For For
8 KATSUMI ONEDA For For
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Annual Meeting Date/Time Change Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 41,079 0 17-Oct-2012 17-Oct-2012
ARUBA NETWORKS, INC.
Security 043176106 Meeting Type Annual
Ticker Symbol ARUN Meeting Date 29-Nov-2012
ISIN US0431761065 Agenda 933698853 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DOMINIC P. ORR For For
2 KEERTI MELKOTE For For
3 BERNARD GUIDON For For
4 EMMANUEL HERNANDEZ For For
5 MICHAEL R. KOUREY For For
6 WILLEM P. ROELANDTS For For
7 JUERGEN ROTTLER For For
8 DANIEL WARMENHOVEN For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 99,307 0 24-Oct-2012 24-Oct-2012
FINISAR CORPORATION
Security 31787A507 Meeting Type Annual
Ticker Symbol FNSR Meeting Date 03-Dec-2012
ISIN US31787A5074 Agenda 933698839 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL C. CHILD Withheld Against
2 ROGER C. FERGUSON Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 13,210 0 07-Nov-2012 07-Nov-2012
GUIDEWIRE SOFTWARE INC
Security 40171V100 Meeting Type Annual
Ticker Symbol GWRE Meeting Date 05-Dec-2012
ISIN US40171V1008 Agenda 933700610 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 KENNETH W. BRANSON Withheld Against
2 CRAIG RAMSEY Withheld Against
3 MARCUS S. RYU Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 8,410 0 07-Nov-2012 07-Nov-2012
INFOBLOX INC.
Security 45672H104 Meeting Type Annual
Ticker Symbol BLOX Meeting Date 19-Dec-2012
ISIN US45672H1041 Agenda 933704517 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 LAURA C. CONIGLIARO Withheld Against
2 FRED M. GERSON Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 30,638 0 28-Nov-2012 28-Nov-2012
MAGNUM HUNTER RESOURCES CORPORATION
Security 55973B102 Meeting Type Annual
Ticker Symbol MHR Meeting Date 17-Jan-2013
ISIN US55973B1026 Agenda 933715849 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 J. RALEIGH BAILES, SR. For For
2 BRAD BYNUM For For
3 VICTOR G. CARRILLO For For
4 GARY C. EVANS For For
5 STEPHEN C. HURLEY For For
6 JOE L. MCCLAUGHERTY For For
7 RONALD D. ORMAND For For
8 STEVEN A. PFEIFER For For
9 JEFF SWANSON For For
2. Ratify Appointment of Independent Auditors Management For For
3. Authorize Common Stock Increase Management Against Against
4. Authorize Preferred Stock Increase Management For For
5. Amend Stock Compensation Plan Management Against Against
6. Approve Motion to Adjourn Meeting Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 365,414 0 17-Dec-2012 17-Dec-2012
MULTIMEDIA GAMES HOLDING COMPANY, INC.
Security 625453105 Meeting Type Annual
Ticker Symbol MGAM Meeting Date 30-Jan-2013
ISIN US6254531055 Agenda 933718667 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 33,189 0 02-Jan-2013 02-Jan-2013
CHENIERE ENERGY, INC.
Security 16411R208 Meeting Type Special
Ticker Symbol LNG Meeting Date 01-Feb-2013
ISIN US16411R2085 Agenda 933722577 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Declassify Board Management For For
2. Amend Stock Compensation Plan Management For For
3. Transact Other Business Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 33,638 0 09-Jan-2013 09-Jan-2013
MWI VETERINARY SUPPLY, INC.
Security 55402X105 Meeting Type Annual
Ticker Symbol MWIV Meeting Date 05-Feb-2013
ISIN US55402X1054 Agenda 933718972 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 KEITH E. ALESSI For For
2 BRUCE C. BRUCKMANN For For
3 JAMES F. CLEARY, JR. For For
4 JOHN F. MCNAMARA For For
5 A. CRAIG OLSON For For
6 ROBERT N. REBHOLTZ, JR. For For
7 WILLIAM J. ROBISON For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
4 Approve Stock Compensation Plan Management For For
Account Account Internal Unavailable Vote Date
Number Name Account Custodian Ballot Shares Shares Date Confirmed
------- ----------- -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 37,987 0 02-Jan-2013 02-Jan-2013
MICROSEMI CORPORATION
Security 595137100 Meeting Type Annual
Ticker Symbol MSCC Meeting Date 12-Feb-2013
ISIN US5951371005 Agenda 933721842 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 JAMES J. PETERSON For For
2 DENNIS R. LEIBEL For For
3 THOMAS R. ANDERSON For For
4 WILLIAM E. BENDUSH For For
5 PAUL F. FOLINO For For
6 WILLIAM L. HEALEY For For
7 MATTHEW E. MASSENGILL For For
8 JAMES V. MAZZO For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ---------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 32,145 0 02-Jan-2013 02-Jan-2013
HOVNANIAN ENTERPRISES, INC.
Security 442487203 Meeting Type Annual
Ticker Symbol HOV Meeting Date 12-Mar-2013
ISIN US4424872038 Agenda 933727781 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. Authorize Common Stock Increase Management Against Against
4. Authorize Common Stock Increase Management Against Against
5. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 214,197 0 06-Feb-2013 06-Feb-2013
SHFL ENTERTAINMENT INC.
Security 78423R105 Meeting Type Annual
Ticker Symbol SHFL Meeting Date 14-Mar-2013
ISIN US78423R1059 Agenda 933729456 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- ---- -----------
1. Election of Directors Management
1 GARRY W. SAUNDERS For For
2 JOHN R. BAILEY For For
3 DANIEL M. WADE For For
4 EILEEN F. RANEY For For
5 A. RANDALL THOMAN For For
6 MICHAEL GAVIN ISAACS For For
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 63,427 0 13-Feb-2013 13-Feb-2013
THE FEMALE HEALTH COMPANY
Security 314462102 Meeting Type Annual
Ticker Symbol FHCO Meeting Date 26-Mar-2013
ISIN US3144621022 Agenda 933736374 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DAVID R. BETHUNE For For
2 STEPHEN M. DEARHOLT For For
3 DONNA FELCH For For
4 MARY MARGARET FRANK PHD For For
5 WILLIAM R. GARGIULO, JR For For
6 MARY ANN LEEPER, PH.D. For For
7 O.B. PARRISH For For
8 MICHAEL R. WALTON For For
9 RICHARD E. WENNINGER For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Date
Number Account Name Account Custodian Ballot Shares Shares Vote Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 83,773 0 12-Mar-2013 12-Mar-2013
BANK OF THE OZARKS, INC.
Security 063904106 Meeting Type Annual
Ticker Symbol OZRK Meeting Date 15-Apr-2013
ISIN US0639041062 Agenda 933737578 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GEORGE GLEASON For For
2 JEAN AREHART For For
3 NICHOLAS BROWN For For
4 RICHARD CISNE For For
5 ROBERT EAST For For
6 LINDA GLEASON For For
7 PETER KENNY For For
8 HENRY MARIANI For For
9 ROBERT PROOST For For
10 R.L. QUALLS For For
11 JOHN REYNOLDS For For
12 DAN THOMAS For For
13 S. WEST-SCANTLEBURY For For
2. Amend Stock Option Plan Management For For
3. Amend Non-Employee Director Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 69,562 0 13-Mar-2013 13-Mar-2013
CARDINAL FINANCIAL CORPORATION
Security 14149F109 Meeting Type Annual
Ticker Symbol CFNL Meeting Date 19-Apr-2013
ISIN US14149F1093 Agenda 933753483 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- -------- -----------
1. Election of Directors Management
1 B.G. BECK* Withheld Against
2 WILLIAM J. NASSETTA# Withheld Against
3 ALICE M. STARR# Withheld Against
4 STEVEN M. WILTSE# Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Account Number Name Account Custodian Ballot Shares Shares Date Confirmed
-------------- ----------- -------- ---------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 26,164 0 02-Apr-2013 02-Apr-2013
SIGNATURE BANK
Security 82669G104 Meeting Type Annual
Ticker Symbol SBNY Meeting Date 24-Apr-2013
ISIN US82669G1040 Agenda 933744472 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JUDITH HUNTINGTON Withheld Against
2 MICHAEL PAPPAGALLO Withheld Against
3 JOHN TAMBERLANE Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ---------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 18,234 0 28-Mar-2013 28-Mar-2013
SVB FINANCIAL GROUP
Security 78486Q101 Meeting Type Annual
Ticker Symbol SIVB Meeting Date 25-Apr-2013
ISIN US78486Q1013 Agenda 933743595 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GREG W. BECKER For For
2 ERIC A. BENHAMOU For For
3 DAVID M. CLAPPER For For
4 ROGER F. DUNBAR For For
5 JOEL P. FRIEDMAN For For
6 C. RICHARD KRAMLICH For For
7 LATA KRISHNAN For For
8 JEFFREY N. MAGGIONCALDA For For
9 KATE D. MITCHELL For For
10 JOHN F. ROBINSON For For
11 GAREN K. STAGLIN For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ---------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 30,001 0 20-Mar-2013 20-Mar-2013
UNI-PIXEL INC
Security 904572203 Meeting Type Annual
Ticker Symbol UNXL Meeting Date 26-Apr-2013
ISIN US9045722033 Agenda 933746351 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 REED J. KILLION For For
2 BERNARD T. MARREN For For
3 CARL J. YANKOWSKI For For
4 BRUCE I. BERKOFF For For
5 ROSS A. YOUNG For For
6 WILLIAM WAYNE PATTERSON For For
7 ANTHONY J. LEVECCHIO For For
2 14A Executive Compensation Vote Frequency Management 1 Year For
3 14A Executive Compensation Management For For
4 Ratify Appointment of Independent Auditors Management Against Against
5 Amend Stock Compensation Plan Management For For
Account Account Internal Unavailable Vote Date
Number Name Account Custodian Ballot Shares Shares Date Confirmed
------- ----------- -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 12,953 0 28-Mar-2013 28-Mar-2013
CEPHEID
Security 15670R107 Meeting Type Annual
Ticker Symbol CPHD Meeting Date 30-Apr-2013
ISIN US15670R1077 Agenda 933754839 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management Abstain Against
1B. Election of Directors (Majority Voting) Management Abstain Against
1C. Election of Directors (Majority Voting) Management Abstain Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Account Internal Ballot Unavailable Vote Date
Number Name Account Custodian Shares Shares Date Confirmed
------- ----------- -------- ----------- ------ ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 50,716 0 02-Apr-2013 02-Apr-2013
TREX COMPANY, INC.
Security 89531P105 Meeting Type Annual
Ticker Symbol TREX Meeting Date 01-May-2013
ISIN US89531P1057 Agenda 933744597 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 PAUL A. BRUNNER Withheld Against
2 MICHAEL F. GOLDEN Withheld Against
3 RICHARD E. POSEY Withheld Against
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 48,338 0 27-Mar-2013 27-Mar-2013
FIRST HORIZON NATIONAL CORPORATION
Security 320517105 Meeting Type Annual
Ticker Symbol FHN Meeting Date 02-May-2013
ISIN US3205171057 Agenda 933746503 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1A Election of Directors (Majority Voting) Management For For
1B Election of Directors (Majority Voting) Management For For
1C Election of Directors (Majority Voting) Management For For
1D Election of Directors (Majority Voting) Management For For
1E Election of Directors (Majority Voting) Management For For
1F Election of Directors (Majority Voting) Management For For
1G Election of Directors (Majority Voting) Management For For
1H Election of Directors (Majority Voting) Management For For
1I Election of Directors (Majority Voting) Management For For
1J Election of Directors (Majority Voting) Management For For
1K Election of Directors (Majority Voting) Management For For
2 14A Executive Compensation Management For For
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 90,980 0 01-Apr-2013 01-Apr-2013
ALLIED NEVADA GOLD CORP
Security 019344100 Meeting Type Annual
Ticker Symbol ANV Meeting Date 02-May-2013
ISIN US0193441005 Agenda 933754081 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ROBERT M. BUCHAN For For
2 SCOTT A. CALDWELL For For
3 JOHN W. IVANY For For
4 CAMERON A. MINGAY For For
5 TERRY M. PALMER For For
6 CARL A. PESCIO For For
7 A. MURRAY SINCLAIR For For
8 ROBERT G. WARDELL For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- --------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 33,488 0 22-Apr-2013 22-Apr-2013
SUSQUEHANNA BANCSHARES, INC.
Security 869099101 Meeting Type Annual
Ticker Symbol SUSQ Meeting Date 03-May-2013
ISIN US8690991018 Agenda 933746414 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ANTHONY J. AGNONE, SR. For For
2 WAYNE E. ALTER, JR. For For
3 HENRY R. GIBBEL For For
4 BRUCE A. HEPBURN For For
5 DONALD L. HOFFMAN For For
6 SARA G. KIRKLAND For For
7 JEFFREY F. LEHMAN For For
8 MICHAEL A. MORELLO For For
9 SCOTT J. NEWKAM For For
10 ROBERT E. POOLE, JR. For For
11 WILLIAM J. REUTER For For
12 ANDREW S. SAMUEL For For
13 CHRISTINE SEARS For For
14 JAMES A. ULSH For For
2. Adopt Omnibus Stock Option Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 124,571 0 02-Apr-2013 02-Apr-2013
AKORN, INC.
Security 009728106 Meeting Type Annual
Ticker Symbol AKRX Meeting Date 03-May-2013
ISIN US0097281069 Agenda 933769107 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 JOHN N. KAPOOR, PHD For For
2 RONALD M. JOHNSON For For
3 BRIAN TAMBI For For
4 STEVEN J. MEYER For For
5 ALAN WEINSTEIN For For
6 KENNETH S. ABRAMOWITZ For For
7 ADRIENNE L. GRAVES, PHD For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 199,931 0 11-Apr-2013 11-Apr-2013
NPS PHARMACEUTICALS, INC.
Security 62936P103 Meeting Type Annual
Ticker Symbol NPSP Meeting Date 07-May-2013
ISIN US62936P1030 Agenda 933770720 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
1.4 Election of Directors (Majority Voting) Management For For
1.5 Election of Directors (Majority Voting) Management For For
1.6 Election of Directors (Majority Voting) Management For For
1.7 Election of Directors (Majority Voting) Management For For
1.8 Election of Directors (Majority Voting) Management For For
2. Amend Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 125,286 0 17-Apr-2013 17-Apr-2013
BIOSCRIP, INC.
Security 09069N108 Meeting Type Annual
Ticker Symbol BIOS Meeting Date 07-May-2013
ISIN US09069N1081 Agenda 933779336 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 RICHARD M. SMITH For For
2 CHARLOTTE W. COLLINS For For
3 SAMUEL P. FRIEDER For For
4 MYRON Z. HOLUBIAK For For
5 DAVID R. HUBERS For For
6 RICHARD L. ROBBINS For For
7 STUART A. SAMUELS For For
8 GORDON H. WOODWARD For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. Adopt Employee Stock Purchase Plan Management For For
5. Approve Stock Compensation Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 123,220 0 17-Apr-2013 17-Apr-2013
STANDARD PACIFIC CORP.
Security 85375C101 Meeting Type Annual
Ticker Symbol SPF Meeting Date 08-May-2013
ISIN US85375C1018 Agenda 933754942 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 BRUCE A. CHOATE For For
2 RONALD R. FOELL For For
3 DOUGLAS C. JACOBS For For
4 DAVID J. MATLIN For For
5 JOHN R. PESHKIN For For
6 PETER SCHOELS For For
7 SCOTT D. STOWELL For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 136,276 0 11-Apr-2013 11-Apr-2013
UNITED RENTALS, INC.
Security 911363109 Meeting Type Annual
Ticker Symbol URI Meeting Date 08-May-2013
ISIN US9113631090 Agenda 933764640 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
1K. Election of Directors (Majority Voting) Management For For
1L. Election of Directors (Majority Voting) Management For For
1M. Election of Directors (Majority Voting) Management For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 31,354 0 11-Apr-2013 11-Apr-2013
USG CORPORATION
Security 903293405 Meeting Type Annual
Ticker Symbol USG Meeting Date 08-May-2013
ISIN US9032934054 Agenda 933777659 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BRIAN A. KENNEY Withheld Against
2 STEVEN F. LEER Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Charter Amendment Management For For
4. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 66,875 0 17-Apr-2013 17-Apr-2013
REX ENERGY CORPORATION
Security 761565100 Meeting Type Annual
Ticker Symbol REXX Meeting Date 08-May-2013
ISIN US7615651004 Agenda 933785707 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 LANCE T. SHANER For For
2 THOMAS C. STABLEY For For
3 JOHN W. HIGBEE For For
4 JOHN A. LOMBARDI For For
5 ERIC L. MATTSON For For
6 JOHN J. ZAK For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. Amend Stock Compensation Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 52,972 0 17-Apr-2013 17-Apr-2013
GLIMCHER REALTY TRUST
Security 379302102 Meeting Type Annual
Ticker Symbol GRT Meeting Date 09-May-2013
ISIN US3793021029 Agenda 933756631 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 TIMOTHY J. O'BRIEN Withheld Against
2 NILES C. OVERLY Withheld Against
3 WILLIAM S. WILLIAMS Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 168,924 0 11-Apr-2013 11-Apr-2013
VERASTEM INC
Security 92337C104 Meeting Type Annual
Ticker Symbol VSTM Meeting Date 09-May-2013
ISIN US92337C1045 Agenda 933809064 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 RICHARD ALDRICH Withheld Against
2 MICHAEL KAUFFMAN, M.D. Withheld Against
3 S. LOUISE PHANSTIEL Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 39,682 0 09-May-2013 03-May-2013
BRIGHTCOVE INC
Security 10921T101 Meeting Type Annual
Ticker Symbol BCOV Meeting Date 10-May-2013
ISIN US10921T1016 Agenda 933783107 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DEBORAH BESEMER Withheld Against
2 SCOTT KURNIT Withheld Against
3 DAVID ORFAO Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 74,171 0 17-Apr-2013 17-Apr-2013
TEXAS CAPITAL BANCSHARES, INC.
Security 88224Q107 Meeting Type Annual
Ticker Symbol TCBI Meeting Date 14-May-2013
ISIN US88224Q1076 Agenda 933766896 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GEORGE F. JONES, JR. For For
2 PETER B. BARTHOLOW For For
3 JAMES H. BROWNING For For
4 PRESTON M. GEREN III For For
5 FREDERICK B. HEGI, JR. For For
6 LARRY L. HELM For For
7 JAMES R. HOLLAND, JR. For For
8 W.W. MCALLISTER III For For
9 ELYSIA HOLT RAGUSA For For
10 STEVEN P. ROSENBERG For For
11 GRANT E. SIMS For For
12 ROBERT W. STALLINGS For For
13 DALE W. TREMBLAY For For
14 IAN J. TURPIN For For
2. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 42,346 0 11-Apr-2013 11-Apr-2013
THE MIDDLEBY CORPORATION
Security 596278101 Meeting Type Annual
Ticker Symbol MIDD Meeting Date 14-May-2013
ISIN US5962781010 Agenda 933767785 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 SELIM A. BASSOUL For For
2 ROBERT B. LAMB For For
3 JOHN R. MILLER III For For
4 GORDON O'BRIEN For For
5 PHILIP G. PUTNAM For For
6 SABIN C. STREETER For For
2. 14A Executive Compensation Management For For
3. Approve Director Liability Insurance Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 12,292 0 25-Apr-2013 25-Apr-2013
FIFTH & PACIFIC COMPANIES, INC.
Security 316645100 Meeting Type Annual
Ticker Symbol FNP Meeting Date 14-May-2013
ISIN US3166451001 Agenda 933771330 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Approve Stock Compensation Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
5. Approve Charter Amendment Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 102,910 0 17-Apr-2013 17-Apr-2013
QLIK TECHNOLOGIES INC.
Security 74733T105 Meeting Type Annual
Ticker Symbol QLIK Meeting Date 15-May-2013
ISIN US74733T1051 Agenda 933765375 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN GAVIN, JR. Withheld Against
2 ALEXANDER OTT Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------- --------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 37,027 0 17-Apr-2013 17-Apr-2013
MERITAGE HOMES CORPORATION
Security 59001A102 Meeting Type Annual
Ticker Symbol MTH Meeting Date 15-May-2013
ISIN US59001A1025 Agenda 933765488 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------ ----------- --------- -----------
1 Election of Directors Management
1 PETER A. AX Withheld Against
2 ROBERT G. SARVER Withheld Against
3 GERALD W. HADDOCK Withheld Against
4 MICHAEL R. ODELL Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 36,969 0 17-Apr-2013 17-Apr-2013
COBIZ FINANCIAL INC.
Security 190897108 Meeting Type Annual
Ticker Symbol COBZ Meeting Date 16-May-2013
ISIN US1908971088 Agenda 933768939 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------- ------------ ---- -----------
1. Election of Directors Management
1 STEVEN BANGERT For For
2 MICHAEL B. BURGAMY For For
3 MORGAN GUST For For
4 EVAN MAKOVSKY For For
5 DOUGLAS L. POLSON For For
6 MARY K. RHINEHART For For
7 NOEL N. ROTHMAN For For
8 BRUCE H. SCHROFFEL For For
9 TIMOTHY J. TRAVIS For For
10 MARY BETH VITALE For For
11 MARY M. WHITE For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. S/H Proposal - Establish Independent Chairman Shareholder For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 81,791 0 11-Apr-2013 11-Apr-2013
THE ULTIMATE SOFTWARE GROUP, INC.
Security 90385D107 Meeting Type Annual
Ticker Symbol ULTI Meeting Date 20-May-2013
ISIN US90385D1072 Agenda 933777508 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------- ----------- -------- -----------
1A. Election of Directors (Majority Voting) Management Abstain Against
1B. Election of Directors (Majority Voting) Management Abstain Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 16,640 0 17-Apr-2013 17-Apr-2013
PEREGRINE SEMICONDUCTOR
Security 71366R703 Meeting Type Annual
Ticker Symbol PSMI Meeting Date 20-May-2013
ISIN US71366R7035 Agenda 933805915 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES S. CABLE, PH.D. Withheld Against
2 PAUL N. D'ADDARIO Withheld Against
3 GARY A. MONETTI Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 27,463 0 02-May-2013 02-May-2013
FINANCIAL ENGINES, INC
Security 317485100 Meeting Type Annual
Ticker Symbol FNGN Meeting Date 21-May-2013
ISIN US3174851002 Agenda 933768799 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 HEIDI K. FIELDS Withheld Against
2 JOSEPH A. GRUNDFEST Withheld Against
3 PAUL G. KOONTZ Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. Amend Stock Compensation Plan Management For For
4. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 12,912 0 11-Apr-2013 11-Apr-2013
3D SYSTEMS CORPORATION
Security 88554D205 Meeting Type Annual
Ticker Symbol DDD Meeting Date 21-May-2013
ISIN US88554D2053 Agenda 933770819 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- -------- -----------
1 Election of Directors Management
1 WILLIAM E. CURRAN For For
2 CHARLES W. HULL For For
3 JIM D. KEVER For For
4 G. WALTER LOEWENBAUM,II For For
5 KEVIN S. MOORE For For
6 ABRAHAM N. REICHENTAL For For
7 DANIEL S. VAN RIPER For For
8 KAREN E. WELKE For For
2 Authorize Common Stock Increase Management Against Against
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 17,016 0 17-Apr-2013 17-Apr-2013
JIVE SOFTWARE INC.
Security 47760A108 Meeting Type Annual
Ticker Symbol JIVE Meeting Date 21-May-2013
ISIN US47760A1088 Agenda 933778221 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 JAMES J. GOETZ Withheld Against
2 WILLIAM A. LANFRI Withheld Against
3 TED E. SCHLEIN Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 74,203 0 25-Apr-2013 25-Apr-2013
OMNICELL, INC.
Security 68213N109 Meeting Type Annual
Ticker Symbol OMCL Meeting Date 21-May-2013
ISIN US68213N1090 Agenda 933787333 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 DONALD C. WEGMILLER Withheld Against
2 JAMES T. JUDSON Withheld Against
3 GARY S. PETERSMEYER Withheld Against
2. Amend Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 38,934 0 25-Apr-2013 25-Apr-2013
GREATBATCH, INC.
Security 39153L106 Meeting Type Annual
Ticker Symbol GB Meeting Date 21-May-2013
ISIN US39153L1061 Agenda 933802161 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 PAMELA G. BAILEY For For
2 ANTHONY P. BIHL III For For
3 JOSEPH W. DZIEDZIC For For
4 THOMAS J. HOOK For For
5 RUDY A. MAZZOCCHI For For
6 KEVIN C. MELIA For For
7 DR. J.A. MILLER, JR. For For
8 BILL R. SANFORD For For
9 PETER H. SODERBERG For For
10 WILLIAM B. SUMMERS, JR. For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 39,180 0 02-May-2013 02-May-2013
ROADRUNNER TRANSPORTATION SYSTEMS, INC.
Security 76973Q105 Meeting Type Annual
Ticker Symbol RRTS Meeting Date 21-May-2013
ISIN US76973Q1058 Agenda 933804379 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MARK A. DIBLASI Withheld Against
2 SCOTT D. RUED Withheld Against
3 JOHN G. KENNEDY, III Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 84,747 0 02-May-2013 02-May-2013
EVERBANK FINANCIAL CORP
Security 29977G102 Meeting Type Annual
Ticker Symbol EVER Meeting Date 23-May-2013
ISIN US29977G1022 Agenda 933773815 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 GERALD S. ARMSTRONG Withheld Against
2 JOSEPH D. HINKEL Withheld Against
3 ROBERT J. MYLOD, JR. Withheld Against
4 RUSSELL B. NEWTON, III Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 13,027 0 17-Apr-2013 17-Apr-2013
AMTRUST FINANCIAL SERVICES, INC.
Security 032359309 Meeting Type Annual
Ticker Symbol AFSI Meeting Date 23-May-2013
ISIN US0323593097 Agenda 933778156 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DONALD T. DECARLO For For
2 SUSAN C. FISCH For For
3 ABRAHAM GULKOWITZ For For
4 GEORGE KARFUNKEL For For
5 MICHAEL KARFUNKEL For For
6 JAY J. MILLER For For
7 BARRY D. ZYSKIND For For
2. Ratify Appointment of Independent Auditors Management For For
3. Authorize Common Stock Increase Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 29,234 0 17-Apr-2013 17-Apr-2013
GNC HOLDINGS INC.
Security 36191G107 Meeting Type Annual
Ticker Symbol GNC Meeting Date 23-May-2013
ISIN US36191G1076 Agenda 933781898 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 PHILIP E. MALLOTT Withheld Against
2 C. SCOTT O'HARA Withheld Against
3 RICHARD J. WALLACE Withheld Against
2 Approve Charter Amendment Management For For
3 Amend Articles-Board Related Management For For
4 Declassify Board Management For For
5 Approve Charter Amendment Management For For
6 Limit/Eliminate Written Consent Management For For
7 Ratify Appointment of Independent Auditors Management For For
8 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 25,405 0 25-Apr-2013 25-Apr-2013
CHART INDUSTRIES, INC.
Security 16115Q308 Meeting Type Annual
Ticker Symbol GTLS Meeting Date 23-May-2013
ISIN US16115Q3083 Agenda 933784921 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------- ----------- ---- -----------
1) Election of Directors Management
1 SAMUEL F. THOMAS For For
2 W. DOUGLAS BROWN For For
3 RICHARD E. GOODRICH For For
4 STEVEN W. KRABLIN For For
5 MICHAEL W. PRESS For For
6 JAMES M. TIDWELL For For
7 THOMAS L. WILLIAMS For For
2) Ratify Appointment of Independent Auditors Management For For
3) 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 9,095 0 17-Apr-2013 17-Apr-2013
FARO TECHNOLOGIES, INC.
Security 311642102 Meeting Type Annual
Ticker Symbol FARO Meeting Date 23-May-2013
ISIN US3116421021 Agenda 933785288 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN CALDWELL Withheld Against
2 JOHN DONOFRIO Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 40,133 0 17-Apr-2013 17-Apr-2013
ACADIA HEALTHCARE COMPANY, INC.
Security 00404A109 Meeting Type Annual
Ticker Symbol ACHC Meeting Date 23-May-2013
ISIN US00404A1097 Agenda 933815308 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 WILLIAM F. GRIECO Withheld Against
2 JOEY A. JACOBS Withheld Against
3 KYLE D. LATTNER Withheld Against
4 REEVE B. WAUD Withheld Against
2 Amend Cash/Stock Bonus Plan Management For For
3 14A Executive Compensation Management For For
4 14A Executive Compensation Vote Frequency Management 1 Year Against
5 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 86,721 0 17-May-2013 17-May-2013
GLOBAL GEOPHYSICAL SVCS INC
Security 37946S107 Meeting Type Annual
Ticker Symbol GGS Meeting Date 24-May-2013
ISIN US37946S1078 Agenda 933814180 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- -------- -----------
1. Election of Directors Management
1 GEORGE E. MATELICH Withheld Against
2 STANLEY DE J. OSBORNE Withheld Against
3 KARL F. KURZ Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 32,953 0 17-May-2013 17-May-2013
ACHILLION PHARMACEUTICALS INC
Security 00448Q201 Meeting Type Annual
Ticker Symbol ACHN Meeting Date 28-May-2013
ISIN US00448Q2012 Agenda 933795811 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- ------- -----------
1.1 Election of Directors (Majority Voting) Management Abstain Against
1.2 Election of Directors (Majority Voting) Management Abstain Against
1.3 Election of Directors (Majority Voting) Management Abstain Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 93,366 0 25-Apr-2013 25-Apr-2013
CARMIKE CINEMAS, INC.
Security 143436400 Meeting Type Annual
Ticker Symbol CKEC Meeting Date 29-May-2013
ISIN US1434364006 Agenda 933787496 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- ---- -----------
1 Election of Directors Management
1 MARK R. BELL For For
2 JEFFREY W. BERKMAN For For
3 SEAN T. ERWIN For For
4 JAMES A. FLEMING For For
5 ALAN J. HIRSCHFIELD For For
6 S. DAVID PASSMAN III For For
7 ROLAND C. SMITH For For
8 PATRICIA A. WILSON For For
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 40,038 0 02-May-2013 02-May-2013
PACIFIC PREMIER BANCORP, INC.
Security 69478X105 Meeting Type Annual
Ticker Symbol PPBI Meeting Date 29-May-2013
ISIN US69478X1054 Agenda 933791786 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- ---- -----------
1. Election of Directors Management
1 KENNETH A. BOUDREAU For For
2 JOHN J. CARONA For For
3 STEVEN R. GARDNER For For
4 JOSEPH L. GARRETT For For
5 JOHN D. GODDARD For For
6 JEFF C. JONES For For
7 MICHAEL L. MCKENNON For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 45,359 0 02-May-2013 02-May-2013
H&E EQUIPMENT SERVICES, INC.
Security 404030108 Meeting Type Annual
Ticker Symbol HEES Meeting Date 29-May-2013
ISIN US4040301081 Agenda 933792029 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- ---- -----------
1. Election of Directors Management
1 GARY W. BAGLEY For For
2 JOHN M. ENGQUIST For For
3 PAUL N. ARNOLD For For
4 BRUCE C. BRUCKMANN For For
5 PATRICK L. EDSELL For For
6 THOMAS J. GALLIGAN III For For
7 LAWRENCE C. KARLSON For For
8 JOHN T. SAWYER For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- --------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION 13,980 0 25-Apr-2013 25-Apr-2013
BANK
HOWARD BANCORP, INC.
Security 442496105 Meeting Type Annual
Ticker Symbol HBMD Meeting Date 29-May-2013
ISIN US4424961054 Agenda 933810853 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ---------- -------- -----------
1. Election of Directors Management
1 ROBERT J. HARTSON Withheld Against
2 PAUL I. LATTA, JR. Withheld Against
3 ROBERT W. SMITH, JR. Withheld Against
4 DONNA HILL STATON Withheld Against
2. Approve Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
5. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- --------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION 118,203 0 10-May-2013 10-May-2013
BANK
CAVIUM, INC.
Security 14964U108 Meeting Type Annual
Ticker Symbol CAVM Meeting Date 30-May-2013
ISIN US14964U1088 Agenda 933788006 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 SYED B. ALI Withheld Against
2 ANTHONY S. THORNLEY Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 37,106 0 25-Apr-2013 25-Apr-2013
WESCO INTERNATIONAL, INC.
Security 95082P105 Meeting Type Annual
Ticker Symbol WCC Meeting Date 30-May-2013
ISIN US95082P1057 Agenda 933791178 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ------------ --------- -----------
1. Election of Directors Management
1 SANDRA BEACH LIN Withheld Against
2 ROBERT J. TARR, JR. Withheld Against
3 STEPHEN A. VAN OSS Withheld Against
2. 14A Executive Compensation Management For For
3. Amend Stock Compensation Plan Management For For
4. Amend Stock Compensation Plan Management For For
5. Ratify Appointment of Independent Auditors Management For For
6. S/H Proposal - Corporate Governance Shareholder For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 32,610 0 25-Apr-2013 25-Apr-2013
RED ROBIN GOURMET BURGERS, INC.
Security 75689M101 Meeting Type Annual
Ticker Symbol RRGB Meeting Date 30-May-2013
ISIN US75689M1018 Agenda 933793449 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------- ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 50,318 0 25-Apr-2013 25-Apr-2013
MATTRESS FIRM HOLDING CORP.
Security 57722W106 Meeting Type Annual
Ticker Symbol MFRM Meeting Date 30-May-2013
ISIN US57722W1062 Agenda 933796560 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 CHARLES R. EITEL Withheld Against
2 DAVID A. FIORENTINO Withheld Against
3 FREDERICK C. TINSEY III Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 27,765 0 02-May-2013 02-May-2013
FIVE BELOW, INC.
Security 33829M101 Meeting Type Annual
Ticker Symbol FIVE Meeting Date 30-May-2013
ISIN US33829M1018 Agenda 933796990 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 MICHAEL F. DEVINE, III Withheld Against
2 RONALD L. SARGENT Withheld Against
2. Adopt Employee Stock Purchase Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
5. 14A Executive Compensation Vote Frequency Management 1 Year Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 13,463 0 02-May-2013 02-May-2013
INCYTE CORPORATION
Security 45337C102 Meeting Type Annual
Ticker Symbol INCY Meeting Date 30-May-2013
ISIN US45337C1027 Agenda 933808579 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 RICHARD U. DE SCHUTTER For For
2 BARRY M. ARIKO For For
3 JULIAN C. BAKER For For
4 PAUL A. BROOKE For For
5 WENDY L. DIXON For For
6 PAUL A. FRIEDMAN For For
7 ROY A. WHITFIELD For For
2. Approve Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 68,490 0 08-May-2013 08-May-2013
HIBBETT SPORTS, INC.
Security 428567101 Meeting Type Annual
Ticker Symbol HIBB Meeting Date 30-May-2013
ISIN US4285671016 Agenda 933811603 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 CARL KIRKLAND Withheld Against
2 MICHAEL J. NEWSOME Withheld Against
3 THOMAS A. SAUNDERS III Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 13,661 0 08-May-2013 08-May-2013
DIAMONDBACK ENERGY INC.
Security 25278X109 Meeting Type Annual
Ticker Symbol FANG Meeting Date 03-Jun-2013
ISIN US25278X1090 Agenda 933822442 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 STEVEN E. WEST For For
2 MICHAEL P. CROSS For For
3 TRAVIS D. STICE For For
4 DAVID L. HOUSTON For For
5 MARK L. PLAUMANN For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 52,214 0 24-May-2013 24-May-2013
IPG PHOTONICS CORPORATION
Security 44980X109 Meeting Type Annual
Ticker Symbol IPGP Meeting Date 04-Jun-2013
ISIN US44980X1090 Agenda 933800321 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 V.P. GAPONTSEV, PH.D. For For
2 EUGENE SCHERBAKOV, PH.D For For
3 IGOR SAMARTSEV For For
4 ROBERT A. BLAIR For For
5 MICHAEL C. CHILD For For
6 WILLIAM F. KRUPKE, PH.D For For
7 HENRY E. GAUTHIER For For
8 WILLIAM S. HURLEY For For
9 JOHN R. PEELER For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 41,019 0 02-May-2013 02-May-2013
BJ'S RESTAURANTS, INC.
Security 09180C106 Meeting Type Annual
Ticker Symbol BJRI Meeting Date 04-Jun-2013
ISIN US09180C1062 Agenda 933815500 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 GERALD W. DEITCHLE For For
2 JAMES A. DAL POZZO For For
3 J. ROGER KING For For
4 LARRY D. BOUTS For For
5 JOHN F. GRUNDHOFER For For
6 PETER A. BASSI For For
7 WILLIAM L. HYDE, JR. For For
8 LEA ANNE S. OTTINGER For For
9 HENRY GOMEZ For For
10 GREGORY A. TROJAN For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 22,469 0 13-May-2013 13-May-2013
SAREPTA THERAPEUTICS INC.
Security 803607100 Meeting Type Annual
Ticker Symbol SRPT Meeting Date 04-Jun-2013
ISIN US8036071004 Agenda 933818683 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 M KATHLEEN BEHRENS, PHD Withheld Against
2 ANTHONY CHASE Withheld Against
3 JOHN HODGMAN Withheld Against
2. Approve Reincorporation Management For For
3. Amend Stock Compensation Plan Management For For
4. Adopt Employee Stock Purchase Plan Management For For
5. 14A Executive Compensation Management For For
6. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 47,046 0 17-May-2013 17-May-2013
VITAMIN SHOPPE, INC.
Security 92849E101 Meeting Type Annual
Ticker Symbol VSI Meeting Date 05-Jun-2013
ISIN US92849E1010 Agenda 933799821 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1A. Election of Directors (Majority Voting) Management For For
1B. Election of Directors (Majority Voting) Management For For
1C. Election of Directors (Majority Voting) Management For For
1D. Election of Directors (Majority Voting) Management For For
1E. Election of Directors (Majority Voting) Management For For
1F. Election of Directors (Majority Voting) Management For For
1G. Election of Directors (Majority Voting) Management For For
1H. Election of Directors (Majority Voting) Management For For
1I. Election of Directors (Majority Voting) Management For For
1J. Election of Directors (Majority Voting) Management For For
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 19,371 0 02-May-2013 02-May-2013
HOMEAWAY, INC.
Security 43739Q100 Meeting Type Annual
Ticker Symbol AWAY Meeting Date 05-Jun-2013
ISIN US43739Q1004 Agenda 933800016 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 BRIAN H. SHARPLES Withheld Against
2 CHARLES ("LANNY") BAKER Withheld Against
3 TINA B. SHARKEY Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 36,365 0 02-May-2013 02-May-2013
IPC THE HOSPITALIST COMPANY, INC
Security 44984A105 Meeting Type Annual
Ticker Symbol IPCM Meeting Date 05-Jun-2013
ISIN US44984A1051 Agenda 933804014 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 FRANCESCO FEDERICO, MD Withheld Against
2 C. THOMAS SMITH Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
3 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 21,128 0 08-May-2013 08-May-2013
WALKER & DUNLOP INC.
Security 93148P102 Meeting Type Annual
Ticker Symbol WD Meeting Date 05-Jun-2013
ISIN US93148P1021 Agenda 933814130 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ALAN BOWERS For For
2 ANDREW FLORANCE For For
3 MITCHELL GAYNOR For For
4 CYNTHIA HALLENBECK For For
5 MICHAEL MALONE For For
6 JOHN RICE For For
7 DANA SCHMALTZ For For
8 HOWARD SMITH For For
9 EDMUND TAYLOR For For
10 WILLIAM WALKER For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 69,920 0 13-May-2013 13-May-2013
SINCLAIR BROADCAST GROUP, INC.
Security 829226109 Meeting Type Annual
Ticker Symbol SBGI Meeting Date 06-Jun-2013
ISIN US8292261091 Agenda 933799388 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DAVID D. SMITH For For
2 FREDERICK G. SMITH For For
3 J. DUNCAN SMITH For For
4 ROBERT E. SMITH For For
5 BASIL A. THOMAS For For
6 LAWRENCE E. MCCANNA For For
7 DANIEL C. KEITH For For
8 MARTIN R. LEADER For For
2. Ratify Appointment of Independent Auditors Management For For
3. Approve Stock Compensation Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 67,949 0 02-May-2013 02-May-2013
SOURCEFIRE, INC.
Security 83616T108 Meeting Type Annual
Ticker Symbol FIRE Meeting Date 06-Jun-2013
ISIN US83616T1088 Agenda 933803137 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JOHN C. BECKER Withheld Against
2 KEVIN M. KLAUSMEYER Withheld Against
3 ARNOLD L. PUNARO Withheld Against
2. Approve Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 45,784 0 08-May-2013 08-May-2013
SYNAGEVA BIOPHARMA CORP.
Security 87159A103 Meeting Type Annual
Ticker Symbol GEVA Meeting Date 06-Jun-2013
ISIN US87159A1034 Agenda 933808517 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 SANJ K. PATEL For For
2 FELIX J. BAKER For For
3 STEPHEN R. BIGGAR For For
4 STEPHEN R. DAVIS For For
5 THOMAS R. MALLEY For For
6 BARRY QUART For For
7 THOMAS J. TISCH For For
8 PETER WIRTH For For
2. 14A Executive Compensation Management For For
3. 14A Executive Compensation Vote Frequency Management 1 Year For
4. Amend Stock Compensation Plan Management For For
5. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 17,976 0 08-May-2013 08-May-2013
ALNYLAM PHARMACEUTICALS, INC.
Security 02043Q107 Meeting Type Annual
Ticker Symbol ALNY Meeting Date 06-Jun-2013
ISIN US02043Q1076 Agenda 933810500 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 VICTOR J. DZAU, M.D. Withheld Against
2 STEVEN M. PAUL, M.D. Withheld Against
3 KEVIN P. STARR Withheld Against
2. Approve Stock Compensation Plan Management For For
3. 14A Executive Compensation Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 40,817 0 13-May-2013 13-May-2013
BONANZA CREEK ENERGY INC.
Security 097793103 Meeting Type Annual
Ticker Symbol BCEI Meeting Date 06-Jun-2013
ISIN US0977931031 Agenda 933818796 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JAMES A. WATT Withheld Against
2 GREGORY P. RAIH Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 8,756 0 17-May-2013 17-May-2013
DIVERSIFIED RESTAURANT HLDGS INC
Security 25532M105 Meeting Type Annual
Ticker Symbol BAGR Meeting Date 06-Jun-2013
ISIN US25532M1053 Agenda 933822909 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ------- -----------
1. Election of Directors Management
1 T. MICHAEL ANSLEY For For
2 DAVID G. BURKE For For
3 JAY ALAN DUSENBERRY For For
4 PHILIP FRIEDMAN For For
5 DAVID LIGOTTI For For
6 JOSEPH M. NOWICKI For For
7 GREGORY J. STEVENS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
4. 14A Executive Compensation Vote Frequency Management 1 Year For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 28,510 0 17-May-2013 17-May-2013
REGULUS THERAPEUTICS
Security 75915K101 Meeting Type Annual
Ticker Symbol RGLS Meeting Date 10-Jun-2013
ISIN US75915K1016 Agenda 933819394 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 DAVID BALTIMORE, PH.D. For For
2 BRUCE CARTER, PH.D. For For
3 MARK FOLETTA For For
4 JOHN MARAGANORE, PH.D. For For
5 S. PAPADOPOULOS, PH.D. For For
6 B. LYNNE PARSHALL, ESQ. For For
7 WILLIAM RASTETTER, PH.D For For
8 DOUGLAS WILLIAMS, PH.D. For For
9 K. XANTHOPOULOS, PH.D. For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 103,680 0 17-May-2013 17-May-2013
INFINITY PHARMACEUTICALS, INC.
Security 45665G303 Meeting Type Annual
Ticker Symbol INFI Meeting Date 11-Jun-2013
ISIN US45665G3039 Agenda 933807678 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------- ----------- ---- -----------
1.1 Election of Directors (Majority Voting) Management For For
1.2 Election of Directors (Majority Voting) Management For For
1.3 Election of Directors (Majority Voting) Management For For
1.4 Election of Directors (Majority Voting) Management For For
1.5 Election of Directors (Majority Voting) Management For For
1.6 Election of Directors (Majority Voting) Management For For
1.7 Election of Directors (Majority Voting) Management For For
1.8 Election of Directors (Majority Voting) Management For For
1.9 Election of Directors (Majority Voting) Management For For
2. Amend Stock Compensation Plan Management For For
3. Adopt Employee Stock Purchase Plan Management For For
4. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 26,519 0 02-May-2013 02-May-2013
EXACTTARGET, INC.
Security 30064K105 Meeting Type Annual
Ticker Symbol ET Meeting Date 11-Jun-2013
ISIN US30064K1051 Agenda 933815613 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------- ---------- -------- -----------
1 Election of Directors Management
1 JULIE M.B. BRADLEY Withheld Against
2 SCOTT M. MAXWELL Withheld Against
2 Adopt Employee Stock Purchase Plan Management For For
3 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 94,863 0 13-May-2013 13-May-2013
BLACK DIAMOND INC
Security 09202G101 Meeting Type Annual
Ticker Symbol BDE Meeting Date 11-Jun-2013
ISIN US09202G1013 Agenda 933815726 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 WARREN B. KANDERS For For
2 ROBERT R. SCHILLER For For
3 PETER R. METCALF For For
4 DONALD L. HOUSE For For
5 NICHOLAS SOKOLOW For For
6 MICHAEL A. HENNING For For
7 PHILIP N. DUFF For For
2. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 85,256 0 17-May-2013 17-May-2013
CELLDEX THERAPEUTICS, INC.
Security 15117B103 Meeting Type Annual
Ticker Symbol CLDX Meeting Date 12-Jun-2013
ISIN US15117B1035 Agenda 933807349 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 LARRY ELLBERGER For For
2 ANTHONY S. MARUCCI For For
3 HERBERT J. CONRAD For For
4 GEORGE O. ELSTON For For
5 HARRY H. PENNER, JR. For For
6 TIMOTHY M. SHANNON For For
7 KAREN L. SHOOS For For
2 Ratify Appointment of Independent Auditors Management For For
3 Amend Employee Stock Purchase Plan Management For For
4 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 125,282 0 13-May-2013 13-May-2013
SPIRIT AIRLINES INC.
Security 848577102 Meeting Type Annual
Ticker Symbol SAVE Meeting Date 12-Jun-2013
ISIN US8485771021 Agenda 933807628 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 B. BEN BALDANZA Withheld Against
2 CARLTON D. DONAWAY Withheld Against
3 DAVID G. ELKINS Withheld Against
4 HORACIO SCAPPARONE Withheld Against
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 69,223 0 17-May-2013 17-May-2013
TILLY'S INC.
Security 886885102 Meeting Type Annual
Ticker Symbol TLYS Meeting Date 12-Jun-2013
ISIN US8868851028 Agenda 933812516 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1 Election of Directors Management
1 HEZY SHAKED For For
2 DOUG COLLIER For For
3 DANIEL GRIESEMER For For
4 SETH JOHNSON For For
5 JANET KERR For For
6 BERNARD ZEICHNER For For
2 Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 47,382 0 17-May-2013 17-May-2013
SUMMIT HOTEL PROPERTIES INC
Security 866082100 Meeting Type Annual
Ticker Symbol INN Meeting Date 12-Jun-2013
ISIN US8660821005 Agenda 933814801 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 KERRY W. BOEKELHEIDE For For
2 DANIEL P. HANSEN For For
3 BJORN R.L. HANSON For For
4 DAVID S. KAY For For
5 THOMAS W. STOREY For For
6 WAYNE W. WIELGUS For For
2. Ratify Appointment of Independent Auditors Management For For
3. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 89,944 0 17-May-2013 17-May-2013
EPAM SYSTEMS INC
Security 29414B104 Meeting Type Annual
Ticker Symbol EPAM Meeting Date 13-Jun-2013
ISIN US29414B1044 Agenda 933808858 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 KARL ROBB Withheld Against
2 R. MICHAEL MAYORAS Withheld Against
2 Ratify Appointment of Independent Auditors Management For For
Account Account Unavailable Vote Date
Number Name Internal Account Custodian Ballot Shares Shares Date Confirmed
------- ----------- ---------------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 48,661 0 08-May-2013 08-May-2013
EVERCORE PARTNERS INC.
Security 29977A105 Meeting Type Annual
Ticker Symbol EVR Meeting Date 19-Jun-2013
ISIN US29977A1051 Agenda 933813861 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1. Election of Directors Management
1 ROGER C. ALTMAN For For
2 PEDRO ASPE For For
3 RICHARD I. BEATTIE For For
4 FRANCOIS DE ST. PHALLE For For
5 GAIL B. HARRIS For For
6 CURT HESSLER For For
7 ROBERT B. MILLARD For For
8 ANTHONY N. PRITZKER For For
9 RALPH L. SCHLOSSTEIN For For
2. Amend Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 34,616 0 13-May-2013 13-May-2013
IXIA
Security 45071R109 Meeting Type Annual
Ticker Symbol XXIA Meeting Date 19-Jun-2013
ISIN US45071R1095 Agenda 933831136 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- -------- -----------
1. Election of Directors Management
1 VICTOR ALSTON For For
2 LAURENT ASSCHER For For
3 JONATHAN FRAM For For
4 ERROL GINSBERG For For
5 GAIL HAMILTON For For
2. 14A Executive Compensation Management For For
3. Amend Stock Compensation Plan Management Against Against
4. Amend Employee Stock Purchase Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 97,219 0 30-May-2013 30-May-2013
KODIAK OIL & GAS CORP.
Security 50015Q100 Meeting Type Annual
Ticker Symbol KOG Meeting Date 19-Jun-2013
ISIN CA50015Q1000 Agenda 933832239 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------- ----------- ---- -----------
1A Election of Directors (Full Slate) Management For For
1B Election of Directors (Full Slate) Management For For
1C Election of Directors (Full Slate) Management For For
1D Election of Directors (Full Slate) Management For For
1E Election of Directors (Full Slate) Management For For
02 Ratify Appointment of Independent Auditors Management For For
03 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 48,740 0 30-May-2013 30-May-2013
FORTINET INC.
Security 34959E109 Meeting Type Annual
Ticker Symbol FTNT Meeting Date 20-Jun-2013
ISIN US34959E1091 Agenda 933819762 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 MING HSIEH Withheld Against
2 CHRISTOPHER B. PAISLEY Withheld Against
2. Ratify Appointment of Independent Management For For
Auditors
3. 14A Executive Compensation Management For For
4. Approve Stock Compensation Plan Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 25,550 0 24-May-2013 24-May-2013
AEGERION PHARMACEUTICALS, INC.
Security 00767E102 Meeting Type Annual
Ticker Symbol AEGR Meeting Date 26-Jun-2013
ISIN US00767E1029 Agenda 933820638 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------- ----------- --------- -----------
1 Election of Directors Management
1 MARC D. BEER Withheld Against
2 DAVID I. SCHEER Withheld Against
2 Ratify Appointment of Independent Management For For
Auditors
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ---------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 39,001 0 17-May-2013 17-May-2013
APOGEE ENTERPRISES, INC.
Security 037598109 Meeting Type Annual
Ticker Symbol APOG Meeting Date 26-Jun-2013
ISIN US0375981091 Agenda 933825323 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------- ----------- --------- -----------
1. Election of Directors Management
1 JEROME L. DAVIS Withheld Against
2 SARA L. HAYS Withheld Against
3 RICHARD V. REYNOLDS Withheld Against
2. 14A Executive Compensation Management For For
3. Ratify Appointment of Independent Management For For
Auditors
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 57,533 0 24-May-2013 24-May-2013
CHRISTOPHER & BANKS CORPORATION
Security 171046105 Meeting Type Annual
Ticker Symbol CBK Meeting Date 27-Jun-2013
ISIN US1710461054 Agenda 933821870 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------ ----------- ---- -----------
1. Election of Directors Management
1 MARK A. COHN For For
2 ANNE L. JONES For For
3 DAVID A. LEVIN For For
4 WILLIAM F. SHARPE, III For For
5 PAUL L. SNYDER For For
6 PATRICIA A. STENSRUD For For
7 LUANN VIA For For
8 LISA W. WARDELL For For
2. Approve Stock Compensation Plan Management For For
3. Ratify Appointment of Independent Auditors Management For For
4. 14A Executive Compensation Management For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
6734305010 6734305010 HSP UNION BANK 50,217 0 24-May-2013 24-May-2013
GRANDEUR PEAK GLOBAL OPPORTUNITIES FUND
GRANDEUR PEAK GLOBAL REACH FUND
GRANDEUR PEAK INTERNATIONAL OPPORTUNITIES FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-8194
Reporting Period: 07/01/2012 - 06/30/2013
Grandeur Peak Global Advisors
=================== Grandeur Peak Global Opportunities Fund ====================
1000MERCIS
Ticker: ALMIL Security ID: F6734R104
Meeting Date: MAY 29, 2013 Meeting Type: Annual/Special
Record Date: MAY 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Discharge Directors and Auditors
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.30 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Approve Non-Deductible Expenses For For Management
6 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 8,000
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
8 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100,000
9 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100,000
10 Approve Issuance of up to Aggregate For Against Management
Nominal Amount of EUR 100,000 Percent
of Issued Capital Per Year for a
Private Placement
11 Authorize Board to Increase Capital in For Against Management
the Event of Additional Demand Related
to Delegation Submitted to
Shareholders Vote Above
12 Set Total Limit for Capital Increase For For Management
to Result from All Issuance Requests
at EUR 100,000
13 Approve Issuance of Securities For For Management
Convertible into Debt up to an
Aggregate Amount of EUR 40 Million
14 Authorize Capitalization of Reserves For For Management
of Up to EUR 100,000 for Bonus Issue
or Increase in Par Value
15 Approve Employee Stock Purchase Plan For For Management
16 Authorize Directed Share Repurchase For Against Management
Program in Order to Reduce Capital
17 Approve Issuance of 140,000 Warrants For Against Management
Reserved for Employees and Corporate
Officers
18 Eliminate Preemptive Rights Pursuant For Against Management
to Item 17 Above
19 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
ABAXIS, INC.
Ticker: ABAX Security ID: 002567105
Meeting Date: NOV 08, 2012 Meeting Type: Annual
Record Date: AUG 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Clinton H. Severson For For Management
1.2 Elect Director Vernon E. Altman For For Management
1.3 Elect Director Richard J. Bastiani For For Management
1.4 Elect Director Michael D. Casey For For Management
1.5 Elect Director Henk J. Evenhuis For For Management
1.6 Elect Director Prithipal Singh For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ABCAM PLC
Ticker: ABC Security ID: G0060R118
Meeting Date: OCT 22, 2012 Meeting Type: Annual
Record Date: OCT 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
5 Re-elect Mike Redmond as Director For For Management
6 Re-elect Peter Keen as Director For For Management
7 Elect Murray Hennessy as Director For For Management
8 Elect Michael Ross as Director For For Management
9 Amend 2005 Share Option Scheme For For Management
10 Authorise Issue of Equity with For For Management
Pre-emptive Rights
11 Authorise Issue of Equity without For For Management
Pre-emptive Rights
12 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
ABLE C&C CO.
Ticker: 078520 Security ID: Y00045107
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Stock
Dividend of 0.1 Shares per Share and
Cash Dividend of KRW 500 per Share
2 Amend Articles of Incorporation For For Management
3 Reelect Lee Gwang-Yeol as Inside For For Management
Director
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Approve Stock Option Grants For For Management
--------------------------------------------------------------------------------
ADDTECH AB
Ticker: ADDT B Security ID: W4260L105
Meeting Date: AUG 29, 2012 Meeting Type: Annual
Record Date: AUG 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For Did Not Vote Management
3 Prepare and Approve List of For Did Not Vote Management
Shareholders
4 Approve Agenda of Meeting For Did Not Vote Management
5 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
6 Acknowledge Proper Convening of Meeting For Did Not Vote Management
7 Receive Financial Statements and None None Management
Statutory Reports (Non-Voting)
8 Receive President's Report None None Management
9a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
9b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 8 per Share
9c Approve Discharge of Board and For Did Not Vote Management
President
10 Receive Nominating Committee Report None None Management
11 Determine Number of Members (6) and For Did Not Vote Management
Deputy Members of Board
12 Approve Remuneration of Directors in For Did Not Vote Management
the Aggregate Amount of SEK 1.5
million; Approve Remuneration of
Auditors
13 Reelect Anders Borjesson (chair), Eva For Did Not Vote Management
Elmstedt, Tom Hedelius, Johan Sjo and
Lars Spongberg as Directors; Elect
Ulf Mattsson as New Director
14 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Five of Company's
Largest Shareholders to Serve on
Nominating Committee
15 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
16 Approve Stock Option Plan For Did Not Vote Management
17 Authorize Share Repurchase Program and For Did Not Vote Management
Reissuance of Repurchased Shares
18 Close Meeting None None Management
--------------------------------------------------------------------------------
ADLER MODEMARKTE AG
Ticker: ADD Security ID: D0190F102
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: MAY 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.40 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2013
6a Elect Wolfgang Burgard to the For For Management
Supervisory Board
6b Elect Cosimo Carbonelli d?Angelo to For For Management
the Supervisory Board
6c Elect Paola Viscardi-Giazzi to the For For Management
Supervisory Board
6d Elect Giorgio Mercogliano to the For For Management
Supervisory Board
6e Elect Massimiliano Monti to the For For Management
Supervisory Board
6f Elect Michele Puller to the For For Management
Supervisory Board
7 Authorize Share Repurchase Program and For For Management
Reissuance or Cancellation of
Repurchased Shares
8 Amend Articles Re: Majority For For Management
Requirement to Recall Supervisory
Board Members
9 Amend Articles Re: Remuneration of For For Management
Supervisory Board
--------------------------------------------------------------------------------
AEON CREDIT SERVICE (M) BHD
Ticker: AEONCR Security ID: Y0018E102
Meeting Date: AUG 28, 2012 Meeting Type: Special
Record Date: AUG 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Bonus Issue For For Management
--------------------------------------------------------------------------------
AEON CREDIT SERVICE (M) BHD
Ticker: AEONCR Security ID: Y0018E102
Meeting Date: JUN 18, 2013 Meeting Type: Annual
Record Date: JUN 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.195 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Yasuhiro Kasai as Director For For Management
5 Elect Krishnappan A/L S.P.S. Singaram For For Management
as Director
6 Elect Masao Mizuno as Director For For Management
7 Elect Jun Suzuki as Director For For Management
8 Elect Abdullah bin Mohd Yusof as For For Management
Director
9 Elect Ramli bin Ibrahim as Director For For Management
10 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
11 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
12 Approve Implementation of For For Management
Shareholders' Mandate for Recurrent
Related Party Transactions
13 Approve Abdullah bin Mohd Yusof to For For Management
Continue Office as Independent
Non-Executive Director
14 Approve Ramli bin Ibrahim to Continue For For Management
Office as Independent Non-Executive
Director
--------------------------------------------------------------------------------
AIRTAC INTERNATIONAL GROUP
Ticker: 1590 Security ID: G01408106
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Allocation of Income and For For Management
Dividends
3 Approve the Issuance of New Shares by For For Management
Capitalization of Distributable
Earnings
4 Approve Cash Capital Increase by For For Management
Issuing Ordinary Shares
5 Approve Amendments to Articles of For For Management
Association
6 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
7 Approve to Amend Trading Procedures For For Management
Governing Derivatives Products
8 Approve Amendments on the Procedures For For Management
for Lending Funds to Other Parties
9 Approve Amendments on the Procedures For For Management
for Endorsement and Guarantees
10.1 Elect Director Wang Shih-Chung, with None Against Shareholder
ID/Shareholder No.F121821096
10.2 Elect Director Lan Shun-Cheng, with None Against Shareholder
ID/Shareholder No.7
10.3 Elect Director Wang Hai-Ming, with None Against Shareholder
ID/Shareholder No.19720717WA
10.4 Elect Director Lin Chiang-Ti, with None Against Shareholder
ID/Shareholder No.19
10.5 Elect Director Tsao Yung-Hsiang, with None Against Shareholder
ID/Shareholder No.146
10.6 Elect Director Chen Jui-Lung, with None Against Shareholder
ID/Shareholder No.9
10.7 Elect Independent Director Chang For For Management
Bao-Guang, with ID/Shareholder No.
T121000203
10.8 Elect Independent Director Chiang For For Management
Chih-Chun, with ID/Shareholder No.
F102805429
10.9 Elect Independent Director Leong For For Management
Kam-Son, with ID/Shareholder No.
19550127LE
11 Approve Release of Restrictions of For Against Management
Competitive Activities of Appointed
Directors
12 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
ALBARAKA TURK KATILIM BANKASI AS
Ticker: ALBRK Security ID: M0478U102
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting and Elect Presiding For For Management
Council of Meeting
2 Authorize Presiding Council to Sign For For Management
Minutes of Meeting
3 Accept Statutory Reports For For Management
4 Appoint Internal and External Auditors For For Management
5 Accept Financial Statements For For Management
6 Approve Discharge of Board For For Management
7 Approve Discharge of Auditors For For Management
8 Approve Allocation of Income For For Management
9 Amend Company Articles For For Management
10 Approve Working Principles of the For For Management
General Assembly
11 Increase Number of Board Members to 12 For For Management
and Elect Director
12 Grant Permission for Board Members to For For Management
Engage in Commercial Transactions with
Company and Be Involved with Companies
with Similar Corporate Purpose
13 Receive Information on Charitable None None Management
Donations
14 Approve Director Remuneration For For Management
15 Wishes None None Management
--------------------------------------------------------------------------------
ALL AMERICA LATINA LOGISTICA S.A.
Ticker: ALLL3 Security ID: P01627242
Meeting Date: APR 17, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For Against Management
Dividends
3 Elect Directors For Against Management
4 Elect Fiscal Council Members For For Management
--------------------------------------------------------------------------------
ALL AMERICA LATINA LOGISTICA S.A.
Ticker: ALLL3 Security ID: P01627242
Meeting Date: APR 17, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Remuneration of Company's For Against Management
Management
2 Approve Remuneration of Fiscal Council For For Management
Members
--------------------------------------------------------------------------------
ALLEGIANT TRAVEL COMPANY
Ticker: ALGT Security ID: 01748X102
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Montie R. Brewer For For Management
1.2 Elect Director Gary Ellmer For For Management
1.3 Elect Director Timothy P. Flynn For For Management
1.4 Elect Director Maurice J. Gallagher, For For Management
Jr.
1.5 Elect Director Linda A. Marvin For For Management
1.6 Elect Director Charles W. Pollard For For Management
1.7 Elect Director John Redmond For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
AMERICAN SOFTWARE, INC.
Ticker: AMSWA Security ID: 029683109
Meeting Date: AUG 20, 2012 Meeting Type: Annual
Record Date: JUL 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director W. Dennis Hogue For For Management
1.2 Elect Director John J. Jarvis For For Management
1.3 Elect Director James B. Miller, Jr. For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
AMSURG CORP.
Ticker: AMSG Security ID: 03232P405
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James A. Deal For For Management
1.2 Elect Director Steven I. Geringer For For Management
1.3 Elect Director Claire M. Gulmi For For Management
1.4 Elect Director Joey A. Jacobs For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ARA ASSET MANAGEMENT LTD.
Ticker: D1R Security ID: G04512102
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Elect Lim How Teck as Director For For Management
4 Elect Cheng Mo Chi Moses as Director For For Management
5 Elect Colin Stevens Russel as Director For For Management
6 Approve Directors' Fees For For Management
7 Reappoint KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Authorize Share Repurchase Program For For Management
10 Approve Proposed Amendments to the For For Management
Bye-Laws of the Company
--------------------------------------------------------------------------------
ARAMEX PJSC
Ticker: ARMX Security ID: M1463Z106
Meeting Date: APR 16, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Board Report on Company For For Management
Operations
2 Approve Auditors' Report on Company For For Management
Financial Statements
3 Accept Financial Statements For For Management
4 Approve Dividends For For Management
5 Approve Remuneration of Directors For Against Management
6 Approve Discharge of Directors and For For Management
Auditors
7 Ratify Auditors and Fix Their For For Management
Remuneration
--------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
Ticker: ARCC Security ID: 04010L103
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date: APR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Frank E. O'Bryan For For Management
1.2 Elect Director Antony P. Ressler For For Management
1.3 Elect Director Eric B. Siegel For For Management
2 Ratify Auditors For For Management
3 Approve Issuance of Shares Below Net For For Management
Asset Value (NAV)
--------------------------------------------------------------------------------
ASTRONICS CORPORATION
Ticker: ATRO Security ID: 046433108
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Raymond W. Boushie For For Management
1.2 Elect Director Robert T. Brady For For Management
1.3 Elect Director John B. Drenning For Withhold Management
1.4 Elect Director Peter J. Gundermann For Withhold Management
1.5 Elect Director Kevin T. Keane For Withhold Management
1.6 Elect Director Robert J. McKenna For For Management
2 Ratify Auditors For For Management
3 Increase Authorized Common Stock For For Management
4 Increase Authorized Class B Stock For Against Management
--------------------------------------------------------------------------------
ATRIUM INNOVATIONS INC.
Ticker: ATB Security ID: 04963Y102
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yvon Bolduc For For Management
1.2 Elect Director Alain Bouchard For For Management
1.3 Elect Director Eric Dupont For For Management
1.4 Elect Director Pierre Fitzgibbon For For Management
1.5 Elect Director Jacques Gauthier For For Management
1.6 Elect Director Claude Lamoureux For For Management
1.7 Elect Director Pierre Laurin For For Management
1.8 Elect Director Gerard Limoges For For Management
1.9 Elect Director Javier San Juan For For Management
1.10 Elect Director Carole St-Charles For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
AUDIKA GROUPE
Ticker: ADI Security ID: F0490T107
Meeting Date: JUN 12, 2013 Meeting Type: Annual/Special
Record Date: JUN 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.27 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Appoint Denjean and Associes Audit as For For Management
Auditor
6 Appoint Mark Bathgate as Alternate For For Management
Auditor
7 Authorize Repurchase of Up to 10 For Against Management
Percent of Issued Share Capital
8 Authorize Decrease in Share Capital For For Management
via Cancellation of Repurchased Shares
9 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of 20 Percent of Capital
10 Authorize Board to Increase Capital in For For Management
the Event of Additional Demand Related
to Delegation Submitted to
Shareholders Vote Above
11 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of 20 Percent of Capital
12 Approve Issuance of up to 20 Percent For Against Management
of Issued Capital Per Year for a
Private Placement
13 Authorize Capital Increase of up to 10 For For Management
Percent of Issued Capital for
Contributions in Kind
14 Approve Employee Stock Purchase Plan For For Management
15 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
BANCO ABC BRASIL S.A.
Ticker: ABCB4 Security ID: P0763M135
Meeting Date: NOV 16, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director For For Management
--------------------------------------------------------------------------------
BANCO DAYCOVAL SA
Ticker: DAYC4 Security ID: P0911X116
Meeting Date: APR 29, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Interest on Capital Stock For For Management
Payments
4 Approve Interim Dividends For For Management
5 Approve Additional Dividends For For Management
6 Elect Directors For For Management
7 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
BEAZLEY PLC
Ticker: BEZ Security ID: G1143Q101
Meeting Date: MAR 27, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Second Interim Dividend For For Management
4 Approve Special Dividend For For Management
5 Re-elect George Blunden as Director For For Management
6 Re-elect Martin Bride as Director For For Management
7 Re-elect Adrian Cox as Director For For Management
8 Re-elect Jonathan Gray as Director For For Management
9 Re-elect Dennis Holt as Director For For Management
10 Re-elect Andrew Horton as Director For For Management
11 Re-elect Neil Maidment as Director For For Management
12 Re-elect Padraic O'Connor as Director For For Management
13 Re-elect Vincent Sheridan as Director For For Management
14 Re-elect Ken Sroka as Director For For Management
15 Re-elect Rolf Tolle as Director For For Management
16 Re-elect Clive Washbourn as Director For For Management
17 Elect Angela Crawford-Ingle as Director For For Management
18 Reappoint KPMG as Auditors For For Management
19 Authorise Board to Fix Remuneration of For For Management
Auditors
20 Authorise Issue of Equity with For For Management
Pre-emptive Rights
21 Authorise Issue of Equity without For For Management
Pre-emptive Rights
22 Authorise Market Purchase of Ordinary For For Management
Shares
23 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
24 Approve Marine Share Incentive Plan For Against Management
--------------------------------------------------------------------------------
BENEFIT ONE INC.
Ticker: 2412 Security ID: J0447X108
Meeting Date: JUN 27, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 3500
2.1 Elect Director Nambu, Yasuyuki For For Management
2.2 Elect Director Shiraishi, Norio For For Management
2.3 Elect Director Suzuki, Masako For For Management
2.4 Elect Director Nosohara, Koji For For Management
2.5 Elect Director Ota, Tsutomu For For Management
2.6 Elect Director Hirasawa, Hajime For For Management
2.7 Elect Director Wakamoto, Hirotaka For For Management
2.8 Elect Director Nakase, Yuuko For For Management
2.9 Elect Director Kamitomai, Akira For For Management
3 Appoint Statutory Auditor Nakagawa, For For Management
Makoto
4 Appoint Alternate Statutory Auditor For For Management
Nomura, Kazufumi
--------------------------------------------------------------------------------
BERTRANDT AKTIENGESELLSCHAFT
Ticker: BDT Security ID: D1014N107
Meeting Date: FEB 20, 2013 Meeting Type: Annual
Record Date: JAN 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011/2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 2 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011/2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011/2012
5 Approve Affiliation Agreements with For For Management
Bertrandt Fahrerprobung Sued GmbH
6 Approve Affiliation Agreements with For For Management
Bertrandt Ehningen GmbH
7 Approve Affiliation Agreements with For For Management
Bertrandt GmbH
8 Approve Creation of EUR 4 Million Pool For For Management
of Capital with Partial Exclusion of
Preemptive Rights
9 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2012/2013
--------------------------------------------------------------------------------
BIG 5 SPORTING GOODS CORPORATION
Ticker: BGFV Security ID: 08915P101
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: APR 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Sandra N. Bane For For Management
1.2 Elect Director Van B. Honeycutt For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
BILLABONG INTERNATIONAL LTD.
Ticker: BBG Security ID: Q1502G107
Meeting Date: OCT 24, 2012 Meeting Type: Annual
Record Date: OCT 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Gordon Merchant as a Director For For Management
2 Elect Colette Paull as a Director For For Management
3 Elect Paul Naude as a Director For Against Management
4 Elect Sally Pitkin as a Director For For Management
5 Approve the Remuneration Report For For Management
6 Approve the Grant of Up to A$614,000 For For Management
Worth of Fully Paid Ordinary Shares to
Launa Inman, Managing Director and
Chief Executive Officer of the Company
7 Approve the Grant of Up to A$383,769 For For Management
Worth of Fully Paid Ordinary Shares to
Paul Naude, President Americas of the
Company
--------------------------------------------------------------------------------
BRAMMER PLC
Ticker: BRAM Security ID: G13076107
Meeting Date: MAY 17, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect Ian Fraser as Director For For Management
5 Re-elect Paul Thwaite as Director For For Management
6 Re-elect Charles Irving-Swift as For For Management
Director
7 Re-elect Bill Whiteley as Director For For Management
8 Re-elect Terry Garthwaite as Director For For Management
9 Re-elect Duncan Magrath as Director For For Management
10 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Authorise Issue of Equity with For For Management
Pre-emptive Rights
13 Authorise Issue of Equity without For For Management
Pre-emptive Rights
14 Authorise Market Purchase of Ordinary For For Management
Shares
15 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BREADTALK GROUP LTD
Ticker: 5DA Security ID: Y0969F108
Meeting Date: APR 23, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Elect Katherine Lee Lih Leng as For For Management
Director
4 Elect Chan Soo Sen as Director For For Management
5 Approve Directors' Fees For For Management
6 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
8 Approve Grant of Options and Issuance For For Management
of Shares Under the BreadTalk Group
Limited Employees' Share Option Scheme
9 Approve Grant of Awards and Issuance For For Management
of Shares Pursuant to the BreadTalk
Group Limited Restricted Share Grant
Plan
10 Approve Grant of Awards and Issuance For For Management
of Shares to Participants Pursuant to
the Rules of the BreadTalk Group
Limited Restricted Share Grant Plan
11 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
BRUNEL INTERNATIONAL NV
Ticker: Security ID: N1677J103
Meeting Date: NOV 15, 2012 Meeting Type: Special
Record Date: OCT 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect J. Bout to Supervisory Board For For Management
3 Close Meeting None None Management
--------------------------------------------------------------------------------
CAMPBELL BROTHERS LTD.
Ticker: CPB Security ID: Q20240109
Meeting Date: JUL 31, 2012 Meeting Type: Annual
Record Date: JUL 29, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2i Elect Bruce Brown as a Director For For Management
2ii Elect Ray Hill as a Director For For Management
2iii Elect Grant Murdoch as a Director For For Management
2iv Elect John Mulcahy as a Director For For Management
3 Approve the Increase in Maximum For For Management
Aggregate Remuneration for
Non-Executive Directors from A$950,000
to A$1.5 Million
4 Approve the Remuneration Report for For For Management
the Year Ended March 31, 2012
5 Approve the Grant of Performance For Against Management
Rights to a Maximum Value of A$675,000
to Greg Kilmister, Managing Director,
Under the Company's Long Term
Incentive Plan
6 Aprove the Change of Company Name to For For Management
ALS Limited
7 Approve the Share Split on the Basis For For Management
that Every Share be Divided into Five
Shares
--------------------------------------------------------------------------------
CAMTEK LTD.
Ticker: CAMT Security ID: M20791105
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: OCT 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Reelect Rafi Amit as Director For For Management
1.2 Reelect Yotam Stern as Director For For Management
1.3 Reelect Eran Bendoly as Director For For Management
2 Subject to 1.3, Approve Stock Option For For Management
Plan Grants of Eran Bendoly
3.1 Reelect Gabi Heller as External For For Management
Director
3.1a Vote FOR If You Are a Controlling None Against Management
Shareholder or Have a Personal
Interest in the Previous Item; Vote
AGAINST If You Are NOT a Controlling
Shareholder and Do NOT Have a Personal
Interest in the Previous Item
3.2 Reelect Rafi Koriat as External For For Management
Director
3.2a Vote FOR If You Are a Controlling None Against Management
Shareholder or Have a Personal
Interest in the Previous Item; Vote
AGAINST If You Are NOT a Controlling
Shareholder and Do NOT Have a Personal
Interest in the Previous Item
4 Reappoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
5 Receipt and Consideration of Auditors' None None Management
Report and Audited Consolidated
Financial Statements
--------------------------------------------------------------------------------
CARDTRONICS, INC.
Ticker: CATM Security ID: 14161H108
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Steven A. Rathgaber For For Management
1.2 Elect Director Mark Rossi For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CEMPRA, INC.
Ticker: CEMP Security ID: 15130J109
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dov A. Goldstein For For Management
1.2 Elect Director John H. Johnson For Withhold Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: SEP 13, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2012 Stock Option Plan; For For Management
Replace Existing Plans
2 Approve Stock Option Plan Grants For For Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: APR 29, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Capitalization of Reserves For For Management
2 Amend Articles For For Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: MAY 27, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Alexsandro Broedel Lopes as For For Management
Director
--------------------------------------------------------------------------------
CHINA MEDICAL SYSTEM HOLDINGS LTD.
Ticker: 00867 Security ID: G21108124
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a Elect Chen Yanling as Executive For For Management
Director
3b Elect Cheung Kam Shing, Terry as For For Management
Independent Non-Executive Director
3c Elect Sa Manlin as Executive Director For For Management
3d Elect Peng Huaizheng as Independent For For Management
Non-Executive Director
3e Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
6 Approve Repurchase of Up to 10 Percent For For Management
of Issued Capital
7 Authorize Reissuance of Repurchased For For Management
Shares
--------------------------------------------------------------------------------
CLICKS GROUP LTD
Ticker: CLS Security ID: S17249111
Meeting Date: JAN 23, 2013 Meeting Type: Annual
Record Date: JAN 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 August 2012
2 Appoint Ernst & Young Inc as Auditors For For Management
of the Company and Malcolm Rapson as
the Individual Registered Auditor
3 Re-elect Fatima Jakoet as Director For For Management
4 Re-elect David Kneale as Director For For Management
5 Re-elect David Nurek as Director For For Management
6.1 Re-elect John Bester as Member of the For For Management
Audit and Risk Committee
6.2 Re-elect Fatima Jakoet as Member of For For Management
the Audit and Risk Committee
6.3 Re-elect Nkaki Matlala as Member of For For Management
the Audit and Risk Committee
7 Approve Remuneration Policy For For Management
8 Adopt New Memorandum of Incorporation For For Management
9 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
10 Approve Directors' Fees For For Management
11 Approve Financial Assistance to For For Management
Related or Inter-related Companies
--------------------------------------------------------------------------------
CMIC HOLDINGS CO., LTD.
Ticker: 2309 Security ID: J0813Z109
Meeting Date: DEC 14, 2012 Meeting Type: Annual
Record Date: SEP 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 19.5
2.1 Elect Director Nakamura, Kazuo For For Management
2.2 Elect Director Nakamura, Nobuo For For Management
2.3 Elect Director Ichikawa, Kunihide For For Management
2.4 Elect Director Nakamura, Keiko For For Management
2.5 Elect Director Shimizu, Masao For For Management
2.6 Elect Director Sano, Takashi For For Management
2.7 Elect Director Mochidsuki, Wataru For For Management
2.8 Elect Director Matsubara, Hisao For For Management
2.9 Elect Director Matsukawa, Makoto For For Management
2.10 Elect Director Hara, Mamoru For For Management
2.11 Elect Director Takahashi, Toshio For For Management
3 Appoint Statutory Auditor Kobayashi, For For Management
Ikuo
--------------------------------------------------------------------------------
COASTAL ENERGY COMPANY
Ticker: CEO Security ID: G22404118
Meeting Date: JUN 18, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Reelect Randy Bartley as Director For For Management
1.2 Reelect C. Robert Black as Director For For Management
1.3 Reelect Andrew Cochran as Director For For Management
1.4 Reelect Olivier de Montal as Director For For Management
1.5 Reelect William Phelps as Director For For Management
1.6 Reelect Lloyd Smith as Director For For Management
1.7 Elect Forrest Wylie as Director For For Management
1.8 Reelect John Zaozirny as Director For For Management
2 Approve Deloitte LLP as Auditors and For For Management
Authorise Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
COLONY FINANCIAL, INC.
Ticker: CLNY Security ID: 19624R106
Meeting Date: MAY 06, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas J. Barrack, Jr. For For Management
1.2 Elect Director Richard B. Saltzman For For Management
1.3 Elect Director George G. C. Parker For For Management
1.4 Elect Director John A. Somers For For Management
1.5 Elect Director John L. Steffens For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
COMPUGROUP MEDICAL AG
Ticker: COP Security ID: D15813211
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: APR 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.35 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2013
--------------------------------------------------------------------------------
COUNTPLUS LTD.
Ticker: CUP Security ID: Q2934M100
Meeting Date: NOV 13, 2012 Meeting Type: Annual
Record Date: NOV 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Philip Rix as a Director For Against Management
4 Elect Graeme Fowler as a Director For For Management
5 Elect Donald Sharp as a Director For For Management
--------------------------------------------------------------------------------
COVANCE INC.
Ticker: CVD Security ID: 222816100
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: MAR 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Joseph L. Herring For For Management
1.2 Elect Director John McCartney For For Management
1.3 Elect Director Bradley T. Sheares For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CRA INTERNATIONAL, INC.
Ticker: CRAI Security ID: 12618T105
Meeting Date: MAY 23, 2013 Meeting Type: Special
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Paul Maleh For For Management
1.2 Elect Director Thomas Robertson For For Management
1.3 Elect Director William Schleyer For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CSE GLOBAL LTD
Ticker: 544 Security ID: Y8346J107
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Elect Tan Mok Koon as Director For For Management
4 Elect Lim Boh Soon as Director For For Management
5 Elect Lam Kwok Chong as Director For For Management
6 Elect Lee Soo Hoon as Director For For Management
7 Approve Directors' Fees For For Management
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
--------------------------------------------------------------------------------
CUB ELECPARTS INC.
Ticker: 2231 Security ID: Y1823N105
Meeting Date: JUN 17, 2013 Meeting Type: Annual
Record Date: APR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties and
Amendments to the Procedures for
Endorsement and Guarantees
4 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder
General Meeting
5.1 Elect Director No.1 None Against Shareholder
5.2 Elect Director No.2 None Against Shareholder
5.3 Elect Xie Xiuqi, as Independent For For Management
Director
5.4 Elect Wang Chende, as Independent For For Management
Director
5.5 Elect Chen Guanglong, as Independent For For Management
Director
5.6 Elect Supervisor No.1 None Against Shareholder
5.7 Elect Supervisor No.2 None Against Shareholder
5.8 Elect Supervisor No.3 None Against Shareholder
6 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors
--------------------------------------------------------------------------------
CVS GROUP PLC
Ticker: CVSG Security ID: G27234106
Meeting Date: DEC 14, 2012 Meeting Type: Annual
Record Date: DEC 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
3 Authorise Board to Fix Remuneration of For For Management
Auditors
4 Approve Lease Agreement For For Management
5 Approve Final Dividend For For Management
6 Re-elect David Timmins as Director For For Management
7 Authorise Issue of Equity with For For Management
Pre-emptive Rights
8 Authorise Issue of Equity without For For Management
Pre-emptive Rights
9 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
CYBERAGENT, INC.
Ticker: 4751 Security ID: J1046G108
Meeting Date: DEC 14, 2012 Meeting Type: Annual
Record Date: SEP 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 3500
2.1 Elect Director Fujita, Susumu For For Management
2.2 Elect Director Hidaka, Yuusuke For For Management
2.3 Elect Director Nakayama, Gou For For Management
2.4 Elect Director Okamoto, Yasuo For For Management
2.5 Elect Director Soyama, Tetsuhito For For Management
2.6 Elect Director Naito, Takahito For For Management
2.7 Elect Director Koike, Masahide For For Management
2.8 Elect Director Yamauchi, Takahiro For For Management
3 Approve Stock Option Plan For For Management
4 Approve Takeover Defense Plan (Poison For Against Management
Pill)
--------------------------------------------------------------------------------
DAIKEN MEDICAL CO., LTD.
Ticker: 7775 Security ID: J11299104
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yamada, Mitsuru For Against Management
1.2 Elect Director Yamada, Keiichi For Against Management
1.3 Elect Director Yamada, Masayuki For For Management
1.4 Elect Director Yanagihori, Shinji For For Management
1.5 Elect Director Koga, Yoshihisa For For Management
--------------------------------------------------------------------------------
DAUM COMMUNICATIONS CORPORATION
Ticker: 035720 Security ID: Y2020U108
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 1,110 per Share
2 Amend Articles of Incorporation For For Management
3.1 Elect Choi Joon-Ho as Outside Director For For Management
3.2 Elect David Hoffman as Outside Director For For Management
4.1 Reelect Han Soo-Jung as Member of For For Management
Audit Committee
4.2 Elect Choi Joon-Ho as Member of Audit For For Management
Committee
4.3 Elect David Hoffman as Member of Audit For For Management
Committee
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
DFC GLOBAL CORP.
Ticker: DLLR Security ID: 23324T107
Meeting Date: NOV 08, 2012 Meeting Type: Annual
Record Date: SEP 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David Jessick For For Management
1.2 Elect Director Michael Kooper For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
DIBS PAYMENT SERVICES AB
Ticker: DIBS Security ID: W2145F103
Meeting Date: MAY 06, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Elect Chairman of Meeting For Did Not Vote Management
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Approve Agenda of Meeting For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Acknowledge Proper Convening of Meeting For Did Not Vote Management
6 Receive Financial Statements and None None Management
Statutory Reports
7a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
7b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 3.00 per Share
7c Approve Discharge of Board and For Did Not Vote Management
President
8 Determine Number of Members (5) and For Did Not Vote Management
Deputy Members (0) of Board; Determine
Number of Auditors (1) and Deputy
Auditors (0)
9 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 300,000 for the
Chairman and SEK 150,000 for Other
Members; Approve Remuneration of
Auditors
10 Reelect Cecilia Lager, Christoffer For Did Not Vote Management
Haggblom, Peter Sjunnesson, Staffan
Persson, and Thord Wilkne as
Directors; Ratify Ernst & Young as
Auditors
11 Authorize Representatives of Three of For Did Not Vote Management
Company's Largest Shareholders to
Serve on Nominating Committee
12 Close Meeting None None Management
--------------------------------------------------------------------------------
DICE HOLDINGS, INC.
Ticker: DHX Security ID: 253017107
Meeting Date: MAY 17, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John W. Barter For For Management
1.2 Elect Director Scot W. Melland For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
DUKSAN HI METAL CO.
Ticker: 077360 Security ID: Y2113Q105
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Allocation of Income
2 Amend Articles of Incorporation For Against Management
3 Appoint Jang Won-Sik as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
DWS LTD.
Ticker: DWS Security ID: Q33031107
Meeting Date: NOV 13, 2012 Meeting Type: Annual
Record Date: NOV 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Ken Barry as a Director For For Management
--------------------------------------------------------------------------------
ELLIE MAE, INC.
Ticker: ELLI Security ID: 28849P100
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Carl Buccellato For For Management
1.2 Elect Director A. Barr Dolan For For Management
1.3 Elect Director Frank Schultz For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
EMLAK KONUT GAYRIMENKUL YATIRIM ORTAKLIGI A.S.
Ticker: EKGYO Security ID: M4030U105
Meeting Date: MAY 08, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting and Elect Presiding For For Management
Council of Meeting
2 Authorize Presiding Council to Sign For For Management
Minutes of Meeting
3 Accept Statutory Reports For For Management
4 Accept Financial Statements For For Management
5 Approve Discharge of Board and Auditors For For Management
6 Approve Allocation of Income For For Management
7 Ratify External Auditors For For Management
8 Elect Directors For For Management
9 Approve Director Remuneration For For Management
10 Receive Information on Charitable For Against Management
Donations and Approve Upper Limit of
Donations for 2013
11 Receive Information on the Guarantees, None None Management
Pledges, and Mortgages Provided by the
Company to Third Parties
12 Receive Information on Corporate None None Management
Governance Compliance Report
13 Receive Information on Remuneration None None Management
Policy
14 Approve Share Repurchase Program For For Management
15 Approve Working Principles of the For For Management
General Assembly
16 Grant Permission for Board Members to For For Management
Engage in Commercial Transactions with
Company and Be Involved with Companies
with Similar Corporate Purpose
17 Amend Company Articles For For Management
18 Wishes None None Management
--------------------------------------------------------------------------------
EOH HOLDINGS LIMITED
Ticker: EOH Security ID: S2593K104
Meeting Date: FEB 05, 2013 Meeting Type: Annual
Record Date: FEB 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 July 2012
2 Re-elect Robert Sporen as Director For For Management
3 Re-elect Robert Sporen as Chairman of For For Management
the Audit Committee
4 Re-elect Tebogo Skwambane as Member of For For Management
the Audit Committee
5 Re-elect Tshilidzi Marwala as Member For For Management
of Audit the Committee
6 Reappoint PKF (Gauteng) Inc as For For Management
Auditors of the Company with Sanjay
Ranchhoojee as the Individual
Registered Auditor and Authorise Their
Remuneration
7 Adopt New Memorandum of Incorporation For Against Management
8 Approve Non-Executive Directors' For For Management
Remuneration for the Financial Year
Ending 31 July 2014
9 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
10 Approve Remuneration Policy For Against Management
11 Place Authorised but Unissued Shares For Against Management
Under Control of Directors
12 Authorise Board to Issue Shares for For For Management
Cash up to a Maximum of Ten Percent of
Issued Share Capital
13 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
EPAM SYSTEMS, INC.
Ticker: EPAM Security ID: 29414B104
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Karl Robb For For Management
1.2 Elect Director Richard Michael Mayoras For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
EPS CORP.
Ticker: 4282 Security ID: J2159X102
Meeting Date: DEC 21, 2012 Meeting Type: Annual
Record Date: SEP 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 1900
2 Amend Articles to Clarify Director For For Management
Authorities
3 Appoint Statutory Auditor Shibuya, For Against Management
Koichi
4 Appoint Alternate Statutory Auditor For For Management
Tochigi, Toshiaki
--------------------------------------------------------------------------------
EXAMWORKS GROUP, INC.
Ticker: EXAM Security ID: 30066A105
Meeting Date: MAY 08, 2013 Meeting Type: Annual
Record Date: MAR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard E. Perlman For For Management
1.2 Elect Director James K. Price For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
EXLSERVICE HOLDINGS, INC.
Ticker: EXLS Security ID: 302081104
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 30, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Rohit Kapoor For For Management
1.2 Elect Director Anne E. Minto For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FAR EAST HORIZON LTD.
Ticker: 03360 Security ID: Y24286109
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: JUN 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Liu Deshu as Director For For Management
3b Elect Cai Cunqiang as Director For For Management
3c Elect Han Xiaojing as Director For For Management
3d Elect Liu Jialin as Director For For Management
3e Elect Yip Wai Ming as Director For For Management
3f Elect John Law as Director For For Management
3g Elect Kuo Ming-Jian as Director For For Management
3h Authorize Board to Fix the For For Management
Remuneration of Directors
4 Reappoint Ernst & Young as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
5 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
FIDESSA GROUP PLC
Ticker: FDSA Security ID: G3469C104
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date: APR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Special Dividend For For Management
4 Approve Remuneration Report For For Management
5 Re-elect John Hamer as Director For For Management
6 Re-elect Chris Aspinwall as Director For For Management
7 Re-elect Andy Malpass as Director For For Management
8 Re-elect Ron Mackintosh as Director For For Management
9 Re-elect Philip Hardaker as Director For For Management
10 Re-elect Elizabeth Lake as Director For For Management
11 Elect Mark Foster as Director For For Management
12 Reappoint KPMG Audit plc as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
FIRST CASH FINANCIAL SERVICES, INC.
Ticker: FCFS Security ID: 31942D107
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Jorge Montano For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FIRST REPUBLIC BANK
Ticker: FRC Security ID: 33616C100
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James H. Herbert, II For For Management
1.2 Elect Director Katherine August-deWilde For For Management
1.3 Elect Director Thomas J. Barrack, Jr. For For Management
1.4 Elect Director Frank J. Fahrenkopf, Jr. For For Management
1.5 Elect Director William E. Ford For Withhold Management
1.6 Elect Director L. Martin Gibbs For For Management
1.7 Elect Director Sandra R. Hernandez For For Management
1.8 Elect Director Pamela J. Joyner For For Management
1.9 Elect Director Reynold Levy For For Management
1.10 Elect Director Jody S. Lindell For For Management
1.11 Elect Director George G.C. Parker For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GERRY WEBER INTERNATIONAL AG
Ticker: GWI1 Security ID: D95473225
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.75 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2013
6 Approve Creation of EUR 23 Million For For Management
Pool of Capital with Partial Exclusion
of Preemptive Rights
7 Approve Issuance of Warrants/Bonds For For Management
with Warrants Attached/Convertible
Bonds with Partial Exclusion of
Preemptive Rights up to Aggregate
Nominal Amount of EUR 200 Million;
Approve Creation of EUR 4.6 Million
Pool of Capital to Guarantee
Conversion Rights
8a Amend Affiliation Agreement with Gerry For For Management
Weber Life-Style fashion GmbH
8b Approve Affiliation Agreement with For For Management
TAIFUN Collection Gerry Weber Fashion
GmbH
8c Approve Affiliation Agreement with For For Management
SAMOON-Collection Fashion Concept
Gerry Weber GmbH
--------------------------------------------------------------------------------
GILDAN ACTIVEWEAR INC.
Ticker: GIL Security ID: 375916103
Meeting Date: FEB 07, 2013 Meeting Type: Annual
Record Date: DEC 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William D. Anderson For For Management
1.2 Elect Director Glenn J. Chamandy For For Management
1.3 Elect Director Russell Goodman For For Management
1.4 Elect Director George Heller For For Management
1.5 Elect Director Sheila O'Brien For For Management
1.6 Elect Director Pierre Robitaille For For Management
1.7 Elect Director James R. Scarborough For For Management
1.8 Elect Director Richard P. Strubel For For Management
1.9 Elect Director Gonzalo F. Valdes-Fauli For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
GLOBAL MIXED-MODE TECHNOLOGY INC.
Ticker: 8081 Security ID: Y2717S101
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: APR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Cash Dividend Distribution For For Management
from Capital Reserve
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendments to Articles of For For Management
Association
--------------------------------------------------------------------------------
GOLDEN EAGLE RETAIL GROUP LTD.
Ticker: 03308 Security ID: G3958R109
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Wang Hung, Roger as Director For For Management
3b Elect Han Xiang Li as Director For For Management
3c Authorize the Board to Fix For For Management
Remuneration of Directors
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 30, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 30, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.02 Per For For Management
Share
3 Declare Special Dividend of SGD 0.03 For For Management
Per Share
4 Reelect Lam Choon Sen, David @ Lam For For Management
Kwok Kwong as Director
5 Reelect Tan Bien Chuan as Director For For Management
6 Approve Directors' Fees of SGD 160,000 For For Management
for the Financial Year Ended June 30,
2012
7 Reappoint Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Issuance of Shares Under the For Against Management
Goodpack Performance Share Option
Scheme
--------------------------------------------------------------------------------
GRAN TIERRA ENERGY INC.
Ticker: GTE Security ID: 38500T101
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dana Coffield For For Management
1.2 Elect Director Jeffrey J. Scott For For Management
1.3 Elect Director Verne Johnson For For Management
1.4 Elect Director Nicholas G. Kirton For For Management
1.5 Elect Director J. Scott Price For Withhold Management
1.6 Elect Director Gerald Macey For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
GRAND CANYON EDUCATION, INC.
Ticker: LOPE Security ID: 38526M106
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Brent D. Richardson For For Management
1.2 Elect Director Brian E. Mueller For For Management
1.3 Elect Director David J. Johnson For For Management
1.4 Elect Director Jack A. Henry For For Management
1.5 Elect Director Bradley A. Casper For For Management
1.6 Elect Director Kevin F. Warren For For Management
1.7 Elect Director Sara R. Dial For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
HALMA PLC
Ticker: HLMA Security ID: G42504103
Meeting Date: JUL 24, 2012 Meeting Type: Annual
Record Date: JUL 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Geoff Unwin as Director For For Management
5 Re-elect Andrew Williams as Director For For Management
6 Re-elect Kevin Thompson as Director For For Management
7 Re-elect Stephen Pettit as Director For For Management
8 Re-elect Neil Quinn as Director For For Management
9 Re-elect Jane Aikman as Director For For Management
10 Re-elect Adam Meyers as Director For For Management
11 Re-elect Lord Blackwell as Director For For Management
12 Re-elect Steve Marshall as Director For For Management
13 Elect Daniela Barone Soares as Director For For Management
14 Reappoint Deloitte LLP as Auditors For For Management
15 Authorise Board to Fix Remuneration of For For Management
Auditors
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
HANDSOME CORP.
Ticker: 020000 Security ID: Y3004A118
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 300 per Share
2 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
3 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
HIGHLAND GOLD MINING LTD
Ticker: HGM Security ID: G4472X101
Meeting Date: JUN 11, 2013 Meeting Type: Annual
Record Date: JUN 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Elect Valery Oyf as a Director For For Management
4 Elect Alla Baranovskaya as a Director For For Management
5 Elect Sergey Mineev as a Director For For Management
6 Elect Andrey Solovyov as a Director For For Management
7 Reappoint Ernst & Young LLP as Auditors For For Management
8 Authorise Board to Fix Remuneration of For For Management
Auditors
--------------------------------------------------------------------------------
HIQ INTERNATIONAL AB
Ticker: HIQ Security ID: W4091V108
Meeting Date: APR 11, 2013 Meeting Type: Annual
Record Date: APR 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Chairman of Meeting For For Management
2 Prepare and Approve List of For For Management
Shareholders
3 Approve Agenda of Meeting For For Management
4 Designate Inspector(s) of Minutes of For For Management
Meeting
5 Acknowledge Proper Convening of Meeting For For Management
6 Receive President's Report None None Management
7 Receive Financial Statements and None None Management
Statutory Reports; Receive
Consolidated Financial Statements and
Statutory Reports; Receive Auditor's
Report
8.1 Approve Financial Statements and For For Management
Statutory Reports
8.2 Approve Allocation of Income and For For Management
Omission of Dividends
8.3 Approve Discharge of Board and For For Management
President
9 Determine Number of Members (8) and For For Management
Deputy Members (0) of Board
10 Approve Remuneration of Directors in For For Management
the Amount of SEK 500,000 for the
Chairman and SEK 215,000 for Other
Members; Approve Remuneration for
Committee Work; Approve Remuneration
of Auditors
11 Reelect Ken Gerhardsen, Johanna For For Management
Kohler, Lars Stugemo, Anders Ljungh,
Ulrika Hagdahl, Erik Hallberg, and
Gunnel Duveblad as Directors; Elect
Raimo Lind as Director
12 Authorize Chairman of Board and For For Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
13.1 Approve 2:1 Stock Split in Connection For For Management
with Redemption Program
13.2 Approve SEK 2.64 Million Reduction In For For Management
Share Capital via Share Cancellation
13.3 Approve Capitalization of Reserves of For For Management
SEK 2.64 Million in Connection with
Redemption Program
14 Authorize Share Repurchase Program and For For Management
Reissuance of Repurchased Shares
15 Approve Issuance of Warrants to Key For Against Management
Employees
16 Approve Creation of SEK 5 Million Pool For For Management
of Capital without Preemptive Rights
17 Approve Remuneration Policy And Other For For Management
Terms of Employment For Executive
Management
18 Other Business None None Management
--------------------------------------------------------------------------------
HOME CAPITAL GROUP INC
Ticker: HCG Security ID: 436913107
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect James C. Baillie as Director For For Management
1.2 Elect William G. Davis as Director For For Management
1.3 Elect William F. Falk as Director For For Management
1.4 Elect Diana L. Graham as Director For For Management
1.5 Elect John M. Marsh as Director For For Management
1.6 Elect Robert A. Mitchell as Director For For Management
1.7 Elect Kevin P.D. Smith as Director For For Management
1.8 Elect Gerald M. Soloway as Director For For Management
1.9 Elect Bonita J. Then as Director For For Management
1.10 Elect F. Leslie Thompson as Director For For Management
2 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
HUNTING PLC
Ticker: HTG Security ID: G46648104
Meeting Date: APR 17, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Approve Final Dividend For For Management
4 Re-elect Richard Hunting as Director For For Management
5 Re-elect John Hofmeister as Director For For Management
6 Re-elect John Nicholas as Director For For Management
7 Re-elect Dennis Proctor as Director For For Management
8 Re-elect Peter Rose as Director For For Management
9 Re-elect Andrew Szescila as Director For For Management
10 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors and Authorise Their
Remuneration
11 Authorise Issue of Equity with For For Management
Pre-emptive Rights
12 Authorise Issue of Equity without For For Management
Pre-emptive Rights
13 Authorise Market Purchase of Ordinary For For Management
Shares
14 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
HY-LOK CORP.
Ticker: 013030 Security ID: Y3852P100
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 250 per Share
2 Amend Articles of Incorporation For For Management
3.1 Reelect Moon Young-Hoon as Inside For For Management
Director
3.2 Reelect Moon Hyu-Geon as Inside For For Management
Director
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
ICU MEDICAL, INC.
Ticker: ICUI Security ID: 44930G107
Meeting Date: MAY 10, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director George A. Lopez For For Management
1.2 Elect Director Robert S. Swinney For For Management
2 Amend Executive Incentive Bonus Plan For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
INDUTRADE AB
Ticker: INDT Security ID: W4939U106
Meeting Date: MAY 06, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For For Management
3 Prepare and Approve List of For For Management
Shareholders
4 Approve Agenda of Meeting For For Management
5 Designate Inspector(s) of Minutes of For For Management
Meeting
6 Acknowledge Proper Convening of Meeting For For Management
7 Receive Board and Committee Reports None None Management
8 Receive Financial Statements and None None Management
Statutory Reports; Receive CEO's Report
9 Receive Auditor's Report; Receive None None Management
Auditor's Report on Application of
Guidelines for Remuneration for
Executive Management
10a Approve Financial Statements and For For Management
Statutory Reports
10b Approve Allocation of Income and For For Management
Dividends of SEK 7.05 per Share
10c Approve May 10, 2013, as Record Date For For Management
for Dividend Payment
10d Approve Discharge of Board and For For Management
President
11 Receive Report on Work of Nominating None None Management
Committee
12 Determine Number of Members (7) and For For Management
Deputy Members (0) of Board
13 Approve Remuneration of Directors in For For Management
the Amount of SEK 500,000 for the
Chairman and SEK 250,000 for Other
Members; Approve Remuneration for
Committee Work; Approve Remuneration
of Auditors
14 Reelect Ulf Lundahl, Eva Farnstrand, For For Management
Bengt Kjell, Mats Olsson, Martin
Lindqvist, Krister Mellve, and Johnny
Alvarsson as Directors
15 Amend Articles Re: Removal of For For Management
Nomination Committee Section to Align
with Practice
16 Authorize Chairman of Board and For For Management
Representatives of Four of Company's
Largest Shareholders to Serve on
Nominating Committee
17 Approve Remuneration Policy And Other For For Management
Terms of Employment For Executive
Management
18 Close Meeting None None Management
--------------------------------------------------------------------------------
INTEVAC, INC.
Ticker: IVAC Security ID: 461148108
Meeting Date: MAY 09, 2013 Meeting Type: Annual
Record Date: MAR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Norman H. Pond For For Management
1.2 Elect Director David S. Dury For For Management
1.3 Elect Director Stanley J. Hill For For Management
1.4 Elect Director Thomas M. Rohrs For For Management
1.5 Elect Director John F. Schaefer For For Management
1.6 Elect Director Ping Yang For For Management
2 Amend Qualified Employee Stock For For Management
Purchase Plan
3 Approve Repricing of Options For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
JOBSTREET CORPORATION BHD
Ticker: JOBST Security ID: Y44474107
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.0275 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Lin See Yan as Director For For Management
5 Elect Lim Chao Li as Director For For Management
6 Elect Suresh A/L Thirugnanam as For For Management
Director
7 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
9 Authorize Share Repurchase Program For For Management
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
KAKAKU.COM INC
Ticker: 2371 Security ID: J29258100
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 35
2.1 Elect Director Hayashi, Kaoru For For Management
2.2 Elect Director Tanaka, Minoru For For Management
2.3 Elect Director Hata, Shonosuke For For Management
2.4 Elect Director Ieuji, Taizo For For Management
2.5 Elect Director Fujiwara, Kenji For For Management
2.6 Elect Director Uemura, Hajime For For Management
2.7 Elect Director Yuuki, Shingo For For Management
2.8 Elect Director Murakami, Atsuhiro For For Management
2.9 Elect Director Matsumoto, Oki For For Management
2.10 Elect Director Hayakawa, Yoshiharu For For Management
2.11 Elect Director Akiyama, Ryuuhei For For Management
3 Appoint Statutory Auditor Sejimo, For Against Management
Shinichi
4 Appoint Alternate Statutory Auditor For For Management
Ito, Tetsuo
--------------------------------------------------------------------------------
KEYNOTE SYSTEMS, INC.
Ticker: KEYN Security ID: 493308100
Meeting Date: MAR 15, 2013 Meeting Type: Annual
Record Date: FEB 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Umang Gupta For For Management
1.2 Elect Director Charles M. Boesenberg For For Management
1.3 Elect Director Mohan Gyani For For Management
1.4 Elect Director Jennifer M. Johnson For For Management
1.5 Elect Director Raymond L. Ocampo Jr. For For Management
1.6 Elect Director Anthony Sun For For Management
1.7 Elect Director Mark Jung For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
KNIGHT TRANSPORTATION, INC.
Ticker: KNX Security ID: 499064103
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kevin P. Knight For Withhold Management
1.2 Elect Director Randy Knight For Withhold Management
1.3 Elect Director Michael Garnreiter For Withhold Management
2 Elect Director Richard C. Kraemer For Withhold Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
KOH YOUNG TECHNOLOGY INC.
Ticker: 098460 Security ID: Y4810R105
Meeting Date: MAR 27, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Appoint Lee Jong-Gi as Internal Auditor For For Management
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
KOLON LIFE SCIENCE INC.
Ticker: 102940 Security ID: Y4830K106
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 750 per Share
2 Amend Articles of Incorporation For For Management
3 Reelect Lee Woong-Yeol as Inside For For Management
Director
4 Reappoint Seo Dae-Gyo as Internal For For Management
Auditor
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
6 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
KONAI CO., LTD.
Ticker: 052400 Security ID: Y4842G101
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Reelect Cho Jung-Il as Inside Director For For Management
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
KOREAN REINSURANCE CO.
Ticker: 003690 Security ID: Y49391108
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 250 per Share
2 Amend Articles of Incorporation For For Management
3 Elect One Inside Director and Four For For Management
Outside Directors (Bundled)
4 Elect Two Outside Directors as Members For For Management
of Audit Committee
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
L'OCCITANE INTERNATIONAL S.A.
Ticker: 00973 Security ID: L6071D109
Meeting Date: SEP 26, 2012 Meeting Type: Annual/Special
Record Date: SEP 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Dividends of EUR 36.3 Million For For Management
3a Reelect Reinold Geiger as Director For For Management
3b Reelect Emmanuel Laurent Jacques Osti For For Management
as Director
3c Reelect Andre Joseph Hoffmannas For Against Management
Director
3d Reelect Karl Guenard as Director For For Management
3e Reelect Martial Thierry Lopez as For For Management
Director
4a Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
4b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
4c Approve 6.66 Million Shares For For Management
Repurchased During FY 2012
4d Authorize Reissuance of Repurchased For Against Management
Shares
5 Renew Appointment of For For Management
PricewaterhouseCoopers as Statutory
Auditor
6 Renew Appointment of For For Management
PricewaterhouseCoopers as External
Auditor
7 Authorize Board to Fix Remuneration of For For Management
Directors
8 Approve Discharge of Directors For For Management
9 Approve Discharge of Auditors For For Management
10 Approve Remuneration of Auditors For For Management
--------------------------------------------------------------------------------
LEADTREND TECHNOLOGY CORP
Ticker: 3588 Security ID: Y5217P105
Meeting Date: JUN 28, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Issuance of Restricted Stocks For For Management
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Partie
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendment to Rules and For For Management
Procedures for Election of Directors
and Supervisors
7.1 Elect Li Haomin with Shareholder No.1 None For Shareholder
as Director
7.2 Elect Zhang Shili, Representative of None For Shareholder
Jieneng Investment Co., Ltd. with
Shareholder No.102, as Director
7.3 Elect Zhuang Mingnan, Representative None For Shareholder
of Jieneng Investment Co., Ltd. with
Shareholder No.102, as Director
7.4 Elect Liang Congzhu as Director None For Shareholder
7.5 Elect Wu Chongyu as Independent For For Management
Director
7.6 Elect Liu Dingren as Independent For For Management
Director
7.7 Elect Yang Jianguo as Independent For For Management
Director
7.8 Elect Litong Investment Co., Ltd. with None For Shareholder
Shareholder No.166 as Supervisor
7.9 Elect You Mingfu Supervisor None For Shareholder
7.10 Elect Yan Zhizhan Supervisor None For Shareholder
8 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
and Representatives
9 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
LG FASHION CORP.
Ticker: 093050 Security ID: Y5275J108
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 400 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
LINEAR TECHNOLOGY CORPORATION
Ticker: LLTC Security ID: 535678106
Meeting Date: NOV 07, 2012 Meeting Type: Annual
Record Date: SEP 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert H. Swanson, Jr. For For Management
1.2 Elect Director Lothar Maier For For Management
1.3 Elect Director Arthur C. Agnos For For Management
1.4 Elect Director John J. Gordon For For Management
1.5 Elect Director David S. Lee For For Management
1.6 Elect Director Richard M. Moley For For Management
1.7 Elect Director Thomas S. Volpe For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
LITTELFUSE, INC.
Ticker: LFUS Security ID: 537008104
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date: FEB 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Tzau-Jin Chung For For Management
1.2 Elect Director Carry T. Fu For For Management
1.3 Elect Director Anthony Grillo For For Management
1.4 Elect Director Gordon Hunter For For Management
1.5 Elect Director John E. Major For For Management
1.6 Elect Director William P. Noglows For For Management
1.7 Elect Director Ronald L. Schubel For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
LYCOPODIUM LTD.
Ticker: LYL Security ID: Q56515101
Meeting Date: NOV 21, 2012 Meeting Type: Annual
Record Date: NOV 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Remuneration Report For For Management
2 Elect Mick Caratti as a Director For Against Management
--------------------------------------------------------------------------------
MAGELLAN FINANCIAL GROUP
Ticker: MFG Security ID: Q5713S107
Meeting Date: OCT 26, 2012 Meeting Type: Annual
Record Date: OCT 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For Against Management
Remuneration Report
2a Elect Naomi Milgrom as a Director For For Management
2b Elect Brett Cairns as a Director For For Management
--------------------------------------------------------------------------------
MAGELLAN FINANCIAL GROUP
Ticker: MFG Security ID: Q5713S107
Meeting Date: FEB 05, 2013 Meeting Type: Special
Record Date: FEB 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Equal Reduction of Capital For For Management
--------------------------------------------------------------------------------
MAKEMYTRIP LTD
Ticker: MMYT Security ID: V5633W109
Meeting Date: SEP 21, 2012 Meeting Type: Annual
Record Date: AUG 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Appoint KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
2 Accept Financial Statements and For For Management
Statutory Reports
3 Reelect Frederic Lalonde as a Director For For Management
4 Reelect Aditya Tim Guleri as a Director For Against Management
5 Reelect Mohammad Akhtar Janally as a For Against Management
Director
6 Reelect Ranodeb Roy as a Director For For Management
--------------------------------------------------------------------------------
MANITEX INTERNATIONAL, INC.
Ticker: MNTX Security ID: 563420108
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ronald M. Clark For For Management
1.2 Elect Director Robert S. Gigliotti For For Management
1.3 Elect Director David J. Langevin For For Management
1.4 Elect Director Marvin B. Rosenberg For For Management
1.5 Elect Director Stephen J. Tober For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
5 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
MANNING & NAPIER, INC.
Ticker: MN Security ID: 56382Q102
Meeting Date: JUN 19, 2013 Meeting Type: Annual
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William Manning For For Management
1.2 Elect Director B. Reuben Auspitz For For Management
1.3 Elect Director Patrick Cunningham For For Management
1.4 Elect Director Barbara Goodstein For For Management
1.5 Elect Director Richard M. Hurwitz For For Management
1.6 Elect Director Edward J. Pettinella For For Management
1.7 Elect Director Robert M. Zak For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MARKETAXESS HOLDINGS INC.
Ticker: MKTX Security ID: 57060D108
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: APR 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard M. McVey For For Management
1.2 Elect Director Steven L. Begleiter For For Management
1.3 Elect Director Stephen P. Casper For For Management
1.4 Elect Director David G. Gomach For For Management
1.5 Elect Director Carlos M. Hernandez For For Management
1.6 Elect Director Ronald M. Hersch For For Management
1.7 Elect Director John Steinhardt For For Management
1.8 Elect Director James J. Sullivan For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MAXIM INTEGRATED PRODUCTS, INC.
Ticker: MXIM Security ID: 57772K101
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: SEP 17, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Tunc Doluca For For Management
1.2 Elect Director B. Kipling Hagopian For For Management
1.3 Elect Director James R. Bergman For For Management
1.4 Elect Director Joseph R. Bronson For For Management
1.5 Elect Director Robert E. Grady For For Management
1.6 Elect Director William D. Watkins For For Management
1.7 Elect Director A.R. Frank Wazzan For For Management
2 Ratify Auditors For For Management
3 Amend Qualified Employee Stock For For Management
Purchase Plan
4 Amend Omnibus Stock Plan For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MAXLINEAR, INC.
Ticker: MXL Security ID: 57776J100
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Steven C. Craddock For For Management
1.2 Elect Director Harshad K. Desai For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MD MEDICAL GROUP INVESTMENTS PLC
Ticker: MDMG Security ID: 55279C200
Meeting Date: JUN 07, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Appoint KPMG Limited as Auditors and For For Management
Authorise their Remuneration
3 Elect Apollon Athanasiades as Director For For Management
4 Elect Kirill Dmitriev as Director For For Management
5 Elect Dr Mark Kurtser as Director For For Management
6 Elect Dr Elena Mladova as Director For For Management
7 Elect Elia Nicolaou as Director For For Management
8 Elect Angelos Paphitis as Director For For Management
9 Elect Andreas Petrides as Director For For Management
10 Elect Simon Rowlands as Director For For Management
11 Elect Marios Tofaros as Director For For Management
12 Approve Final Dividend For For Management
--------------------------------------------------------------------------------
MELEXIS
Ticker: MELE Security ID: B59283109
Meeting Date: APR 22, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Directors' Reports None None Management
2 Receive Auditors' Reports (Non-Voting) None None Management
3 Approve Remuneration Report For For Management
4 Receive Consolidated Financial None None Management
Statements (Non-Voting)
5 Adopt Financial Statements and Approve For For Management
Allocation of Income
6 Approve Discharge of Directors For For Management
7 Approve Discharge of Auditors For For Management
8.1 Approve Resignation of Phix Focus, For For Management
Represented by Steven R. Hix, as
Director
8.2 Approve Resignation of Jenny Claes as For For Management
Director
9.1 Elect Shiro Baba as Independent For For Management
Director and Approve Remuneration at
EUR 15,000
9.2 Elect Procexcel BVBA, Permanently For For Management
Represented byJenny Claes, as
Independent Director and Approve
Remuneration at EUR 15,000
10 Receive Information Re: End of Mandate None None Management
of Auditors
11 Ratify BDO Bedrijfsrevisoren BV, For For Management
Permanently Represented by Veerle
Catry as Auditor and Approve Auditors'
Remuneration at EUR 32,210
--------------------------------------------------------------------------------
MERIDIAN BIOSCIENCE, INC.
Ticker: VIVO Security ID: 589584101
Meeting Date: JAN 23, 2013 Meeting Type: Annual
Record Date: NOV 26, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James M. Anderson For For Management
1.2 Elect Director John A. Kraeutler For For Management
1.3 Elect Director William J. Motto For For Management
1.4 Elect Director David C. Phillips For For Management
1.5 Elect Director Robert J. Ready For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MESA LABORATORIES, INC.
Ticker: MLAB Security ID: 59064R109
Meeting Date: SEP 14, 2012 Meeting Type: Annual
Record Date: JUL 25, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Luke R. Schmieder For Withhold Management
1.2 Elect Director H. Stuart Campbell For For Management
1.3 Elect Director Michael T. Brooks For For Management
1.4 Elect Director Robert V. Dwyer For For Management
1.5 Elect Director Evan C. Guillemin For For Management
1.6 Elect Director John. J. Sullivan For For Management
1.7 Elect Director David M. Kelly For For Management
2 Ratify Auditors For For Management
3 Increase Authorized Common Stock For Against Management
--------------------------------------------------------------------------------
MICHAEL PAGE INTERNATIONAL PLC
Ticker: MPI Security ID: G68694119
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: JUN 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Re-elect Robin Buchanan as Director For For Management
4 Re-elect Steve Ingham as Director For For Management
5 Re-elect Andrew Bracey as Director For For Management
6 Re-elect Ruby McGregor-Smith as For For Management
Director
7 Re-elect Dr Tim Miller as Director For For Management
8 Elect Simon Boddie as Director For For Management
9 Elect David Lowden as Director For For Management
10 Approve Remuneration Report For Abstain Management
11 Reappoint Ernst & Young LLP as Auditors For For Management
12 Authorise Board to Fix Remuneration of For For Management
Auditors
13 Authorise EU Political Donations and For For Management
Expenditure
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
18 Approve Long Term Incentive Plan For For Management
19 Approve Deferred Bonus Plan For For Management
--------------------------------------------------------------------------------
MICREL, INCORPORATED
Ticker: MCRL Security ID: 594793101
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Raymond D. Zinn For For Management
1.2 Elect Director John E. Bourgoin For For Management
1.3 Elect Director Michael J. Callahan For For Management
1.4 Elect Director Daniel Heneghan For For Management
1.5 Elect Director Neil J. Miotto For For Management
1.6 Elect Director Frank W. Schneider For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MICROCHIP TECHNOLOGY INCORPORATED
Ticker: MCHP Security ID: 595017104
Meeting Date: AUG 17, 2012 Meeting Type: Annual
Record Date: JUN 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Steve Sanghi For For Management
1.2 Elect Director Albert J. Hugo-Martinez For For Management
1.3 Elect Director L.B. Day For For Management
1.4 Elect Director Matthew W. Chapman For For Management
1.5 Elect Director Wade F. Meyercord For For Management
2 Amend Omnibus Stock Plan For For Management
3 Approve Conversion of Securities For For Management
4 Ratify Auditors For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MK TREND CO LTD.
Ticker: 069640 Security ID: Y6166V101
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Elect Three Inside Directors and One For For Management
Outside Director (Bundled)
3 Reappoint Han Hyo-Seok as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
MONOTARO CO LTD
Ticker: 3064 Security ID: J46583100
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 8
2.1 Elect Director Seto, Kinya For For Management
2.2 Elect Director Suzuki, Masaya For For Management
2.3 Elect Director Miyajima, Masanori For For Management
2.4 Elect Director Yamagata, Yasuo For For Management
2.5 Elect Director Kitamura, Haruo For For Management
2.6 Elect Director Kishida, Masahiro For For Management
2.7 Elect Director Ronald Louis Jadin For For Management
--------------------------------------------------------------------------------
MONRO MUFFLER BRAKE, INC.
Ticker: MNRO Security ID: 610236101
Meeting Date: AUG 07, 2012 Meeting Type: Annual
Record Date: JUN 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard A. Berenson For For Management
1.2 Elect Director Donald Glickman For For Management
1.3 Elect Director James R. Wilen For For Management
1.4 Elect Director Elizabeth A. Wolszon For For Management
1.5 Elect Director John W. Van Heel For For Management
2 Increase Authorized Common Stock For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MSC INDUSTRIAL DIRECT CO., INC.
Ticker: MSM Security ID: 553530106
Meeting Date: JAN 17, 2013 Meeting Type: Annual
Record Date: NOV 28, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mitchell Jacobson For For Management
1.2 Elect Director David Sandler For For Management
1.3 Elect Director Jonathan Byrnes For For Management
1.4 Elect Director Roger Fradin For For Management
1.5 Elect Director Erik Gershwind For For Management
1.6 Elect Director Louise Goeser For For Management
1.7 Elect Director Denis Kelly For For Management
1.8 Elect Director Philip Peller For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MY E.G. SERVICES BHD.
Ticker: MYEG Security ID: Y6147P116
Meeting Date: DEC 19, 2012 Meeting Type: Annual
Record Date: DEC 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Final Dividend of MYR 0.009 For For Management
Per Share
2 Elect Muhammad Rais bin Abdul Karim as For For Management
Director
3 Elect Jimmy Wong Bin Abdullah as For For Management
Director
4 Approve Remuneration of Directors For For Management
5 Approve Crowe Hawarth as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
6 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
7 Approve Share Repurchase Program For For Management
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
MYRIAD GENETICS, INC.
Ticker: MYGN Security ID: 62855J104
Meeting Date: DEC 05, 2012 Meeting Type: Annual
Record Date: OCT 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John T. Henderson For For Management
1.2 Elect Director S. Louise Phanstiel For For Management
2 Amend Omnibus Stock Plan For For Management
3 Approve Qualified Employee Stock For For Management
Purchase Plan
4 Approve Executive Incentive Bonus Plan For For Management
5 Ratify Auditors For For Management
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
N BROWN GROUP PLC
Ticker: BWNG Security ID: G64036125
Meeting Date: JUL 03, 2012 Meeting Type: Annual
Record Date: JUL 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect Dean Moore as Director For For Management
5 Re-elect John McGuire as Director For Abstain Management
6 Re-elect Lord Alliance of Manchester For Abstain Management
as Director
7 Re-elect Nigel Alliance as Director For Against Management
8 Re-elect Ivan Fallon as Director For Against Management
9 Re-elect Lord Stone of Blackheath as For Against Management
Director
10 Re-elect Anna Ford as Director For For Management
11 Re-elect Alan White as Director For For Management
12 Reappoint Deloitte LLP as Auditors and For Abstain Management
Authorise Their Remuneration
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
NAVIGANT CONSULTING, INC.
Ticker: NCI Security ID: 63935N107
Meeting Date: MAY 21, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Samuel K. Skinner For For Management
1.2 Elect Director James R. Thompson For For Management
1.3 Elect Director Michael L. Tipsord For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
NAVITAS LTD.
Ticker: NVT Security ID: Q6630H109
Meeting Date: NOV 15, 2012 Meeting Type: Annual
Record Date: NOV 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect Ted Evans as a Director For For Management
3 Elect James King as a Director For For Management
4 Elect Tracey Horton as a Director For For Management
--------------------------------------------------------------------------------
NEURONES
Ticker: NRO Security ID: F6523H101
Meeting Date: JUN 06, 2013 Meeting Type: Annual/Special
Record Date: MAY 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Consolidated Financial For For Management
Statements and Statutory Reports
2 Approve Financial Statements and For For Management
Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.06 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Approve Discharge of Directors For For Management
6 Reelect Luc de Chammard as Director For Against Management
7 Reelect Bertrand Ducurtil as Director For Against Management
8 Reelect Marie-Francoise Jaubert as For For Management
Director
9 Reelect Jean-Louis Pacquement as For For Management
Director
10 Reelect Herve Pichard as Director For For Management
11 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
12 Authorize up to 1 Percent of Issued For Against Management
Capital, up to 237,000 Shares for Use
in Restricted Stock Plan
13 Approve Employee Stock Purchase Plan For For Management
14 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 11 Million
15 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 11 Million
16 Authorize Board to Increase Capital in For Against Management
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Under Items 14 and 15
17 Authorize Capital Increase of up to 10 For For Management
Percent of Issued Capital for
Contributions in Kind
18 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
NEXUS AG
Ticker: NXU Security ID: D5650J106
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date: APR 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.11 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Approve Affiliation Agreements with For For Management
Subsidiary nexus/dis GmbH
6 Ratify KPMG AG as Auditors for Fiscal For For Management
2013
--------------------------------------------------------------------------------
NIHON M&A CENTER INC
Ticker: 2127 Security ID: J50883107
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 30
2 Appoint Statutory Auditor Yamada, For For Management
Yoshinori
3 Appoint Alternate Statutory Auditor For For Management
Siga, Katsumasa
4 Approve Retirement Bonus Payment for For Against Management
Statutory Auditor
--------------------------------------------------------------------------------
NU SKIN ENTERPRISES, INC.
Ticker: NUS Security ID: 67018T105
Meeting Date: JUN 03, 2013 Meeting Type: Annual
Record Date: APR 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Nevin N. Andersen For For Management
1.2 Elect Director Daniel W. Campbell For For Management
1.3 Elect Director M. Truman Hunt For For Management
1.4 Elect Director Andrew D. Lipman For For Management
1.5 Elect Director Steven J. Lund For For Management
1.6 Elect Director Patricia A. Negron For For Management
1.7 Elect Director Neil H. Offen For For Management
1.8 Elect Director Thomas R. Pisano For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
O2MICRO INTERNATIONAL LTD.
Ticker: OIIM Security ID: 67107W100
Meeting Date: JUN 24, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Michael Austin as Director For For Management
1b Elect Shoji Akutsu as Director For For Management
1c Elect Zhuoping Yu as Director For For Management
2 Accept Financial Statements and For For Management
Statutory Reports
3 Approve to Appoint Deloitte & Touche For For Management
as Auditors of the Company
--------------------------------------------------------------------------------
OPERA SOFTWARE ASA
Ticker: OPERA Security ID: R6664U108
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Registration of None None Management
Attending Shareholders and Proxies
2 Elect Chairman of Meeting For Did Not Vote Management
3 Approve Notice of Meeting and Agenda For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Approve Financial Statements and For Did Not Vote Management
Statutory Reports
6 Approve Allocation of Income and For Did Not Vote Management
Dividends of NOK 0.22 per Share
7 Approve NOK 106.5 Million Group For Did Not Vote Management
Contribution to Opera Software
International AS
8 Approve Remuneration of Auditors For Did Not Vote Management
9 Receive Corporate Governance Statement None None Management
10.1 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of NOK 600,000 for
Chairman, NOK 550,000 for Greg
Coleman, and NOK 250,000 for Other
Directors
10.2 Approve Remuneration of Board For Did Not Vote Management
Committees
11 Approve Remuneration of Nominating For Did Not Vote Management
Committee
12 Approve Acquisition of Shares for For Did Not Vote Management
Incentive Schemes
13.1 Approve Issuance of 12 Million Shares For Did Not Vote Management
in Connection with Existing Incentive
Plans
13.2 Approve Creation of NOK 240,000 Pool For Did Not Vote Management
of Capital without Preemptive Rights
14.1 Elect Arve Johansen as Director and For Did Not Vote Management
Chairman
14.2 Elect Greg Coleman as Director For Did Not Vote Management
14.3 Elect Kari Stautland as Director For Did Not Vote Management
14.4 Elect Audun Iversen as Director For Did Not Vote Management
14.5 Elect Marianne Blystad as Director For Did Not Vote Management
15.1 Elect Jacob Iqbal as Member of For Did Not Vote Management
Nominating Committee
15.2 Elect Michael Tetzschner as Member of For Did Not Vote Management
Nominating Committee
15.3 Elect Nils Foldal as Member of For Did Not Vote Management
Nominating Committee
16 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
17 Authorize Company to Call EGM with Two For Did Not Vote Management
Weeks' Notice
18 Close Meeting None None Management
--------------------------------------------------------------------------------
OPNET TECHNOLOGIES, INC.
Ticker: OPNT Security ID: 683757108
Meeting Date: SEP 10, 2012 Meeting Type: Annual
Record Date: JUL 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Marc A. Cohen For For Management
1.2 Elect Director William F. Stasior For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PACIFIC HOSPITAL SUPPLY CO., LTD.
Ticker: 4126 Security ID: Y6610N101
Meeting Date: JUN 11, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
5.1 Elect Director Chung Jen, with ID No. For For Management
A101****** and Shareholder No.2
5.2 Elect Director Chung An-ting, with ID For For Management
No. A228****** and Shareholder No.18
5.3 Elect Director Zhan Zhi-Jun, with ID For For Management
No. K121******
5.4 Elect Independent Director Chou For For Management
Kui-kai, with ID No. F101******
5.5 Elect Independent Director Wu For For Management
Yuan-ning, with ID No. A200****** and
Shareholder No.3980
5.6 Elect Supervisor Chiang Min-chih, with For For Management
ID No. Y200******and Shareholder No.122
5.7 Elect Supervisor Chiang Fu-yi, with ID For For Management
No. R101******and Shareholder No.7475
5.8 Elect Supervisor Chen He-fu, with ID For For Management
No. A103******
6 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors and Representatives
--------------------------------------------------------------------------------
PACIFIC ONLINE LTD.
Ticker: 00543 Security ID: G9684P101
Meeting Date: MAY 20, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3 Elect Zhang Cong Min as Director For For Management
4 Elect Thaddeus Thomas Beczak as For For Management
Director
5 Elect Chan Chi Mong, Hopkins as For For Management
Director
6 Authorize Board to Fix the For For Management
Remuneration of Directors
7 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
9 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
10 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PADINI HOLDINGS BHD.
Ticker: PADINI Security ID: Y6649L100
Meeting Date: DEC 18, 2012 Meeting Type: Annual
Record Date: DEC 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration of Directors For For Management
3 Elect Cheong Chung Yet as Director For For Management
4 Elect Foo Kee Fatt as Director For For Management
5 Approve BDO as Auditors and Authorize For For Management
Board to Fix Their Remuneration
6 Authorize Repurchase of Shares For For Management
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAY 13, 2013 Meeting Type: Annual/Special
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ross J. Beaty For Did Not Vote Management
1.2 Elect Director Geoffrey A. Burns For Did Not Vote Management
1.3 Elect Director Michael L. Carroll For Did Not Vote Management
1.4 Elect Director Christopher Noel Dunn For Did Not Vote Management
1.5 Elect Director Neil de Gelder For Did Not Vote Management
1.6 Elect Director Robert P. Pirooz For Did Not Vote Management
1.7 Elect Director David C. Press For Did Not Vote Management
1.8 Elect Director Walter T. Segsworth For Did Not Vote Management
2 Approve Deloitte LLP as Auditors and For Did Not Vote Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For Did Not Vote Management
Compensation Approach
--------------------------------------------------------------------------------
PARKSON RETAIL ASIA LTD.
Ticker: O9E Security ID: Y6706M108
Meeting Date: OCT 31, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Reelect Datuk Cheng Yoong Choong as For For Management
Director
3 Reelect Tan Sri Dato' Seri Mohd. For For Management
Zahidi bin Zainuddin as Director
4 Reelect Tan Siang Long as Director For For Management
5 Declare Final Dividend of SGD 0.03 Per For For Management
Share for the Financial Year Ended
June 30, 2012
6 Approve Directors' Fees of SGD 345,000 For For Management
for the Financial Year Ended June 30,
2012
7 Approve Directors' Fees of SGD 460,000 For For Management
for the Financial Year Ending June 30,
2013
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
10 Approve Issuance of Shares Under the For Against Management
Parkson Retail Asia Limited Employee
Share Option Scheme
--------------------------------------------------------------------------------
PARKSON RETAIL ASIA LTD.
Ticker: O9E Security ID: Y6706M108
Meeting Date: OCT 31, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Proposed Adoption of the For For Management
General Mandate for Interested Person
Transactions
2 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
PARKSON RETAIL GROUP LTD.
Ticker: 03368 Security ID: G69370115
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAY 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Yau Ming Kim, Robert as Director For For Management
3b Elect Tan Hun Meng as Director For For Management
3c Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint Ernst & Young as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
5a Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5b Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PEGASYSTEMS INC.
Ticker: PEGA Security ID: 705573103
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter Gyenes For For Management
1.2 Elect Director Richard H. Jones For For Management
1.3 Elect Director Steven F. Kaplan For For Management
1.4 Elect Director James P. O'Halloran For For Management
1.5 Elect Director Alan Trefler For For Management
1.6 Elect Director Larry Weber For For Management
1.7 Elect Director William W. Wyman For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PERFICIENT, INC.
Ticker: PRFT Security ID: 71375U101
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jeffrey S. Davis For For Management
1.2 Elect Director Ralph C. Derrickson For For Management
1.3 Elect Director John S. Hamlin For For Management
1.4 Elect Director James R. Kackley For For Management
1.5 Elect Director David S. Lundeen For For Management
1.6 Elect Director David D. May For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PERICOM SEMICONDUCTOR CORPORATION
Ticker: PSEM Security ID: 713831105
Meeting Date: DEC 06, 2012 Meeting Type: Annual
Record Date: OCT 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alex Chiming Hui For Withhold Management
1.2 Elect Director Chi-Hung (John) Hui For Withhold Management
1.3 Elect Director Hau L. Lee For Withhold Management
1.4 Elect Director Michael J. Sophie For Withhold Management
1.5 Elect Director Siu-Weng Simon Wong For Withhold Management
1.6 Elect Director Edward Y. Yang For Withhold Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
PETRA FOODS LTD
Ticker: P34 Security ID: Y6804G102
Meeting Date: APR 30, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Disposal of Cocoa Ingeredients For For Management
Division of the Company
2 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
PETRA FOODS LTD
Ticker: P34 Security ID: Y6804G102
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Elect Chuang Tiong Choon as Director For For Management
3 Elect Pedro Mata-Bruckmann as Director For For Management
4 Approve Directors' Fees For For Management
5 Declare Final Dividend For For Management
6 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors and Authorize Board to Fix
Their Remuneration
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
8 Approve Grant of Options and Awards For Against Management
and Issuance of Shares Under the Petra
Foods Share Option Scheme and Petra
Foods Share Incentive Plan
9 Approve Issuance of Shares Under the For For Management
Petra Foods Limited Scrip Dividend
Scheme
10 Approve Mandate for Interested Person For For Management
Transactions
--------------------------------------------------------------------------------
POLYPORE INTERNATIONAL, INC.
Ticker: PPO Security ID: 73179V103
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Charles L. Cooney For For Management
1.2 Elect Director David A. Roberts For For Management
1.3 Elect Director Robert B. Toth For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
POLYTRONICS TECHNOLOGY CORP.
Ticker: 6224 Security ID: Y7063Y107
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on 2012 Profit For For Management
Distribution
3 Approve Cash Dividend Distribution For For Management
from Partial Capital Reserve
4 Approve Amendments to Articles of For For Management
Association
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder
General Meeting
8 Approve Release of Restrictions of For For Management
Competitive Activities of Newly
Appointed Directors and Representatives
9 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
PORTFOLIO RECOVERY ASSOCIATES, INC.
Ticker: PRAA Security ID: 73640Q105
Meeting Date: MAY 30, 2013 Meeting Type: Annual
Record Date: APR 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John H. Fain For For Management
1.2 Elect Director David N. Roberts For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
4 Approve Omnibus Stock Plan For For Management
5 Approve Executive Incentive Bonus Plan For For Management
--------------------------------------------------------------------------------
POWER INTEGRATIONS, INC.
Ticker: POWI Security ID: 739276103
Meeting Date: JUN 03, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Balu Balakrishnan For For Management
1.2 Elect Director Alan D. Bickell For For Management
1.3 Elect Director Nicholas E. Brathwaite For For Management
1.4 Elect Director William George For For Management
1.5 Elect Director Balakrishnan S. Iyer For For Management
1.6 Elect Director E. Floyd Kvamme For For Management
1.7 Elect Director Steven J. Sharp For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
POWER MATE TECHNOLOGY CO LTD
Ticker: 8109 Security ID: Y7083N107
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties and
Amendments to the Procedures for
Endorsement and Guarantees
4.1 Elect Director No.1 None Against Shareholder
4.2 Elect Director No.2 None Against Shareholder
4.3 Elect Director No.3 None Against Shareholder
4.4 Elect Director No.4 None Against Shareholder
4.5 Elect Chen Kunzhu as Independent For For Management
Director
4.6 Elect Liu Jinjin as Independent For For Management
Director
4.7 Elect Cai Wunan as Independent Director For For Management
4.8 Elect Supervisor No.1 For Against Management
4.9 Elect Supervisor No.2 For Against Management
4.10 Elect Supervisor No.3 For Against Management
5 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors and Representatives
--------------------------------------------------------------------------------
PREMIER MARKETING PCL
Ticker: PM Security ID: Y70752111
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Minutes of Previous Meeting For For Management
2 Acknowledge Operating Results For For Management
3 Accept Financial Statements For For Management
4 Approve Allocation of Income and For For Management
Dividend of THB 0.37 Per Share
5.1 Elect Katiya Greigarn as Director For For Management
5.2 Elect Udom Chatiyanont as Director For For Management
5.3 Elect Nangnoi Bunyasaranand as Director For For Management
6 Approve Remuneration of Directors For For Management
7 Approve Ernst & Young Office Ltd. as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Other Business For Against Management
--------------------------------------------------------------------------------
PREMIER OIL PLC
Ticker: PMO Security ID: G7216B178
Meeting Date: JUN 07, 2013 Meeting Type: Annual
Record Date: JUN 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Robin Allan as Director For For Management
5 Re-elect Joe Darby as Director For For Management
6 Re-elect Tony Durrant as Director For For Management
7 Re-elect Neil Hawkings as Director For For Management
8 Re-elect Jane Hinkley as Director For For Management
9 Re-elect David Lindsell as Director For For Management
10 Re-elect Simon Lockett as Director For For Management
11 Re-elect Andrew Lodge as Director For For Management
12 Re-elect David Roberts as Director For For Management
13 Re-elect Michel Romieu as Director For For Management
14 Re-elect Mike Welton as Director For For Management
15 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
PROCERA NETWORKS, INC.
Ticker: PKT Security ID: 74269U203
Meeting Date: AUG 27, 2012 Meeting Type: Annual
Record Date: JUL 02, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Scott McClendon For For Management
1.2 Elect Director James F. Brear For For Management
1.3 Elect Director Staffan Hillberg For For Management
1.4 Elect Director B.G. Kumar For For Management
1.5 Elect Director Alan B. Lefkof For For Management
1.6 Elect Director Mary Losty For For Management
1.7 Elect Director Thomas Saponas For For Management
1.8 Elect Director William Slavin For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PROCERA NETWORKS, INC.
Ticker: PKT Security ID: 74269U203
Meeting Date: MAY 30, 2013 Meeting Type: Annual
Record Date: APR 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Scott McClendon For For Management
1.2 Elect Director James F. Brear For For Management
1.3 Elect Director Staffan Hillberg For For Management
1.4 Elect Director Alan B. Lefkof For For Management
1.5 Elect Director Mary Losty For For Management
1.6 Elect Director Thomas Saponas For For Management
1.7 Elect Director William Slavin For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
5 Change State of Incorporation [from For For Management
Nevada to Delaware]
--------------------------------------------------------------------------------
PT LIPPO CIKARANG TBK
Ticker: LPCK Security ID: Y7130J117
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports and Discharge
Directors and Commissioners
2 Approve Allocation of Income For For Management
3 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
4 Elect Directors and Commissioners and For Against Management
Approve Their Remuneration
5 Amend Articles of Association For Against Management
--------------------------------------------------------------------------------
PT ULTRA JAYA MILK INDUSTRY TBK
Ticker: ULTJ Security ID: Y7145S169
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: JUN 07, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Allocation of Income For For Management
3 Approve Auditors For For Management
4 Other Business For Against Management
--------------------------------------------------------------------------------
QUALITY SYSTEMS, INC.
Ticker: QSII Security ID: 747582104
Meeting Date: AUG 16, 2012 Meeting Type: Proxy Contest
Record Date: JUN 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
Management Proxy (White Card) None
1.1 Elect Director Craig A. Barbarosh For For Management
1.2 Elect Director George H. Bristol For For Management
1.3 Elect Director Mark H. Davis For For Management
1.4 Elect Director D. Russell Pflueger For For Management
1.5 Elect Director Steven T. Plochocki For For Management
1.6 Elect Director Sheldon Razin For For Management
1.7 Elect Director Lance E. Rosenzweig For For Management
1.8 Elect Director Maureen A. Spivack For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
# Proposal Diss Rec Vote Cast Sponsor
Dissident Proxy (Gold Card) None
1.1 Elect Director Ahmed D. Hussein For Did Not Vote Shareholder
1.2 Elect Director Murray F. Brennan For Did Not Vote Shareholder
1.3 Elect Director Patrick B. Cline For Did Not Vote Shareholder
1.4 Elect Director John J. Mueller For Did Not Vote Shareholder
1.5 Elect Director John M. McDuffie For Did Not Vote Shareholder
1.6 Elect Director Thomas R. DiBenedetto For Did Not Vote Shareholder
1.7 Elect Director Ian A. Gordon For Did Not Vote Shareholder
2 Advisory Vote to Ratify Named None Did Not Vote Management
Executive Officers' Compensation
3 Ratify Auditors None Did Not Vote Management
--------------------------------------------------------------------------------
R.G. BARRY CORPORATION
Ticker: DFZ Security ID: 068798107
Meeting Date: NOV 02, 2012 Meeting Type: Annual
Record Date: SEP 06, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Nicholas DiPaolo For For Management
1.2 Elect Director Janice Page For For Management
1.3 Elect Director Harvey Weinberg For For Management
1.4 Elect Director Greg Tunney For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
REDWOOD TRUST, INC.
Ticker: RWT Security ID: 758075402
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard D. Baum For For Management
1.2 Elect Director Mariann Byerwalter For For Management
1.3 Elect Director Jeffrey T. Pero For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Increase Authorized Common Stock For For Management
5 Amend Omnibus Stock Plan For For Management
6 Amend Qualified Employee Stock For For Management
Purchase Plan
--------------------------------------------------------------------------------
RESOURCES CONNECTION, INC.
Ticker: RECN Security ID: 76122Q105
Meeting Date: OCT 18, 2012 Meeting Type: Annual
Record Date: AUG 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Susan Crawford For For Management
1.2 Elect Director Donald Murray For For Management
1.3 Elect Director A. Robert Pisano For For Management
1.4 Elect Director Michael Wargotz For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
RICHELIEU HARDWARE LTD.
Ticker: RCH Security ID: 76329W103
Meeting Date: MAR 28, 2013 Meeting Type: Annual/Special
Record Date: FEB 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pierre Bourgie For For Management
1.2 Elect Director Denyse Chicoyne For For Management
1.3 Elect Director Robert Courteau For For Management
1.4 Elect Director Jean Douville For For Management
1.5 Elect Director Mathieu Gauvin For For Management
1.6 Elect Director Richard Lord For For Management
1.7 Elect Director Marc Poulin For For Management
1.8 Elect Director Jocelyn Proteau For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Adopt New By-Law For For Management
4 Allow Board to Appoint Additional For For Management
Directors Up to a Maximum of One Third
of the Number of Directors Elected at
the Previous Meeting
--------------------------------------------------------------------------------
RICHTEK TECHNOLOGY CORP.
Ticker: 6286 Security ID: Y7286Y108
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
4 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
5 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder's
General Meeting
6 Approve Amendment to Rules and For For Management
Procedures for Election of Directors
and Supervisors
7 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
ROADRUNNER TRANSPORTATION SYSTEMS, INC.
Ticker: RRTS Security ID: 76973Q105
Meeting Date: MAY 21, 2013 Meeting Type: Annual
Record Date: APR 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mark A. DiBlasi For For Management
1.2 Elect Director Scott D. Rued For For Management
1.3 Elect Director John G. Kennedy, III For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ROBERT HALF INTERNATIONAL INC.
Ticker: RHI Security ID: 770323103
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: APR 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Andrew S. Berwick, Jr. For For Management
1.2 Elect Director Harold M. Messmer, Jr. For For Management
1.3 Elect Director Barbara J. Novogradac For For Management
1.4 Elect Director Robert J. Pace For For Management
1.5 Elect Director Frederick A. Richman For For Management
1.6 Elect Director M. Keith Waddell For For Management
2 Ratify Auditors For For Management
3 Amend Executive Incentive Bonus Plan For For Management
4 Amend Omnibus Stock Plan For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ROBERT WALTERS PLC
Ticker: RWA Security ID: G7608T118
Meeting Date: MAY 24, 2013 Meeting Type: Annual
Record Date: MAY 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Elect Leslie Van de Walle as Director For For Management
5 Re-elect Alan Bannatyne as Director For For Management
6 Re-elect Giles Daubeney as Director For For Management
7 Elect Brian McArthur-Muscroft as For For Management
Director
8 Re-elect Martin Griffiths as Director For For Management
9 Re-elect Carol Hui as Director For For Management
10 Re-elect Andrew Kemp as Director For For Management
11 Re-elect Robert Walters as Director For For Management
12 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase of Ordinary For For Management
Shares
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
RPS GROUP PLC
Ticker: RPS Security ID: G7701P104
Meeting Date: MAY 03, 2013 Meeting Type: Annual
Record Date: MAY 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect John Bennett as Director For For Management
5 Re-elect Louise Charlton as Director For For Management
6 Re-elect Robert Miller-Bakewell as For For Management
Director
7 Re-elect Tracey Graham as Director For For Management
8 Re-elect Alan Hearne as Director For For Management
9 Re-elect Brook Land as Director For For Management
10 Re-elect Phil Williams as Director For For Management
11 Re-elect Gary Young as Director For For Management
12 Appoint Deloitte LLP as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
18 Approve Bonus Plan For For Management
--------------------------------------------------------------------------------
RUE21, INC.
Ticker: RUE Security ID: 781295100
Meeting Date: JUN 07, 2013 Meeting Type: Annual
Record Date: APR 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert N. Fisch For For Management
1.2 Elect Director Arnold S. Barron For For Management
1.3 Elect Director Bruce L. Hartman For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For Against Management
4 Approve Executive Incentive Bonus Plan For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
SARTORIUS STEDIM BIOTECH
Ticker: DIM Security ID: F8005V111
Meeting Date: APR 16, 2013 Meeting Type: Annual/Special
Record Date: APR 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Consolidated Financial Statements, and
Discharge Directors
2 Approve Allocation of Income and For For Management
Dividends of EUR 1.10 per Share
3 Approve Auditors' Special Report on For For Management
Related-Party Transactions
4 Approve Remuneration of Directors in For Against Management
the Aggregate Amount of EUR 163,000
5 Approve Method of Calculation for For For Management
Directors Remuneration
6 Reelect Joachim Kreuzburg as Director For Against Management
7 Reelect Volker Niebel as Director For Against Management
8 Reelect Reinhard Vogt as Director For Against Management
9 Reelect Arnold Picot as Director For Against Management
10 Reelect Bernard Lemaitre as Director For Against Management
11 Reelect Liliane de Lassus as Director For Against Management
12 Reelect Henri Riey as Director For For Management
13 Approve Partial Spin Off Agreement For For Management
from Sartorius Stedim Biotech to
Sartorius Stedim FMT
14 Acknowledge Completion of Partial Spin For For Management
Off Agreement
15 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
SECURITY BANK CORPORATION
Ticker: SECB Security ID: Y7571C100
Meeting Date: MAY 28, 2013 Meeting Type: Annual
Record Date: MAY 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Minutes of Previous For For Management
Stockholders' Meeting
2 Approve the Annual Report For For Management
3 Ratify the Acts, Resolutions, and For For Management
Proceedings of the Board of Directors,
the Management Committees, Officers,
and Agents of the Corporation
4.1 Elect Frederick Y. Dy as a Director For For Management
4.2 Elect Paul Y. Ung as a Director For For Management
4.3 Elect Alberto S. Villarosa as a For For Management
Director
4.4 Elect Anastasia Y. Dy as a Director For For Management
4.5 Elect Jose R. Facundo as a Director For For Management
4.6 Elect Eduardo I. Plana as a Director For For Management
4.7 Elect Rafael F. Simpao, Jr. as a For For Management
Director
4.8 Elect Diana P. Aguilar as a Director For For Management
4.9 Elect Philip T. Ang as a Director For For Management
4.10 Elect Joseph R. Higdon as a Director For For Management
4.11 Elect James J.K. Hung as a Director For For Management
5 Approve the Declaration of 20 Percent For For Management
Stock Dividend
6 Approve the Increase in Authorized For For Management
Capital Stock
7 Approve the Amendment of Articles of For For Management
Incorporation
--------------------------------------------------------------------------------
SEI INVESTMENTS COMPANY
Ticker: SEIC Security ID: 784117103
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Alfred P. West, Jr. For Against Management
1b Elect Director William M. Doran For Against Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
SEMAFO INC.
Ticker: SMF Security ID: 816922108
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Terence F. Bowles For For Management
1.2 Elect Director Benoit Desormeaux For For Management
1.3 Elect Director Jean Lamarre For For Management
1.4 Elect Director John LeBoutillier For For Management
1.5 Elect Director Gilles Masson For For Management
1.6 Elect Director Lawrence McBrearty For For Management
1.7 Elect Director Tertius Zongo For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
SERIA CO. LTD.
Ticker: 2782 Security ID: J7113X106
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 15
--------------------------------------------------------------------------------
SHAWCOR LTD.
Ticker: SCL.A Security ID: 820904209
Meeting Date: MAR 14, 2013 Meeting Type: Special
Record Date: JAN 24, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Amalgamation with Seaborn For For Management
Acquisition Inc.
--------------------------------------------------------------------------------
SHAWCOR LTD.
Ticker: SCL Security ID: 820439107
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: APR 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John T. Baldwin For For Management
1.2 Elect Director Derek S. Blackwood For For Management
1.3 Elect Director William P. Buckley For For Management
1.4 Elect Director James W. Derrick For For Management
1.5 Elect Director Dennis H. Freeman For For Management
1.6 Elect Director John F. Petch For For Management
1.7 Elect Director Robert J. Ritchie For For Management
1.8 Elect Director Paul G. Robinson For For Management
1.9 Elect Director Heather A. Shaw For For Management
1.10 Elect Director Zoltan D. Simo For For Management
1.11 Elect Director E. Charlene Valiquette For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
SILICON LABORATORIES INC.
Ticker: SLAB Security ID: 826919102
Meeting Date: APR 16, 2013 Meeting Type: Annual
Record Date: FEB 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William G. Bock For For Management
1.2 Elect Director R. Ted Enloe, III For For Management
1.3 Elect Director Jack R. Lazar For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SIMPLEX HOLDINGS INC.
Ticker: 4340 Security ID: J7552G101
Meeting Date: JUN 16, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 520
2 Amend Articles To Amend Business Lines For For Management
3 Appoint Statutory Auditor Kurasawa, For For Management
Kazuo
4 Approve Ceiling for Performance-Based For For Management
Cash Compensation for Directors
--------------------------------------------------------------------------------
SIRTEX MEDICAL LTD.
Ticker: SRX Security ID: Q8510U101
Meeting Date: OCT 23, 2012 Meeting Type: Annual
Record Date: OCT 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect Grant Boyce as a Director For For Management
3 Approve the Grant of Up to 140,000 For For Management
Performance Rights to Gilman Wong,
Chief Executive Officer of the Company
4 Approve the Spill Resolution Against Against Management
--------------------------------------------------------------------------------
SMS MANAGEMENT & TECHNOLOGY LTD.
Ticker: SMX Security ID: Q8531A118
Meeting Date: OCT 23, 2012 Meeting Type: Annual
Record Date: OCT 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption Remuneration For For Management
Report
2 Elect Laurence Grimes Cox as a Director For For Management
3 Elect Derek Bernard Young as a Director For For Management
4 Approve the Increase in Maximum None For Management
Aggregate Remuneration of
Non-Executive Directors
5 Approve the Grant of 98,232 For For Management
Performance Rights to Thomas Stianos,
Chief Executive Officer of the Company
--------------------------------------------------------------------------------
SODASTREAM INTERNATIONAL LTD.
Ticker: SODA Security ID: M9068E105
Meeting Date: DEC 20, 2012 Meeting Type: Annual
Record Date: NOV 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Changes to Salary and Fringe For For Management
Benefits of Director and CEO Daniel
Birnbaum
2 Approve 2011 Bonus for Daniel Birnbaum For For Management
3 Approve 2012 Bonus for Daniel Birnbaum For For Management
4 Approve 2013 Bonus for Daniel Birnbaum For For Management
5 Approve Long Term Incentive Plan for For Against Management
Daniel Birnbaum
6 Increase Number of Shares Available For Against Management
under Employee Share Option Plan by
900,000
7 Reappoint Somekh Chaikin, a member For For Management
firm of KPMG International, as
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
SOFTING AG
Ticker: SYT Security ID: D7043U103
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.27 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2013
6a Elect Klaus Fuchs to the Supervisory For For Management
Board
6b Elect Andreas Kratzer to the For For Management
Supervisory Board
6c Elect Horst Schiessl to the For For Management
Supervisory Board
7 Amend Articles Re: Editorial Change For For Management
8 Approve Issuance of Warrants/Bonds For For Management
with Warrants Attached/Convertible
Bonds with Partial Exclusion of
Preemptive Rights up to Aggregate
Nominal Amount of EUR 20 Million;
Approve Creation of EUR 3.2 Million
Pool of Capital to Guarantee
Conversion Rights
--------------------------------------------------------------------------------
SONUS NETWORKS, INC.
Ticker: SONS Security ID: 835916107
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James K. Brewington For For Management
1.2 Elect Director John P. Cunningham For For Management
1.3 Elect Director Raymond P. Dolan For For Management
1.4 Elect Director Beatriz V. Infante For For Management
1.5 Elect Director Howard E. Janzen For For Management
1.6 Elect Director John A. Schofield For For Management
1.7 Elect Director Scott E. Schubert For For Management
1.8 Elect Director H. Brian Thompson For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SPORTON INTERNATIONAL INC.
Ticker: 6146 Security ID: Y8129X109
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Issuance of New Shares through For For Management
Capitalization of Profit and Employee
Bonus
4 Approve Amendments to Articles of For For Management
Association
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder's
General Meeting
8 Approve Release of Restrictions of For For Management
Competitive Activities of Appointed
Directors
--------------------------------------------------------------------------------
STANTEC INC.
Ticker: STN Security ID: 85472N109
Meeting Date: MAY 09, 2013 Meeting Type: Annual
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Douglas K. Ammerman For For Management
1.2 Elect Director David L. Emerson For For Management
1.3 Elect Director Delores M. Etter For For Management
1.4 Elect Director Anthony P. Franceschini For Withhold Management
1.5 Elect Director Robert J. Gomes For For Management
1.6 Elect Director Susan E. Hartman For For Management
1.7 Elect Director Aram H. Keith For For Management
1.8 Elect Director Donald J. Lowry For For Management
1.9 Elect Director Ivor M. Ruste For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
STHREE PLC
Ticker: STHR Security ID: G8499E103
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date: APR 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Clay Brendish as Director For For Management
5 Re-elect Alex Smith as Director For For Management
6 Re-elect Gary Elden as Director For For Management
7 Elect Justin Hughes as Director For For Management
8 Elect Steve Quinn as Director For For Management
9 Re-elect Alicja Lesniak as Director For For Management
10 Re-elect Tony Ward as Director For For Management
11 Re-elect Paul Bowtell as Director For For Management
12 Re-elect Nadhim Zahawi as Director For For Management
13 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
14 Authorise Board to Fix Remuneration of For For Management
Auditors
15 Authorise EU Political Donations and For For Management
Expenditure
16 Authorise the Company to Offer Key For For Management
Individuals the Opportunity to
Purchase Shareholdings in Certain of
the Company's Subsidiaries
17 Authorise Issue of Equity with For For Management
Pre-emptive Rights
18 Authorise Issue of Equity without For For Management
Pre-emptive Rights
19 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
SUPER RETAIL GROUP LTD.
Ticker: SUL Security ID: Q88009107
Meeting Date: OCT 22, 2012 Meeting Type: Annual
Record Date: OCT 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Sally Ann Pitkin as a Director For For Management
4 Approve the Grant of Up to 330,000 For Against Management
Performance Rights to Peter Birtles,
CEO and Managing Director of the
Company
--------------------------------------------------------------------------------
TAIWAN HON CHUAN ENTERPRISE CO. LTD.
Ticker: 9939 Security ID: Y8421M108
Meeting Date: JUN 19, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to Articles of For For Management
Association
4 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder
General Meeting
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7 Approve Proposal of Capital Increase For Against Management
by Issuance of Ordinary Shares or
Issuance of Ordinary Shares to
Participate in the Issuance of Global
Depository Receipt
--------------------------------------------------------------------------------
TAO HEUNG HOLDINGS LTD.
Ticker: 00573 Security ID: G8672Y108
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Chung Ming Fat as Director For For Management
3b Elect Leung Yiu Chun as Director For For Management
3c Elect Chan Yue Kwong, Michael as For For Management
Director
3d Elect Ng Yat Cheung as Director For For Management
3e Authorize Board to Fix the For For Management
Remuneration of Directors
4 Reappoint Ernst and Young as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
TAV HAVALIMANLARI HOLDING AS
Ticker: TAVHL Security ID: M8782T109
Meeting Date: MAY 30, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting and Elect Presiding For For Management
Council of Meeting
2 Accept Statutory Reports For For Management
3 Accept Financial Statements For For Management
4 Receive Information on Profit None None Management
Distribution Policy
5 Approve Allocation of Income For For Management
6 Approve Discharge of Board and Auditors For For Management
7 Ratify Director Appointments For For Management
8 Ratify External Auditors For For Management
9 Amend Company Articles For Against Management
10 Approve Working Principles of the For For Management
General Assembly
11 Receive Information on Remuneration None None Management
Policy
12 Approve Donation Policy and Receive For For Management
Information on Charitable Donations
Made in 2012
13 Receive Information on Company None None Management
Disclosure Policy
14 Receive Information on Related Party None None Management
Transactions
15 Receive Information on the Guarantees, None None Management
Pledges, and Mortgages Provided by the
Company to Third Parties
16 Grant Permission for Board Members to For For Management
Engage in Commercial Transactions with
Company and Be Involved with Companies
with Similar Corporate Purpose
17 Wishes None None Management
18 Close Meeting None None Management
--------------------------------------------------------------------------------
TED BAKER PLC
Ticker: TED Security ID: G8725V101
Meeting Date: JUN 20, 2013 Meeting Type: Annual
Record Date: JUN 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect David Bernstein as Director For For Management
5 Re-elect Raymond Kelvin as Director For For Management
6 Re-elect Lindsay Page as Director For For Management
7 Re-elect Ron Stewart as Director For For Management
8 Re-elect Anne Sheinfield as Director For For Management
9 Reappoint KPMG Audit plc as Auditors For For Management
10 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
11 Authorise Issue of Equity with For For Management
Pre-emptive Rights
12 Authorise Issue of Equity without For For Management
Pre-emptive Rights
13 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
TED BAKER PLC
Ticker: TED Security ID: G8725V101
Meeting Date: JUN 20, 2013 Meeting Type: Special
Record Date: JUN 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Long Term Incentive Plan For For Management
--------------------------------------------------------------------------------
TEGMA GESTAO LOGISTICA S.A
Ticker: TGMA3 Security ID: P90284103
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Directors For For Management
4 Elect Fiscal Council Members For For Management
5 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
TEST RESEARCH CO., LTD.
Ticker: 3030 Security ID: Y8591M102
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve the Issuance of New Shares by For For Management
Capitalization of Profit
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
--------------------------------------------------------------------------------
TETRA TECH, INC.
Ticker: TTEK Security ID: 88162G103
Meeting Date: FEB 26, 2013 Meeting Type: Annual
Record Date: JAN 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dan L. Batrack For For Management
1.2 Elect Director Hugh M. Grant For For Management
1.3 Elect Director Patrick C. Haden For For Management
1.4 Elect Director J. Christopher Lewis For For Management
1.5 Elect Director Albert E. Smith For For Management
1.6 Elect Director J. Kenneth Thompson For For Management
1.7 Elect Director Richard H. Truly For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
THE FOSCHINI GROUP LTD
Ticker: TFG Security ID: S29260155
Meeting Date: SEP 03, 2012 Meeting Type: Annual
Record Date: AUG 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 March 2012
2 Reappoint KPMG Inc as Auditors of the For For Management
Company and Henry du Plessis as the
Designated Partner
3 Re-elect David Nurek as Director For For Management
4 Re-elect Vuli Cuba as Director For For Management
5 Re-elect Michael Lewis as Director For For Management
6 Re-elect Peter Meiring as Director For For Management
7 Re-elect Sam Abrahams as Member of the For For Management
Audit Committee
8 Re-elect Vuli Cuba as Member of the For For Management
Audit Committee
9 Re-elect Eddy Oblowitz as Member of For For Management
the Audit Committee
10 Re-elect Noma Simamane as Member of For For Management
Audit Committee
11 Approve Remuneration Policy For Against Management
1 Approve Remuneration of Non-Executive For For Management
Directors
2 Adopt New Memorandum of Incorporation For Against Management
3 Authorise Specific Repurchase of For For Management
Shares from its Subsidiary and
Cancellation of Shares
4 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
5 Authorise the Company to Provide For For Management
Direct or Indirect Financial
Assistance to a Related or
Inter-related Company or Corporation
12 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
THE REJECT SHOP LTD.
Ticker: TRS Security ID: Q8050H106
Meeting Date: OCT 17, 2012 Meeting Type: Annual
Record Date: OCT 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Kevin Elkington as a Director For For Management
4 Elect Denis Westhorpe as a Director For For Management
5 Approve the Grant of Up to 35,600 For For Management
Performance Rights to Christopher
Bryce, Managing Director of the Company
--------------------------------------------------------------------------------
THERMADOR GROUPE
Ticker: THEP Security ID: F91651103
Meeting Date: APR 08, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 3.15 per Share
4 Approve Auditors' Special Report For For Management
Regarding New Related-Party Transaction
5 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
TILLY'S, INC.
Ticker: TLYS Security ID: 886885102
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Hezy Shaked For For Management
1.2 Elect Director Doug Collier For For Management
1.3 Elect Director Daniel Griesemer For For Management
1.4 Elect Director Seth Johnson For For Management
1.5 Elect Director Janet E. Kerr For For Management
1.6 Elect Director Bernard Zeichner For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
TORIDOLL CORP
Ticker: 3397 Security ID: J8963E107
Meeting Date: JUN 27, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Awata, Takaya For For Management
1.2 Elect Director Nagasawa, Takashi For For Management
1.3 Elect Director Kobatake, Yoshiaki For For Management
1.4 Elect Director Tanaka, Kimihiro For For Management
1.5 Elect Director Suzuki, Kuniaki For For Management
2 Appoint Alternate Statutory Auditor For For Management
Umeda, Hiroaki
--------------------------------------------------------------------------------
TRANCOM CO. LTD.
Ticker: 9058 Security ID: J9297N102
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 60
2.1 Elect Director Takebe, Hiroshi For For Management
2.2 Elect Director Shimizu, Masahisa For For Management
2.3 Elect Director Numata, Masakazu For For Management
2.4 Elect Director Kawamura, Masahiko For For Management
2.5 Elect Director Osawa, Takashi For For Management
2.6 Elect Director Tsunekawa, Yutaka For For Management
2.7 Elect Director Takeuchi, Kazuhiko For For Management
3 Appoint Statutory Auditor Kunitsune, For For Management
Hisao
4 Approve Deep Discount Stock Option Plan For For Management
--------------------------------------------------------------------------------
TRANSGLOBE ENERGY CORPORATION
Ticker: TGL Security ID: 893662106
Meeting Date: MAY 08, 2013 Meeting Type: Annual/Special
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Seven For For Management
2.1 Elect Director Ross G. Clarkson For For Management
2.2 Elect Director Lloyd W. Herrick For For Management
2.3 Elect Director Robert G. Jennings For For Management
2.4 Elect Director Geoffrey C. Chase For For Management
2.5 Elect Director Fred J. Dyment For For Management
2.6 Elect Director Gary S. Guidry For For Management
2.7 Elect Director Erwin L. Noyes For For Management
3 Re-approve Stock Option Plan For Against Management
4 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
TRIMAS CORPORATION
Ticker: TRS Security ID: 896215209
Meeting Date: MAY 09, 2013 Meeting Type: Annual
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Marshall A. Cohen For For Management
1.2 Elect Director David M. Wathen For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
TRINITY LTD.
Ticker: 00891 Security ID: G90624100
Meeting Date: MAY 28, 2013 Meeting Type: Annual
Record Date: MAY 27, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final and Special Final For For Management
Dividends
3a Elect Victor Fung Kwok King as Director For For Management
3b Elect Danny Lau Sai Wing as Director For For Management
3c Elect Bruno Li Kwok Ho as Director For For Management
3d Elect Jean-Marc Loubier as Director For For Management
4 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
TXC CORP.
Ticker: 3042 Security ID: Y90156103
Meeting Date: JUN 19, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to Articles of For For Management
Association
4 Approve Amendments to Procedures For For Management
Governing the Acquisition or Disposal
of Assets
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
7 Amendments to Trading Procedures For For Management
Governing Derivatives Products
8 Approve Amendment to Rules and For For Management
Procedures for Election of Directors
and Supervisors
9.1 Elect Lin Jinbao with Shareholder No.1 None Against Shareholder
as Director
9.2 Elect Lin Wanxing with Shareholder No. None Against Shareholder
6 as Director
9.3 Elect Guo Xiuxun with Shareholder No.8 None Against Shareholder
as Director
9.4 Elect Xu Derun with Shareholder No.7 None Against Shareholder
as Director
9.5 Elect Ge Tianzong with Shareholder No. None Against Shareholder
45 as Director
9.6 Elect Chenque Shangxin with None Against Shareholder
Shareholder No.44 as Director
9.7 Elect a Representative of Hongding None Against Shareholder
Venture Capital Co., Ltd. with
Shareholder No.44269 as Director
9.8 Elect Yang Du'an with Shareholder No. None Against Shareholder
18 as Director
9.9 Elect Yu Shangwu as Independent For For Management
Director
9.10 Elect Peng Yunhong as Independent For For Management
Director
9.11 Elect Cai Songqi as Independent For For Management
Director
10 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors
--------------------------------------------------------------------------------
ULTRA ELECTRONICS HOLDINGS PLC
Ticker: ULE Security ID: G9187G103
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date: APR 24, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Douglas Caster as Director For For Management
5 Re-elect Christopher Bailey as Director For For Management
6 Re-elect Sir Robert Walmsley as For For Management
Director
7 Elect Martin Broadhurst as Director For For Management
8 Re-elect Mark Anderson as Director For For Management
9 Re-elect Rakesh Sharma as Director For For Management
10 Reappoint Deloitte LLP as Auditors For For Management
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Amend Long Term Incentive Plan 2007 For For Management
13 Approve Increase in the Aggregate For For Management
Limit of Fees Payable to Directors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
UNIVERSAL TRUCKLOAD SERVICES, INC.
Ticker: UACL Security ID: 91388P105
Meeting Date: JUN 07, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Donald B. Cochran For Withhold Management
1.2 Elect Director Matthew T. Moroun For Withhold Management
1.3 Elect Director Manuel J. Moroun For Withhold Management
1.4 Elect Director Frederick P. Calderone For Withhold Management
1.5 Elect Director Joseph J. Casaroll For For Management
1.6 Elect Director Daniel J. Deane For For Management
1.7 Elect Director Michael A. Regan For For Management
1.8 Elect Director Daniel C. Sullivan For Withhold Management
1.9 Elect Director Richard P. Urban For For Management
1.10 Elect Director Ted B. Wahby For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
UZMA BHD
Ticker: UZMA Security ID: Y93246109
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: JUN 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Elect Rozita Binti Mat Shah @ Hassan For For Management
as Director
3 Elect Nazahatuhisamudin Bin Che Haron For For Management
as Director
4 Approve Crowe Horwath as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
--------------------------------------------------------------------------------
VERA BRADLEY, INC.
Ticker: VRA Security ID: 92335C106
Meeting Date: MAY 30, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Barbara Bradley For For Management
Baekgaard
1.2 Elect Director Richard Baum For For Management
1.3 Elect Director Patricia R. Miller For For Management
1.4 Elect Director Frances P. Philip For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
VIEWORKS CO LTD
Ticker: 100120 Security ID: Y9330U108
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements For For Management
2 Approve Appropriation of Income and For For Management
Dividend of KRW 100 per Share
3 Reelect One Inside Director and One For Against Management
Outside Director (Bundled)
4 Reappoint Lee Chul-Sang as Internal For For Management
Auditor
5 Approve Total Remunerations for Inside For For Management
Directors, Outside Directors and
Internal Auditor
--------------------------------------------------------------------------------
VISTAPRINT N.V.
Ticker: VPRT Security ID: N93540107
Meeting Date: NOV 08, 2012 Meeting Type: Annual
Record Date: OCT 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Mark T. Thomas to Supervisory For For Management
Board
2 Elect Hauke Hansen to Executive Board For For Management
3 Approve Financial Statements and For For Management
Statutory Reports
4 Approve Discharge of Management Board For For Management
5 Approve Discharge of Supervisory Board For For Management
6 Authorize Repurchase of Up to 6.8 For For Management
Million of Issued and Outstanding
Ordinary Shares
7 Authorize Repurchase of Up to 3.4 For For Management
Million of Issued and Outstanding
Ordinary Shares
8 Amend Articles Re: Articles of For For Management
Association to Reduce Our Authorized
Capital to 2,000,000 Euros Divided
into 100,000,000 Ordinary Shares and
100,000,000 Preferred Shares
9 Approve the Cancellation of 5,869,662 For For Management
Ordinary Shares Held In Our Treasury
Account
10 Ratify Ernst & Young LLP as Auditors For For Management
11 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
VITASOY INTERNATIONAL HOLDINGS LTD.
Ticker: 00345 Security ID: Y93794108
Meeting Date: AUG 28, 2012 Meeting Type: Annual
Record Date: AUG 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a1 Reelect David Kwok-po Li as Director For Against Management
3a2 Reelect Jan P. S. Erlund as Director For For Management
3b Authorize Board to Fix Remuneration of For For Management
Directors
4 Appoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
5d Approve Grant of Options to Winston For Against Management
Yau-lai Lo Under the Existing Share
Option Scheme
5e Adopt New Share Option Scheme For Against Management
--------------------------------------------------------------------------------
VOLTERRA SEMICONDUCTOR CORPORATION
Ticker: VLTR Security ID: 928708106
Meeting Date: APR 15, 2013 Meeting Type: Annual
Record Date: MAR 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jeffrey Staszak For For Management
1.2 Elect Director Ralph Quinsey For For Management
1.3 Elect Director Jeff Richardson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
WAGEWORKS, INC.
Ticker: WAGE Security ID: 930427109
Meeting Date: APR 16, 2013 Meeting Type: Annual
Record Date: FEB 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard M. Berkeley For For Management
1.2 Elect Director Jerome D. Gramaglia For For Management
2 Amend Omnibus Stock Plan For Against Management
3 Approve Executive Incentive Bonus Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
WEBJET LTD.
Ticker: WEB Security ID: Q9570B108
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: NOV 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect David Clarke as a Director For For Management
3 Approve the Increase in Maximum For For Management
Aggregate Remuneration of
Non-Executive Directors
--------------------------------------------------------------------------------
WESTFIRE ENERGY LTD.
Ticker: WFE Security ID: 960254100
Meeting Date: OCT 22, 2012 Meeting Type: Annual/Special
Record Date: SEP 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Acquisition of Guide For Against Management
Exploration Ltd.
2 Authorize New Class of Preferred Shares For For Management
3 Change Company Name to Long Run For For Management
Exploration Ltd.
4 Fix Number of Directors at Ten For For Management
5.1 Elect Director William E. Andrew For For Management
5.2 Elect Director John A. Brussa For For Management
5.3 Elect Director Edward Chwyl For For Management
5.4 Elect Director Paul Dimitriadis For For Management
5.5 Elect Director Jeffery E. Errico For For Management
5.6 Elect Director Michael M. Graham For For Management
5.7 Elect Director Michael Y. McGovern For For Management
5.8 Elect Director Dale A. Miller For For Management
5.9 Elect Director Bradley R. Munro For For Management
5.10 Elect Director Patricia M. Newson For For Management
6 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
WIRECARD AG
Ticker: WDI Security ID: D22359133
Meeting Date: JUN 20, 2013 Meeting Type: Annual
Record Date: MAY 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.11 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify Ernst & Young as Auditors for For For Management
Fiscal 2013
--------------------------------------------------------------------------------
ZAGG INC
Ticker: ZAGG Security ID: 98884U108
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Randall L. Hales For Against Management
1.2 Elect Director Cheryl Larabee For For Management
1.3 Elect Director E. Todd Heiner For For Management
1.4 Elect Director Bradley J. Holiday For For Management
1.5 Elect Director Daniel R. Maurer For For Management
2 Ratify Auditors For For Management
3 Approve Omnibus Stock Plan For Against Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Advisory Vote on Say on Pay Frequency Three One Year Management
Years
--------------------------------------------------------------------------------
ZOOPLUS AG
Ticker: ZO1 Security ID: D9866J108
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Discharge of Management Board For For Management
for Fiscal 2012
3 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
4 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2013
5 Elect Thomas Schmitt to the For For Management
Supervisory Board
6 Approve Affiliation Agreements with For For Management
BITIBA GmbH
--------------------------------------------------------------------------------
ZUMIEZ INC.
Ticker: ZUMZ Security ID: 989817101
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Gerald F. Ryles For For Management
1b Elect Director Travis D. Smith For For Management
2 Ratify Auditors For For Management
======================= Grandeur Peak Global Reach Fund ========================
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
================ Grandeur Peak International Opportunities Fund ================
1000MERCIS
Ticker: ALMIL Security ID: F6734R104
Meeting Date: MAY 29, 2013 Meeting Type: Annual/Special
Record Date: MAY 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Discharge Directors and Auditors
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.30 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Approve Non-Deductible Expenses For For Management
6 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 8,000
7 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
8 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100,000
9 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 100,000
10 Approve Issuance of up to Aggregate For Against Management
Nominal Amount of EUR 100,000 Percent
of Issued Capital Per Year for a
Private Placement
11 Authorize Board to Increase Capital in For Against Management
the Event of Additional Demand Related
to Delegation Submitted to
Shareholders Vote Above
12 Set Total Limit for Capital Increase For For Management
to Result from All Issuance Requests
at EUR 100,000
13 Approve Issuance of Securities For For Management
Convertible into Debt up to an
Aggregate Amount of EUR 40 Million
14 Authorize Capitalization of Reserves For For Management
of Up to EUR 100,000 for Bonus Issue
or Increase in Par Value
15 Approve Employee Stock Purchase Plan For For Management
16 Authorize Directed Share Repurchase For Against Management
Program in Order to Reduce Capital
17 Approve Issuance of 140,000 Warrants For Against Management
Reserved for Employees and Corporate
Officers
18 Eliminate Preemptive Rights Pursuant For Against Management
to Item 17 Above
19 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
1ST HOLDINGS INC
Ticker: 3644 Security ID: J61408100
Meeting Date: MAY 20, 2013 Meeting Type: Annual
Record Date: FEB 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 11.64
2.1 Elect Director Uchino, Hiroyuki For For Management
2.2 Elect Director Kimura, Yuichi For For Management
2.3 Elect Director Tanaka, Jun For For Management
2.4 Elect Director Akaike, Atsushi For For Management
2.5 Elect Director Ozeki, Yoshiro For For Management
3 Approve Annual Bonus Payment to For For Management
Directors
--------------------------------------------------------------------------------
ABCAM PLC
Ticker: ABC Security ID: G0060R118
Meeting Date: OCT 22, 2012 Meeting Type: Annual
Record Date: OCT 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
5 Re-elect Mike Redmond as Director For For Management
6 Re-elect Peter Keen as Director For For Management
7 Elect Murray Hennessy as Director For For Management
8 Elect Michael Ross as Director For For Management
9 Amend 2005 Share Option Scheme For For Management
10 Authorise Issue of Equity with For For Management
Pre-emptive Rights
11 Authorise Issue of Equity without For For Management
Pre-emptive Rights
12 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
ABLE C&C CO.
Ticker: 078520 Security ID: Y00045107
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Stock
Dividend of 0.1 Shares per Share and
Cash Dividend of KRW 500 per Share
2 Amend Articles of Incorporation For For Management
3 Reelect Lee Gwang-Yeol as Inside For For Management
Director
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Approve Stock Option Grants For For Management
--------------------------------------------------------------------------------
ADDTECH AB
Ticker: ADDT B Security ID: W4260L105
Meeting Date: AUG 29, 2012 Meeting Type: Annual
Record Date: AUG 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For Did Not Vote Management
3 Prepare and Approve List of For Did Not Vote Management
Shareholders
4 Approve Agenda of Meeting For Did Not Vote Management
5 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
6 Acknowledge Proper Convening of Meeting For Did Not Vote Management
7 Receive Financial Statements and None None Management
Statutory Reports (Non-Voting)
8 Receive President's Report None None Management
9a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
9b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 8 per Share
9c Approve Discharge of Board and For Did Not Vote Management
President
10 Receive Nominating Committee Report None None Management
11 Determine Number of Members (6) and For Did Not Vote Management
Deputy Members of Board
12 Approve Remuneration of Directors in For Did Not Vote Management
the Aggregate Amount of SEK 1.5
million; Approve Remuneration of
Auditors
13 Reelect Anders Borjesson (chair), Eva For Did Not Vote Management
Elmstedt, Tom Hedelius, Johan Sjo and
Lars Spongberg as Directors; Elect
Ulf Mattsson as New Director
14 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Five of Company's
Largest Shareholders to Serve on
Nominating Committee
15 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
16 Approve Stock Option Plan For Did Not Vote Management
17 Authorize Share Repurchase Program and For Did Not Vote Management
Reissuance of Repurchased Shares
18 Close Meeting None None Management
--------------------------------------------------------------------------------
ADLER MODEMARKTE AG
Ticker: ADD Security ID: D0190F102
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: MAY 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.40 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2013
6a Elect Wolfgang Burgard to the For For Management
Supervisory Board
6b Elect Cosimo Carbonelli d?Angelo to For For Management
the Supervisory Board
6c Elect Paola Viscardi-Giazzi to the For For Management
Supervisory Board
6d Elect Giorgio Mercogliano to the For For Management
Supervisory Board
6e Elect Massimiliano Monti to the For For Management
Supervisory Board
6f Elect Michele Puller to the For For Management
Supervisory Board
7 Authorize Share Repurchase Program and For For Management
Reissuance or Cancellation of
Repurchased Shares
8 Amend Articles Re: Majority For For Management
Requirement to Recall Supervisory
Board Members
9 Amend Articles Re: Remuneration of For For Management
Supervisory Board
--------------------------------------------------------------------------------
ADVANCED MEDICAL SOLUTIONS GROUP PLC
Ticker: AMS Security ID: G0098X103
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAY 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
4 Re-elect Penny Freer as Director For For Management
4A Re-elect Mary Tavener as Director For For Management
5 Re-elect Dr Don Evans as Director For For Management
6 Approve Final Dividend For For Management
7 Authorise Issue of Equity with For For Management
Pre-emptive Rights
8 Authorise Issue of Equity without For For Management
Pre-emptive Rights
9 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
AEON CREDIT SERVICE (M) BHD
Ticker: AEONCR Security ID: Y0018E102
Meeting Date: AUG 28, 2012 Meeting Type: Special
Record Date: AUG 16, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Bonus Issue For For Management
--------------------------------------------------------------------------------
AEON CREDIT SERVICE (M) BHD
Ticker: AEONCR Security ID: Y0018E102
Meeting Date: JUN 18, 2013 Meeting Type: Annual
Record Date: JUN 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.195 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Yasuhiro Kasai as Director For For Management
5 Elect Krishnappan A/L S.P.S. Singaram For For Management
as Director
6 Elect Masao Mizuno as Director For For Management
7 Elect Jun Suzuki as Director For For Management
8 Elect Abdullah bin Mohd Yusof as For For Management
Director
9 Elect Ramli bin Ibrahim as Director For For Management
10 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
11 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
12 Approve Implementation of For For Management
Shareholders' Mandate for Recurrent
Related Party Transactions
13 Approve Abdullah bin Mohd Yusof to For For Management
Continue Office as Independent
Non-Executive Director
14 Approve Ramli bin Ibrahim to Continue For For Management
Office as Independent Non-Executive
Director
--------------------------------------------------------------------------------
AIRTAC INTERNATIONAL GROUP
Ticker: 1590 Security ID: G01408106
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Allocation of Income and For For Management
Dividends
3 Approve the Issuance of New Shares by For For Management
Capitalization of Distributable
Earnings
4 Approve Cash Capital Increase by For For Management
Issuing Ordinary Shares
5 Approve Amendments to Articles of For For Management
Association
6 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
7 Approve to Amend Trading Procedures For For Management
Governing Derivatives Products
8 Approve Amendments on the Procedures For For Management
for Lending Funds to Other Parties
9 Approve Amendments on the Procedures For For Management
for Endorsement and Guarantees
10.1 Elect Director Wang Shih-Chung, with None Against Shareholder
ID/Shareholder No.F121821096
10.2 Elect Director Lan Shun-Cheng, with None Against Shareholder
ID/Shareholder No.7
10.3 Elect Director Wang Hai-Ming, with None Against Shareholder
ID/Shareholder No.19720717WA
10.4 Elect Director Lin Chiang-Ti, with None Against Shareholder
ID/Shareholder No.19
10.5 Elect Director Tsao Yung-Hsiang, with None Against Shareholder
ID/Shareholder No.146
10.6 Elect Director Chen Jui-Lung, with None Against Shareholder
ID/Shareholder No.9
10.7 Elect Independent Director Chang For For Management
Bao-Guang, with ID/Shareholder No.
T121000203
10.8 Elect Independent Director Chiang For For Management
Chih-Chun, with ID/Shareholder No.
F102805429
10.9 Elect Independent Director Leong For For Management
Kam-Son, with ID/Shareholder No.
19550127LE
11 Approve Release of Restrictions of For Against Management
Competitive Activities of Appointed
Directors
12 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
ALBARAKA TURK KATILIM BANKASI AS
Ticker: ALBRK Security ID: M0478U102
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting and Elect Presiding For For Management
Council of Meeting
2 Authorize Presiding Council to Sign For For Management
Minutes of Meeting
3 Accept Statutory Reports For For Management
4 Appoint Internal and External Auditors For For Management
5 Accept Financial Statements For For Management
6 Approve Discharge of Board For For Management
7 Approve Discharge of Auditors For For Management
8 Approve Allocation of Income For For Management
9 Amend Company Articles For For Management
10 Approve Working Principles of the For For Management
General Assembly
11 Increase Number of Board Members to 12 For For Management
and Elect Director
12 Grant Permission for Board Members to For For Management
Engage in Commercial Transactions with
Company and Be Involved with Companies
with Similar Corporate Purpose
13 Receive Information on Charitable None None Management
Donations
14 Approve Director Remuneration For For Management
15 Wishes None None Management
--------------------------------------------------------------------------------
ALL AMERICA LATINA LOGISTICA S.A.
Ticker: ALLL3 Security ID: P01627242
Meeting Date: APR 17, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For Against Management
Dividends
3 Elect Directors For Against Management
4 Elect Fiscal Council Members For For Management
--------------------------------------------------------------------------------
ALL AMERICA LATINA LOGISTICA S.A.
Ticker: ALLL3 Security ID: P01627242
Meeting Date: APR 17, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Remuneration of Company's For Against Management
Management
2 Approve Remuneration of Fiscal Council For For Management
Members
--------------------------------------------------------------------------------
ARA ASSET MANAGEMENT LTD.
Ticker: D1R Security ID: G04512102
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Elect Lim How Teck as Director For For Management
4 Elect Cheng Mo Chi Moses as Director For For Management
5 Elect Colin Stevens Russel as Director For For Management
6 Approve Directors' Fees For For Management
7 Reappoint KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Authorize Share Repurchase Program For For Management
10 Approve Proposed Amendments to the For For Management
Bye-Laws of the Company
--------------------------------------------------------------------------------
ARAMEX PJSC
Ticker: ARMX Security ID: M1463Z106
Meeting Date: APR 16, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Board Report on Company For For Management
Operations
2 Approve Auditors' Report on Company For For Management
Financial Statements
3 Accept Financial Statements For For Management
4 Approve Dividends For For Management
5 Approve Remuneration of Directors For Against Management
6 Approve Discharge of Directors and For For Management
Auditors
7 Ratify Auditors and Fix Their For For Management
Remuneration
--------------------------------------------------------------------------------
ATRIUM INNOVATIONS INC.
Ticker: ATB Security ID: 04963Y102
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yvon Bolduc For For Management
1.2 Elect Director Alain Bouchard For For Management
1.3 Elect Director Eric Dupont For For Management
1.4 Elect Director Pierre Fitzgibbon For For Management
1.5 Elect Director Jacques Gauthier For For Management
1.6 Elect Director Claude Lamoureux For For Management
1.7 Elect Director Pierre Laurin For For Management
1.8 Elect Director Gerard Limoges For For Management
1.9 Elect Director Javier San Juan For For Management
1.10 Elect Director Carole St-Charles For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
AUDIKA GROUPE
Ticker: ADI Security ID: F0490T107
Meeting Date: JUN 12, 2013 Meeting Type: Annual/Special
Record Date: JUN 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.27 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Appoint Denjean and Associes Audit as For For Management
Auditor
6 Appoint Mark Bathgate as Alternate For For Management
Auditor
7 Authorize Repurchase of Up to 10 For Against Management
Percent of Issued Share Capital
8 Authorize Decrease in Share Capital For For Management
via Cancellation of Repurchased Shares
9 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of 20 Percent of Capital
10 Authorize Board to Increase Capital in For For Management
the Event of Additional Demand Related
to Delegation Submitted to
Shareholders Vote Above
11 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of 20 Percent of Capital
12 Approve Issuance of up to 20 Percent For Against Management
of Issued Capital Per Year for a
Private Placement
13 Authorize Capital Increase of up to 10 For For Management
Percent of Issued Capital for
Contributions in Kind
14 Approve Employee Stock Purchase Plan For For Management
15 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
BANCO ABC BRASIL S.A.
Ticker: ABCB4 Security ID: P0763M135
Meeting Date: NOV 16, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director For For Management
--------------------------------------------------------------------------------
BANCO DAYCOVAL SA
Ticker: DAYC4 Security ID: P0911X116
Meeting Date: APR 29, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Interest on Capital Stock For For Management
Payments
4 Approve Interim Dividends For For Management
5 Approve Additional Dividends For For Management
6 Elect Directors For For Management
7 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
BANK OF GEORGIA HOLDINGS PLC
Ticker: BGEO Security ID: G08195102
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Neil Janin as Director For For Management
5 Re-elect Irakli Gilauri as Director For For Management
6 Re-elect David Morrison as Director For For Management
7 Re-elect Allan Hirst as Director For For Management
8 Re-elect Alasdair Breach as Director For For Management
9 Re-elect Kaha Kiknavelidze as Director For For Management
10 Re-elect Ian Hague as Director For For Management
11 Re-elect Hanna Loikkanen as Director For For Management
12 Appoint Ernst & Young LLP as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise EU Political Donations and For For Management
Expenditure
15 Authorise Issue of Equity with For For Management
Pre-emptive Rights
16 Authorise Issue of Equity without For For Management
Pre-emptive Rights
17 Authorise Market Purchase of Ordinary For For Management
Shares
18 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BASWARE OYJ
Ticker: BAS1V Security ID: X07111101
Meeting Date: FEB 14, 2013 Meeting Type: Annual
Record Date: FEB 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Call the Meeting to Order None None Management
3 Designate Inspector or Shareholder For For Management
Representative(s) of Minutes of Meeting
4 Acknowledge Proper Convening of Meeting For For Management
5 Prepare and Approve List of For For Management
Shareholders
6 Receive Financial Statements and None None Management
Statutory Reports, the Board's Report,
and the Auditor's Report; Receive
Review by the CEO; Receive
Presentation on the Board's Activities
7 Accept Financial Statements and For For Management
Statutory Reports
8 Approve Allocation of Income and For For Management
Dividends of EUR 0.23 Per Share
9 Approve Discharge of Board and For For Management
President
10 Approve Remuneration of Directors in For For Management
the Amount of EUR 55,000 for Chairman,
EUR 32,000 for Vice Chairman, and EUR
27,500 for Other Directors; Approve
Meeting Fees
11 Fix Number of Directors at 5 For For Management
12 Reelect Hannu Vaajoensuu, Pentti For For Management
Heikkinen, Anssi Vanjoki, and Ilkka
Sihvo as Directors; Elect Tuija
Soanjarvi as New Directors
13 Approve Remuneration of Auditors For For Management
14 Ratify Ernst & Young as Auditors For For Management
15 Amend Articles Re: Book Entry System; For For Management
Auditor; Matters Pertaining to AGM
16 Authorize Repurchase of up to 1.29 For For Management
Million Issued Shares
17 Authorize Issuance of up to 2.6 For For Management
Million Shares, and Conveyance of up
to 1.4 Million Treasury Shares without
Preemptive Rights
18 Close Meeting None None Management
--------------------------------------------------------------------------------
BEAZLEY PLC
Ticker: BEZ Security ID: G1143Q101
Meeting Date: MAR 27, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Second Interim Dividend For For Management
4 Approve Special Dividend For For Management
5 Re-elect George Blunden as Director For For Management
6 Re-elect Martin Bride as Director For For Management
7 Re-elect Adrian Cox as Director For For Management
8 Re-elect Jonathan Gray as Director For For Management
9 Re-elect Dennis Holt as Director For For Management
10 Re-elect Andrew Horton as Director For For Management
11 Re-elect Neil Maidment as Director For For Management
12 Re-elect Padraic O'Connor as Director For For Management
13 Re-elect Vincent Sheridan as Director For For Management
14 Re-elect Ken Sroka as Director For For Management
15 Re-elect Rolf Tolle as Director For For Management
16 Re-elect Clive Washbourn as Director For For Management
17 Elect Angela Crawford-Ingle as Director For For Management
18 Reappoint KPMG as Auditors For For Management
19 Authorise Board to Fix Remuneration of For For Management
Auditors
20 Authorise Issue of Equity with For For Management
Pre-emptive Rights
21 Authorise Issue of Equity without For For Management
Pre-emptive Rights
22 Authorise Market Purchase of Ordinary For For Management
Shares
23 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
24 Approve Marine Share Incentive Plan For Against Management
--------------------------------------------------------------------------------
BENEFIT ONE INC.
Ticker: 2412 Security ID: J0447X108
Meeting Date: JUN 27, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 3500
2.1 Elect Director Nambu, Yasuyuki For For Management
2.2 Elect Director Shiraishi, Norio For For Management
2.3 Elect Director Suzuki, Masako For For Management
2.4 Elect Director Nosohara, Koji For For Management
2.5 Elect Director Ota, Tsutomu For For Management
2.6 Elect Director Hirasawa, Hajime For For Management
2.7 Elect Director Wakamoto, Hirotaka For For Management
2.8 Elect Director Nakase, Yuuko For For Management
2.9 Elect Director Kamitomai, Akira For For Management
3 Appoint Statutory Auditor Nakagawa, For For Management
Makoto
4 Appoint Alternate Statutory Auditor For For Management
Nomura, Kazufumi
--------------------------------------------------------------------------------
BERTRANDT AKTIENGESELLSCHAFT
Ticker: BDT Security ID: D1014N107
Meeting Date: FEB 20, 2013 Meeting Type: Annual
Record Date: JAN 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2011/2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 2 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2011/2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2011/2012
5 Approve Affiliation Agreements with For For Management
Bertrandt Fahrerprobung Sued GmbH
6 Approve Affiliation Agreements with For For Management
Bertrandt Ehningen GmbH
7 Approve Affiliation Agreements with For For Management
Bertrandt GmbH
8 Approve Creation of EUR 4 Million Pool For For Management
of Capital with Partial Exclusion of
Preemptive Rights
9 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2012/2013
--------------------------------------------------------------------------------
BILLABONG INTERNATIONAL LTD.
Ticker: BBG Security ID: Q1502G107
Meeting Date: OCT 24, 2012 Meeting Type: Annual
Record Date: OCT 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Gordon Merchant as a Director For For Management
2 Elect Colette Paull as a Director For For Management
3 Elect Paul Naude as a Director For Against Management
4 Elect Sally Pitkin as a Director For For Management
5 Approve the Remuneration Report For For Management
6 Approve the Grant of Up to A$614,000 For For Management
Worth of Fully Paid Ordinary Shares to
Launa Inman, Managing Director and
Chief Executive Officer of the Company
7 Approve the Grant of Up to A$383,769 For For Management
Worth of Fully Paid Ordinary Shares to
Paul Naude, President Americas of the
Company
--------------------------------------------------------------------------------
BRAMMER PLC
Ticker: BRAM Security ID: G13076107
Meeting Date: MAY 17, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect Ian Fraser as Director For For Management
5 Re-elect Paul Thwaite as Director For For Management
6 Re-elect Charles Irving-Swift as For For Management
Director
7 Re-elect Bill Whiteley as Director For For Management
8 Re-elect Terry Garthwaite as Director For For Management
9 Re-elect Duncan Magrath as Director For For Management
10 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Authorise Issue of Equity with For For Management
Pre-emptive Rights
13 Authorise Issue of Equity without For For Management
Pre-emptive Rights
14 Authorise Market Purchase of Ordinary For For Management
Shares
15 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
BREADTALK GROUP LTD
Ticker: 5DA Security ID: Y0969F108
Meeting Date: APR 23, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Elect Katherine Lee Lih Leng as For For Management
Director
4 Elect Chan Soo Sen as Director For For Management
5 Approve Directors' Fees For For Management
6 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
8 Approve Grant of Options and Issuance For For Management
of Shares Under the BreadTalk Group
Limited Employees' Share Option Scheme
9 Approve Grant of Awards and Issuance For For Management
of Shares Pursuant to the BreadTalk
Group Limited Restricted Share Grant
Plan
10 Approve Grant of Awards and Issuance For For Management
of Shares to Participants Pursuant to
the Rules of the BreadTalk Group
Limited Restricted Share Grant Plan
11 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
BRUNEL INTERNATIONAL NV
Ticker: Security ID: N1677J103
Meeting Date: NOV 15, 2012 Meeting Type: Special
Record Date: OCT 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect J. Bout to Supervisory Board For For Management
3 Close Meeting None None Management
--------------------------------------------------------------------------------
CAMPBELL BROTHERS LTD.
Ticker: CPB Security ID: Q20240109
Meeting Date: JUL 31, 2012 Meeting Type: Annual
Record Date: JUL 29, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2i Elect Bruce Brown as a Director For For Management
2ii Elect Ray Hill as a Director For For Management
2iii Elect Grant Murdoch as a Director For For Management
2iv Elect John Mulcahy as a Director For For Management
3 Approve the Increase in Maximum For For Management
Aggregate Remuneration for
Non-Executive Directors from A$950,000
to A$1.5 Million
4 Approve the Remuneration Report for For For Management
the Year Ended March 31, 2012
5 Approve the Grant of Performance For Against Management
Rights to a Maximum Value of A$675,000
to Greg Kilmister, Managing Director,
Under the Company's Long Term
Incentive Plan
6 Aprove the Change of Company Name to For For Management
ALS Limited
7 Approve the Share Split on the Basis For For Management
that Every Share be Divided into Five
Shares
--------------------------------------------------------------------------------
CAMTEK LTD.
Ticker: CAMT Security ID: M20791105
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: OCT 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Reelect Rafi Amit as Director For For Management
1.2 Reelect Yotam Stern as Director For For Management
1.3 Reelect Eran Bendoly as Director For For Management
2 Subject to 1.3, Approve Stock Option For For Management
Plan Grants of Eran Bendoly
3.1 Reelect Gabi Heller as External For For Management
Director
3.1a Vote FOR If You Are a Controlling None Against Management
Shareholder or Have a Personal
Interest in the Previous Item; Vote
AGAINST If You Are NOT a Controlling
Shareholder and Do NOT Have a Personal
Interest in the Previous Item
3.2 Reelect Rafi Koriat as External For For Management
Director
3.2a Vote FOR If You Are a Controlling None Against Management
Shareholder or Have a Personal
Interest in the Previous Item; Vote
AGAINST If You Are NOT a Controlling
Shareholder and Do NOT Have a Personal
Interest in the Previous Item
4 Reappoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
5 Receipt and Consideration of Auditors' None None Management
Report and Audited Consolidated
Financial Statements
--------------------------------------------------------------------------------
CB INDUSTRIAL PRODUCT HOLDINGS BHD
Ticker: CBIP Security ID: Y1228S105
Meeting Date: MAY 31, 2013 Meeting Type: Annual
Record Date: MAY 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Ardy Esfandiari Bin Tengku A. For Against Management
Hamid Shah as Director
2 Elect Michael Ting Sii Ching as For For Management
Director
3 Approve Remuneration of Directors For For Management
4 Approve Crowe Horwath as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5 Authorize Share Repurchase Program For For Management
6 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
7 Approve Michael Ting Sii Ching to For For Management
Continue Office as Independent
Non-Executive Director
8 Approve Wong Chee Beng to Continue For For Management
Office as Independent Non-Executive
Director
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: SEP 13, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2012 Stock Option Plan; For For Management
Replace Existing Plans
2 Approve Stock Option Plan Grants For For Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For For Management
Dividends
3 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: APR 29, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Capitalization of Reserves For For Management
2 Amend Articles For For Management
--------------------------------------------------------------------------------
CETIP S.A. - MERCADOS ORGANIZADOS
Ticker: CTIP3 Security ID: P23840104
Meeting Date: MAY 27, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Alexsandro Broedel Lopes as For For Management
Director
--------------------------------------------------------------------------------
CHINA MEDICAL SYSTEM HOLDINGS LTD.
Ticker: 00867 Security ID: G21108124
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a Elect Chen Yanling as Executive For For Management
Director
3b Elect Cheung Kam Shing, Terry as For For Management
Independent Non-Executive Director
3c Elect Sa Manlin as Executive Director For For Management
3d Elect Peng Huaizheng as Independent For For Management
Non-Executive Director
3e Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
6 Approve Repurchase of Up to 10 Percent For For Management
of Issued Capital
7 Authorize Reissuance of Repurchased For For Management
Shares
--------------------------------------------------------------------------------
CLICKS GROUP LTD
Ticker: CLS Security ID: S17249111
Meeting Date: JAN 23, 2013 Meeting Type: Annual
Record Date: JAN 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 August 2012
2 Appoint Ernst & Young Inc as Auditors For For Management
of the Company and Malcolm Rapson as
the Individual Registered Auditor
3 Re-elect Fatima Jakoet as Director For For Management
4 Re-elect David Kneale as Director For For Management
5 Re-elect David Nurek as Director For For Management
6.1 Re-elect John Bester as Member of the For For Management
Audit and Risk Committee
6.2 Re-elect Fatima Jakoet as Member of For For Management
the Audit and Risk Committee
6.3 Re-elect Nkaki Matlala as Member of For For Management
the Audit and Risk Committee
7 Approve Remuneration Policy For For Management
8 Adopt New Memorandum of Incorporation For For Management
9 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
10 Approve Directors' Fees For For Management
11 Approve Financial Assistance to For For Management
Related or Inter-related Companies
--------------------------------------------------------------------------------
CMIC HOLDINGS CO., LTD.
Ticker: 2309 Security ID: J0813Z109
Meeting Date: DEC 14, 2012 Meeting Type: Annual
Record Date: SEP 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 19.5
2.1 Elect Director Nakamura, Kazuo For For Management
2.2 Elect Director Nakamura, Nobuo For For Management
2.3 Elect Director Ichikawa, Kunihide For For Management
2.4 Elect Director Nakamura, Keiko For For Management
2.5 Elect Director Shimizu, Masao For For Management
2.6 Elect Director Sano, Takashi For For Management
2.7 Elect Director Mochidsuki, Wataru For For Management
2.8 Elect Director Matsubara, Hisao For For Management
2.9 Elect Director Matsukawa, Makoto For For Management
2.10 Elect Director Hara, Mamoru For For Management
2.11 Elect Director Takahashi, Toshio For For Management
3 Appoint Statutory Auditor Kobayashi, For For Management
Ikuo
--------------------------------------------------------------------------------
COASTAL ENERGY COMPANY
Ticker: CEO Security ID: G22404118
Meeting Date: JUN 18, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Reelect Randy Bartley as Director For For Management
1.2 Reelect C. Robert Black as Director For For Management
1.3 Reelect Andrew Cochran as Director For For Management
1.4 Reelect Olivier de Montal as Director For For Management
1.5 Reelect William Phelps as Director For For Management
1.6 Reelect Lloyd Smith as Director For For Management
1.7 Elect Forrest Wylie as Director For For Management
1.8 Reelect John Zaozirny as Director For For Management
2 Approve Deloitte LLP as Auditors and For For Management
Authorise Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
COLAND HOLDINGS LTD
Ticker: 4144 Security ID: G2379A109
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: APR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Consolidated Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve to Amend Rules and Procedures For For Management
Regarding Board of Director Meeting
4 Approve Amendments to Articles of For For Management
Association
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
7 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
COMPUGROUP MEDICAL AG
Ticker: COP Security ID: D15813211
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: APR 23, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.35 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2013
--------------------------------------------------------------------------------
COUNTPLUS LTD.
Ticker: CUP Security ID: Q2934M100
Meeting Date: NOV 13, 2012 Meeting Type: Annual
Record Date: NOV 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Philip Rix as a Director For Against Management
4 Elect Graeme Fowler as a Director For For Management
5 Elect Donald Sharp as a Director For For Management
--------------------------------------------------------------------------------
COWEALTH MEDICAL HOLDING CO LTD
Ticker: 4745 Security ID: G24811104
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to Articles of For For Management
Association
4 Approve to Amend Procedures Governing For For Management
the Acquisition or Disposal of Assets
5 Approve Amendments on the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendments on the Procedures For For Management
for Lending Funds to Other Parties
7 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
CSE GLOBAL LTD
Ticker: 544 Security ID: Y8346J107
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend For For Management
3 Elect Tan Mok Koon as Director For For Management
4 Elect Lim Boh Soon as Director For For Management
5 Elect Lam Kwok Chong as Director For For Management
6 Elect Lee Soo Hoon as Director For For Management
7 Approve Directors' Fees For For Management
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
--------------------------------------------------------------------------------
CUB ELECPARTS INC.
Ticker: 2231 Security ID: Y1823N105
Meeting Date: JUN 17, 2013 Meeting Type: Annual
Record Date: APR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties and
Amendments to the Procedures for
Endorsement and Guarantees
4 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder
General Meeting
5.1 Elect Director No.1 None Against Shareholder
5.2 Elect Director No.2 None Against Shareholder
5.3 Elect Xie Xiuqi, as Independent For For Management
Director
5.4 Elect Wang Chende, as Independent For For Management
Director
5.5 Elect Chen Guanglong, as Independent For For Management
Director
5.6 Elect Supervisor No.1 None Against Shareholder
5.7 Elect Supervisor No.2 None Against Shareholder
5.8 Elect Supervisor No.3 None Against Shareholder
6 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors
--------------------------------------------------------------------------------
CVS GROUP PLC
Ticker: CVSG Security ID: G27234106
Meeting Date: DEC 14, 2012 Meeting Type: Annual
Record Date: DEC 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
3 Authorise Board to Fix Remuneration of For For Management
Auditors
4 Approve Lease Agreement For For Management
5 Approve Final Dividend For For Management
6 Re-elect David Timmins as Director For For Management
7 Authorise Issue of Equity with For For Management
Pre-emptive Rights
8 Authorise Issue of Equity without For For Management
Pre-emptive Rights
9 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
CYBERAGENT, INC.
Ticker: 4751 Security ID: J1046G108
Meeting Date: DEC 14, 2012 Meeting Type: Annual
Record Date: SEP 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 3500
2.1 Elect Director Fujita, Susumu For For Management
2.2 Elect Director Hidaka, Yuusuke For For Management
2.3 Elect Director Nakayama, Gou For For Management
2.4 Elect Director Okamoto, Yasuo For For Management
2.5 Elect Director Soyama, Tetsuhito For For Management
2.6 Elect Director Naito, Takahito For For Management
2.7 Elect Director Koike, Masahide For For Management
2.8 Elect Director Yamauchi, Takahiro For For Management
3 Approve Stock Option Plan For For Management
4 Approve Takeover Defense Plan (Poison For Against Management
Pill)
--------------------------------------------------------------------------------
DAIKEN MEDICAL CO., LTD.
Ticker: 7775 Security ID: J11299104
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Yamada, Mitsuru For Against Management
1.2 Elect Director Yamada, Keiichi For Against Management
1.3 Elect Director Yamada, Masayuki For For Management
1.4 Elect Director Yanagihori, Shinji For For Management
1.5 Elect Director Koga, Yoshihisa For For Management
--------------------------------------------------------------------------------
DAUM COMMUNICATIONS CORPORATION
Ticker: 035720 Security ID: Y2020U108
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 1,110 per Share
2 Amend Articles of Incorporation For For Management
3.1 Elect Choi Joon-Ho as Outside Director For For Management
3.2 Elect David Hoffman as Outside Director For For Management
4.1 Reelect Han Soo-Jung as Member of For For Management
Audit Committee
4.2 Elect Choi Joon-Ho as Member of Audit For For Management
Committee
4.3 Elect David Hoffman as Member of Audit For For Management
Committee
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
DIBS PAYMENT SERVICES AB
Ticker: DIBS Security ID: W2145F103
Meeting Date: MAY 06, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Elect Chairman of Meeting For Did Not Vote Management
2 Prepare and Approve List of For Did Not Vote Management
Shareholders
3 Approve Agenda of Meeting For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Acknowledge Proper Convening of Meeting For Did Not Vote Management
6 Receive Financial Statements and None None Management
Statutory Reports
7a Approve Financial Statements and For Did Not Vote Management
Statutory Reports
7b Approve Allocation of Income and For Did Not Vote Management
Dividends of SEK 3.00 per Share
7c Approve Discharge of Board and For Did Not Vote Management
President
8 Determine Number of Members (5) and For Did Not Vote Management
Deputy Members (0) of Board; Determine
Number of Auditors (1) and Deputy
Auditors (0)
9 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of SEK 300,000 for the
Chairman and SEK 150,000 for Other
Members; Approve Remuneration of
Auditors
10 Reelect Cecilia Lager, Christoffer For Did Not Vote Management
Haggblom, Peter Sjunnesson, Staffan
Persson, and Thord Wilkne as
Directors; Ratify Ernst & Young as
Auditors
11 Authorize Representatives of Three of For Did Not Vote Management
Company's Largest Shareholders to
Serve on Nominating Committee
12 Close Meeting None None Management
--------------------------------------------------------------------------------
DUKSAN HI METAL CO.
Ticker: 077360 Security ID: Y2113Q105
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Allocation of Income
2 Amend Articles of Incorporation For Against Management
3 Appoint Jang Won-Sik as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
DWS LTD.
Ticker: DWS Security ID: Q33031107
Meeting Date: NOV 13, 2012 Meeting Type: Annual
Record Date: NOV 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Ken Barry as a Director For For Management
--------------------------------------------------------------------------------
ELLIES HOLDINGS LIMITED
Ticker: Security ID: S2588P100
Meeting Date: NOV 28, 2012 Meeting Type: Annual
Record Date: NOV 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
2 Approve Non-Executive Directors' Fees For For Management
for the Financial Year Ending 30 April
2013
3 Authorise Financial Assistance to For For Management
Related or Inter-related Companies
4 Approve Conversion of Par Value For For Management
Ordinary Shares into No Par Value
Shares
5 Adopt New Memorandum of Incorporation For Against Management
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
30 April 2012
2 Authorise Board to Issue Shares for For Against Management
Cash up to a Maximum of 15 Percent of
Issued Share Capital
3 Place Authorised but Unissued Shares For Against Management
under Control of Directors
4 Elect Fikile Mkhize as Director For For Management
5 Elect Mano Moodley as Director For For Management
6 Re-elect Andrew Brooking as Director For For Management
7 Re-elect Malcolm Goodford as Direcor For For Management
8 Re-elect Ryan Otto as Director For For Management
9 Elect Fikile Mkhize (Chairman), Mano For For Management
Moodley and Re-elect Oliver Fortuin as
Members of the Audit and Risk Committee
10 Reappoint PKF (Jhb) Inc as Auditors of For For Management
the Company
11 Approve Group Share Option and Share For Against Management
Purchase Scheme
12 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
EMLAK KONUT GAYRIMENKUL YATIRIM ORTAKLIGI A.S.
Ticker: EKGYO Security ID: M4030U105
Meeting Date: MAY 08, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting and Elect Presiding For For Management
Council of Meeting
2 Authorize Presiding Council to Sign For For Management
Minutes of Meeting
3 Accept Statutory Reports For For Management
4 Accept Financial Statements For For Management
5 Approve Discharge of Board and Auditors For For Management
6 Approve Allocation of Income For For Management
7 Ratify External Auditors For For Management
8 Elect Directors For For Management
9 Approve Director Remuneration For For Management
10 Receive Information on Charitable For Against Management
Donations and Approve Upper Limit of
Donations for 2013
11 Receive Information on the Guarantees, None None Management
Pledges, and Mortgages Provided by the
Company to Third Parties
12 Receive Information on Corporate None None Management
Governance Compliance Report
13 Receive Information on Remuneration None None Management
Policy
14 Approve Share Repurchase Program For For Management
15 Approve Working Principles of the For For Management
General Assembly
16 Grant Permission for Board Members to For For Management
Engage in Commercial Transactions with
Company and Be Involved with Companies
with Similar Corporate Purpose
17 Amend Company Articles For For Management
18 Wishes None None Management
--------------------------------------------------------------------------------
ENF TECHNOLOGY CO.
Ticker: 102710 Security ID: Y2294G108
Meeting Date: MAR 21, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For Against Management
Allocation of Income, and Dividend of
KRW 50 per Share
2 Elect Two Inside Directors and One For Against Management
Outside Director (Bundled)
3 Approve Total Remuneration of Inside For Against Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For Against Management
Internal Auditor
5 Amend Articles of Incorporation For Against Management
--------------------------------------------------------------------------------
EOH HOLDINGS LIMITED
Ticker: EOH Security ID: S2593K104
Meeting Date: FEB 05, 2013 Meeting Type: Annual
Record Date: FEB 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 July 2012
2 Re-elect Robert Sporen as Director For For Management
3 Re-elect Robert Sporen as Chairman of For For Management
the Audit Committee
4 Re-elect Tebogo Skwambane as Member of For For Management
the Audit Committee
5 Re-elect Tshilidzi Marwala as Member For For Management
of Audit the Committee
6 Reappoint PKF (Gauteng) Inc as For For Management
Auditors of the Company with Sanjay
Ranchhoojee as the Individual
Registered Auditor and Authorise Their
Remuneration
7 Adopt New Memorandum of Incorporation For Against Management
8 Approve Non-Executive Directors' For For Management
Remuneration for the Financial Year
Ending 31 July 2014
9 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
10 Approve Remuneration Policy For Against Management
11 Place Authorised but Unissued Shares For Against Management
Under Control of Directors
12 Authorise Board to Issue Shares for For For Management
Cash up to a Maximum of Ten Percent of
Issued Share Capital
13 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
EPS CORP.
Ticker: 4282 Security ID: J2159X102
Meeting Date: DEC 21, 2012 Meeting Type: Annual
Record Date: SEP 30, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 1900
2 Amend Articles to Clarify Director For For Management
Authorities
3 Appoint Statutory Auditor Shibuya, For Against Management
Koichi
4 Appoint Alternate Statutory Auditor For For Management
Tochigi, Toshiaki
--------------------------------------------------------------------------------
EVEN CONSTRUTORA INCORPORADORA S.A
Ticker: EVEN3 Security ID: P3904U107
Meeting Date: APR 29, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Capital Budget for Upcoming For For Management
Fiscal Year
3 Approve Allocation of Income and For For Management
Dividends
4 Elect Directors For Against Management
5 Approve Remuneration of Company's For Against Management
Management
--------------------------------------------------------------------------------
EVEN CONSTRUTORA INCORPORADORA S.A
Ticker: EVEN3 Security ID: P3904U107
Meeting Date: MAY 09, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Article 30 For For Management
--------------------------------------------------------------------------------
EXILLON ENERGY PLC
Ticker: EXI Security ID: G3310L105
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: JUN 24, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Re-elect Dr David Herbert as Director For For Management
4 Re-elect Mark Martin as Director For For Management
5 Re-elect L. Stuard Detmer as Director For For Management
6 Re-elect Anne Belveze as Director For For Management
7 Re-elect Ezio Bracco as Director For For Management
8 Appoint Ernst & Young LLP as Auditors For For Management
9 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
10 Authorise Issue of Equity with For For Management
Pre-emptive Rights
11 Authorise Issue of Equity without For For Management
Pre-emptive Rights
12 Authorise Market Purchase of Ordinary For For Management
Shares
13 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
14 Adopt New Articles of Association For For Management
--------------------------------------------------------------------------------
FAR EAST HORIZON LTD.
Ticker: 03360 Security ID: Y24286109
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: JUN 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Liu Deshu as Director For For Management
3b Elect Cai Cunqiang as Director For For Management
3c Elect Han Xiaojing as Director For For Management
3d Elect Liu Jialin as Director For For Management
3e Elect Yip Wai Ming as Director For For Management
3f Elect John Law as Director For For Management
3g Elect Kuo Ming-Jian as Director For For Management
3h Authorize Board to Fix the For For Management
Remuneration of Directors
4 Reappoint Ernst & Young as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
5 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
FIDESSA GROUP PLC
Ticker: FDSA Security ID: G3469C104
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date: APR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Special Dividend For For Management
4 Approve Remuneration Report For For Management
5 Re-elect John Hamer as Director For For Management
6 Re-elect Chris Aspinwall as Director For For Management
7 Re-elect Andy Malpass as Director For For Management
8 Re-elect Ron Mackintosh as Director For For Management
9 Re-elect Philip Hardaker as Director For For Management
10 Re-elect Elizabeth Lake as Director For For Management
11 Elect Mark Foster as Director For For Management
12 Reappoint KPMG Audit plc as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
FIRST CASH FINANCIAL SERVICES, INC.
Ticker: FCFS Security ID: 31942D107
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Jorge Montano For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GERRY WEBER INTERNATIONAL AG
Ticker: GWI1 Security ID: D95473225
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.75 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2013
6 Approve Creation of EUR 23 Million For For Management
Pool of Capital with Partial Exclusion
of Preemptive Rights
7 Approve Issuance of Warrants/Bonds For For Management
with Warrants Attached/Convertible
Bonds with Partial Exclusion of
Preemptive Rights up to Aggregate
Nominal Amount of EUR 200 Million;
Approve Creation of EUR 4.6 Million
Pool of Capital to Guarantee
Conversion Rights
8a Amend Affiliation Agreement with Gerry For For Management
Weber Life-Style fashion GmbH
8b Approve Affiliation Agreement with For For Management
TAIFUN Collection Gerry Weber Fashion
GmbH
8c Approve Affiliation Agreement with For For Management
SAMOON-Collection Fashion Concept
Gerry Weber GmbH
--------------------------------------------------------------------------------
GILDAN ACTIVEWEAR INC.
Ticker: GIL Security ID: 375916103
Meeting Date: FEB 07, 2013 Meeting Type: Annual
Record Date: DEC 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William D. Anderson For For Management
1.2 Elect Director Glenn J. Chamandy For For Management
1.3 Elect Director Russell Goodman For For Management
1.4 Elect Director George Heller For For Management
1.5 Elect Director Sheila O'Brien For For Management
1.6 Elect Director Pierre Robitaille For For Management
1.7 Elect Director James R. Scarborough For For Management
1.8 Elect Director Richard P. Strubel For For Management
1.9 Elect Director Gonzalo F. Valdes-Fauli For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
GLOBAL MIXED-MODE TECHNOLOGY INC.
Ticker: 8081 Security ID: Y2717S101
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: APR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Cash Dividend Distribution For For Management
from Capital Reserve
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendments to Articles of For For Management
Association
--------------------------------------------------------------------------------
GLOBO PLC
Ticker: GBO Security ID: G3953W103
Meeting Date: JUN 10, 2013 Meeting Type: Annual
Record Date: JUN 06, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Re-elect Gerasimos Bonanos as Director For For Management
3 Re-elect Gavin Burnell as Director For For Management
4 Reappoint Littlejohn LLP as Auditors For For Management
and Authorise Their Remuneration
5 Authorise Issue of Equity with For For Management
Pre-emptive Rights
6 Authorise Issue of Equity without For For Management
Pre-emptive Rights
7 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
GOLDEN EAGLE RETAIL GROUP LTD.
Ticker: 03308 Security ID: G3958R109
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Wang Hung, Roger as Director For For Management
3b Elect Han Xiang Li as Director For For Management
3c Authorize the Board to Fix For For Management
Remuneration of Directors
4 Reappoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 30, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
GOODPACK LIMITED
Ticker: G05 Security ID: Y2808U106
Meeting Date: OCT 30, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Declare Final Dividend of SGD 0.02 Per For For Management
Share
3 Declare Special Dividend of SGD 0.03 For For Management
Per Share
4 Reelect Lam Choon Sen, David @ Lam For For Management
Kwok Kwong as Director
5 Reelect Tan Bien Chuan as Director For For Management
6 Approve Directors' Fees of SGD 160,000 For For Management
for the Financial Year Ended June 30,
2012
7 Reappoint Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
9 Approve Issuance of Shares Under the For Against Management
Goodpack Performance Share Option
Scheme
--------------------------------------------------------------------------------
GRAN TIERRA ENERGY INC.
Ticker: GTE Security ID: 38500T101
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dana Coffield For For Management
1.2 Elect Director Jeffrey J. Scott For For Management
1.3 Elect Director Verne Johnson For For Management
1.4 Elect Director Nicholas G. Kirton For For Management
1.5 Elect Director J. Scott Price For Withhold Management
1.6 Elect Director Gerald Macey For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
GURUNAVI, INC.
Ticker: 2440 Security ID: J19038108
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 10
2.1 Elect Director Taki, Hisao For For Management
2.2 Elect Director Kubo, Seiichiro For For Management
2.3 Elect Director Katsuki, Soichi For For Management
2.4 Elect Director Watanabe, Masahiro For For Management
2.5 Elect Director Suzuki, Kiyoshi For For Management
2.6 Elect Director Kida, Mayumi For For Management
2.7 Elect Director Kikuchi, Toshihiko For For Management
2.8 Elect Director Mizogami, Hiroshi For For Management
2.9 Elect Director Tsukihara, Koichi For For Management
2.10 Elect Director Iizuka, Hisao For For Management
3 Appoint Statutory Auditor Enkawa, Takao For For Management
--------------------------------------------------------------------------------
HALMA PLC
Ticker: HLMA Security ID: G42504103
Meeting Date: JUL 24, 2012 Meeting Type: Annual
Record Date: JUL 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Geoff Unwin as Director For For Management
5 Re-elect Andrew Williams as Director For For Management
6 Re-elect Kevin Thompson as Director For For Management
7 Re-elect Stephen Pettit as Director For For Management
8 Re-elect Neil Quinn as Director For For Management
9 Re-elect Jane Aikman as Director For For Management
10 Re-elect Adam Meyers as Director For For Management
11 Re-elect Lord Blackwell as Director For For Management
12 Re-elect Steve Marshall as Director For For Management
13 Elect Daniela Barone Soares as Director For For Management
14 Reappoint Deloitte LLP as Auditors For For Management
15 Authorise Board to Fix Remuneration of For For Management
Auditors
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
HANDSOME CORP.
Ticker: 020000 Security ID: Y3004A118
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 300 per Share
2 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
3 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
HIGHLAND GOLD MINING LTD
Ticker: HGM Security ID: G4472X101
Meeting Date: JUN 11, 2013 Meeting Type: Annual
Record Date: JUN 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Elect Valery Oyf as a Director For For Management
4 Elect Alla Baranovskaya as a Director For For Management
5 Elect Sergey Mineev as a Director For For Management
6 Elect Andrey Solovyov as a Director For For Management
7 Reappoint Ernst & Young LLP as Auditors For For Management
8 Authorise Board to Fix Remuneration of For For Management
Auditors
--------------------------------------------------------------------------------
HIQ INTERNATIONAL AB
Ticker: HIQ Security ID: W4091V108
Meeting Date: APR 11, 2013 Meeting Type: Annual
Record Date: APR 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Chairman of Meeting For For Management
2 Prepare and Approve List of For For Management
Shareholders
3 Approve Agenda of Meeting For For Management
4 Designate Inspector(s) of Minutes of For For Management
Meeting
5 Acknowledge Proper Convening of Meeting For For Management
6 Receive President's Report None None Management
7 Receive Financial Statements and None None Management
Statutory Reports; Receive
Consolidated Financial Statements and
Statutory Reports; Receive Auditor's
Report
8.1 Approve Financial Statements and For For Management
Statutory Reports
8.2 Approve Allocation of Income and For For Management
Omission of Dividends
8.3 Approve Discharge of Board and For For Management
President
9 Determine Number of Members (8) and For For Management
Deputy Members (0) of Board
10 Approve Remuneration of Directors in For For Management
the Amount of SEK 500,000 for the
Chairman and SEK 215,000 for Other
Members; Approve Remuneration for
Committee Work; Approve Remuneration
of Auditors
11 Reelect Ken Gerhardsen, Johanna For For Management
Kohler, Lars Stugemo, Anders Ljungh,
Ulrika Hagdahl, Erik Hallberg, and
Gunnel Duveblad as Directors; Elect
Raimo Lind as Director
12 Authorize Chairman of Board and For For Management
Representatives of Three of Company's
Largest Shareholders to Serve on
Nominating Committee
13.1 Approve 2:1 Stock Split in Connection For For Management
with Redemption Program
13.2 Approve SEK 2.64 Million Reduction In For For Management
Share Capital via Share Cancellation
13.3 Approve Capitalization of Reserves of For For Management
SEK 2.64 Million in Connection with
Redemption Program
14 Authorize Share Repurchase Program and For For Management
Reissuance of Repurchased Shares
15 Approve Issuance of Warrants to Key For Against Management
Employees
16 Approve Creation of SEK 5 Million Pool For For Management
of Capital without Preemptive Rights
17 Approve Remuneration Policy And Other For For Management
Terms of Employment For Executive
Management
18 Other Business None None Management
--------------------------------------------------------------------------------
HOME CAPITAL GROUP INC
Ticker: HCG Security ID: 436913107
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect James C. Baillie as Director For For Management
1.2 Elect William G. Davis as Director For For Management
1.3 Elect William F. Falk as Director For For Management
1.4 Elect Diana L. Graham as Director For For Management
1.5 Elect John M. Marsh as Director For For Management
1.6 Elect Robert A. Mitchell as Director For For Management
1.7 Elect Kevin P.D. Smith as Director For For Management
1.8 Elect Gerald M. Soloway as Director For For Management
1.9 Elect Bonita J. Then as Director For For Management
1.10 Elect F. Leslie Thompson as Director For For Management
2 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
HUNTING PLC
Ticker: HTG Security ID: G46648104
Meeting Date: APR 17, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Approve Final Dividend For For Management
4 Re-elect Richard Hunting as Director For For Management
5 Re-elect John Hofmeister as Director For For Management
6 Re-elect John Nicholas as Director For For Management
7 Re-elect Dennis Proctor as Director For For Management
8 Re-elect Peter Rose as Director For For Management
9 Re-elect Andrew Szescila as Director For For Management
10 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors and Authorise Their
Remuneration
11 Authorise Issue of Equity with For For Management
Pre-emptive Rights
12 Authorise Issue of Equity without For For Management
Pre-emptive Rights
13 Authorise Market Purchase of Ordinary For For Management
Shares
14 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
HY-LOK CORP.
Ticker: 013030 Security ID: Y3852P100
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 250 per Share
2 Amend Articles of Incorporation For For Management
3.1 Reelect Moon Young-Hoon as Inside For For Management
Director
3.2 Reelect Moon Hyu-Geon as Inside For For Management
Director
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
INDUTRADE AB
Ticker: INDT Security ID: W4939U106
Meeting Date: MAY 06, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For For Management
3 Prepare and Approve List of For For Management
Shareholders
4 Approve Agenda of Meeting For For Management
5 Designate Inspector(s) of Minutes of For For Management
Meeting
6 Acknowledge Proper Convening of Meeting For For Management
7 Receive Board and Committee Reports None None Management
8 Receive Financial Statements and None None Management
Statutory Reports; Receive CEO's Report
9 Receive Auditor's Report; Receive None None Management
Auditor's Report on Application of
Guidelines for Remuneration for
Executive Management
10a Approve Financial Statements and For For Management
Statutory Reports
10b Approve Allocation of Income and For For Management
Dividends of SEK 7.05 per Share
10c Approve May 10, 2013, as Record Date For For Management
for Dividend Payment
10d Approve Discharge of Board and For For Management
President
11 Receive Report on Work of Nominating None None Management
Committee
12 Determine Number of Members (7) and For For Management
Deputy Members (0) of Board
13 Approve Remuneration of Directors in For For Management
the Amount of SEK 500,000 for the
Chairman and SEK 250,000 for Other
Members; Approve Remuneration for
Committee Work; Approve Remuneration
of Auditors
14 Reelect Ulf Lundahl, Eva Farnstrand, For For Management
Bengt Kjell, Mats Olsson, Martin
Lindqvist, Krister Mellve, and Johnny
Alvarsson as Directors
15 Amend Articles Re: Removal of For For Management
Nomination Committee Section to Align
with Practice
16 Authorize Chairman of Board and For For Management
Representatives of Four of Company's
Largest Shareholders to Serve on
Nominating Committee
17 Approve Remuneration Policy And Other For For Management
Terms of Employment For Executive
Management
18 Close Meeting None None Management
--------------------------------------------------------------------------------
JOBSTREET CORPORATION BHD
Ticker: JOBST Security ID: Y44474107
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend of MYR 0.0275 For For Management
Per Share
3 Approve Remuneration of Directors For For Management
4 Elect Lin See Yan as Director For For Management
5 Elect Lim Chao Li as Director For For Management
6 Elect Suresh A/L Thirugnanam as For For Management
Director
7 Approve KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
8 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
9 Authorize Share Repurchase Program For For Management
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
KAKAKU.COM INC
Ticker: 2371 Security ID: J29258100
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 35
2.1 Elect Director Hayashi, Kaoru For For Management
2.2 Elect Director Tanaka, Minoru For For Management
2.3 Elect Director Hata, Shonosuke For For Management
2.4 Elect Director Ieuji, Taizo For For Management
2.5 Elect Director Fujiwara, Kenji For For Management
2.6 Elect Director Uemura, Hajime For For Management
2.7 Elect Director Yuuki, Shingo For For Management
2.8 Elect Director Murakami, Atsuhiro For For Management
2.9 Elect Director Matsumoto, Oki For For Management
2.10 Elect Director Hayakawa, Yoshiharu For For Management
2.11 Elect Director Akiyama, Ryuuhei For For Management
3 Appoint Statutory Auditor Sejimo, For Against Management
Shinichi
4 Appoint Alternate Statutory Auditor For For Management
Ito, Tetsuo
--------------------------------------------------------------------------------
KENTZ CORPORATION LTD
Ticker: KENZ Security ID: G5253R106
Meeting Date: MAY 17, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Re-elect Tan Sri Mohd Razali Abdul For Abstain Management
Rahman as Director
3 Re-elect David Beldotti as Director For For Management
4 Re-elect Brendan Lyons as Director For Against Management
5 Elect David MacFarlane as Director For For Management
6 Appoint PricewaterhouseCoopers as For For Management
Auditors
7 Authorise Board to Fix Remuneration of For For Management
Auditors
8 Approve Final Dividend For For Management
9 Authorise Issue of Equity without For For Management
Pre-emptive Rights
10 Authorise Market Purchase of Ordinary For For Management
Shares
11 Amend Articles of Association Re: For Against Management
Employee Share Scheme
12 Amend Articles of Association For For Management
13 Amend Long-Term Incentive Plan For Against Management
14 Authorise Reissuance of Repurchased For For Management
Shares
--------------------------------------------------------------------------------
KOH YOUNG TECHNOLOGY INC.
Ticker: 098460 Security ID: Y4810R105
Meeting Date: MAR 27, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Appoint Lee Jong-Gi as Internal Auditor For For Management
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
KOLON LIFE SCIENCE INC.
Ticker: 102940 Security ID: Y4830K106
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 750 per Share
2 Amend Articles of Incorporation For For Management
3 Reelect Lee Woong-Yeol as Inside For For Management
Director
4 Reappoint Seo Dae-Gyo as Internal For For Management
Auditor
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
6 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
KONAI CO., LTD.
Ticker: 052400 Security ID: Y4842G101
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Reelect Cho Jung-Il as Inside Director For For Management
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
KOREAN REINSURANCE CO.
Ticker: 003690 Security ID: Y49391108
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 250 per Share
2 Amend Articles of Incorporation For For Management
3 Elect One Inside Director and Four For For Management
Outside Directors (Bundled)
4 Elect Two Outside Directors as Members For For Management
of Audit Committee
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
L'OCCITANE INTERNATIONAL S.A.
Ticker: 00973 Security ID: L6071D109
Meeting Date: SEP 26, 2012 Meeting Type: Annual/Special
Record Date: SEP 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Dividends of EUR 36.3 Million For For Management
3a Reelect Reinold Geiger as Director For For Management
3b Reelect Emmanuel Laurent Jacques Osti For For Management
as Director
3c Reelect Andre Joseph Hoffmannas For Against Management
Director
3d Reelect Karl Guenard as Director For For Management
3e Reelect Martial Thierry Lopez as For For Management
Director
4a Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
4b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
4c Approve 6.66 Million Shares For For Management
Repurchased During FY 2012
4d Authorize Reissuance of Repurchased For Against Management
Shares
5 Renew Appointment of For For Management
PricewaterhouseCoopers as Statutory
Auditor
6 Renew Appointment of For For Management
PricewaterhouseCoopers as External
Auditor
7 Authorize Board to Fix Remuneration of For For Management
Directors
8 Approve Discharge of Directors For For Management
9 Approve Discharge of Auditors For For Management
10 Approve Remuneration of Auditors For For Management
--------------------------------------------------------------------------------
LEADTREND TECHNOLOGY CORP
Ticker: 3588 Security ID: Y5217P105
Meeting Date: JUN 28, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Issuance of Restricted Stocks For For Management
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Partie
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendment to Rules and For For Management
Procedures for Election of Directors
and Supervisors
7.1 Elect Li Haomin with Shareholder No.1 None For Shareholder
as Director
7.2 Elect Zhang Shili, Representative of None For Shareholder
Jieneng Investment Co., Ltd. with
Shareholder No.102, as Director
7.3 Elect Zhuang Mingnan, Representative None For Shareholder
of Jieneng Investment Co., Ltd. with
Shareholder No.102, as Director
7.4 Elect Liang Congzhu as Director None For Shareholder
7.5 Elect Wu Chongyu as Independent For For Management
Director
7.6 Elect Liu Dingren as Independent For For Management
Director
7.7 Elect Yang Jianguo as Independent For For Management
Director
7.8 Elect Litong Investment Co., Ltd. with None For Shareholder
Shareholder No.166 as Supervisor
7.9 Elect You Mingfu Supervisor None For Shareholder
7.10 Elect Yan Zhizhan Supervisor None For Shareholder
8 Approve Release of Restrictions of For For Management
Competitive Activities of Directors
and Representatives
9 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
LEDLINK OPTICS INC
Ticker: 5230 Security ID: Y52236109
Meeting Date: JUN 03, 2013 Meeting Type: Annual
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on 2012 Profit For For Management
Distribution
3 Approve the Issuance of New Shares by For For Management
Capitalization of Distributable
Earnings
4 Approve Amendments to Articles of For For Management
Association
5 Approve to Set up the Code of Business For For Management
Conduct
6 Approve to Set up the Code of Ethics For For Management
--------------------------------------------------------------------------------
LEENO INDUSTRIAL INC.
Ticker: 058470 Security ID: Y5254W104
Meeting Date: MAR 27, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 1,000 per Share
2 Reappoint Cha Young-Soo as Internal For For Management
Auditor
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
LG FASHION CORP.
Ticker: 093050 Security ID: Y5275J108
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 400 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
LYCOPODIUM LTD.
Ticker: LYL Security ID: Q56515101
Meeting Date: NOV 21, 2012 Meeting Type: Annual
Record Date: NOV 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Remuneration Report For For Management
2 Elect Mick Caratti as a Director For Against Management
--------------------------------------------------------------------------------
MAGELLAN FINANCIAL GROUP
Ticker: MFG Security ID: Q5713S107
Meeting Date: OCT 26, 2012 Meeting Type: Annual
Record Date: OCT 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For Against Management
Remuneration Report
2a Elect Naomi Milgrom as a Director For For Management
2b Elect Brett Cairns as a Director For For Management
--------------------------------------------------------------------------------
MAGELLAN FINANCIAL GROUP
Ticker: MFG Security ID: Q5713S107
Meeting Date: FEB 05, 2013 Meeting Type: Special
Record Date: FEB 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Equal Reduction of Capital For For Management
--------------------------------------------------------------------------------
MAKEMYTRIP LTD
Ticker: MMYT Security ID: V5633W109
Meeting Date: SEP 21, 2012 Meeting Type: Annual
Record Date: AUG 22, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Appoint KPMG as Auditors and Authorize For For Management
Board to Fix Their Remuneration
2 Accept Financial Statements and For For Management
Statutory Reports
3 Reelect Frederic Lalonde as a Director For For Management
4 Reelect Aditya Tim Guleri as a Director For Against Management
5 Reelect Mohammad Akhtar Janally as a For Against Management
Director
6 Reelect Ranodeb Roy as a Director For For Management
--------------------------------------------------------------------------------
MD MEDICAL GROUP INVESTMENTS PLC
Ticker: MDMG Security ID: 55279C200
Meeting Date: JUN 07, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Appoint KPMG Limited as Auditors and For For Management
Authorise their Remuneration
3 Elect Apollon Athanasiades as Director For For Management
4 Elect Kirill Dmitriev as Director For For Management
5 Elect Dr Mark Kurtser as Director For For Management
6 Elect Dr Elena Mladova as Director For For Management
7 Elect Elia Nicolaou as Director For For Management
8 Elect Angelos Paphitis as Director For For Management
9 Elect Andreas Petrides as Director For For Management
10 Elect Simon Rowlands as Director For For Management
11 Elect Marios Tofaros as Director For For Management
12 Approve Final Dividend For For Management
--------------------------------------------------------------------------------
MELEXIS
Ticker: MELE Security ID: B59283109
Meeting Date: APR 22, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Directors' Reports None None Management
2 Receive Auditors' Reports (Non-Voting) None None Management
3 Approve Remuneration Report For For Management
4 Receive Consolidated Financial None None Management
Statements (Non-Voting)
5 Adopt Financial Statements and Approve For For Management
Allocation of Income
6 Approve Discharge of Directors For For Management
7 Approve Discharge of Auditors For For Management
8.1 Approve Resignation of Phix Focus, For For Management
Represented by Steven R. Hix, as
Director
8.2 Approve Resignation of Jenny Claes as For For Management
Director
9.1 Elect Shiro Baba as Independent For For Management
Director and Approve Remuneration at
EUR 15,000
9.2 Elect Procexcel BVBA, Permanently For For Management
Represented byJenny Claes, as
Independent Director and Approve
Remuneration at EUR 15,000
10 Receive Information Re: End of Mandate None None Management
of Auditors
11 Ratify BDO Bedrijfsrevisoren BV, For For Management
Permanently Represented by Veerle
Catry as Auditor and Approve Auditors'
Remuneration at EUR 32,210
--------------------------------------------------------------------------------
MICHAEL PAGE INTERNATIONAL PLC
Ticker: MPI Security ID: G68694119
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: JUN 04, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Re-elect Robin Buchanan as Director For For Management
4 Re-elect Steve Ingham as Director For For Management
5 Re-elect Andrew Bracey as Director For For Management
6 Re-elect Ruby McGregor-Smith as For For Management
Director
7 Re-elect Dr Tim Miller as Director For For Management
8 Elect Simon Boddie as Director For For Management
9 Elect David Lowden as Director For For Management
10 Approve Remuneration Report For Abstain Management
11 Reappoint Ernst & Young LLP as Auditors For For Management
12 Authorise Board to Fix Remuneration of For For Management
Auditors
13 Authorise EU Political Donations and For For Management
Expenditure
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
18 Approve Long Term Incentive Plan For For Management
19 Approve Deferred Bonus Plan For For Management
--------------------------------------------------------------------------------
MK TREND CO LTD.
Ticker: 069640 Security ID: Y6166V101
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Elect Three Inside Directors and One For For Management
Outside Director (Bundled)
3 Reappoint Han Hyo-Seok as Internal For For Management
Auditor
4 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
5 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
MONOTARO CO LTD
Ticker: 3064 Security ID: J46583100
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 8
2.1 Elect Director Seto, Kinya For For Management
2.2 Elect Director Suzuki, Masaya For For Management
2.3 Elect Director Miyajima, Masanori For For Management
2.4 Elect Director Yamagata, Yasuo For For Management
2.5 Elect Director Kitamura, Haruo For For Management
2.6 Elect Director Kishida, Masahiro For For Management
2.7 Elect Director Ronald Louis Jadin For For Management
--------------------------------------------------------------------------------
MY E.G. SERVICES BHD.
Ticker: MYEG Security ID: Y6147P116
Meeting Date: DEC 19, 2012 Meeting Type: Annual
Record Date: DEC 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Final Dividend of MYR 0.009 For For Management
Per Share
2 Elect Muhammad Rais bin Abdul Karim as For For Management
Director
3 Elect Jimmy Wong Bin Abdullah as For For Management
Director
4 Approve Remuneration of Directors For For Management
5 Approve Crowe Hawarth as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
6 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
7 Approve Share Repurchase Program For For Management
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
N BROWN GROUP PLC
Ticker: BWNG Security ID: G64036125
Meeting Date: JUL 03, 2012 Meeting Type: Annual
Record Date: JUL 01, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect Dean Moore as Director For For Management
5 Re-elect John McGuire as Director For Abstain Management
6 Re-elect Lord Alliance of Manchester For Abstain Management
as Director
7 Re-elect Nigel Alliance as Director For Against Management
8 Re-elect Ivan Fallon as Director For Against Management
9 Re-elect Lord Stone of Blackheath as For Against Management
Director
10 Re-elect Anna Ford as Director For For Management
11 Re-elect Alan White as Director For For Management
12 Reappoint Deloitte LLP as Auditors and For Abstain Management
Authorise Their Remuneration
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
NAVITAS LTD.
Ticker: NVT Security ID: Q6630H109
Meeting Date: NOV 15, 2012 Meeting Type: Annual
Record Date: NOV 13, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect Ted Evans as a Director For For Management
3 Elect James King as a Director For For Management
4 Elect Tracey Horton as a Director For For Management
--------------------------------------------------------------------------------
NEURONES
Ticker: NRO Security ID: F6523H101
Meeting Date: JUN 06, 2013 Meeting Type: Annual/Special
Record Date: MAY 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Consolidated Financial For For Management
Statements and Statutory Reports
2 Approve Financial Statements and For For Management
Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 0.06 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Approve Discharge of Directors For For Management
6 Reelect Luc de Chammard as Director For Against Management
7 Reelect Bertrand Ducurtil as Director For Against Management
8 Reelect Marie-Francoise Jaubert as For For Management
Director
9 Reelect Jean-Louis Pacquement as For For Management
Director
10 Reelect Herve Pichard as Director For For Management
11 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
12 Authorize up to 1 Percent of Issued For Against Management
Capital, up to 237,000 Shares for Use
in Restricted Stock Plan
13 Approve Employee Stock Purchase Plan For For Management
14 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 11 Million
15 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 11 Million
16 Authorize Board to Increase Capital in For Against Management
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Under Items 14 and 15
17 Authorize Capital Increase of up to 10 For For Management
Percent of Issued Capital for
Contributions in Kind
18 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
NEXT CO LTD
Ticker: 2120 Security ID: J4914W106
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 6.5
2.1 Elect Director Inoe, Takashi For For Management
2.2 Elect Director Morino, Ryoma For For Management
2.3 Elect Director Hamaya, Kokichi For For Management
2.4 Elect Director Narita, Takashi For For Management
2.5 Elect Director Takahashi, Masato For For Management
3.1 Appoint Statutory Auditor Sato, Takeshi For For Management
3.2 Appoint Statutory Auditor Matsushima, For For Management
Hideki
3.3 Appoint Statutory Auditor Hanai, For For Management
Takeshi
3.4 Appoint Statutory Auditor Nakamori, For For Management
Makiko
--------------------------------------------------------------------------------
NEXUS AG
Ticker: NXU Security ID: D5650J106
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date: APR 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.11 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Approve Affiliation Agreements with For For Management
Subsidiary nexus/dis GmbH
6 Ratify KPMG AG as Auditors for Fiscal For For Management
2013
--------------------------------------------------------------------------------
NIHON M&A CENTER INC
Ticker: 2127 Security ID: J50883107
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 30
2 Appoint Statutory Auditor Yamada, For For Management
Yoshinori
3 Appoint Alternate Statutory Auditor For For Management
Siga, Katsumasa
4 Approve Retirement Bonus Payment for For Against Management
Statutory Auditor
--------------------------------------------------------------------------------
NU SKIN ENTERPRISES, INC.
Ticker: NUS Security ID: 67018T105
Meeting Date: JUN 03, 2013 Meeting Type: Annual
Record Date: APR 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Nevin N. Andersen For For Management
1.2 Elect Director Daniel W. Campbell For For Management
1.3 Elect Director M. Truman Hunt For For Management
1.4 Elect Director Andrew D. Lipman For For Management
1.5 Elect Director Steven J. Lund For For Management
1.6 Elect Director Patricia A. Negron For For Management
1.7 Elect Director Neil H. Offen For For Management
1.8 Elect Director Thomas R. Pisano For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
O2MICRO INTERNATIONAL LTD.
Ticker: OIIM Security ID: 67107W100
Meeting Date: JUN 24, 2013 Meeting Type: Annual
Record Date: MAY 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Michael Austin as Director For For Management
1b Elect Shoji Akutsu as Director For For Management
1c Elect Zhuoping Yu as Director For For Management
2 Accept Financial Statements and For For Management
Statutory Reports
3 Approve to Appoint Deloitte & Touche For For Management
as Auditors of the Company
--------------------------------------------------------------------------------
OPERA SOFTWARE ASA
Ticker: OPERA Security ID: R6664U108
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting; Registration of None None Management
Attending Shareholders and Proxies
2 Elect Chairman of Meeting For Did Not Vote Management
3 Approve Notice of Meeting and Agenda For Did Not Vote Management
4 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
5 Approve Financial Statements and For Did Not Vote Management
Statutory Reports
6 Approve Allocation of Income and For Did Not Vote Management
Dividends of NOK 0.22 per Share
7 Approve NOK 106.5 Million Group For Did Not Vote Management
Contribution to Opera Software
International AS
8 Approve Remuneration of Auditors For Did Not Vote Management
9 Receive Corporate Governance Statement None None Management
10.1 Approve Remuneration of Directors in For Did Not Vote Management
the Amount of NOK 600,000 for
Chairman, NOK 550,000 for Greg
Coleman, and NOK 250,000 for Other
Directors
10.2 Approve Remuneration of Board For Did Not Vote Management
Committees
11 Approve Remuneration of Nominating For Did Not Vote Management
Committee
12 Approve Acquisition of Shares for For Did Not Vote Management
Incentive Schemes
13.1 Approve Issuance of 12 Million Shares For Did Not Vote Management
in Connection with Existing Incentive
Plans
13.2 Approve Creation of NOK 240,000 Pool For Did Not Vote Management
of Capital without Preemptive Rights
14.1 Elect Arve Johansen as Director and For Did Not Vote Management
Chairman
14.2 Elect Greg Coleman as Director For Did Not Vote Management
14.3 Elect Kari Stautland as Director For Did Not Vote Management
14.4 Elect Audun Iversen as Director For Did Not Vote Management
14.5 Elect Marianne Blystad as Director For Did Not Vote Management
15.1 Elect Jacob Iqbal as Member of For Did Not Vote Management
Nominating Committee
15.2 Elect Michael Tetzschner as Member of For Did Not Vote Management
Nominating Committee
15.3 Elect Nils Foldal as Member of For Did Not Vote Management
Nominating Committee
16 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
17 Authorize Company to Call EGM with Two For Did Not Vote Management
Weeks' Notice
18 Close Meeting None None Management
--------------------------------------------------------------------------------
PACIFIC HOSPITAL SUPPLY CO., LTD.
Ticker: 4126 Security ID: Y6610N101
Meeting Date: JUN 11, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
5.1 Elect Director Chung Jen, with ID No. For For Management
A101****** and Shareholder No.2
5.2 Elect Director Chung An-ting, with ID For For Management
No. A228****** and Shareholder No.18
5.3 Elect Director Zhan Zhi-Jun, with ID For For Management
No. K121******
5.4 Elect Independent Director Chou For For Management
Kui-kai, with ID No. F101******
5.5 Elect Independent Director Wu For For Management
Yuan-ning, with ID No. A200****** and
Shareholder No.3980
5.6 Elect Supervisor Chiang Min-chih, with For For Management
ID No. Y200******and Shareholder No.122
5.7 Elect Supervisor Chiang Fu-yi, with ID For For Management
No. R101******and Shareholder No.7475
5.8 Elect Supervisor Chen He-fu, with ID For For Management
No. A103******
6 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors and Representatives
--------------------------------------------------------------------------------
PACIFIC ONLINE LTD.
Ticker: 00543 Security ID: G9684P101
Meeting Date: MAY 20, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3 Elect Zhang Cong Min as Director For For Management
4 Elect Thaddeus Thomas Beczak as For For Management
Director
5 Elect Chan Chi Mong, Hopkins as For For Management
Director
6 Authorize Board to Fix the For For Management
Remuneration of Directors
7 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
9 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
10 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PADINI HOLDINGS BHD.
Ticker: PADINI Security ID: Y6649L100
Meeting Date: DEC 18, 2012 Meeting Type: Annual
Record Date: DEC 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration of Directors For For Management
3 Elect Cheong Chung Yet as Director For For Management
4 Elect Foo Kee Fatt as Director For For Management
5 Approve BDO as Auditors and Authorize For For Management
Board to Fix Their Remuneration
6 Authorize Repurchase of Shares For For Management
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP.
Ticker: PAA Security ID: 697900108
Meeting Date: MAY 13, 2013 Meeting Type: Annual/Special
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ross J. Beaty For Did Not Vote Management
1.2 Elect Director Geoffrey A. Burns For Did Not Vote Management
1.3 Elect Director Michael L. Carroll For Did Not Vote Management
1.4 Elect Director Christopher Noel Dunn For Did Not Vote Management
1.5 Elect Director Neil de Gelder For Did Not Vote Management
1.6 Elect Director Robert P. Pirooz For Did Not Vote Management
1.7 Elect Director David C. Press For Did Not Vote Management
1.8 Elect Director Walter T. Segsworth For Did Not Vote Management
2 Approve Deloitte LLP as Auditors and For Did Not Vote Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For Did Not Vote Management
Compensation Approach
--------------------------------------------------------------------------------
PARKSON RETAIL ASIA LTD.
Ticker: O9E Security ID: Y6706M108
Meeting Date: OCT 31, 2012 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Reelect Datuk Cheng Yoong Choong as For For Management
Director
3 Reelect Tan Sri Dato' Seri Mohd. For For Management
Zahidi bin Zainuddin as Director
4 Reelect Tan Siang Long as Director For For Management
5 Declare Final Dividend of SGD 0.03 Per For For Management
Share for the Financial Year Ended
June 30, 2012
6 Approve Directors' Fees of SGD 345,000 For For Management
for the Financial Year Ended June 30,
2012
7 Approve Directors' Fees of SGD 460,000 For For Management
for the Financial Year Ending June 30,
2013
8 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
9 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
10 Approve Issuance of Shares Under the For Against Management
Parkson Retail Asia Limited Employee
Share Option Scheme
--------------------------------------------------------------------------------
PARKSON RETAIL ASIA LTD.
Ticker: O9E Security ID: Y6706M108
Meeting Date: OCT 31, 2012 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Proposed Adoption of the For For Management
General Mandate for Interested Person
Transactions
2 Authorize Share Repurchase Program For For Management
--------------------------------------------------------------------------------
PARKSON RETAIL GROUP LTD.
Ticker: 03368 Security ID: G69370115
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAY 13, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Yau Ming Kim, Robert as Director For For Management
3b Elect Tan Hun Meng as Director For For Management
3c Authorize Board to Fix Directors' For For Management
Remuneration
4 Reappoint Ernst & Young as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
5a Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5b Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PETRA FOODS LTD
Ticker: P34 Security ID: Y6804G102
Meeting Date: APR 30, 2013 Meeting Type: Special
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Disposal of Cocoa Ingeredients For For Management
Division of the Company
2 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
PETRA FOODS LTD
Ticker: P34 Security ID: Y6804G102
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Directors' and Auditors' Reports
2 Elect Chuang Tiong Choon as Director For For Management
3 Elect Pedro Mata-Bruckmann as Director For For Management
4 Approve Directors' Fees For For Management
5 Declare Final Dividend For For Management
6 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors and Authorize Board to Fix
Their Remuneration
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities with or
without Preemptive Rights
8 Approve Grant of Options and Awards For Against Management
and Issuance of Shares Under the Petra
Foods Share Option Scheme and Petra
Foods Share Incentive Plan
9 Approve Issuance of Shares Under the For For Management
Petra Foods Limited Scrip Dividend
Scheme
10 Approve Mandate for Interested Person For For Management
Transactions
--------------------------------------------------------------------------------
PETROAMERICA OIL CORP.
Ticker: PTA Security ID: 71647B105
Meeting Date: NOV 28, 2012 Meeting Type: Annual/Special
Record Date: OCT 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Five For For Management
2.1 Elect Director Jeffrey S. Boyce For Withhold Management
2.2 Elect Director Nelson Navarrete For For Management
2.3 Elect Director John Zaozirny For For Management
2.4 Elect Director Augusto Lopez For For Management
2.5 Elect Director Michael E. Beckett For For Management
3 Approve Deloitte & Touche LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
4 Re-approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
PINNACLE TECHNOLOGY HOLDINGS LTD
Ticker: PNC Security ID: S61058103
Meeting Date: OCT 26, 2012 Meeting Type: Annual
Record Date: OCT 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt New Memorandum of Incorporation For For Management
2 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
3 Approve Financial Assistance to Any of For For Management
Its Subsidiaries
4 Approve Non-Executive Directors' Fees For For Management
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
30 June 2012
2 Elect Seadimo Chaba as Director For For Management
3 Elect Erhard van der Merwe as Director For For Management
4.1 Re-elect Ashley Tugendhaft as Member For Against Management
of the Audit and Risk Committee
4.2 Elect Seadimo Chaba as Member of the For For Management
Audit and Risk Committee
4.3 Elect Erhard van der Merwe as Member For For Management
of the Audit and Risk Committee
5 Reappoint BDO South Africa For For Management
Incorporated as Auditors of the
Company and Appoint M Bhaga Muljee as
the Designated Partner
6 Approve Remuneration Policy For For Management
7 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
8 Place Authorised but Unissued Shares For Against Management
under Control of Directors
9 Authorise Issuance of Shares for Cash For Against Management
up to a Maximum of 15 Percent of
Issued Share Capital
--------------------------------------------------------------------------------
POLYTRONICS TECHNOLOGY CORP.
Ticker: 6224 Security ID: Y7063Y107
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on 2012 Profit For For Management
Distribution
3 Approve Cash Dividend Distribution For For Management
from Partial Capital Reserve
4 Approve Amendments to Articles of For For Management
Association
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder
General Meeting
8 Approve Release of Restrictions of For For Management
Competitive Activities of Newly
Appointed Directors and Representatives
9 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
POWER MATE TECHNOLOGY CO LTD
Ticker: 8109 Security ID: Y7083N107
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties and
Amendments to the Procedures for
Endorsement and Guarantees
4.1 Elect Director No.1 None Against Shareholder
4.2 Elect Director No.2 None Against Shareholder
4.3 Elect Director No.3 None Against Shareholder
4.4 Elect Director No.4 None Against Shareholder
4.5 Elect Chen Kunzhu as Independent For For Management
Director
4.6 Elect Liu Jinjin as Independent For For Management
Director
4.7 Elect Cai Wunan as Independent Director For For Management
4.8 Elect Supervisor No.1 For Against Management
4.9 Elect Supervisor No.2 For Against Management
4.10 Elect Supervisor No.3 For Against Management
5 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors and Representatives
--------------------------------------------------------------------------------
PREMIER MARKETING PCL
Ticker: PM Security ID: Y70752111
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Minutes of Previous Meeting For For Management
2 Acknowledge Operating Results For For Management
3 Accept Financial Statements For For Management
4 Approve Allocation of Income and For For Management
Dividend of THB 0.37 Per Share
5.1 Elect Katiya Greigarn as Director For For Management
5.2 Elect Udom Chatiyanont as Director For For Management
5.3 Elect Nangnoi Bunyasaranand as Director For For Management
6 Approve Remuneration of Directors For For Management
7 Approve Ernst & Young Office Ltd. as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
8 Other Business For Against Management
--------------------------------------------------------------------------------
PREMIER OIL PLC
Ticker: PMO Security ID: G7216B178
Meeting Date: JUN 07, 2013 Meeting Type: Annual
Record Date: JUN 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Robin Allan as Director For For Management
5 Re-elect Joe Darby as Director For For Management
6 Re-elect Tony Durrant as Director For For Management
7 Re-elect Neil Hawkings as Director For For Management
8 Re-elect Jane Hinkley as Director For For Management
9 Re-elect David Lindsell as Director For For Management
10 Re-elect Simon Lockett as Director For For Management
11 Re-elect Andrew Lodge as Director For For Management
12 Re-elect David Roberts as Director For For Management
13 Re-elect Michel Romieu as Director For For Management
14 Re-elect Mike Welton as Director For For Management
15 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
16 Authorise Issue of Equity with For For Management
Pre-emptive Rights
17 Authorise Issue of Equity without For For Management
Pre-emptive Rights
18 Authorise Market Purchase of Ordinary For For Management
Shares
19 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
PT LIPPO CIKARANG TBK
Ticker: LPCK Security ID: Y7130J117
Meeting Date: APR 24, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports and Discharge
Directors and Commissioners
2 Approve Allocation of Income For For Management
3 Approve Auditors and Authorize Board For For Management
to Fix Their Remuneration
4 Elect Directors and Commissioners and For Against Management
Approve Their Remuneration
5 Amend Articles of Association For Against Management
--------------------------------------------------------------------------------
PT ULTRA JAYA MILK INDUSTRY TBK
Ticker: ULTJ Security ID: Y7145S169
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: JUN 07, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Allocation of Income For For Management
3 Approve Auditors For For Management
4 Other Business For Against Management
--------------------------------------------------------------------------------
RICHELIEU HARDWARE LTD.
Ticker: RCH Security ID: 76329W103
Meeting Date: MAR 28, 2013 Meeting Type: Annual/Special
Record Date: FEB 21, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pierre Bourgie For For Management
1.2 Elect Director Denyse Chicoyne For For Management
1.3 Elect Director Robert Courteau For For Management
1.4 Elect Director Jean Douville For For Management
1.5 Elect Director Mathieu Gauvin For For Management
1.6 Elect Director Richard Lord For For Management
1.7 Elect Director Marc Poulin For For Management
1.8 Elect Director Jocelyn Proteau For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Adopt New By-Law For For Management
4 Allow Board to Appoint Additional For For Management
Directors Up to a Maximum of One Third
of the Number of Directors Elected at
the Previous Meeting
--------------------------------------------------------------------------------
RICHTEK TECHNOLOGY CORP.
Ticker: 6286 Security ID: Y7286Y108
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
4 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
5 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder's
General Meeting
6 Approve Amendment to Rules and For For Management
Procedures for Election of Directors
and Supervisors
7 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
ROBERT WALTERS PLC
Ticker: RWA Security ID: G7608T118
Meeting Date: MAY 24, 2013 Meeting Type: Annual
Record Date: MAY 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Elect Leslie Van de Walle as Director For For Management
5 Re-elect Alan Bannatyne as Director For For Management
6 Re-elect Giles Daubeney as Director For For Management
7 Elect Brian McArthur-Muscroft as For For Management
Director
8 Re-elect Martin Griffiths as Director For For Management
9 Re-elect Carol Hui as Director For For Management
10 Re-elect Andrew Kemp as Director For For Management
11 Re-elect Robert Walters as Director For For Management
12 Reappoint Deloitte LLP as Auditors and For For Management
Authorise Their Remuneration
13 Authorise Issue of Equity with For For Management
Pre-emptive Rights
14 Authorise Issue of Equity without For For Management
Pre-emptive Rights
15 Authorise Market Purchase of Ordinary For For Management
Shares
16 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
RPS GROUP PLC
Ticker: RPS Security ID: G7701P104
Meeting Date: MAY 03, 2013 Meeting Type: Annual
Record Date: MAY 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect John Bennett as Director For For Management
5 Re-elect Louise Charlton as Director For For Management
6 Re-elect Robert Miller-Bakewell as For For Management
Director
7 Re-elect Tracey Graham as Director For For Management
8 Re-elect Alan Hearne as Director For For Management
9 Re-elect Brook Land as Director For For Management
10 Re-elect Phil Williams as Director For For Management
11 Re-elect Gary Young as Director For For Management
12 Appoint Deloitte LLP as Auditors For For Management
13 Authorise Board to Fix Remuneration of For For Management
Auditors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
18 Approve Bonus Plan For For Management
--------------------------------------------------------------------------------
SARTORIUS STEDIM BIOTECH
Ticker: DIM Security ID: F8005V111
Meeting Date: APR 16, 2013 Meeting Type: Annual/Special
Record Date: APR 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Consolidated Financial Statements, and
Discharge Directors
2 Approve Allocation of Income and For For Management
Dividends of EUR 1.10 per Share
3 Approve Auditors' Special Report on For For Management
Related-Party Transactions
4 Approve Remuneration of Directors in For Against Management
the Aggregate Amount of EUR 163,000
5 Approve Method of Calculation for For For Management
Directors Remuneration
6 Reelect Joachim Kreuzburg as Director For Against Management
7 Reelect Volker Niebel as Director For Against Management
8 Reelect Reinhard Vogt as Director For Against Management
9 Reelect Arnold Picot as Director For Against Management
10 Reelect Bernard Lemaitre as Director For Against Management
11 Reelect Liliane de Lassus as Director For Against Management
12 Reelect Henri Riey as Director For For Management
13 Approve Partial Spin Off Agreement For For Management
from Sartorius Stedim Biotech to
Sartorius Stedim FMT
14 Acknowledge Completion of Partial Spin For For Management
Off Agreement
15 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
SEAMLESS DISTRIBUTION AB
Ticker: SEAM Security ID: W82216107
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Elect Chairman of Meeting For Did Not Vote Management
3 Prepare and Approve List of For Did Not Vote Management
Shareholders
4 Approve Agenda of Meeting For Did Not Vote Management
5 Designate Inspector(s) of Minutes of For Did Not Vote Management
Meeting
6 Acknowledge Proper Convening of Meeting For Did Not Vote Management
7 Receive Financial Statements and None None Management
Statutory Reports
8 Approve Financial Statements and For Did Not Vote Management
Statutory Reports
9 Approve Allocation of Income and For Did Not Vote Management
Omission of Dividends
10 Approve Discharge of Board and For Did Not Vote Management
President
11 Receive Nominating Committee's Report None None Management
12 Determine Number of Members (5) and For Did Not Vote Management
Deputy Members of Board (0)
13 Approve Remuneration of Directors in For Did Not Vote Management
the Aggregate Amount of SEK 1.7
Million; Approve Remuneration of
Auditors
14 Reelect Peter Fredell and until May 1, For Did Not Vote Management
2013, Gunnar Jardelov (Chairman) as
Directors; Elect Robin Saunders, Omar
M Cordes, Martin Borresen as New
Directors; Elect Michael Sundin as as
New Director and Chairman as of May 1,
2013
15 Ratify PricewaterhouseCoopers AB as For Did Not Vote Management
Auditors
16 Approve Remuneration Policy And Other For Did Not Vote Management
Terms of Employment For Executive
Management
17 Authorize Chairman of Board and For Did Not Vote Management
Representatives of Four of Company's
Largest Shareholders to Serve on
Nominating Committee
18 Approve Issuance of up to 8 Million For Did Not Vote Management
Shares without Preemptive Rights
19 Authorize Share Repurchase Program and For Did Not Vote Management
Reissuance of Repurchased Shares
20 Approve Stock Option Plan for Key For Did Not Vote Management
Employees; Approve Creation of SEK 1.0
Million Pool of Capital to Guarantee
Conversion Rights
21 Approve Non-Employee Director Stock For Did Not Vote Management
Option Plan for New Directors; Approve
Creation of SEK 750,000 Pool of
Capital to Guarantee Conversion Rights
22 Close Meeting None None Management
--------------------------------------------------------------------------------
SECURITY BANK CORPORATION
Ticker: SECB Security ID: Y7571C100
Meeting Date: MAY 28, 2013 Meeting Type: Annual
Record Date: MAY 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Minutes of Previous For For Management
Stockholders' Meeting
2 Approve the Annual Report For For Management
3 Ratify the Acts, Resolutions, and For For Management
Proceedings of the Board of Directors,
the Management Committees, Officers,
and Agents of the Corporation
4.1 Elect Frederick Y. Dy as a Director For For Management
4.2 Elect Paul Y. Ung as a Director For For Management
4.3 Elect Alberto S. Villarosa as a For For Management
Director
4.4 Elect Anastasia Y. Dy as a Director For For Management
4.5 Elect Jose R. Facundo as a Director For For Management
4.6 Elect Eduardo I. Plana as a Director For For Management
4.7 Elect Rafael F. Simpao, Jr. as a For For Management
Director
4.8 Elect Diana P. Aguilar as a Director For For Management
4.9 Elect Philip T. Ang as a Director For For Management
4.10 Elect Joseph R. Higdon as a Director For For Management
4.11 Elect James J.K. Hung as a Director For For Management
5 Approve the Declaration of 20 Percent For For Management
Stock Dividend
6 Approve the Increase in Authorized For For Management
Capital Stock
7 Approve the Amendment of Articles of For For Management
Incorporation
--------------------------------------------------------------------------------
SEMAFO INC.
Ticker: SMF Security ID: 816922108
Meeting Date: MAY 13, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Terence F. Bowles For For Management
1.2 Elect Director Benoit Desormeaux For For Management
1.3 Elect Director Jean Lamarre For For Management
1.4 Elect Director John LeBoutillier For For Management
1.5 Elect Director Gilles Masson For For Management
1.6 Elect Director Lawrence McBrearty For For Management
1.7 Elect Director Tertius Zongo For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
SERIA CO. LTD.
Ticker: 2782 Security ID: J7113X106
Meeting Date: JUN 25, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 15
--------------------------------------------------------------------------------
SHAWCOR LTD.
Ticker: SCL.A Security ID: 820904209
Meeting Date: MAR 14, 2013 Meeting Type: Special
Record Date: JAN 24, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Amalgamation with Seaborn For For Management
Acquisition Inc.
--------------------------------------------------------------------------------
SHAWCOR LTD.
Ticker: SCL Security ID: 820439107
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: APR 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John T. Baldwin For For Management
1.2 Elect Director Derek S. Blackwood For For Management
1.3 Elect Director William P. Buckley For For Management
1.4 Elect Director James W. Derrick For For Management
1.5 Elect Director Dennis H. Freeman For For Management
1.6 Elect Director John F. Petch For For Management
1.7 Elect Director Robert J. Ritchie For For Management
1.8 Elect Director Paul G. Robinson For For Management
1.9 Elect Director Heather A. Shaw For For Management
1.10 Elect Director Zoltan D. Simo For For Management
1.11 Elect Director E. Charlene Valiquette For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
SILICON WORKS CO LTD
Ticker: 108320 Security ID: Y7935F104
Meeting Date: MAR 29, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 650 per Share
2 Amend Articles of Incorporation For Against Management
3 Elect Lee Nam-Joo as Outside Director For For Management
4.1 Elect Moon Geon-Woo as Member of Audit For Against Management
Committee
4.2 Elect Lee Sang-Gook as Member of Audit For Against Management
Committee
4.3 Elect Lee Nam-Joo as Member of Audit For For Management
Committee
5 Approve Total Remuneration of Inside For For Management
Directors and Outside Directors
--------------------------------------------------------------------------------
SIMPLEX HOLDINGS INC.
Ticker: 4340 Security ID: J7552G101
Meeting Date: JUN 16, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 520
2 Amend Articles To Amend Business Lines For For Management
3 Appoint Statutory Auditor Kurasawa, For For Management
Kazuo
4 Approve Ceiling for Performance-Based For For Management
Cash Compensation for Directors
--------------------------------------------------------------------------------
SIRTEX MEDICAL LTD.
Ticker: SRX Security ID: Q8510U101
Meeting Date: OCT 23, 2012 Meeting Type: Annual
Record Date: OCT 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect Grant Boyce as a Director For For Management
3 Approve the Grant of Up to 140,000 For For Management
Performance Rights to Gilman Wong,
Chief Executive Officer of the Company
4 Approve the Spill Resolution Against Against Management
--------------------------------------------------------------------------------
SMS MANAGEMENT & TECHNOLOGY LTD.
Ticker: SMX Security ID: Q8531A118
Meeting Date: OCT 23, 2012 Meeting Type: Annual
Record Date: OCT 19, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption Remuneration For For Management
Report
2 Elect Laurence Grimes Cox as a Director For For Management
3 Elect Derek Bernard Young as a Director For For Management
4 Approve the Increase in Maximum None For Management
Aggregate Remuneration of
Non-Executive Directors
5 Approve the Grant of 98,232 For For Management
Performance Rights to Thomas Stianos,
Chief Executive Officer of the Company
--------------------------------------------------------------------------------
SODASTREAM INTERNATIONAL LTD.
Ticker: SODA Security ID: M9068E105
Meeting Date: DEC 20, 2012 Meeting Type: Annual
Record Date: NOV 21, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Changes to Salary and Fringe For For Management
Benefits of Director and CEO Daniel
Birnbaum
2 Approve 2011 Bonus for Daniel Birnbaum For For Management
3 Approve 2012 Bonus for Daniel Birnbaum For For Management
4 Approve 2013 Bonus for Daniel Birnbaum For For Management
5 Approve Long Term Incentive Plan for For Against Management
Daniel Birnbaum
6 Increase Number of Shares Available For Against Management
under Employee Share Option Plan by
900,000
7 Reappoint Somekh Chaikin, a member For For Management
firm of KPMG International, as
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
SOFTING AG
Ticker: SYT Security ID: D7043U103
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.27 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify PricewaterhouseCoopers AG as For For Management
Auditors for Fiscal 2013
6a Elect Klaus Fuchs to the Supervisory For For Management
Board
6b Elect Andreas Kratzer to the For For Management
Supervisory Board
6c Elect Horst Schiessl to the For For Management
Supervisory Board
7 Amend Articles Re: Editorial Change For For Management
8 Approve Issuance of Warrants/Bonds For For Management
with Warrants Attached/Convertible
Bonds with Partial Exclusion of
Preemptive Rights up to Aggregate
Nominal Amount of EUR 20 Million;
Approve Creation of EUR 3.2 Million
Pool of Capital to Guarantee
Conversion Rights
--------------------------------------------------------------------------------
SPORTON INTERNATIONAL INC.
Ticker: 6146 Security ID: Y8129X109
Meeting Date: JUN 14, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Issuance of New Shares through For For Management
Capitalization of Profit and Employee
Bonus
4 Approve Amendments to Articles of For For Management
Association
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder's
General Meeting
8 Approve Release of Restrictions of For For Management
Competitive Activities of Appointed
Directors
--------------------------------------------------------------------------------
STANTEC INC.
Ticker: STN Security ID: 85472N109
Meeting Date: MAY 09, 2013 Meeting Type: Annual
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Douglas K. Ammerman For For Management
1.2 Elect Director David L. Emerson For For Management
1.3 Elect Director Delores M. Etter For For Management
1.4 Elect Director Anthony P. Franceschini For Withhold Management
1.5 Elect Director Robert J. Gomes For For Management
1.6 Elect Director Susan E. Hartman For For Management
1.7 Elect Director Aram H. Keith For For Management
1.8 Elect Director Donald J. Lowry For For Management
1.9 Elect Director Ivor M. Ruste For For Management
2 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
STHREE PLC
Ticker: STHR Security ID: G8499E103
Meeting Date: APR 18, 2013 Meeting Type: Annual
Record Date: APR 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Clay Brendish as Director For For Management
5 Re-elect Alex Smith as Director For For Management
6 Re-elect Gary Elden as Director For For Management
7 Elect Justin Hughes as Director For For Management
8 Elect Steve Quinn as Director For For Management
9 Re-elect Alicja Lesniak as Director For For Management
10 Re-elect Tony Ward as Director For For Management
11 Re-elect Paul Bowtell as Director For For Management
12 Re-elect Nadhim Zahawi as Director For For Management
13 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
14 Authorise Board to Fix Remuneration of For For Management
Auditors
15 Authorise EU Political Donations and For For Management
Expenditure
16 Authorise the Company to Offer Key For For Management
Individuals the Opportunity to
Purchase Shareholdings in Certain of
the Company's Subsidiaries
17 Authorise Issue of Equity with For For Management
Pre-emptive Rights
18 Authorise Issue of Equity without For For Management
Pre-emptive Rights
19 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
SUPER RETAIL GROUP LTD.
Ticker: SUL Security ID: Q88009107
Meeting Date: OCT 22, 2012 Meeting Type: Annual
Record Date: OCT 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Sally Ann Pitkin as a Director For For Management
4 Approve the Grant of Up to 330,000 For Against Management
Performance Rights to Peter Birtles,
CEO and Managing Director of the
Company
--------------------------------------------------------------------------------
TAIWAN HON CHUAN ENTERPRISE CO. LTD.
Ticker: 9939 Security ID: Y8421M108
Meeting Date: JUN 19, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to Articles of For For Management
Association
4 Approve Amendments to Rules and For For Management
Procedures Regarding Shareholder
General Meeting
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7 Approve Proposal of Capital Increase For Against Management
by Issuance of Ordinary Shares or
Issuance of Ordinary Shares to
Participate in the Issuance of Global
Depository Receipt
--------------------------------------------------------------------------------
TAO HEUNG HOLDINGS LTD.
Ticker: 00573 Security ID: G8672Y108
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAY 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final Dividend For For Management
3a Elect Chung Ming Fat as Director For For Management
3b Elect Leung Yiu Chun as Director For For Management
3c Elect Chan Yue Kwong, Michael as For For Management
Director
3d Elect Ng Yat Cheung as Director For For Management
3e Authorize Board to Fix the For For Management
Remuneration of Directors
4 Reappoint Ernst and Young as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
TAV HAVALIMANLARI HOLDING AS
Ticker: TAVHL Security ID: M8782T109
Meeting Date: MAY 30, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting and Elect Presiding For For Management
Council of Meeting
2 Accept Statutory Reports For For Management
3 Accept Financial Statements For For Management
4 Receive Information on Profit None None Management
Distribution Policy
5 Approve Allocation of Income For For Management
6 Approve Discharge of Board and Auditors For For Management
7 Ratify Director Appointments For For Management
8 Ratify External Auditors For For Management
9 Amend Company Articles For Against Management
10 Approve Working Principles of the For For Management
General Assembly
11 Receive Information on Remuneration None None Management
Policy
12 Approve Donation Policy and Receive For For Management
Information on Charitable Donations
Made in 2012
13 Receive Information on Company None None Management
Disclosure Policy
14 Receive Information on Related Party None None Management
Transactions
15 Receive Information on the Guarantees, None None Management
Pledges, and Mortgages Provided by the
Company to Third Parties
16 Grant Permission for Board Members to For For Management
Engage in Commercial Transactions with
Company and Be Involved with Companies
with Similar Corporate Purpose
17 Wishes None None Management
18 Close Meeting None None Management
--------------------------------------------------------------------------------
TED BAKER PLC
Ticker: TED Security ID: G8725V101
Meeting Date: JUN 20, 2013 Meeting Type: Annual
Record Date: JUN 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For For Management
3 Approve Final Dividend For For Management
4 Re-elect David Bernstein as Director For For Management
5 Re-elect Raymond Kelvin as Director For For Management
6 Re-elect Lindsay Page as Director For For Management
7 Re-elect Ron Stewart as Director For For Management
8 Re-elect Anne Sheinfield as Director For For Management
9 Reappoint KPMG Audit plc as Auditors For For Management
10 Authorise the Audit Committee to Fix For For Management
Remuneration of Auditors
11 Authorise Issue of Equity with For For Management
Pre-emptive Rights
12 Authorise Issue of Equity without For For Management
Pre-emptive Rights
13 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
TED BAKER PLC
Ticker: TED Security ID: G8725V101
Meeting Date: JUN 20, 2013 Meeting Type: Special
Record Date: JUN 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Long Term Incentive Plan For For Management
--------------------------------------------------------------------------------
TEGMA GESTAO LOGISTICA S.A
Ticker: TGMA3 Security ID: P90284103
Meeting Date: APR 30, 2013 Meeting Type: Annual
Record Date:
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for Fiscal Year
Ended Dec. 31, 2012
2 Approve Allocation of Income and For For Management
Dividends
3 Elect Directors For For Management
4 Elect Fiscal Council Members For For Management
5 Approve Remuneration of Company's For For Management
Management
--------------------------------------------------------------------------------
TEST RESEARCH CO., LTD.
Ticker: 3030 Security ID: Y8591M102
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve the Issuance of New Shares by For For Management
Capitalization of Profit
4 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
--------------------------------------------------------------------------------
THE FOSCHINI GROUP LTD
Ticker: TFG Security ID: S29260155
Meeting Date: SEP 03, 2012 Meeting Type: Annual
Record Date: AUG 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports for the Year Ended
31 March 2012
2 Reappoint KPMG Inc as Auditors of the For For Management
Company and Henry du Plessis as the
Designated Partner
3 Re-elect David Nurek as Director For For Management
4 Re-elect Vuli Cuba as Director For For Management
5 Re-elect Michael Lewis as Director For For Management
6 Re-elect Peter Meiring as Director For For Management
7 Re-elect Sam Abrahams as Member of the For For Management
Audit Committee
8 Re-elect Vuli Cuba as Member of the For For Management
Audit Committee
9 Re-elect Eddy Oblowitz as Member of For For Management
the Audit Committee
10 Re-elect Noma Simamane as Member of For For Management
Audit Committee
11 Approve Remuneration Policy For Against Management
1 Approve Remuneration of Non-Executive For For Management
Directors
2 Adopt New Memorandum of Incorporation For Against Management
3 Authorise Specific Repurchase of For For Management
Shares from its Subsidiary and
Cancellation of Shares
4 Authorise Repurchase of Up to Five For For Management
Percent of Issued Share Capital
5 Authorise the Company to Provide For For Management
Direct or Indirect Financial
Assistance to a Related or
Inter-related Company or Corporation
12 Authorise Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
THE REJECT SHOP LTD.
Ticker: TRS Security ID: Q8050H106
Meeting Date: OCT 17, 2012 Meeting Type: Annual
Record Date: OCT 15, 2012
# Proposal Mgt Rec Vote Cast Sponsor
2 Approve the Adoption of the For For Management
Remuneration Report
3 Elect Kevin Elkington as a Director For For Management
4 Elect Denis Westhorpe as a Director For For Management
5 Approve the Grant of Up to 35,600 For For Management
Performance Rights to Christopher
Bryce, Managing Director of the Company
--------------------------------------------------------------------------------
THERMADOR GROUPE
Ticker: THEP Security ID: F91651103
Meeting Date: APR 08, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Dividends of EUR 3.15 per Share
4 Approve Auditors' Special Report For For Management
Regarding New Related-Party Transaction
5 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
TORIDOLL CORP
Ticker: 3397 Security ID: J8963E107
Meeting Date: JUN 27, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Awata, Takaya For For Management
1.2 Elect Director Nagasawa, Takashi For For Management
1.3 Elect Director Kobatake, Yoshiaki For For Management
1.4 Elect Director Tanaka, Kimihiro For For Management
1.5 Elect Director Suzuki, Kuniaki For For Management
2 Appoint Alternate Statutory Auditor For For Management
Umeda, Hiroaki
--------------------------------------------------------------------------------
TRACSIS PLC
Ticker: TRCS Security ID: G90029102
Meeting Date: JAN 16, 2013 Meeting Type: Annual
Record Date: JAN 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Reappoint KPMG Audit plc as Auditors For For Management
4 Authorise Board to Fix Remuneration of For For Management
Auditors
5 Re-elect Charles Winward as Director For Against Management
6 Re-elect John McArthur as Director For For Management
7 Approve Final Dividend For For Management
8 Authorise Issue of Equity with For For Management
Pre-emptive Rights
9 Authorise Issue of Equity without For For Management
Pre-emptive Rights
10 Authorise Market Purchase of Ordinary For For Management
Shares
--------------------------------------------------------------------------------
TRANCOM CO. LTD.
Ticker: 9058 Security ID: J9297N102
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: MAR 31, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Allocation of Income, with a For For Management
Final Dividend of JPY 60
2.1 Elect Director Takebe, Hiroshi For For Management
2.2 Elect Director Shimizu, Masahisa For For Management
2.3 Elect Director Numata, Masakazu For For Management
2.4 Elect Director Kawamura, Masahiko For For Management
2.5 Elect Director Osawa, Takashi For For Management
2.6 Elect Director Tsunekawa, Yutaka For For Management
2.7 Elect Director Takeuchi, Kazuhiko For For Management
3 Appoint Statutory Auditor Kunitsune, For For Management
Hisao
4 Approve Deep Discount Stock Option Plan For For Management
--------------------------------------------------------------------------------
TRANSGLOBE ENERGY CORPORATION
Ticker: TGL Security ID: 893662106
Meeting Date: MAY 08, 2013 Meeting Type: Annual/Special
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Seven For For Management
2.1 Elect Director Ross G. Clarkson For For Management
2.2 Elect Director Lloyd W. Herrick For For Management
2.3 Elect Director Robert G. Jennings For For Management
2.4 Elect Director Geoffrey C. Chase For For Management
2.5 Elect Director Fred J. Dyment For For Management
2.6 Elect Director Gary S. Guidry For For Management
2.7 Elect Director Erwin L. Noyes For For Management
3 Re-approve Stock Option Plan For Against Management
4 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
TRINITY LTD.
Ticker: 00891 Security ID: G90624100
Meeting Date: MAY 28, 2013 Meeting Type: Annual
Record Date: MAY 27, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Declare Final and Special Final For For Management
Dividends
3a Elect Victor Fung Kwok King as Director For For Management
3b Elect Danny Lau Sai Wing as Director For For Management
3c Elect Bruno Li Kwok Ho as Director For For Management
3d Elect Jean-Marc Loubier as Director For For Management
4 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
TSC AUTO ID TECHNOLOGY CO., LTD.
Ticker: 3611 Security ID: Y89752102
Meeting Date: JUN 13, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to Articles of For For Management
Association
4 Approve Amendments to Procedures For For Management
Governing the Acquisition or Disposal
of Assets
5 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
6 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
7.1 Elect Director No.1 None Against Shareholder
7.2 Elect Director No.2 None Against Shareholder
7.3 Elect Director No.3 None Against Shareholder
7.4 Elect Director No.4 None Against Shareholder
7.5 Elect Independent Director Ma Jiaying For For Management
7.6 Elect Independent Director Li Junqi For For Management
7.7 Elect Independent Director Wu Qiming For For Management
8 Transact Other Business (Non-Voting) None None Management
--------------------------------------------------------------------------------
TXC CORP.
Ticker: 3042 Security ID: Y90156103
Meeting Date: JUN 19, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Business Operations Report and For For Management
Financial Statements
2 Approve Plan on Profit Distribution For For Management
3 Approve Amendments to Articles of For For Management
Association
4 Approve Amendments to Procedures For For Management
Governing the Acquisition or Disposal
of Assets
5 Approve Amendments to the Procedures For For Management
for Endorsement and Guarantees
6 Approve Amendments to the Procedures For For Management
for Lending Funds to Other Parties
7 Amendments to Trading Procedures For For Management
Governing Derivatives Products
8 Approve Amendment to Rules and For For Management
Procedures for Election of Directors
and Supervisors
9.1 Elect Lin Jinbao with Shareholder No.1 None Against Shareholder
as Director
9.2 Elect Lin Wanxing with Shareholder No. None Against Shareholder
6 as Director
9.3 Elect Guo Xiuxun with Shareholder No.8 None Against Shareholder
as Director
9.4 Elect Xu Derun with Shareholder No.7 None Against Shareholder
as Director
9.5 Elect Ge Tianzong with Shareholder No. None Against Shareholder
45 as Director
9.6 Elect Chenque Shangxin with None Against Shareholder
Shareholder No.44 as Director
9.7 Elect a Representative of Hongding None Against Shareholder
Venture Capital Co., Ltd. with
Shareholder No.44269 as Director
9.8 Elect Yang Du'an with Shareholder No. None Against Shareholder
18 as Director
9.9 Elect Yu Shangwu as Independent For For Management
Director
9.10 Elect Peng Yunhong as Independent For For Management
Director
9.11 Elect Cai Songqi as Independent For For Management
Director
10 Approve Release of Restrictions of For Against Management
Competitive Activities of Newly
Appointed Directors
--------------------------------------------------------------------------------
ULTRA ELECTRONICS HOLDINGS PLC
Ticker: ULE Security ID: G9187G103
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date: APR 24, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Approve Remuneration Report For For Management
4 Re-elect Douglas Caster as Director For For Management
5 Re-elect Christopher Bailey as Director For For Management
6 Re-elect Sir Robert Walmsley as For For Management
Director
7 Elect Martin Broadhurst as Director For For Management
8 Re-elect Mark Anderson as Director For For Management
9 Re-elect Rakesh Sharma as Director For For Management
10 Reappoint Deloitte LLP as Auditors For For Management
11 Authorise Board to Fix Remuneration of For For Management
Auditors
12 Amend Long Term Incentive Plan 2007 For For Management
13 Approve Increase in the Aggregate For For Management
Limit of Fees Payable to Directors
14 Authorise Issue of Equity with For For Management
Pre-emptive Rights
15 Authorise Issue of Equity without For For Management
Pre-emptive Rights
16 Authorise Market Purchase of Ordinary For For Management
Shares
17 Authorise the Company to Call EGM with For For Management
Two Weeks' Notice
--------------------------------------------------------------------------------
UZMA BHD
Ticker: UZMA Security ID: Y93246109
Meeting Date: JUN 26, 2013 Meeting Type: Annual
Record Date: JUN 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Elect Rozita Binti Mat Shah @ Hassan For For Management
as Director
3 Elect Nazahatuhisamudin Bin Che Haron For For Management
as Director
4 Approve Crowe Horwath as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
--------------------------------------------------------------------------------
VALUE GROUP LTD
Ticker: VLE Security ID: S91792101
Meeting Date: SEP 17, 2012 Meeting Type: Annual
Record Date: SEP 07, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Re-elect Mike Groves as Director For For Management
1.2 Re-elect Dr Mathews Phosa as Director For For Management
1.3 Elect Velile Mcobothi as Director For For Management
2.1 Re-elect Carl Stein as Member of the For For Management
Audit and Risk Committee
2.2 Re-elect Mike Groves as Member of the For For Management
Audit and Risk Committee
2.3 Elect Velile Mcobothi as Member of the For For Management
Audit and Risk Committee
3 Reappoint Charles Orbach & Company as For For Management
Auditors of the Company and El Steyn
as the Designated Auditor
4 Place Authorised but Unissued Shares For For Management
under Control of Directors
5 Authorise Board to Issue Shares for For For Management
Cash
6 Approve Remuneration Philosophy For Against Management
7 Authorise Repurchase of Up to 20 For For Management
Percent of Issued Share Capital
8 Approve Directors' Remuneration For Against Management
9 Approve Financial Assistance to For For Management
Related or Inter-related Companies
10 Adopt New Memorandum of Incorporation For For Management
11 Authorize Board to Ratify and Execute For For Management
Approved Resolutions
--------------------------------------------------------------------------------
VIEWORKS CO LTD
Ticker: 100120 Security ID: Y9330U108
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements For For Management
2 Approve Appropriation of Income and For For Management
Dividend of KRW 100 per Share
3 Reelect One Inside Director and One For Against Management
Outside Director (Bundled)
4 Reappoint Lee Chul-Sang as Internal For For Management
Auditor
5 Approve Total Remunerations for Inside For For Management
Directors, Outside Directors and
Internal Auditor
--------------------------------------------------------------------------------
VISTAPRINT N.V.
Ticker: VPRT Security ID: N93540107
Meeting Date: NOV 08, 2012 Meeting Type: Annual
Record Date: OCT 11, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Mark T. Thomas to Supervisory For For Management
Board
2 Elect Hauke Hansen to Executive Board For For Management
3 Approve Financial Statements and For For Management
Statutory Reports
4 Approve Discharge of Management Board For For Management
5 Approve Discharge of Supervisory Board For For Management
6 Authorize Repurchase of Up to 6.8 For For Management
Million of Issued and Outstanding
Ordinary Shares
7 Authorize Repurchase of Up to 3.4 For For Management
Million of Issued and Outstanding
Ordinary Shares
8 Amend Articles Re: Articles of For For Management
Association to Reduce Our Authorized
Capital to 2,000,000 Euros Divided
into 100,000,000 Ordinary Shares and
100,000,000 Preferred Shares
9 Approve the Cancellation of 5,869,662 For For Management
Ordinary Shares Held In Our Treasury
Account
10 Ratify Ernst & Young LLP as Auditors For For Management
11 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
VITASOY INTERNATIONAL HOLDINGS LTD.
Ticker: 00345 Security ID: Y93794108
Meeting Date: AUG 28, 2012 Meeting Type: Annual
Record Date: AUG 23, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a1 Reelect David Kwok-po Li as Director For Against Management
3a2 Reelect Jan P. S. Erlund as Director For For Management
3b Authorize Board to Fix Remuneration of For For Management
Directors
4 Appoint Auditors and Authorize Board For For Management
to Fix Their Remuneration
5a Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5b Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
5c Authorize Reissuance of Repurchased For Against Management
Shares
5d Approve Grant of Options to Winston For Against Management
Yau-lai Lo Under the Existing Share
Option Scheme
5e Adopt New Share Option Scheme For Against Management
--------------------------------------------------------------------------------
WEBJET LTD.
Ticker: WEB Security ID: Q9570B108
Meeting Date: NOV 14, 2012 Meeting Type: Annual
Record Date: NOV 12, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Adoption of the For For Management
Remuneration Report
2 Elect David Clarke as a Director For For Management
3 Approve the Increase in Maximum For For Management
Aggregate Remuneration of
Non-Executive Directors
--------------------------------------------------------------------------------
WESTFIRE ENERGY LTD.
Ticker: WFE Security ID: 960254100
Meeting Date: OCT 22, 2012 Meeting Type: Annual/Special
Record Date: SEP 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Acquisition of Guide For Against Management
Exploration Ltd.
2 Authorize New Class of Preferred Shares For For Management
3 Change Company Name to Long Run For For Management
Exploration Ltd.
4 Fix Number of Directors at Ten For For Management
5.1 Elect Director William E. Andrew For For Management
5.2 Elect Director John A. Brussa For For Management
5.3 Elect Director Edward Chwyl For For Management
5.4 Elect Director Paul Dimitriadis For For Management
5.5 Elect Director Jeffery E. Errico For For Management
5.6 Elect Director Michael M. Graham For For Management
5.7 Elect Director Michael Y. McGovern For For Management
5.8 Elect Director Dale A. Miller For For Management
5.9 Elect Director Bradley R. Munro For For Management
5.10 Elect Director Patricia M. Newson For For Management
6 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
WINS TECHNET CO., LTD.
Ticker: 136540 Security ID: Y96361103
Meeting Date: MAR 22, 2013 Meeting Type: Annual
Record Date: DEC 31, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements, For For Management
Allocation of Income, and Dividend of
KRW 200 per Share
2 Amend Articles of Incorporation For For Management
3 Approve Total Remuneration of Inside For For Management
Directors and Outside Director
4 Authorize Board to Fix Remuneration of For For Management
Internal Auditor
--------------------------------------------------------------------------------
WIRECARD AG
Ticker: WDI Security ID: D22359133
Meeting Date: JUN 20, 2013 Meeting Type: Annual
Record Date: MAY 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Allocation of Income and For For Management
Dividends of EUR 0.11 per Share
3 Approve Discharge of Management Board For For Management
for Fiscal 2012
4 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
5 Ratify Ernst & Young as Auditors for For For Management
Fiscal 2013
--------------------------------------------------------------------------------
ZOOPLUS AG
Ticker: ZO1 Security ID: D9866J108
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: MAY 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2012
(Non-Voting)
2 Approve Discharge of Management Board For For Management
for Fiscal 2012
3 Approve Discharge of Supervisory Board For For Management
for Fiscal 2012
4 Ratify PricewaterhouseCoopers as For For Management
Auditors for Fiscal 2013
5 Elect Thomas Schmitt to the For For Management
Supervisory Board
6 Approve Affiliation Agreements with For For Management
BITIBA GmbH
========== END NPX REPORT
STONEBRIDGE SMALL-CAP GROWTH FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-00749
Reporting Period: 07/01/2012 - 06/30/2013
Stonebridge Funds Trust
=============== Stonebridge Institutional Small Cap-Growth Fund ================
ARUBA NETWORKS, INC.
Ticker: ARUN Security ID: 043176106
Meeting Date: NOV 29, 2012 Meeting Type: Annual
Record Date: OCT 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dominic P. Orr For Withhold Management
1.2 Elect Director Keerti Melkote For For Management
1.3 Elect Director Bernard Guidon For Withhold Management
1.4 Elect Director Emmanuel Hernandez For For Management
1.5 Elect Director Michael R. Kourey For For Management
1.6 Elect Director Willem P. Roelandts For For Management
1.7 Elect Director Juergen Rottler For For Management
1.8 Elect Director Daniel Warmenhoven For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ATWOOD OCEANICS, INC.
Ticker: ATW Security ID: 050095108
Meeting Date: FEB 14, 2013 Meeting Type: Annual
Record Date: DEC 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Deborah A. Beck For For Management
1.2 Elect Director George S. Dotson For For Management
1.3 Elect Director Jack E. Golden For For Management
1.4 Elect Director Hans Helmerich For For Management
1.5 Elect Director James R. Montague For For Management
1.6 Elect Director Robert J. Saltiel For For Management
1.7 Elect Director Phil D. Wedemeyer For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Change Range for Size of the Board For Against Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CHICAGO BRIDGE & IRON COMPANY NV
Ticker: CBI Security ID: 167250109
Meeting Date: DEC 18, 2012 Meeting Type: Special
Record Date: NOV 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement between The For For Management
Shaw Group Inc. and Crystal
Acquisition Subsidiary Inc.
2 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
FIFTH THIRD FUNDS
Ticker: Security ID: 99FSQTRI6
Meeting Date: SEP 05, 2012 Meeting Type: Special
Record Date: JUL 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Reorganization/Restructuring For For Management
Plan
--------------------------------------------------------------------------------
HARMAN INTERNATIONAL INDUSTRIES, INCORPORATED
Ticker: HAR Security ID: 413086109
Meeting Date: DEC 05, 2012 Meeting Type: Annual
Record Date: OCT 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jiren Liu For For Management
1b Elect Director Edward H. Meyer For For Management
1c Elect Director Dinesh C. Paliwal For For Management
1d Elect Director Hellene S. Runtagh For For Management
1e Elect Director Frank Sklarsky For For Management
1f Elect Director Gary G. Steel For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
K12 INC.
Ticker: LRN Security ID: 48273U102
Meeting Date: NOV 29, 2012 Meeting Type: Annual
Record Date: OCT 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Craig R. Barrett For Withhold Management
1.2 Elect Director Guillermo Bron For Withhold Management
1.3 Elect Director Nathaniel A. Davis For Withhold Management
1.4 Elect Director John M. Engler For For Management
1.5 Elect Director Steven B. Fink For Withhold Management
1.6 Elect Director Mary H. Futrell For Withhold Management
1.7 Elect Director Ronald J. Packard For Withhold Management
1.8 Elect Director Jon Q. Reynolds, Jr. For Withhold Management
1.9 Elect Director Andrew H. Tisch For Withhold Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MISTRAS GROUP, INC.
Ticker: MG Security ID: 60649T107
Meeting Date: OCT 15, 2012 Meeting Type: Annual
Record Date: AUG 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Daniel M. Dickinson For For Management
1.2 Elect Director James J. Forese For For Management
1.3 Elect Director Richard H. Glanton For For Management
1.4 Elect Director Michael J. Lange For For Management
1.5 Elect Director Ellen T. Ruff For For Management
1.6 Elect Director Manuel N. Stamatakis For For Management
1.7 Elect Director Sotirios J. Vahaviolos For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
PAREXEL INTERNATIONAL CORPORATION
Ticker: PRXL Security ID: 699462107
Meeting Date: DEC 06, 2012 Meeting Type: Annual
Record Date: OCT 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Eduard E. Holdener For For Management
1.2 Elect Director Richard L. Love For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Increase Authorized Common Stock For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PTC INC
Ticker: PMTC Security ID: 699173209
Meeting Date: MAR 06, 2013 Meeting Type: Annual
Record Date: JAN 07, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas F. Bogan For For Management
1.2 Elect Director Michael E. Porter For For Management
1.3 Elect Director Robert P. Schechter For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
QUALITY SYSTEMS, INC.
Ticker: QSII Security ID: 747582104
Meeting Date: AUG 16, 2012 Meeting Type: Proxy Contest
Record Date: JUN 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
Management Proxy (White Card) None
1.1 Elect Director Craig A. Barbarosh For For Management
1.2 Elect Director George H. Bristol For For Management
1.3 Elect Director Mark H. Davis For For Management
1.4 Elect Director D. Russell Pflueger For For Management
1.5 Elect Director Steven T. Plochocki For For Management
1.6 Elect Director Sheldon Razin For For Management
1.7 Elect Director Lance E. Rosenzweig For For Management
1.8 Elect Director Maureen A. Spivack For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
# Proposal Diss Rec Vote Cast Sponsor
Dissident Proxy (Gold Card) None
1.1 Elect Director Ahmed D. Hussein For Did Not Vote Shareholder
1.2 Elect Director Murray F. Brennan For Did Not Vote Shareholder
1.3 Elect Director Patrick B. Cline For Did Not Vote Shareholder
1.4 Elect Director John J. Mueller For Did Not Vote Shareholder
1.5 Elect Director John M. McDuffie For Did Not Vote Shareholder
1.6 Elect Director Thomas R. DiBenedetto For Did Not Vote Shareholder
1.7 Elect Director Ian A. Gordon For Did Not Vote Shareholder
2 Advisory Vote to Ratify Named None Did Not Vote Management
Executive Officers' Compensation
3 Ratify Auditors None Did Not Vote Management
--------------------------------------------------------------------------------
WADDELL & REED FINANCIAL, INC.
Ticker: WDR Security ID: 930059100
Meeting Date: APR 17, 2013 Meeting Type: Annual
Record Date: FEB 20, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Henry J. Herrmann For For Management
1.2 Elect Director James M. Raines For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
WMS INDUSTRIES INC.
Ticker: WMS Security ID: 929297109
Meeting Date: DEC 06, 2012 Meeting Type: Annual
Record Date: OCT 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert J. Bahash For For Management
1.2 Elect Director Brian R. Gamache For For Management
1.3 Elect Director Patricia M. Nazemetz For For Management
1.4 Elect Director Matthew H. Paull For For Management
1.5 Elect Director Edward W. Rabin, Jr. For For Management
1.6 Elect Director Ira S. Sheinfeld For For Management
1.7 Elect Director Bobby L. Siller For For Management
1.8 Elect Director William J. Vareschi, Jr. For For Management
1.9 Elect Director Keith R. Wyche For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
====================== Stonebridge Small-Cap Growth Fund =======================
AEGION CORPORATION
Ticker: AEGN Security ID: 00770F104
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director J. Joseph Burgess For For Management
1.2 Elect Director Stephen P. Cortinovis For For Management
1.3 Elect Director Stephanie A. Cuskley For For Management
1.4 Elect Director John P. Dubinsky For For Management
1.5 Elect Director Charles R. Gordon For For Management
1.6 Elect Director Juanita H. Hinshaw For For Management
1.7 Elect Director M. Richard Smith For For Management
1.8 Elect Director Alfred L. Woods For For Management
1.9 Elect Director Phillip D. Wright For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ALIGN TECHNOLOGY, INC.
Ticker: ALGN Security ID: 016255101
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 22, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David E. Collins For For Management
1.2 Elect Director Joseph Lacob For For Management
1.3 Elect Director C. Raymond Larkin, Jr. For For Management
1.4 Elect Director George J. Morrow For For Management
1.5 Elect Director David C. Nagel For For Management
1.6 Elect Director Thomas M. Prescott For For Management
1.7 Elect Director Greg J. Santora For For Management
1.8 Elect Director Warren S. Thaler For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
ALLIED NEVADA GOLD CORP.
Ticker: ANV Security ID: 019344100
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Robert M. Buchan For For Management
1b Elect Director John W. Ivany For For Management
1c Elect Director Cameron A. Mingay For For Management
1d Elect Director Terry M. Palmer For For Management
1e Elect Director Carl A. Pescio For For Management
1f Elect Director A. Murray Sinclair For Withhold Management
1g Elect Director Robert G. Wardell For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
ARUBA NETWORKS, INC.
Ticker: ARUN Security ID: 043176106
Meeting Date: NOV 29, 2012 Meeting Type: Annual
Record Date: OCT 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dominic P. Orr For Withhold Management
1.2 Elect Director Keerti Melkote For For Management
1.3 Elect Director Bernard Guidon For Withhold Management
1.4 Elect Director Emmanuel Hernandez For For Management
1.5 Elect Director Michael R. Kourey For For Management
1.6 Elect Director Willem P. Roelandts For For Management
1.7 Elect Director Juergen Rottler For For Management
1.8 Elect Director Daniel Warmenhoven For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ATWOOD OCEANICS, INC.
Ticker: ATW Security ID: 050095108
Meeting Date: FEB 14, 2013 Meeting Type: Annual
Record Date: DEC 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Deborah A. Beck For For Management
1.2 Elect Director George S. Dotson For For Management
1.3 Elect Director Jack E. Golden For For Management
1.4 Elect Director Hans Helmerich For For Management
1.5 Elect Director James R. Montague For For Management
1.6 Elect Director Robert J. Saltiel For For Management
1.7 Elect Director Phil D. Wedemeyer For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Change Range for Size of the Board For Against Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
BROADSOFT, INC.
Ticker: BSFT Security ID: 11133B409
Meeting Date: MAY 02, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John J. Gavin, Jr. For For Management
1.2 Elect Director Charles L. Ill, III For For Management
1.3 Elect Director Michael Tessler For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CARRIZO OIL & GAS, INC.
Ticker: CRZO Security ID: 144577103
Meeting Date: JUN 11, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director S.P. Johnson, IV For For Management
1.2 Elect Director Steven A. Webster For For Management
1.3 Elect Director Thomas L. Carter, Jr. For For Management
1.4 Elect Director Robert F. Fulton For For Management
1.5 Elect Director F. Gardner Parker For For Management
1.6 Elect Director Roger A. Ramsey For For Management
1.7 Elect Director Frank A. Wojtek For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CHART INDUSTRIES, INC.
Ticker: GTLS Security ID: 16115Q308
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Samuel F. Thomas For For Management
1.2 Elect Director W. Douglas Brown For For Management
1.3 Elect Director Richard E. Goodrich For For Management
1.4 Elect Director Steven W. Krablin For For Management
1.5 Elect Director Michael W. Press For For Management
1.6 Elect Director James M. Tidwell For For Management
1.7 Elect Director Thomas L. Williams For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CHICAGO BRIDGE & IRON COMPANY NV
Ticker: CBI Security ID: 167250109
Meeting Date: DEC 18, 2012 Meeting Type: Special
Record Date: NOV 20, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement between The For For Management
Shaw Group Inc. and Crystal
Acquisition Subsidiary Inc.
2 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
COINSTAR, INC.
Ticker: CSTR Security ID: 19259P300
Meeting Date: JUN 27, 2013 Meeting Type: Annual
Record Date: APR 29, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Nora M. Denzel For For Management
1b Elect Director Ronald B. Woodard For For Management
2 Change Company Name For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
CUMBERLAND PHARMACEUTICALS INC.
Ticker: CPIX Security ID: 230770109
Meeting Date: APR 16, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director A.J. Kazimi For For Management
1.2 Elect Director Martin E. Cearnal For For Management
1.3 Elect Director Gordon R. Bernard For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
DYNAMIC MATERIALS CORPORATION
Ticker: BOOM Security ID: 267888105
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: APR 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kevin T. Longe For For Management
1.2 Elect Director Yvon Pierre Cariou For Withhold Management
1.3 Elect Director Robert A. Cohen For For Management
1.4 Elect Director James J. Ferris For For Management
1.5 Elect Director Richard P. Graff For For Management
1.6 Elect Director Bernard Hueber For For Management
1.7 Elect Director Gerard Munera For For Management
1.8 Elect Director Rolf Rospek For Withhold Management
2 Amend Omnibus Stock Plan For For Management
3 Approve Executive Incentive Bonus Plan For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
EMERGENT BIOSOLUTIONS INC.
Ticker: EBS Security ID: 29089Q105
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Fuad El-Hibri For For Management
1.2 Elect Director Ronald B. Richard For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FIFTH THIRD FUNDS
Ticker: Security ID: 99FSQTRI6
Meeting Date: SEP 05, 2012 Meeting Type: Special
Record Date: JUL 09, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Reorganization/Restructuring For For Management
Plan
--------------------------------------------------------------------------------
FXCM INC.
Ticker: FXCM Security ID: 302693106
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 16, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William Ahdout For For Management
1.2 Elect Director James Brown For For Management
1.3 Elect Director Robin Davis For For Management
1.4 Elect Director Perry Fish For For Management
1.5 Elect Director Kenneth Grossman For For Management
1.6 Elect Director Arthur Gruen For For Management
1.7 Elect Director Eric LeGoff For For Management
1.8 Elect Director Dror (Drew) Niv For For Management
1.9 Elect Director David Sakhai For For Management
1.10 Elect Director Ryan Silverman For For Management
1.11 Elect Director Eduard Yusupov For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GENOMIC HEALTH, INC.
Ticker: GHDX Security ID: 37244C101
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: APR 12, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kimberly J. Popovits For For Management
1.2 Elect Director Felix J. Baker For For Management
1.3 Elect Director Julian C. Baker For For Management
1.4 Elect Director Fred E. Cohen For For Management
1.5 Elect Director Samuel D. Colella For For Management
1.6 Elect Director Ginger L. Graham For For Management
1.7 Elect Director Randall S. Livingston For For Management
1.8 Elect Director Woodrow A. Myers, Jr. For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
GRAND CANYON EDUCATION, INC.
Ticker: LOPE Security ID: 38526M106
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 26, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Brent D. Richardson For For Management
1.2 Elect Director Brian E. Mueller For For Management
1.3 Elect Director David J. Johnson For For Management
1.4 Elect Director Jack A. Henry For For Management
1.5 Elect Director Bradley A. Casper For For Management
1.6 Elect Director Kevin F. Warren For For Management
1.7 Elect Director Sara R. Dial For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
GULFMARK OFFSHORE, INC.
Ticker: GLF Security ID: 402629208
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter I. Bijur For For Management
1.2 Elect Director David J. Butters For For Management
1.3 Elect Director Brian R. Ford For For Management
1.4 Elect Director Sheldon S. Gordon For For Management
1.5 Elect Director Quintin V. Kneen For For Management
1.6 Elect Director Robert B. Millard For For Management
1.7 Elect Director Rex C. Ross For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
HARMAN INTERNATIONAL INDUSTRIES, INCORPORATED
Ticker: HAR Security ID: 413086109
Meeting Date: DEC 05, 2012 Meeting Type: Annual
Record Date: OCT 08, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jiren Liu For For Management
1b Elect Director Edward H. Meyer For For Management
1c Elect Director Dinesh C. Paliwal For For Management
1d Elect Director Hellene S. Runtagh For For Management
1e Elect Director Frank Sklarsky For For Management
1f Elect Director Gary G. Steel For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
HIGHER ONE HOLDINGS, INC.
Ticker: ONE Security ID: 42983D104
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Paul Biddelman For For Management
1.2 Elect Director Dean Hatton For For Management
1.3 Elect Director Charles Moran For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
IPC THE HOSPITALIST COMPANY, INC.
Ticker: IPCM Security ID: 44984A105
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Francesco Federico For For Management
1.2 Elect Director C. Thomas Smith For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
IPG PHOTONICS CORPORATION
Ticker: IPGP Security ID: 44980X109
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date: APR 10, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Valentin P. Gapontsev For For Management
1.2 Elect Director Eugene Scherbakov For For Management
1.3 Elect Director Igor Samartsev For For Management
1.4 Elect Director Robert A. Blair For For Management
1.5 Elect Director Michael C. Child For For Management
1.6 Elect Director William F. Krupke For For Management
1.7 Elect Director Henry E. Gauthier For For Management
1.8 Elect Director William S. Hurley For For Management
1.9 Elect Director John R. Peeler For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
JIVE SOFTWARE, INC.
Ticker: JIVE Security ID: 47760A108
Meeting Date: MAY 21, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James J. Goetz For For Management
1.2 Elect Director William A. Lanfri For For Management
1.3 Elect Director Ted E. Schlein For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
JOS. A. BANK CLOTHIERS, INC.
Ticker: JOSB Security ID: 480838101
Meeting Date: JUN 21, 2013 Meeting Type: Annual
Record Date: MAY 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James H. Ferstl For For Management
1.2 Elect Director Sidney H. Ritman For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
K12 INC.
Ticker: LRN Security ID: 48273U102
Meeting Date: NOV 29, 2012 Meeting Type: Annual
Record Date: OCT 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Craig R. Barrett For Withhold Management
1.2 Elect Director Guillermo Bron For Withhold Management
1.3 Elect Director Nathaniel A. Davis For Withhold Management
1.4 Elect Director John M. Engler For For Management
1.5 Elect Director Steven B. Fink For Withhold Management
1.6 Elect Director Mary H. Futrell For Withhold Management
1.7 Elect Director Ronald J. Packard For Withhold Management
1.8 Elect Director Jon Q. Reynolds, Jr. For Withhold Management
1.9 Elect Director Andrew H. Tisch For Withhold Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
KODIAK OIL & GAS CORP.
Ticker: KOG Security ID: 50015Q100
Meeting Date: JUN 19, 2013 Meeting Type: Annual
Record Date: MAY 09, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Lynn A. Peterson For For Management
1.2 Elect Director James E. Catlin For For Management
1.3 Elect Director Rodney D. Knutson For For Management
1.4 Elect Director Herrick K. Lidstone, Jr. For For Management
1.5 Elect Director William J. Krysiak For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
LOGMEIN, INC.
Ticker: LOGM Security ID: 54142L109
Meeting Date: MAY 23, 2013 Meeting Type: Annual
Record Date: APR 01, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Gregory Hughes For For Management
1.2 Elect Director Irfan Salim For Withhold Management
1.3 Elect Director Hilary Schneider For For Management
2 Ratify Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
LUMINEX CORPORATION
Ticker: LMNX Security ID: 55027E102
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert J. Cresci For For Management
1.2 Elect Director Thomas W. Erickson For Withhold Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MCDERMOTT INTERNATIONAL, INC.
Ticker: MDR Security ID: 580037109
Meeting Date: MAY 07, 2013 Meeting Type: Annual
Record Date: MAR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John F. Bookout, III For For Management
1.2 Elect Director Roger A. Brown For For Management
1.3 Elect Director Stephen G. Hanks For For Management
1.4 Elect Director Stephen M. Johnson For For Management
1.5 Elect Director D. Bradley McWilliams For For Management
1.6 Elect Director William H. Schumann, For For Management
III
1.7 Elect Director Mary L. Shafer-Malicki For For Management
1.8 Elect Director David A. Trice For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MERIT MEDICAL SYSTEMS, INC.
Ticker: MMSI Security ID: 589889104
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard W. Edelman For For Management
1.2 Elect Director Michael E. Stillabower For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MISTRAS GROUP, INC.
Ticker: MG Security ID: 60649T107
Meeting Date: OCT 15, 2012 Meeting Type: Annual
Record Date: AUG 24, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Daniel M. Dickinson For For Management
1.2 Elect Director James J. Forese For For Management
1.3 Elect Director Richard H. Glanton For For Management
1.4 Elect Director Michael J. Lange For For Management
1.5 Elect Director Ellen T. Ruff For For Management
1.6 Elect Director Manuel N. Stamatakis For For Management
1.7 Elect Director Sotirios J. Vahaviolos For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
OWENS & MINOR, INC.
Ticker: OMI Security ID: 690732102
Meeting Date: APR 26, 2013 Meeting Type: Annual
Record Date: MAR 05, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard E. Fogg For For Management
1.2 Elect Director John W. Gerdelman For For Management
1.3 Elect Director Lemuel E. Lewis For For Management
1.4 Elect Director Martha H. Marsh For For Management
1.5 Elect Director Eddie N. Moore, Jr. For For Management
1.6 Elect Director James E. Rogers For For Management
1.7 Elect Director Robert C. Sledd For For Management
1.8 Elect Director Craig R. Smith For For Management
1.9 Elect Director Anne Marie Whittemore For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
PAREXEL INTERNATIONAL CORPORATION
Ticker: PRXL Security ID: 699462107
Meeting Date: DEC 06, 2012 Meeting Type: Annual
Record Date: OCT 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Eduard E. Holdener For For Management
1.2 Elect Director Richard L. Love For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Increase Authorized Common Stock For For Management
5 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PTC INC
Ticker: PMTC Security ID: 699173209
Meeting Date: MAR 06, 2013 Meeting Type: Annual
Record Date: JAN 07, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Thomas F. Bogan For For Management
1.2 Elect Director Michael E. Porter For For Management
1.3 Elect Director Robert P. Schechter For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
QUALITY SYSTEMS, INC.
Ticker: QSII Security ID: 747582104
Meeting Date: AUG 16, 2012 Meeting Type: Proxy Contest
Record Date: JUN 18, 2012
# Proposal Mgt Rec Vote Cast Sponsor
Management Proxy (White Card) None
1.1 Elect Director Craig A. Barbarosh For For Management
1.2 Elect Director George H. Bristol For For Management
1.3 Elect Director Mark H. Davis For For Management
1.4 Elect Director D. Russell Pflueger For For Management
1.5 Elect Director Steven T. Plochocki For For Management
1.6 Elect Director Sheldon Razin For For Management
1.7 Elect Director Lance E. Rosenzweig For For Management
1.8 Elect Director Maureen A. Spivack For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
# Proposal Diss Rec Vote Cast Sponsor
Dissident Proxy (Gold Card) None
1.1 Elect Director Ahmed D. Hussein For Did Not Vote Shareholder
1.2 Elect Director Murray F. Brennan For Did Not Vote Shareholder
1.3 Elect Director Patrick B. Cline For Did Not Vote Shareholder
1.4 Elect Director John J. Mueller For Did Not Vote Shareholder
1.5 Elect Director John M. McDuffie For Did Not Vote Shareholder
1.6 Elect Director Thomas R. DiBenedetto For Did Not Vote Shareholder
1.7 Elect Director Ian A. Gordon For Did Not Vote Shareholder
2 Advisory Vote to Ratify Named None Did Not Vote Management
Executive Officers' Compensation
3 Ratify Auditors None Did Not Vote Management
--------------------------------------------------------------------------------
RITCHIE BROS. AUCTIONEERS INCORPORATED
Ticker: RBA Security ID: 767744105
Meeting Date: APR 25, 2013 Meeting Type: Annual/Special
Record Date: MAR 14, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Fix Number of Directors at Seven For For Management
2.1 Elect Director Robert Waugh Murdoch For For Management
2.2 Elect Director Peter James Blake For For Management
2.3 Elect Director Eric Patel For For Management
2.4 Elect Director Beverley Anne Briscoe For For Management
2.5 Elect Director Edward Baltazar Pitoniak For For Management
2.6 Elect Director Christopher Zimmerman For For Management
2.7 Elect Director Robert George Elton For For Management
3 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
4 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
RIVERBED TECHNOLOGY, INC.
Ticker: RVBD Security ID: 768573107
Meeting Date: MAY 22, 2013 Meeting Type: Annual
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mark A. Floyd For For Management
1.2 Elect Director Christopher J. Schaepe For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Qualified Employee Stock For For Management
Purchase Plan
--------------------------------------------------------------------------------
SELECT COMFORT CORPORATION
Ticker: SCSS Security ID: 81616X103
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Michael J. Harrison For For Management
1.2 Elect Director Shelly R. Ibach For For Management
1.3 Elect Director David T. Kollat For For Management
2 Amend Omnibus Stock Plan For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Ratify Auditors For For Management
--------------------------------------------------------------------------------
STEINER LEISURE LIMITED
Ticker: STNR Security ID: P8744Y102
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Cynthia R. Cohen For For Management
1.2 Elect Director Denise Dickins For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SUPERIOR ENERGY SERVICES, INC.
Ticker: SPN Security ID: 868157108
Meeting Date: JUN 06, 2013 Meeting Type: Annual
Record Date: APR 19, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Harold J. Bouillion For For Management
1.2 Elect Director Enoch L. Dawkins For For Management
1.3 Elect Director David D. Dunlap For For Management
1.4 Elect Director James M. Funk For For Management
1.5 Elect Director Terence E. Hall For For Management
1.6 Elect Director Ernest E. 'Wyn' Howard, For For Management
III
1.7 Elect Director Peter D. Kinnear For For Management
1.8 Elect Director Michael M. McShane For For Management
1.9 Elect Director W. Matt Ralls For For Management
1.10 Elect Director Justin L. Sullivan For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Approve Qualified Employee Stock For For Management
Purchase Plan
5 Amend Stock Ownership Limitations For For Management
6 Ratify Auditors For For Management
--------------------------------------------------------------------------------
TANGOE, INC.
Ticker: TNGO Security ID: 87582Y108
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: APR 11, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David M. Coit For For Management
1.2 Elect Director Jackie R. Kimzey For For Management
1.3 Elect Director Noah J. Walley For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For Against Management
--------------------------------------------------------------------------------
THE CHEFS' WAREHOUSE, INC.
Ticker: CHEF Security ID: 163086101
Meeting Date: MAY 17, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dominick Cerbone For For Management
1.2 Elect Director John A. Couri For For Management
1.3 Elect Director Joseph M. Cugine For For Management
1.4 Elect Director Alan C. Guarino For For Management
1.5 Elect Director Stephen Hanson For For Management
1.6 Elect Director Christopher Pappas For For Management
1.7 Elect Director John Pappas For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
TITAN INTERNATIONAL, INC.
Ticker: TWI Security ID: 88830M102
Meeting Date: MAY 16, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Maurice Taylor, Jr. For For Management
2 Ratify Auditors For For Management
3 Approve Executive Incentive Bonus Plan For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
TRIQUINT SEMICONDUCTOR, INC.
Ticker: TQNT Security ID: 89674K103
Meeting Date: MAY 14, 2013 Meeting Type: Annual
Record Date: MAR 18, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Charles Scott Gibson For For Management
1b Elect Director David H.Y. Ho For For Management
1c Elect Director Nicolas Kauser For For Management
1d Elect Director Roderick D. Nelson For For Management
1e Elect Director Ralph G. Quinsey For For Management
1f Elect Director Walden C. Rhines For For Management
1g Elect Director Steven J. Sharp For For Management
1h Elect Director Willis C. Young For For Management
2 Ratify Auditors For For Management
3 Approve Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
VCA ANTECH, INC.
Ticker: WOOF Security ID: 918194101
Meeting Date: MAY 20, 2013 Meeting Type: Annual
Record Date: APR 02, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Robert L. Antin For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
VOLCANO CORPORATION
Ticker: VOLC Security ID: 928645100
Meeting Date: MAY 15, 2013 Meeting Type: Annual
Record Date: MAR 28, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kieran T. Gallahue For For Management
1.2 Elect Director Alexis V. Lukianov For For Management
1.3 Elect Director Eric J. Topol For For Management
2 Authorize Board to Fill Vacancies For For Management
3 Amend Omnibus Stock Plan For For Management
4 Approve Conversion of Securities For For Management
5 Ratify Auditors For For Management
6 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
WMS INDUSTRIES INC.
Ticker: WMS Security ID: 929297109
Meeting Date: DEC 06, 2012 Meeting Type: Annual
Record Date: OCT 10, 2012
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert J. Bahash For For Management
1.2 Elect Director Brian R. Gamache For For Management
1.3 Elect Director Patricia M. Nazemetz For For Management
1.4 Elect Director Matthew H. Paull For For Management
1.5 Elect Director Edward W. Rabin, Jr. For For Management
1.6 Elect Director Ira S. Sheinfeld For For Management
1.7 Elect Director Bobby L. Siller For For Management
1.8 Elect Director William J. Vareschi, Jr. For For Management
1.9 Elect Director Keith R. Wyche For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ZIX CORPORATION
Ticker: ZIXI Security ID: 98974P100
Meeting Date: JUN 12, 2013 Meeting Type: Annual
Record Date: APR 15, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mark J. Bonney For For Management
1.2 Elect Director Michael E. Dailey For For Management
1.3 Elect Director Taher A. Elgamal For For Management
1.4 Elect Director Robert C. Hausmann For For Management
1.5 Elect Director Maribess L. Miller For For Management
1.6 Elect Director Antonio R. Sanchez, III For For Management
1.7 Elect Director Richard D. Spurr For For Management
2 Ratify Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
========== END NPX REPORT
REDMONT RESOLUTE FUND I
With or
Meeting A brief identification of the matter voted Vote Against
Company Ticker CUSIP Date on Proposed by Voted Cast Management
------- ------ --------- --------- ------------------------------------------ ----------- ----- ---- ----------
MarketField (Redmont I) We voted
in
proportion
to the
Reorganization which provides for universal
the transfer of all assets and vote,
liabilities of the MarketField Fund MarketField based on
MFLDX 89833W865 9/20/2012 to the Mainstay MarketField Fund. Fund YES YES our SAI.
With or
Meeting A brief identification of the Proposed Vote Against
Company Ticker CUSIP Date matter voted on by Voted Cast Management
------- ------ --------- --------- ----------------------------- -------- ----- ---- ----------
Robeco Boston Partners LG/ To approve new
Short Rsch-Inst (Redmont investment advisory
Resolute Fund I) agreement between RBB
Fund, Inc. on behalf of the
fund and Robeco We voted
Investment Management, in
Inc., the funds current proportion
investment adviser, to the
(Robeco), as a result of a universal
proposed transaction Robeco vote,
involving the sale of Boston based on
BPIRX 74925K581 6/25/2013 Robeco's parent company. Partners YES YES our SAI.
[LOGO]
Vote Summary Report
Report was run from: 4/1/13 to 6/30/13
Location(s): ROBECO INVESTMENT MANAGEMENT, INC.
Institution Account(s): Redmont Resolute Fund I
Weatherford International Ltd.
Meeting Date: 20-Jun-13 Country: Switzerland Security ID: H27013103
Record Date: 30-May-13 Meeting Type: Annual Ticker: WFT
Shares Voted: 61
Voting Policy: Robeco
Proposal Mgmt Policy Vote
Number Proposal Proponent Rec Rec Instruction
-------- --------------------------------- --------- ---- ------- -----------
1 Accept Financial Statements and
Statutory Reports Mgmt For For For
2 Approve Discharge of Board and
Senior Management Mgmt For Against Against
Policy Rationale: In light of the persistent audit issues at the
company, a vote AGAINST the formal discharge of the board and senior
management is warranted due to the potential legal restrictions for
shareholders that may result from supporting this item.
3a Relect Bernard J. Duroc-Danner as
Director Mgmt For For For
3b Reelect Nicholas F. Brady as
Director Mgmt For For For
3c Reelect David J. Butters as
Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
3d Reelect John D. Gass as Director Mgmt For For For
3e Reelect Francis S. Kalman as
Director Mgmt For For For
3f Reelect William E. Macaulay as
Director Mgmt For For For
3g Reelect Robert K. Moses, Jr. as
Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
3h Reelect Guillermo Ortiz as
Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
3i Reelect Emyr Jones Parry as
Director Mgmt For For For
3j Reelect Robert A. Rayne as
Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
4 Ratify Auditors Mgmt For For For
5 Authorize Capital Increase for
Future Acquisitions Mgmt For For For
6 Advisory Vote to Ratify Named
Executive Officers' Compensation Mgmt For For For
Page 1 of 3
[LOGO]
Vote Summary Report
Report was run from: 4/1/13 to 6/30/13
Location(s): ROBECO INVESTMENT MANAGEMENT, INC.
Institution Account(s): Redmont Resolute Fund I
Weatherford International Ltd.
Accounts and Shares
Institutional Account Detail Custodian Ballot Instructor Date Approver Date
(IA Name, IA Number) Account Status Name Instructed Name Approved Available Voted
---------------------------- ---------- --------- ---------- ---------- --------- --------- --------- -----
Redmont Resolute Fund I, 00616 6734304814 Confirmed mtrabucco 13-Jun-13 mtrabucco 13-Jun-13 61 61
== ==
Total Shares:................... 61 61
-- --
STMicroelectronics NV
Meeting Date: 21-Jun-13 Country: Netherlands Security ID: N83574108
Record Date: 24-May-13 Meeting Type: Annual Ticker: STM
Shares Voted: 18
Voting Policy: Robeco
Proposal Mgmt Policy Vote
Number Proposal Proponent Rec Rec Instruction
-------- ---------------------------------- --------- ---- ------- -----------
Meeting for ADR Holders Mgmt
1 Open Meeting Mgmt
2 Receive Report of Management Board
(Non-Voting) Mgmt
3 Receive Report of Supervisory
Board (Non-Voting) Mgmt
4a Adopt Financial Statements Mgmt For For For
4b Receive Explanation on Company's
Reserves and Dividend Policy Mgmt
4c1 Approve Allocation of Income Mgmt For For For
4c2 Approve Dividends of USD 0.20 Per
Share Mgmt For For For
4d Approve Discharge of Management
Board Mgmt For For For
4e Approve Discharge of Supervisory
Board Mgmt For For For
5 Approve Restricted Stock Grants to
CEO Mgmt For Against Against
Policy Rationale: A vote AGAINST the stock award to the CEO is
warranted because: The company failed to provide details on the
vesting period, while in previous years the share awards had vesting
periods of shorter than three years; and There is no disclosure on
performance criteria and performance targets, which does not allow
shareholders to assess the stringency of the plan.
6 Approve Amendments Remuneration of
Supervisory Board Mgmt For For For
Page 2 of 3
[LOGO]
Vote Summary Report
Report was run from: 4/1/13 to 6/30/13
Location(s): ROBECO INVESTMENT MANAGEMENT, INC.
Institution Account(s): Redmont Resolute Fund I
STMicroelectronics NV
Proposal Mgmt Policy Vote
Number Proposal Proponent Rec Rec Instruction
-------- ----------------------------------------------------------------- --------- ---- ------- -----------
7a Elect Janet G. Davidson to Supervisory Board Mgmt For For For
7b Elect Alessandro Ovi to Supervisory Board Mgmt For Against Against
Policy Rationale: A vote AGAINST Item 7b (reappointment of Ovi) is warranted as he is considered a non-independent
director due to his tenure of 16 years, while the supervisory board lacks a majority of non-independent members.
8 Approve Employee Restricted Stock Plan Mgmt For Against Against
Policy Rationale: A vote AGAINST is warranted because while management board members may also participate in the
restricted stock plan the company failed to provide information on the performance criteria and vesting periods.
9 Authorize Repurchase of Up to 10 Percent of Issued Share Capital Mgmt For For For
10 Allow Questions Mgmt
11 Close Meeting Mgmt
Accounts and Shares
Institutional Account Detail (IA Custodian Ballot Date Date
Name, IA Number) Account Status Instructor Name Instructed Approver Name Approved Available Voted
-------------------------------- ---------- --------- --------------- ---------- ------------- --------- --------- -----
Redmont Resolute Fund I, 00616 6734304813 Confirmed Auto-Instructed 06-Jun-13 Auto-Approved 06-Jun-13 18 18
== ==
Total Shares: 18 18
-- --
Page 3 of 3
REDMONT RESOLUTE FUND II
With or
Meeting A brief identification of the matter voted Vote Against
Company Ticker CUSIP Date on Proposed by Voted Cast Management
------- ------ --------- --------- ------------------------------------------ ----------- ----- ---- -----------
MarketField (Redmont We voted in
II) Reorganization which provides proportion
for the transfer of all assets and to the
liabilities of the MarketField Fund universal
to the Mainstay MarketField MarketField vote, based
MFLDX 89833W865 9/20/2012 Fund. Fund YES YES on our SAI.
With or
Meeting A brief identification of the Proposed Vote Against
Company Ticker CUSIP Date matter voted on by Voted Cast Management
------- ------ --------- --------- ----------------------------- -------- ----- ---- -----------
Robeco Boston Partners LG/ To approve new
Short Rsch-Inst (Redmont investment advisory
Resolute Fund II) agreement between RBB
Fund, Inc. on behalf of
the fund and Robeco
Investment Management,
Inc.,the funds current
investment adviser, We voted in
(Robeco), as a result of a proportion
proposed transaction to the
involving the sale of Robeco universal
Robeco's parent Boston vote, based
BPIRX 74925K581 6/25/2013 company. Partners YES YES on our SAI.
[LOGO]
Vote Summary Report
Report was run from: 4/1/13 to 6/30/13
Location(s): ROBECO INVESTMENT MANAGEMENT, INC.
Institution Account(s): Redmont Resolute Fund II
Weatherford International Ltd.
Meeting Date: 20-Jun-13 Country: Switzerland Security ID: H27013103
Record Date: 30-May-13 Meeting Type: Annual Ticker: WFT
Shares Voted: 8,629
Voting Policy: Robeco
Proposal Vote
Number Proposal Proponent Mgmt Rec Policy Rec Instruction
-------- -------------------------- --------- -------- ---------- -----------
1 Accept Financial
Statements and Statutory
Reports Mgmt For For For
2 Approve Discharge of Board
and Senior Management Mgmt For Against Against
Policy Rationale: In light of the persistent audit issues at the
company, a vote AGAINST the formal discharge of the board and senior
management is warranted due to the potential legal restrictions for
shareholders that may result from supporting this item.
3a Relect Bernard J.
Duroc-Danner as Director Mgmt For For For
3b Reelect Nicholas F. Brady
as Director Mgmt For For For
3c Reelect David J. Butters
as Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
3d Reelect John D. Gass as
Director Mgmt For For For
3e Reelect Francis S. Kalman
as Director Mgmt For For For
3f Reelect William E.
Macaulay as Director Mgmt For For For
3g Reelect Robert K. Moses,
Jr. as Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
3h Reelect Guillermo Ortiz as
Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
3i Reelect Emyr Jones Parry
as Director Mgmt For For For
3j Reelect Robert A. Rayne as
Director Mgmt For Against For
Policy Rationale: The nominee is an incumbent and there were
material failures of governance, stewardship, risk oversight, or
fiduciary responsibilities at the company.
4 Ratify Auditors Mgmt For For For
5 Authorize Capital Increase
for Future Acquisitions Mgmt For For For
6 Advisory Vote to Ratify
Named Executive Officers'
Compensation Mgmt For For For
Page 1 of 3
[LOGO]
Vote Summary Report
Report was run from: 4/1/13 to 6/30/13
Location(s): ROBECO INVESTMENT MANAGEMENT, INC.
Institution Account(s): Redmont Resolute Fund II
Weatherford International Ltd.
Accounts and Shares
Institutional Account Detail Custodian Ballot Instructor Date Approver Date
(IA Name, IA Number) Account Status Name Instructed Name Approved Available Voted
---------------------------- ---------- --------- ---------- ---------- --------- --------- --------- -----
Redmont Resolute Fund II, 00617 6734304823 Confirmed mtrabucco 13-Jun-13 mtrabucco 13-Jun-13 122 122
Redmont Resolute Fund II, 00617 6734304824 Confirmed mtrabucco 13-Jun-13 mtrabucco 13-Jun-13 8,507 8,507
===== =====
Total Shares: 8,629 8,629
----- -----
STMicroelectronics NV
Meeting Date: 21-Jun-13 Country: Netherlands Security ID: N83574108
Record Date: 24-May-13 Meeting Type: Annual Ticker: STM
Shares Voted: 2,805
Voting Policy: Robeco
Proposal Mgmt Policy Vote
Number Proposal Proponent Rec Rec Instruction
-------- ---------------------------------- --------- ---- ------- -----------
Meeting for ADR Holders Mgmt
1 Open Meeting Mgmt
2 Receive Report of Management Board
(Non-Voting) Mgmt
3 Receive Report of Supervisory
Board (Non-Voting) Mgmt
4a Adopt Financial Statements Mgmt For For For
4b Receive Explanation on Company's
Reserves and Dividend Policy Mgmt
4c1 Approve Allocation of Income Mgmt For For For
4c2 Approve Dividends of USD 0.20 Per
Share Mgmt For For For
4d Approve Discharge of Management
Board Mgmt For For For
4e Approve Discharge of Supervisory
Board Mgmt For For For
5 Approve Restricted Stock Grants to
CEO Mgmt For Against Against
Policy Rationale: A vote AGAINST the stock award to the CEO is
warranted because: The company failed to provide details on the
vesting period, while in previous years the share awards had vesting
periods of shorter than three years; and There is no disclosure on
performance criteria and performance targets, which does not allow
shareholders to assess the stringency of the plan.
Page 2 of 3
[LOGO]
Vote Summary Report
Report was run from: 4/1/13 to 6/30/13
Location(s): ROBECO INVESTMENT MANAGEMENT, INC.
Institution Account(s): Redmont Resolute Fund II
STMicroelectronics NV
Proposal Mgmt Policy Vote
Number Proposal Proponent Rec Rec Instruction
-------- ----------------------------------------------------------------- --------- ---- ------- -----------
6 Approve Amendments Remuneration of Supervisory Board Mgmt For For For
7a Elect Janet G. Davidson to Supervisory Board Mgmt For For For
7b Elect Alessandro Ovi to Supervisory Board Mgmt For Against Against
Policy Rationale: A vote AGAINST Item 7b (reappointment of Ovi) is warranted as he is considered a non-independent
director due to his tenure of 16 years, while the supervisory board lacks a majority of non-independent members.
8 Approve Employee Restricted Stock Plan Mgmt For Against Against
Policy Rationale: A vote AGAINST is warranted because while management board members may also participate in the
restricted stock plan the company failed to provide information on the performance criteria and vesting periods.
9 Authorize Repurchase of Up to 10 Percent of Issued Share Capital Mgmt For For For
10 Allow Questions Mgmt
11 Close Meeting Mgmt
Accounts and Shares
Institutional Account Detail Custodian Ballot Date Date
(IA Name, IA Number) Account Status Instructor Name Instructed Approver Name Approved Available Voted
---------------------------- ---------- --------- --------------- ---------- ------------- --------- --------- -----
Redmont Resolute Fund II, 00617 6734304823 Confirmed Auto-Instructed 06-Jun-13 Auto-Approved 06-Jun-13 2,805 2,805
===== =====
Total Shares: 2,805 2,805
----- -----
Page 3 of 3
SEAFARER OVERSEAS GROWTH AND INCOME FUND
ASSECO POLAND S.A., WARSZAWA
Security X02540130 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 02-Aug-2012
ISIN PLSOFTB00016 Agenda 703951093 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------- ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
1 Opening of the meeting and appointment of the meeting's chairman Management For For
2 Statement of the meeting's legal validity Management For For
3 Approval of the agenda Management For For
4 Adoption of the resolution on appointment of the supervisory board's member for Management For For
the turn of years 2012-2016
5 Adoption of the resolution on sale of the company's real estate Management For For
6 Closure of the meeting Management For For
HARTALEGA HOLDINGS BHD
Security Y31139101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 14-Aug-2012
ISIN MYL5168OO009 Agenda 703979192 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
1 To approve the payment of a final dividend of 3.5 sen per share single tier for the Management For For
financial year ended 31 March 2012
2 To approve the payment of Directors' Fees totaling RM279,000 for the financial Management For For
year ended 31 March 2012
3 To re-elect Mr Kuan Mun Leong as a Director retiring in accordance with Article Management For For
91 of the Articles of Association of the Company
4 To re-elect Mr Liew Ben Poh as a Director retiring in accordance with Article 91 of Management For For
the Articles of Association of the Company
5 To re-elect Dato' Tan Guan Cheong as a Director retiring in accordance with Management For For
Article 96 of the Articles of Association of the Company
6 To re-appoint Messrs Moore Stephens AC as Auditors of the Company and to Management For For
authorise the Directors to fix their remuneration
7 Authority to allot and issue shares pursuant to section 132d of the companies act, 1965 Management For For
8 Proposed renewal of authority for purchase of own shares by the company Management For For
HARTALEGA HOLDINGS BHD
Security Y31139101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 14-Aug-2012
ISIN MYL5168OO009 Agenda 703979192 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
1 To approve the payment of a final dividend of 3.5 sen per share single tier for the Management For For
financial year ended 31 March 2012
2 To approve the payment of Directors' Fees totaling RM279,000 for the financial Management For For
year ended 31 March 2012
3 To re-elect Mr Kuan Mun Leong as a Director retiring in accordance with Article Management For For
91 of the Articles of Association of the Company
4 To re-elect Mr Liew Ben Poh as a Director retiring in accordance with Article 91 of Management For For
the Articles of Association of the Company
5 To re-elect Dato' Tan Guan Cheong as a Director retiring in accordance with Management For For
Article 96 of the Articles of Association of the Company
6 To re-appoint Messrs Moore Stephens AC as Auditors of the Company and to Management For For
authorise the Directors to fix their remuneration
7 Authority to allot and issue shares pursuant to section 132d of the companies act, Management For For
1965
8 Proposed renewal of authority for purchase of own shares by the company Management For For
AMMB HOLDINGS BHD
Security Y0122P100 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 15-Aug-2012
ISIN MYL1015OO006 Agenda 703982276 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
1 To approve a final single tier dividend of 13.5% for the financial year ended 31 Management For For
March 2012
2 To approve the payment of Directors' fees of RM72,000.00 per annum for each Management For For
Director for the financial year ended 31 March 2012
3 To re-elect Mr Soo Kim Wai as a Director who retire by rotation pursuant to Management For For
Article 89 of the Company's Articles of Association
4 To re-elect Mr Mark David Whelan as a Director who retire by rotation pursuant to Management For For
Article 89 of the Company's Articles of Association
5 To re-elect Y Bhg Dato' Gan Nyap Liou @ Gan Nyap Liow as a Director who Management For For
retire pursuant to Article 97 of the Company's Articles of Association
6 To re-elect Mr Ashok Ramamurthy as a Director who retire pursuant to Article 97 of the Management For For
Company's Articles of Association
7 That Y Bhg Tan Sri Azman Hashim, retiring pursuant to Section 129 of the Companies Management For For
Act, 1965, be and is hereby re-appointed a Director of the Company to hold office until the
next Annual General Meeting
8 That Y Bhg Dato' Azlan Hashim, retiring pursuant to Section 129 of the Companies Act, Management For For
1965, be and is hereby re-appointed a Director of the Company to hold office until the next
Annual General Meeting
9 That Y A Bhg Tun Mohammed Hanif Omar, retiring pursuant to Section 129 of the Management For For
Companies Act, 1965, be and is hereby re- appointed a Director of the Company to hold
office until the next Annual General Meeting
10 That Y Bhg Tan Sri Datuk Clifford Francis Herbert, retiring pursuant to Section 129 of the Management For For
Companies Act, 1965, be and is hereby re- appointed a Director of the Company to hold
office until the next Annual General Meeting
11 To re-appoint Messrs Ernst & Young, the retiring Auditors, and to authorise the Directors Management For For
to determine their remuneration
12 Proposed Renewal of the Authority to Allot and Issue New Ordinary Shares in the Management For For
Company, Pursuant to the Company's Executives' Share Scheme
13 Proposed Allocation of Shares and Options to Mr Ashok Ramamurthy, the Group Management For For
Managing Director of the Company, Pursuant to the Company's Executives' Share Scheme
14 Proposed Renewal of the Authority to Allot and Issue New Ordinary Shares in the Management For For
Company, for the Purpose of the Company's Dividend Reinvestment Plan
15 Authority to Issue Shares Pursuant to Section 132D of the Companies Act, 1965 Management For For
AMMB HOLDINGS BHD
Security Y0122P100 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 15-Aug-2012
ISIN MYL1015OO006 Agenda 703982276 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
1 To approve a final single tier dividend of 13.5% for the financial year ended 31 Management For For
March 2012
2 To approve the payment of Directors' fees of RM72,000.00 per annum for each Management For For
Director for the financial year ended 31 March 2012
3 To re-elect Mr Soo Kim Wai as a Director who retire by rotation pursuant to Management For For
Article 89 of the Company's Articles of Association
4 To re-elect Mr Mark David Whelan as a Director who retire by rotation pursuant to Management For For
Article 89 of the Company's Articles of Association
5 To re-elect Y Bhg Dato' Gan Nyap Liou @ Gan Nyap Liow as a Director who retire Management For For
pursuant to Article 97 of the Company's Articles of Association
6 To re-elect Mr Ashok Ramamurthy as a Director who retire pursuant to Article 97 of the Management For For
Company's Articles of Association
7 That Y Bhg Tan Sri Azman Hashim, retiring pursuant to Section 129 of the Companies Management For For
Act, 1965, be and is hereby re-appointed a Director of the Company to hold office until the
next Annual General Meeting
8 That Y Bhg Dato' Azlan Hashim, retiring pursuant to Section 129 of the Companies Act, Management For For
1965, be and is hereby re-appointed a Director of the Company to hold office until the next
Annual General Meeting
9 That Y A Bhg Tun Mohammed Hanif Omar, retiring pursuant to Section 129 of the Management For For
Companies Act, 1965, be and is hereby re- appointed a Director of the Company to hold
office until the next Annual General Meeting
10 That Y Bhg Tan Sri Datuk Clifford Francis Herbert, retiring pursuant to Section 129 of the Management For For
Companies Act, 1965, be and is hereby re- appointed a Director of the Company to hold
office until the next Annual General Meeting
11 To re-appoint Messrs Ernst & Young, the retiring Auditors, and to authorise the Directors Management For For
to determine their remuneration
12 Proposed Renewal of the Authority to Allot and Issue New Ordinary Shares in the Management For For
Company, Pursuant to the Company's Executives' Share Scheme
13 Proposed Allocation of Shares and Options to Mr Ashok Ramamurthy, the Group Management For For
Managing Director of the Company, Pursuant to the Company's Executives' Share Scheme
14 Proposed Renewal of the Authority to Allot and Issue New Ordinary Shares in the Management For For
Company, for the Purpose of the Company's Dividend Reinvestment Plan
15 Authority to Issue Shares Pursuant to Section 132D of the Companies Act, 1965 Management For For
AMMB HOLDINGS BHD
Security Y0122P100 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 15-Aug-2012
ISIN MYL1015OO006 Agenda 703982288 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------- ----------- ---- -----------
1 Proposed renewal of existing shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Amcorp Group Berhad Group
2 Proposed renewal of existing shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Australia and New Zealand
Banking Group Limited Group
3 Proposed renewal of existing shareholders' mandate for recurrent related party transactions Management For For
of a revenue or trading nature with Modular Corp (M) SDN BHD Group
4 Proposed renewal of existing shareholders' mandate for recurrent related party transactions Management For For
of a revenue or trading nature with Cuscapi Berhad Group
5 Proposed approval of new shareholders' mandate for recurrent related party transactions of Management For For
a revenue or trading nature with Yakimbi SDN BHD Group
AMMB HOLDINGS BHD
Security Y0122P100 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 15-Aug-2012
ISIN MYL1015OO006 Agenda 703982288 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------- ----------- ---- -----------
1 Proposed renewal of existing shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Amcorp Group Berhad Group
2 Proposed renewal of existing shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Australia and New Zealand
Banking Group Limited Group
3 Proposed renewal of existing shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Modular Corp (M) SDN BHD
Group
4 Proposed renewal of existing shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Cuscapi Berhad Group
5 Proposed approval of new shareholders' mandate for recurrent related party Management For For
transactions of a revenue or trading nature with Yakimbi SDN BHD Group
DIGITAL CHINA HOLDINGS LTD
Security G2759B107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 27-Aug-2012
ISIN BMG2759B1072 Agenda 703959734 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0709/LTN20120709261.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and adopt the audited consolidated financial statements of the Company and its Management For For
subsidiaries and the reports of the directors and auditors for the year ended 31 March 2012
2 To declare a final dividend for the year ended 31 March 2012 Management For For
3.i To re-elect Mr. Lin Yang as a director Management For For
3.ii To re-elect Mr. Wong Man Chung, Francis as a director Management For For
3.iii To re-elect Mr. Ong Ka Lueng, Peter as a director Management For For
3.iv To authorise the board of directors to fix the directors' remuneration Management For For
4 To re-appoint Ernst & Young as auditors of the Company and to authorise the board of Management For For
directors to fix their remuneration
5.(1) To grant a general and unconditional mandate to the board of directors to issue shares of Management For For
the Company
5.(2) To grant a general and unconditional mandate to the board of directors to repurchase shares Management For For
of the Company
5.(3) To the extension of the general mandate granted to the board of directors pursuant to Management For For
resolution 5(1) to cover the shares repurchased by the Company pursuant to resolution 5(2)
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE 21 AUG 2012. IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
DIGITAL CHINA HOLDINGS LTD
Security G2759B107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 27-Aug-2012
ISIN BMG2759B1072 Agenda 703959734 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
sehk/ 2012/0709/LTN20120709261.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
1 To receive and adopt the audited consolidated financial statements of the Company Management For For
and its subsidiaries and the reports of the directors and auditors for the year ended
31 March 2012
2 To declare a final dividend for the year ended 31 March 2012 Management For For
3.i To re-elect Mr. Lin Yang as a director Management For For
3.ii To re-elect Mr. Wong Man Chung, Francis as a director Management For For
3.iii To re-elect Mr. Ong Ka Lueng, Peter as a director Management For For
3.iv To authorise the board of directors to fix the directors' remuneration Management For For
4 To re-appoint Ernst & Young as auditors of the Company and to authorise the board of Management For For
directors to fix their remuneration
5.(1) To grant a general and unconditional mandate to the board of directors to issue shares of Management For For
the Company
5.(2) To grant a general and unconditional mandate to the board of directors to repurchase shares Management For For
of the Company
5.(3) To the extension of the general mandate granted to the board of directors pursuant to Management For For
resolution 5(1) to cover the shares repurchased by the Company pursuant to resolution 5(2)
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ACTUAL Non-Voting
RECORD DATE 21 AUG 2012. IF YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO
AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
VITASOY INTERNATIONAL HOLDINGS LTD
Security Y93794108 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-Aug-2012
ISIN HK0345001611 Agenda 703975031 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0718/LTN20120718117.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To receive and adopt the audited Financial Statements and the Reports of the Management For For
Directors and Auditors for the year ended 31st March, 2012
2 To declare a Final Dividend Management For For
3ai To re-elect Dr. the Hon. Sir David Kwok-po Li as Director Management For For
3aii To re-elect Mr. Jan P. S. Erlund as Director Management For For
3.b To fix the remuneration of the Directors Management For For
4 To appoint Auditors and authorise the Directors to fix their remuneration Management For For
5.a To grant an unconditional mandate to the Directors to issue, allot and deal with Management For For
additional shares of the Company
5.b To grant an unconditional mandate to the Directors to repurchase shares of the Management For For
Company
5.c To add the nominal value of the shares repurchased pursuant to Resolution 5B to Management For For
the nominal value of the shares available pursuant to Resolution 5A
5.d To approve the grant of options to Mr. Winston Yau-lai Lo under the Existing Share Management For For
Option Scheme
5.e To approve and adopt the New Share Option Scheme Management For For
VITASOY INTERNATIONAL HOLDINGS LTD
Security Y93794108 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-Aug-2012
ISIN HK0345001611 Agenda 703975031 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0718/LTN20120718117.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To receive and adopt the audited Financial Statements and the Reports of the Management For For
Directors and Auditors for the year ended 31st March, 2012
2 To declare a Final Dividend Management For For
3ai To re-elect Dr. the Hon. Sir David Kwok-po Li as Director Management For For
3aii To re-elect Mr. Jan P. S. Erlund as Director Management For For
3.b To fix the remuneration of the Directors Management For For
4 To appoint Auditors and authorise the Directors to fix their remuneration Management For For
5.a To grant an unconditional mandate to the Directors to issue, allot and deal with Management For For
additional shares of the Company
5.b To grant an unconditional mandate to the Directors to repurchase shares of the Management For For
Company
5.c To add the nominal value of the shares repurchased pursuant to Resolution 5B to Management For For
the nominal value of the shares available pursuant to Resolution 5A
5.d To approve the grant of options to Mr. Winston Yau-lai Lo under the Existing Management For For
Share Option Scheme
5.e To approve and adopt the New Share Option Scheme Management For For
SHANDONG WEIGAO GROUP MEDICAL POLYMER CO LTD
Security Y76810103 Meeting Type Special General Meeting
Ticker Symbol Meeting Date 12-Oct-2012
ISIN CNE100000171 Agenda 704024455 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINK:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2012/0823/LTN20120823245.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTION "1". THANK YOU.
1 To consider and approve the distribution of interim dividend of RMB 0.033 per Management For For
share for the six months ended 30 June 2012 to be distributed to all shareholders
whose names appear on the register of members of the Company on 24 October
2012
TELSTRA CORPORATION LTD, MELBOURNE VIC
Security Q8975N105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 16-Oct-2012
ISIN AU000000TLS2 Agenda 704046615 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------ ----------- ---- -----------
CMMT VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSALS 4, 5 Non-Voting
AND 6 AND VOTES-CAST BY ANY INDIVIDUAL OR RELATED PARTY
WHO BENEFIT FROM THE PASSING OF THE-PROPOSAL/S WILL BE
DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED-
BENEFIT OR EXPECT TO OBTAIN FUTURE BENEFIT YOU SHOULD NOT
VOTE (OR VOTE-"ABSTAIN") ON THE RELEVANT PROPOSAL ITEMS. BY
DOING SO, YOU ACKNOWLEDGE THAT-YOU HAVE OBTAINED BENEFIT
OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE- RELEVANT
PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON PROPOSALS (4, 5 AND
6),- YOU ACKNOWLEDGE THAT YOU HAVE NOT OBTAINED BENEFIT
NEITHER EXPECT TO OBTAIN-BENEFIT BY THE PASSING OF THE
RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE-VOTING
EXCLUSION.
3.a That Mr. Timothy Chen, being eligible, be elected as a Director Management For For
3.b That Mr. Geoffrey Cousins, being eligible, be re- elected as a Director Management For For
3.c That Mr. Russell Higgins, being eligible, be re- elected as a Director Management For For
3.d That Ms. Margaret Seale, being eligible, be elected as a Director Management For For
3.e That Mr. Steven Vamos, being eligible, be re- elected as a Director Management For For
3.f That Mr. John Zeglis, being eligible, be re-elected as a Director Management For For
4 Increase in Directors' Fee Pool Management For For
5 Grant of Performance Rights Management For For
6 Remuneration Report Management For For
ASSECO POLAND S.A., WARSZAWA
Security X02540130 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 23-Oct-2012
ISIN PLSOFTB00016 Agenda 704068370 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
1 Opening of the meeting and election of the chairman Management For For
2 Statement of the meeting's legal validity and it's ability to adopt resolutions Management For For
3 Approval of the agenda Management For For
4 Adoption of the resolution approving changes to resolution 39 adopted by the Management For For
AGM held on 25.04.2012 on the capital increase through the issue of series K
Shares with the exclusion of pre-emptive rights for existing shareholders
5 Adoption of the resolution approving changes to article 13 of the company's statute Management For For
6 Adoption of the resolution approving the election of a supervisory board member Management For For
for the term 2012-2016
7 Closing of the meeting Management For For
CEREBOS PACIFIC LTD
Security Y1256B107 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 24-Oct-2012
ISIN SG1M85907533 Agenda 704075820 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
1 That: (a) the voluntary delisting of the Company from the Official List of the SGX- Management For For
ST under Rules 1307 and 1309 of the Listing Manual (the "Delisting") on the terms
and conditions set out in the circular dated 1 October 2012 issued by the Company
to shareholders of the Company, be and is hereby approved; and (b) the directors of
the Company and each of them be authorised and empowered to complete and to
do all such acts and things as they may consider necessary or expedient to give
effect to the Delisting and / or this resolution
CORPBANCA
Security ADPV02736 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 06-Nov-2012
ISIN CLCORX290014 Agenda 704118240 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
1 To leave null and void the part not allocated of the capital increase agreed in the Management For For
special general stockholders meeting of the bank held on April 10, 2012, therefore,
the capital increase aforementioned is reduced to the part effectively allocated,
subscribed and paid
2 To increase the capital stock in the amount equivalent in Chilean Pesos of 600 Management For For
million dollars of the United States of America, through the issue of cash shares,
registered stocks, of a same series, no par stocks, at the price and other conditions
to be determined by the meeting, and likewise, to modify articles fifth permanent
and single provisional of the bylaws of Corpbanca to adjust them to the agreements
adopted by the stockholders meeting
3 To authorize the board of directors of the bank to request the inscription of the Management For For
shares representatives of the capital increase in the register of securities of the
superintendence of banks and financial institutions., to proceed with their
allocation and to adopt all the other agreements necessary to implement the
previous agreements
ALIANSCE SHOPPING CENTERS SA, RIO DE JANEIRO
Security P0161M109 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 24-Jan-2013
ISIN BRALSCACNOR0 Agenda 704225881 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 151271 Non-Voting
DUE TO DELETION OF-A RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO
BE REJECTED-. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE REPRESENTATIVE
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME Non-Voting
AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR
ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU
I In accordance with that which is provided for in article 256 of Law Number 6404.76, the Management For For
approval of the acquisition, by Tissiano Empreendimentos E Participacoes S.A., with
Corporate Taxpayer ID number, CNPJ.MF, 14.661.012.0001.71, which is a subsidiary of
the company, or by another company controlled by the company, of quotas representative
of 100 percent of the share capital of LGR Empreendimentos E Participacoes Ltda., from
here onwards referred to as LGR, and of up to 100 percent of the share capital of LGR SSA
Empreendimentos E Participacoes Ltda., from here onwards referred to as LGR SSA,
which companies hold the following assets: I. A notional share equivalent to 22.36 percent
of Condominio Naciguat, which is part of the enterprise called Shopping Center Iguatemi
Bahia, and the right to the surface area covering that notional share, and ii. A share
equivalent to 25.73 percent of the lots bordering Shopping Center Iguatemi Bahia
LIFE HEALTHCARE GROUP HOLDINGS LIMITED
Security S4682C100 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 31-Jan-2013
ISIN ZAE000145892 Agenda 704215284 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
1 Approval of the Group annual financial statements for the year ended 30 September Management For For
2012
2.1 Re-election of Director: MP Ngatane Management For For
2.2 Re-election of Director: LM Mojela Management For For
2.3 Re-election of Director: PJ Golesworthy Management For For
3 Resolved that the reappointment of the auditors, PricewaterhouseCoopers Inc, as Management For For
independent auditors of the Company and the Group, and FJ Lombard as the
designated audit partner, be approved for the ensuing year
4.1 Appointment of Group audit committee members subject, where necessary to their Management For For
reappointment as directors of the Company in terms of the resolution in paragraph
2 above: PJ Golesworthy (Chairman)
4.2 Appointment of Group audit committee members subject, where necessary to their Management For For
reappointment as directors of the Company in terms of the resolution in paragraph
2 above: LM Mojela
4.3 Appointment of Group audit committee members subject, where necessary to their Management For For
reappointment as directors of the Company in terms of the resolution in paragraph
2 above: TS Munday
5.1 Appointment of Group social, ethics and transformation committee member: FA du Management For For
Plessis
5.2 Appointment of Group social, ethics and transformation committee member: CMD Management For For
Flemming
5.3 Appointment of Group social, ethics and transformation committee member: LM Management For For
Mojela
5.4 Appointment of Group social, ethics and transformation committee member: MP Ngatane Management For For
5.5 Appointment of Group social, ethics and transformation committee member: NK-Patel Non-Voting
6 Approval of remuneration policy Management For For
7 Remuneration of auditors Management For For
8 Placement of authorised but unissued shares under the control of the directors Management For For
9 Specific authority to issue shares for cash Management For For
10 Authority for any one director to sign necessary documents Management For For
S.11 General authority to repurchase Company shares Management For For
S.12 Approval of non-executive directors' remuneration Management For For
S.13 General authority to provide financial assistance to related and inter-related companies Management For For
S.14 Replacement of the Memorandum of Incorporation Management For For
CORPBANCA
Security ADPV02736 Meeting Type Ordinary General Meeting
Ticker Symbol Meeting Date 07-Mar-2013
ISIN CLCORX290014 Agenda 704293757 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ----------- ---- -----------
1 Approval of the annual report, balance sheet, financial statements, their notes and Management For For
report from the outside auditors for the fiscal year that ran from January 1 to
December 31, 2012
2 Designation of the outside auditors for the 2013 fiscal year Management For For
3 Election of the full Board of Directors, nine full members and two alternates Management For For
4 Determination and approval of the compensation for the members of the Board of Management For For
Directors
5 Information regarding the transactions that are referred to in article 146, et seq., of Management For For
Law number 18,046
6 To vote regarding the proposal from the Board of Directors to distribute CLP Management For For
60,039,998,173, which is equivalent to 50 percent of the profit from the 2012 fiscal
year, which amount would be distributed as a dividend among all of the shares
issued by the Bank, corresponding to a dividend of CLP 0.1764023878 per share.
The dividend, if it is approved, would be paid at the end of the general meeting and
all of the shareholders recorded in the shareholder registry five business days
before the date established for its payment will have the right to receive it
7 To establish the dividend policy proposed by the Board of Directors, which Management For For
resolved to propose the distribution of an amount of not less than 50 percent of the
profit from the respective fiscal year
8 To establish the compensation and budget of the committee of directors and auditing and Management For For
report regarding the activities of that committee
9 Designation of the periodical for the legal publications Management For For
SINDORICOH CO LTD, SEOUL
Security Y79924109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 08-Mar-2013
ISIN KR7029530003 Agenda 704247027 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------- ----------- ---- -----------
1 Approval of financial statements Management For For
2 Election of director U Seok Hyeong, Choe Sun Yeong, Choe Yong Su, Seong Won Management For For
Yong
3 Election of audit committee member Seong Won Yong Management For For
4 Approval of remuneration for director Management For For
SHANDONG WEIGAO GROUP MEDICAL POLYMER CO LTD
Security Y76810103 Meeting Type Special General Meeting
Ticker Symbol Meeting Date 18-Mar-2013
ISIN CNE100000171 Agenda 704249285 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE IS AVAILABLE BY Non-Voting
CLICKING ON THE URL LINKS:- http://www.hkexnews.hk/listedco/listconews/
SEH K/2013/0128/LTN20130128149.pdf-AND- http://www.hkexnews.hk/listedco/
listconews/SEH K/2013/0128/LTN20130128151.pdf
1 To consider and approve the appointment of Mr. Gong Jian Bo as an executive Management For For
director of the Company
2 To consider and approve the appointment of Mr. Xia Lie Bo as an executive Management For For
director of the Company
3 To consider and approve the appointment of Mr. Long Jing as a supervisor of the Management For For
Company
4 To consider and approve, subject to fulfillment of all relevant conditions and/or all Management For For
necessary approvals and/or consents from the relevant PRC authorities and bodies
being obtained and/or the procedures as required under the laws and regulations of
the PRC being completed, the amendments to the Articles of Association of the
Company (as described in the Appendix IV to this circular)
GRUPO HERDEZ SAB DE CV
Security P4951Q155 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 21-Mar-2013
ISIN MX01HE010008 Agenda 704304891 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ----------- ---- -----------
1 Proposal, discussion and, if deemed appropriate, approval of the transactions Management For For
provided for in the share purchase and sale agreement dated January 17, 2013,
entered into by the company and certain shareholders from Grupo Nutrisa, S.A.B.
DE C.V., in regard to the acquisition of shares representative of the share capital of
Grupo Nutrisa, S.A.B. DE C.V
2 Proposal, discussion and, if deemed appropriate, approval for taking out the loans Management For For
provided for in certain loan agreements entered into by the company with Banco
Inbursa, S.A., Institucion De Banca Multiple, Grupo Financiero Inbursa
3 Proposal, discussion and, if deemed appropriate, approval to carry out a public Management For For
tender offer to acquire shares representative of the share capital of Grupo Nutrisa,
S.A.B. DE C.V. through Bolsa Mexicana De Valores, S.A.B. DE C.V
4 Designation of delegates who will formalize and carry out the resolutions passed by Management For For
the general meeting
5 Reading and approval of the general meeting minutes Management For For
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN Non-Voting
RES. 2. IF YOU HAVE-ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
ASELSAN A.S.
Security M1501H100 Meeting Type Ordinary General Meeting
Ticker Symbol Meeting Date 29-Mar-2013
ISIN TRAASELS91H2 Agenda 704305956 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------- ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: POWER OF Non-Voting
ATTORNEY (POA) REQUIRMENTS-VARY BY CUSTODIAN. GLOBAL
CUSTODIANS MAY HAVE A POA IN PLACE WHICH WOULD-ELIMINATE
THE NEED FOR THE INDIVIDUAL BENEFICIAL OWNER POA. IN THE
ABSENCE OF-THIS ARRANGEMENT, AN INDIVIDUAL BENEFICIAL
OWNER POA MAY BE REQUIRED. IF YOU- HAVE ANY QUESTIONS
PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK-
YOU.
1 Homage, opening and formation of chairmanship council Management For For
2 Approval for the assignments made to the empty board membership during the year Management For For
regarding 363th article of the Turkish commercial code
3 Reading and deliberation of the board of directors report for the year 2012 Management For For
4 Reading of the auditor's report Management For For
5 Reading of the independent auditing company's report Management For For
6 Reading, deliberation and approval of balance sheet and income statements Management For For
7 Decision on absolving the members of the board of directors and the auditors with respect Management For For
to the company's activities in 2012
8 Deliberation and approval of the profit distribution for the year 2012 Management For For
9 Election of the board of directory members and the auditors whose duty period has ended Management For For
in the office
10 Decision on the monthly gross salaries of the board of directory members Management For For
11 Approval for the independent auditing firm which is elected by the board of directory Management For For
members
12 Decision on the amendment made to the main agreements 6th article which is about Management For For
increasing authorized capital and also approval for the amendments made to the main
agreements 1st, 3rd, 4th, 5th, 9th, 11th, 12th, 13th, 14th, 15th, 16th, 17th, 18th, 19th, 21st,
23rd, 24th, 25th, 26th, 27th, 28th, 29th, 30th, 31st, 32nd, 33rd, 34th, 35th, 36th, 37th
articles in order to comply with the capital markets of boards regulations
13 Providing information to the shareholders about the assurances, mortgages and depositions Management For For
given to the third parties and also donations and contributions made during the year 2012
14 Approval for the donation and contribution policy of the company and also decision on the Management For For
upper limit of the donation to be made for the year 2013
15 Providing information to the shareholders about the transactions made with the Roketsan Management For For
Roket Sanayii Ve Ticaret A.S. and with the related reports
16 Submitting approval of general assembly for general meeting internal policy as advised by Management For For
board of directors
17 Providing information to the shareholders about the profit distribution policy of the Management For For
company
18 Submitting the processes eligibilities of the shareholders who hold the administrative rules Management For For
of the company, board of directors, senior managers and their close relatives, wife's and
second level relatives to the general assembly's approval
19 Wishes and hopes Management For For
ODONTOPREV SA, BARUERI, SP
Security P7344M104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 02-Apr-2013
ISIN BRODPVACNOR4 Agenda 704312785 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
CMMT PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT Non-Voting
A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE
ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED
WITHOUT A CANDIDATE'S NAME, YOUR VOTE WILL BE PROCESSED-IN
FAVOR OR AGAINST OF THE DEFAULT COMPANY'S CANDIDATE.
THANK YOU
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME Non-Voting
AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR
ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU
I To receive the accounts of the board of directors, to examine, discuss and vote on Management For For
the financial statements, for the fiscal year that ended on December 31, 2012
II To decide on the allocation of net income, including the proposed capital budget Management For For
and the distribution of dividends
III Establishment of the limit amount for the aggregate annual compensation of the Management For For
managers of the company
IV Election of the members of the fiscal council Management For For
PTT PUBLIC COMPANY LIMITED
Security Y6883U113 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 11-Apr-2013
ISIN TH0646010015 Agenda 704321758 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 165395 Non-Voting
DUE TO CHANGE IN THE SEQUENCE OF THE DIRECTOR NAMES. ALL
VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE
DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS
MEETING NOTICE. THANK YOU.
CMMT IN THE SITUATION WHERE THE CHAIRMAN OF THE MEETING Non-Voting
SUDDENLY CHANGE THE AGENDA-AND/OR ADD NEW AGENDA
DURING THE MEETING,WE WILL VOTE THAT AGENDA AS ABSTAIN.
1 To certify the 2012 AGM minutes on April 10, 2012 Management For For
2 To approve the 2012 performance statement and the 2012 financial statement, year- Management For For
end on December 31, 2012
3 To approve 2012 net profit allocation plan and dividend policy Management For For
4 To appoint an auditor and to approve the 2013 audit fees Management For For
5 To approve the 2013 directors' remuneration Management For For
6.A To elect director in replacement for those who retire by rotation in 2013 AGM: Mr. Management For For
Vichet Kasemthongsri
6.B To elect director in replacement for those who retire by rotation in 2013 AGM: Mrs. Management For For
Benja Louichareon
6.C To elect director in replacement for those who retire by rotation in 2013 AGM: Mr. Management For For
Waroonthep Watcharaporn
6.D To elect director in replacement for those who retire by rotation in 2013 AGM: Dr. Management For For
Boonsom Lerdhirunwong
6.E To elect director in replacement for those who retire by rotation in 2013 AGM: Mr. Management For For
Prasert Bunsumpun
7 To approve 5 years external fund raising plan (during 2013-2017) Management For For
8 Other matters Management For Against
CITIC TELECOM INTERNATIONAL HOLDINGS LTD
Security Y1640H109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 12-Apr-2013
ISIN HK1883037637 Agenda 704304079 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0306/LTN20130306031.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0306/LTN20130306015.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To adopt the audited accounts and the Reports of the Directors and the Auditor for Management For For
the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3.a To re-elect the following retiring Director: Mr. Xin Yue Jiang Management For For
3.b To re-elect the following retiring Director: Mr. Liu Li Qing Management For For
3.c To re-elect the following retiring Director: Mr. Gordon Kwong Che Keung Management For For
3.d To re-elect the following retiring Director: Mr. Luo Ning Management For For
4 To re-appoint Messrs KPMG as Auditor and authorise the Board of Directors to fix their Management For For
remuneration
5 To grant a general mandate to the Directors to issue and dispose of additional shares not Management For For
exceeding 20% of the issued share capital of the Company as at the date of this resolution
6 To grant a general mandate to the Directors to purchase or otherwise acquire shares in the Management For For
capital of the Company not exceeding 10% of the issued share capital of the Company as at
the date of this resolution
7 To add the aggregate nominal amount of the shares which are purchased or otherwise Management For For
acquired under the general mandate in Resolution (6) to the aggregate nominal amount of
the shares which may be issued under the general mandate in Resolution (5)
CITIC TELECOM INTERNATIONAL HOLDINGS LTD
Security Y1640H109 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 12-Apr-2013
ISIN HK1883037637 Agenda 704353161 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0321/LTN20130321043.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0321/LTN20130321031.pdf
1 To approve the Sable Sale and Purchase Agreement, the PT Sale and Purchase Management For For
Agreement, the Three-party Agreement and the Strategic Alliance Agreement (as
defined in the circular to the shareholders of the Company dated 21 March 2013)
and the transactions contemplated thereunder
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD Non-Voting
DATE FROM 10 APR 2013 TO 9 APR 2013. IF YOU HAVE ALREADY SENT
IN YOUR VOTES, PLEASE DO NOT RETURN THIS PROXY FORM UNLESS
YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK-
YOU.
VALE SA, RIO DE JANEIRO
Security P9661Q148 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 17-Apr-2013
ISIN BRVALEACNPA3 Agenda 704329235 - Management
For/Against
Item Proposal Type Vote Management
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CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME Non-Voting
AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR
ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU
CMMT PLEASE NOTE THAT SHAREHOLDERS SUBMITTING A VOTE TO ELECT Non-Voting
A MEMBER MUST-INCLUDE THE NAME OF THE CANDIDATE TO BE
ELECTED. IF INSTRUCTIONS TO VOTE ON-THIS ITEM IS RECEIVED
WITHOUT A CANDIDATE'S NAME, YOUR VOTE WILL BE PROCESSED-IN
FAVOR OR AGAINST OF THE DEFAULT COMPANY'S CANDIDATE.
THANK YOU.
CMMT PLEASE NOTE THAT THE PREFERRED SHAREHOLDERS CAN VOTE ON Non-Voting
ALL ITEMS. THANK YOU.
1 To examine, discuss and vote upon the board of directors annual report, the Management For For
financial statements, relating to fiscal year ended December 31, 2012
2 Proposal for allocation of profits for the year of 2012 Management For For
3 To elect the members of the board of directors Management For For
4 To elect the members of the fiscal council Management For For
5 To set the remuneration for the members of the board of directors and for the fiscal Management For For
council in 2013, as well as ratify the remuneration paid in 2012
PT PERUSAHAAN GAS NEGARA (PERSERO) TBK
Security Y7136Y118 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 17-Apr-2013
ISIN ID1000111602 Agenda 704375129 - Management
For/Against
Item Proposal Type Vote Management
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1 Approval of company annual report and the annual partnership and community Management For For
development program report as well as the board of commissioners supervisory
report for year 2012
2 Ratification of financial report 2012 including the financial report of partnership Management For For
and community development program for 2012 and to release and discharge the
member of board of directors and board of commissioners of their responsibilities
for their actions and supervision during 2012
3 Approval on distribution of the company profit for 2012, including dividend Management For For
4 Appoint of independent public accountant to audit company's books and financial report of Management For For
partnership and community development program for book year 2013
5 Approve remuneration for the board of commissioners and board of directors Management For For
6 Change the board member structures Management For For
HANG LUNG PROPERTIES LTD
Security Y30166105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 18-Apr-2013
ISIN HK0101000591 Agenda 704323473 - Management
For/Against
Item Proposal Type Vote Management
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CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0314/LTN20130314564.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0314/LTN20130314540.pdf
1 To receive and consider the audited financial statements and reports of the directors Management For For
and auditor for the year ended 31 December 2012
2 To declare a final dividend Management For For
3.a To re-elect Mr. Shang Shing Yin as a director Management For For
3.b To re-elect Mr. Dominic Chiu Fai Ho as a director Management For For
3.c To re-elect Mr. Philip Nan Lok Chen as a director Management For For
3.d To authorize the board of directors to fix directors' fees Management For For
4 To re-appoint KPMG as auditor of the Company and authorize the directors to fix Management For For
auditor's remuneration
5 To give general mandate to directors to purchase the Company's shares Management For For
6 To give general mandate to directors to issue additional shares Management For For
7 To approve the addition of repurchased shares to be included under the general Management For For
mandate in resolution 6
KEPPEL CORPORATION LTD, SINGAPORE
Security Y4722Z120 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 19-Apr-2013
ISIN SG1U68934629 Agenda 704355216 - Management
For/Against
Item Proposal Type Vote Management
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1 To receive and adopt the Directors' Report and Audited Financial Statements for Management For For
the year ended 31 December 2012
2 To declare a final tax-exempt (one-tier) dividend of 27 cents per share for the year Management For For
ended 31 December 2012 (2011: final tax-exempt (one-tier) dividend of 26 cents
per share)
3 To re-elect the following director, who will be retiring by rotation pursuant to Management For For
Article 81B of the Company's Articles of Association and who, being eligible,
offers himself for re-election pursuant to Article 81C: Mr Alvin Yeo Khirn Hai
4 To re-elect the following director, who will be retiring by rotation pursuant to Management For For
Article 81B of the Company's Articles of Association and who, being eligible,
offers himself for re-election pursuant to Article 81C: Mr Tong Chong Heong
5 To re-elect the following director, who will be retiring by rotation pursuant to Management For For
Article 81B of the Company's Articles of Association and who, being eligible,
offers himself for re-election pursuant to Article 81C: Mr Tan Ek Kia
6 To re-elect Mr Tan Puay Chiang, whom being appointed by the board of directors Management For For
after the last annual general meeting, will retire in accordance with Article 81A(1)
of the Company's Articles of Association and who, being eligible, offers himself
for re-election
7 To approve the ordinary remuneration of the non- executive directors of the Management For For
Company for the financial year ended 31 December 2012, comprising the
following: (1) the payment of directors' fees of an aggregate amount of SGD
1,218,880 in cash (2011: SGD 1,382,500); and (2) (a) the award of an aggregate
number of 31,400 existing ordinary shares in the capital of the Company (the
"Remuneration Shares") to Dr Lee Boon Yang, Mr Lim Hock San, Mr Sven Bang
Ullring, Mr Tony Chew Leong-Chee, Mrs Oon Kum Loon, Mr Tow Heng Tan, Mr
Alvin Yeo Khirn Hai, Mr Tan Ek Kia, Mr Danny Teoh and Mr Tan Puay Chiang as
payment in part of their respective remuneration for the financial year ended 31
December 2012 as follows: (i) 10,000 Remuneration Shares to Dr Lee Boon Yang;
(ii) 900 Remuneration Shares to Mr Lim Hock San; (iii) 900 Remuneration Shares
CONTD
CONT CONTD to Mr Sven Bang Ullring; (iv) 3,000 Remuneration Shares to Mr Tony Non-Voting
Chew-Leong- Chee; (v) 3,000 Remuneration Shares to Mrs Oon Kum Loon; (vi)
3,000-Remuneration Shares to Mr Tow Heng Tan; (vii) 3,000 Remuneration Shares
to Mr-Alvin Yeo Khirn Hai; (viii) 3,000 Remuneration Shares to Mr Tan Ek Kia;
(ix)-
3,000 Remuneration Shares to Mr Danny Teoh; and (x) 1,600 Remuneration Shares-to Mr
Tan Puay Chiang, (b) the directors of the Company and/or any of them be-and are hereby
authorised to instruct a third party agency to purchase from- the market 31,400 existing
shares at such price as the directors of the-Company may deem fit and deliver the
Remuneration Shares to each- non-executive director in the manner as set out in (2)(a)
above; and (c) any-director of the Company or the Company Secretary be authorised to do
all-things CONTD
CONT CONTD necessary or desirable to give effect to the above Non-Voting
8 To re-appoint the Auditors and authorise the directors of the Company to fix their Management For For
remuneration
9 That pursuant to Section 161 of the Companies Act, Chapter 50 of Singapore (the Management For For
"Companies Act") and Article 48A of the Company's Articles of Association, authority be
and is hereby given to the directors of the Company to: (1) (a) issue shares in the capital of
the Company ("Shares"), whether by way of rights, bonus or otherwise, and including any
capitalisation pursuant to Article 124 of the Company's Articles of Association of any sum
for the time being standing to the credit of any of the Company's reserve accounts or any
sum standing to the credit of the profit and loss account or otherwise available for
distribution; and/or (b) make or grant offers, agreements or options that might or would
require Shares to be issued (including but not limited to the creation and issue of (as well
as adjustments to) warrants, CONTD
CONT CONTD debentures or other instruments convertible into Shares) (collectively- Non-Voting
"Instruments"), at any time and upon such terms and conditions and for such-purposes and
to such persons as the directors may in their absolute-discretion deem fit; and (2)
(notwithstanding that the authority so conferred- by this Resolution may have ceased to be
in force) issue Shares in pursuance-of any Instrument made or granted by the directors of
the Company while the-authority was in force; provided that: (i) the aggregate number of
Shares to-be issued pursuant to this Resolution (including Shares to be issued in-pursuance
of Instruments made or granted pursuant to this Resolution and any-adjustment effected
under any relevant Instrument) shall not exceed fifty- (50) per cent. of the total number of
issued Shares (excluding treasury-Shares) (CONTD
CONT CONTD as calculated in accordance with sub- paragraph (ii) below), of which-the Non-Voting
aggregate number of Shares to be issued other than on a pro rata basis to-shareholders of
the Company (including Shares to be issued in pursuance of- Instruments made or granted
pursuant to this Resolution and any adjustment-effected under any relevant Instrument)
shall not exceed five (5) per cent.-of the total number of issued Shares (excluding treasury
Shares) (as-calculated in accordance with sub-paragraph (ii) below) (ii)
(subject to such-manner of calculation as may be prescribed by the Singapore Exchange-
Securities Trading Limited ("SGX-ST")) for the purpose of determining the-aggregate
number of Shares that may be issued under sub-paragraph (i) above,- the percentage of
issued Shares shall be calculated based on the total number-of CONTD
CONT CONTD issued Shares (excluding treasury Shares) at the time this Resolution-is passed, Non-Voting
after adjusting for: (a) new Shares arising from the conversion or-exercise of convertible
securities or share options or vesting of share- awards which are outstanding or subsisting
as at the time this Resolution is-passed; and (b) any subsequent bonus issue, consolidation
or sub- division of-Shares; (iii) in exercising the authority conferred by this Resolution,
the-Company shall comply with the provisions of the Companies Act, the Listing-Manual
of the SGX-ST for the time being in force (unless such compliance has-been waived by the
SGX-ST) and the Articles of Association for the time being-of the Company; and (iv)
(unless revoked or varied by the Company in general-meeting) the authority conferred by
this Resolution shall continue in CONTD
CONT CONTD force until the conclusion of the next annual general meeting of the-Company or Non-Voting
the date by which the next annual general meeting is required by-law to be held, whichever
is the earlier
10 That: (1) for the purposes of the Companies Act, the exercise by the directors of the Management For For
Company of all the powers of the Company to purchase or otherwise acquire Shares not
exceeding in aggregate the Maximum Limit (as hereafter defined), at such price(s) as may
be determined by the directors of the Company from time to time up to the Maximum Price
(as hereafter defined), whether by way of: (a) market purchase(s) (each a "Market
Purchase") on the SGX-ST; and/or (b) off-market purchase(s) (each an "Off-Market
Purchase") in accordance with any equal access scheme(s) as may be determined or
formulated by the directors of the Company as they consider fit, which scheme(s) shall
satisfy all the conditions prescribed by the Companies Act; and otherwise in accordance
with all other laws and regulations, including but not limited to, CONTD
CONT CONTD the provisions of the Companies Act and listing rules of the SGX-ST as-may for Non-Voting
the time being be applicable, be and is hereby authorised and-approved generally and
unconditionally (the "Share Purchase Mandate"); (2)-unless varied or revoked by the
members of the Company in a general meeting,-the authority conferred on the directors of
the Company pursuant to the Share- Purchase Mandate may be exercised by the directors
at any time and from time-to time during the period commencing from the date of the
passing of this-Resolution and expiring on the earlier of: (a) the date on which the
next-annual general meeting of the Company is held or is required by law to be-
held; or (b) the date on which the purchases or acquisitions of Shares by the-
Company pursuant to the Share Purchase Mandate are carried out to the full-
CONTD
CONT CONTD extent mandated; (3) in this Resolution: "Maximum Limit" means that- Non-Voting
number of issued Shares representing five (5) per cent. of the total number-of issued
Shares as at the date of the last annual general meeting or at the-date of the passing
of this Resolution, whichever is higher, unless the-Company has effected a
reduction of the share capital of the Company in-accordance with the applicable
provisions of the Companies Act, at any time-during the Relevant Period (as
hereafter defined), in which event the total- number of issued Shares shall be taken
to be the total number of issued-Shares as altered (excluding any treasury Shares
that may be held by the-Company from time to time); "Relevant Period" means the
period commencing-from the date on which the last annual general meeting was
held and expiring-on the date CONTD
CONT CONTD the next annual general meeting is held or is required by law to be-held, Non-Voting
whichever is the earlier, after the date of this Resolution; and- "Maximum Price", in
relation to a Share to be purchased or acquired, means-the purchase price (excluding
brokerage, stamp duties, commission, applicable-goods and services tax and other
related expenses) which is: (a) in the case-of a Market Purchase, 105 per cent. of the
Average Closing Price (as-hereafter defined); and (b) in the case of an Off-Market
Purchase pursuant to-an equal access scheme, 120 per cent. of the Average Closing
Price, where:- "Average Closing Price" means the average of the closing market
prices of a-Share over the last five (5) Market Days (a "Market Day" being a day on
which-the SGX-ST is open for trading in securities), on which transactions in the-
CONTD
CONT CONTD Shares were recorded, in the case of Market Purchases, before the day-on Non-Voting
which the purchase or acquisition of Shares was made and deemed to be-adjusted
for any corporate action that occurs after the relevant five (5)-Market Days, or in the
case of Off-Market Purchases, before the date on which-the Company makes an
offer for the purchase or acquisition of Shares from-holders of Shares, stating
therein the relevant terms of the equal access-scheme for effecting the Off-Market
Purchase; and (4) the directors of the-Company and/or any of them be and are
hereby authorised to complete and do-all such acts and things (including without
limitation, executing such-documents as may be required) as they and/or he may
consider necessary,- expedient, incidental or in the interests of the Company to give
effect to-the CONTD
CONT CONTD transactions contemplated and/or authorised by this Resolution Non-Voting
11 That: (1) approval be and is hereby given, for the purposes of Chapter 9 of the Listing Management For For
Manual of the SGX-ST, for the Company, its subsidiaries and target associated companies
(as defined in Appendix 2 to this Notice of Annual General Meeting ("Appendix 2")), or
any of them, to enter into any of the transactions falling within the types of Interested
Person Transactions described in Appendix 2, with any person who falls within the classes
of Interested Persons described in Appendix 2, provided that such transactions are made on
normal commercial terms and in accordance with the review procedures for Interested
Person Transactions as set out in Appendix 2 (the "IPT Mandate") (2) the IPT Mandate
shall, unless revoked or varied by the Company in general meeting, continue in force until
the date that the next annual general CONTD
CONT CONTD meeting is held or is required by law to be held, whichever is the-earlier; (3) the Non-Voting
Audit Committee of the Company be and is hereby authorised-to take such action as it
deems proper in respect of such procedures and/or-to modify or implement such
procedures as may be necessary to take into-consideration any amendment to Chapter 9 of
the Listing Manual of the SGX-ST-which may be prescribed by the SGX-ST from time to
time; and (4) the-directors of the Company and/or any of them be and are hereby
authorised to-complete and do all such acts and things (including, without limitation,-
executing such documents as may be required) as they and/or he may consider-necessary,
expedient, incidental or in the interests of the Company to give-effect to the IPT Mandate
and/or this Resolution
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION IN TEXT OF Non-Voting
RESOLUTION-7. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT RETURN THIS PROXY FORM UNLESS YOU DECIDE TO AMEND YOUR
ORIGINAL INSTRUCTIONS. THANK YOU.
KEPPEL CORPORATION LTD, SINGAPORE
Security Y4722Z120 Meeting Type ExtraOrdinary General
Meeting
Ticker Symbol Meeting Date 19-Apr-2013
ISIN SG1U68934629 Agenda 704362122 - Management
For/Against
Item Proposal Type Vote Management
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CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY RESOLUTION"1" THANK YOU.
1 The Proposed Distribution Management For For
HONG LEONG FINANCE LTD
Security Y36795113 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-Apr-2013
ISIN SG1M04001939 Agenda 704375030 - Management
For/Against
Item Proposal Type Vote Management
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A.1 To receive and adopt the Directors' Report and Audited Financial Statements for Management For For
the year ended 31 December ("FY") 2012 and the Auditors' Report thereon
A.2 To declare a final one-tier tax exempt dividend of 8 cents per share for FY 2012 Management For For
("Final Dividend")
A.3 To approve Directors' Fees of SGD471,445 for FY 2012 (FY 2011: SGD487,584), Management For For
Fees to the Audit Committee of SGD25,000 per quarter for FY 2013 (FY 2012:
SGD25,000 per quarter) and Fees to the Risk Management Committee of
SGD45,000 per quarter for FY 2013 (FY 2012: SGD45,000 per quarter)
A.4.a To re-elect the Director retiring in accordance with the Articles of Association of Management For For
the Company and who, being eligible, offer themselves for re- election:
Mr Kwek Leng Peck
A.4.b To re-elect the Director retiring in accordance with the Articles of Association of Management For For
the Company and who, being eligible, offer themselves for re- election:
Mr Kwek Leng Kee
A.4.c To re-elect the Director retiring in accordance with the Articles of Association of Management For For
the Company and who, being eligible, offer themselves for re- election:
Mr Chng Beng Hua
A.5.a To re-appoint the Director pursuant to Section 153(6) of the Companies Act, Management For For
Chapter 50 to hold office from the date of the Meeting until the next Annual
General Meeting ("AGM"): Mr Kwek Leng Beng
A.5.b To re-appoint the Director pursuant to Section 153(6) of the Companies Act, Management For For
Chapter 50 to hold office from the date of the Meeting until the next Annual
General Meeting ("AGM"): Mr Cheng Shao Shiong @ Bertie Cheng
A.6 To re-appoint KPMG LLP as Auditors and to authorise the Directors to fix their Management For For
remuneration
B.7 That authority be and is hereby given to the Directors to: (a) (i) issue shares in the Management For For
capital of the Company ("shares") whether by way of rights, bonus or otherwise;
and/or (ii) make or grant offers, agreements or options (collectively, "Instruments")
that might or would require shares to be issued, including but not limited to the
creation and issue of (as well as adjustments to) warrants, debentures or other
Instruments convertible into shares, at any time and upon such terms and
conditions and for such purposes and to such persons as the Directors may in their
absolute discretion deem fit; and (b) (notwithstanding the authority conferred by
this Ordinary Resolution may have ceased to be in force) issue shares in pursuance
of any Instrument made or granted by the Directors while this Ordinary Resolution
was in force, CONTD
CONT CONTD provided that: (1) the aggregate number of shares to be issued pursuant-to this Non-Voting
Ordinary Resolution (including shares to be issued in pursuance of-Instruments made or
granted pursuant to this Ordinary Resolution but- excluding shares which may be issued
pursuant to any adjustments effected-under any relevant Instrument), does not exceed 50%
of the total number of-issued shares in the capital of the Company (as calculated in
accordance with-sub- paragraph (2) below), of which the aggregate number of shares to be-
issued other than on a pro rata basis to shareholders of the Company- (including shares to
be issued in pursuance of Instruments made or granted-pursuant to this Ordinary
Resolution but excluding shares which may be issued-pursuant to any adjustments effected
under any relevant Instrument) does not- exceed 20% CONTD
CONT CONTD of the total number of issued shares in the capital of the Company (as-calculated Non-Voting
in accordance with sub-paragraph (2) below); (2) (subject to such-manner of calculation as
may be prescribed by the Singapore Exchange-Securities Trading Limited ("SGX-ST"))
for the purpose of determining the-aggregate number of shares that may be issued under
subparagraph (1) above,- the total number of issued shares in the capital of the Company
shall be-based on the total number of issued shares in the capital of the Company at- the
time this Ordinary Resolution is passed, after adjusting for: (i) new-shares arising from the
conversion or exercise of any convertible securities-or share options which are outstanding
or subsisting at the time this-Ordinary Resolution is passed; and (ii) any subsequent bonus
issue,- consolidation or CONTD
CONT CONTD subdivision of shares; (3) in exercising the authority conferred by-this Ordinary Non-Voting
Resolution, the Company shall comply with the provisions of the-Listing Manual of the
SGX-ST for the time being in force (unless such- compliance has been waived by the
SGX-ST) and the Articles of Association for-the time being of the Company; and (4)
(unless revoked or varied by the-Company in General Meeting) the authority conferred by
this Ordinary-Resolution shall continue in force until the conclusion of the next AGM of-
the Company or the date by which the next AGM of the Company is required by-law to be
held, whichever is the earlier
B.8 That approval be and is hereby given to the Directors to offer and grant options in Management For For
accordance with the provisions of the Hong Leong Finance Share Option Scheme 2001
(the "SOS") to eligible participants under the SOS other than Parent Group Employees and
Parent Group Non- Executive Directors (each as defined under the
terms of the SOS) and to allot and issue from time to time such number of shares in the
capital of the Company as may be required to be issued pursuant to the exercise of the
options granted under the SOS, provided that: (a) the aggregate number of shares to be
issued pursuant to the SOS shall not exceed 15% of the total number of issued shares
in the capital of the Company from time to time; and (b) the aggregate number of
shares to be issued during the entire operation of the SOS (subject to adjustments,
CONTD
CONT CONTD if any, made under the SOS) shall not exceed such limits or (as the-case may Non-Voting
be) sub- limits as may be prescribed in the SOS
B.9 That approval be and is hereby given to the Directors to offer and grant options in Management For For
accordance with the provisions of the SOS to eligible participants under the SOS who
are Parent Group Employees and Parent Group Non- Executive Directors (each as
defined under the terms of the SOS) and to allot and issue from time to time such
number of shares in the capital of the Company as may be required to be issued
pursuant to the exercise of the options granted under the SOS, provided that: (a) the
aggregate number of shares to be issued to Parent Group Employees and Parent Group
Non-Executive Directors shall not exceed 3% of the total number of issued shares in
the capital of the Company from time to time; (b) the aggregate number of shares to be
issued to all participants (including Parent Group Employees and Parent Group Non-
CONTD
CONT CONTD Executive Directors) pursuant to the SOS shall not exceed 15% of the-total Non-Voting
number of issued shares in the capital of the Company from time to-time; and (c) the
aggregate number of shares to be issued during the entire-operation of the SOS
(subject to adjustments, if any, made under the SOS)-shall not exceed such limits or
(as the case may be) sub-limits as may be- prescribed in the SOS
C To Transact Any Other Ordinary Business Management For Against
SINGAPORE TECHNOLOGIES ENGINEERING LTD
Security Y7996W103 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN SG1F60858221 Agenda 704338133 - Management
For/Against
Item Proposal Type Vote Management
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1 To receive and adopt the Directors' Report and Audited Financial Statements for Management For For
the year ended 31 December 2012 and the Auditors' Report thereon
2 To declare a final ordinary tax exempt (one-tier) dividend of 4.0 cents per share Management For For
and a special tax exempt (one-tier) dividend of 9.8 cents per share for the year
ended 31 December 2012
3 To re-elect the following Directors, who will retire by rotation pursuant to Article 98 of the Management For For
Articles of Association of the Company and who, being eligible, offer himself for re-
election: Dr Stanley Lai Tze Chang
4 To re-elect the following Directors, who will retire by rotation pursuant to Article 98 of the Management For For
Articles of Association of the Company and who, being eligible, offer himself for re-
election: Mr Quek Poh Huat
5 To re-elect the following Directors, who will retire by rotation pursuant to Article 98 of the Management For For
Articles of Association of the Company and who, being eligible, offer himself for re-
election: Mr Davinder Singh
6 To re-elect the following Directors, who will cease to hold office pursuant to Article 104 of Management For For
the Articles of Association of the Company and who, being eligible, offer himself for re-
election: Mr Kwa Chong Seng
7 To re-elect the following Directors, who will cease to hold office pursuant to Article 104 of Management For For
the Articles of Association of the Company and who, being eligible, offer himself for re-
election: Mr Chan Yeng Kit
8 To approve the sum of SGD1,166,346 (2011: SGD1,076,346) as Directors' compensation Management For For
for the year ended 31 December 2012 comprising:(i) SGD844,446 to be paid in cash
(2011: SGD774,949); and (ii) SGD321,900 to be paid in the form of restricted share
awards pursuant to the Singapore Technologies Engineering Restricted Share Plan 2010,
with the number of shares to be awarded rounded down to the nearest hundred and any
residual balance settled in cash (2011: SGD301,397)
9 To re-appoint KPMG LLP as Auditors of the Company and to authorise the Directors to fi Management For For
x their remuneration
10 That authority be and is hereby given to the Directors to: (a) (i) issue shares in the capital Management For For
of the Company ("shares") whether by way of rights, bonus or otherwise; and/or (ii) make
or grant offers, agreements or options (collectively, "Instruments") that might or would
require shares to be issued, including but not limited to the creation and issue of (as well as
adjustments to) warrants, debentures or other instruments convertible into shares, at any
time and upon such terms and conditions and for such purposes and to such persons as the
Directors may, in their absolute discretion, deem fi t; and (b) (notwithstanding the
authority conferred by this Resolution may have ceased to be in force) issue shares in
pursuance of any Instrument made or granted by the Directors while this Resolution was in
force, provided that: CONTD
CONT CONTD (1) the aggregate number of shares to be issued pursuant to this-Resolution (including shares to be Non-Voting
issued in pursuance of Instruments made or-granted pursuant to this Resolution) does not exceed 50 per cent.
of the-total number of issued shares in the capital of the Company excluding-treasury shares (as calculated in
accordance with sub-paragraph (2) below),-of which the aggregate number of shares to be issued other than
on a pro rata-basis to shareholders of the Company (including shares to be issued in-pursuance of Instruments
made or granted pursuant to this Resolution) shall-not exceed five per cent. of the total number of issued
shares in the capital-of the Company excluding treasury shares (as calculated in accordance with-sub-
paragraph (2) below); (2) (subject to such manner of calculation as may-be CONTD
CONT CONTD prescribed by the SGX-ST) for the purpose of determining the aggregate-number of shares that may Non-Voting
be issued under sub-paragraph (1) above, the-percentage of issued shares shall be based on the total number of
issued-shares in the capital of the Company excluding treasury shares at the time-this Resolution is passed,
after adjusting for: (i) new shares arising from-the conversion or exercise of any convertible securities or
share options or-vesting of share awards which are outstanding or subsisting at the time this-Resolution is
passed; and (ii) any subsequent bonus issue or consolidation or- subdivision of shares; (3) in exercising the
authority conferred by this-Resolution, the Company shall comply with the provisions of the Listing-Manual
of the SGX-ST for the time being in force (unless such compliance has-been CONTD
CONT CONTD waived by the SGX-ST) and the Articles of Association for the time-being of the Company; and (4) Non-Voting
(unless revoked or varied by the Company in-General Meeting) the authority conferred by this Resolution
shall continue in- force until the conclusion of the next Annual General Meeting of the Company-or the date
by which the next Annual General Meeting of the Company is-required by law to be held, whichever is the
earlier
11 That approval be and is hereby given to the Directors to: (i) grant awards in accordance Management For For
with the provisions of the Singapore Technologies Engineering Performance Share Plan
2010 (the "PSP2010") and/or the Singapore Technologies Engineering Restricted Share
Plan 2010 (the "RSP2010") (the PSP2010 and the RSP2010, together the "Share Plans");
and (ii) allot and issue from time to time such number of fully paid ordinary shares in the
capital of the Company as may be required to be issued pursuant to the vesting of awards
under the PSP2010 and/or the RSP2010, provided that the aggregate number of new
ordinary shares allotted and issued and/or to be allotted and issued, when aggregated with
existing ordinary shares (including ordinary shares held in treasury) delivered and/or to be
delivered, pursuant to the Share Plans shall CONTD
CONT CONTD not exceed eight per cent. of the total number of issued ordinary-shares in the Non-Voting
capital of the Company (excluding treasury shares) from time to-time
SINGAPORE TECHNOLOGIES ENGINEERING LTD
Security Y7996W103 Meeting Type ExtraOrdinary General Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN SG1F60858221 Agenda 704340847 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------- ----------- ---- -----------
1 The Proposed Renewal of the Shareholders Mandate Management For For
2 The Proposed Renewal of the Share Purchase Mandate Management For For
ASSECO POLAND S.A., WARSZAWA
Security X02540130 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN PLSOFTB00016 Agenda 704361043 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
1 Opening of the general meeting and election of the chairman of the general meeting Management For For
2 Statement regarding the fact that the general meeting was duly convened and that it Management For For
may adopt resolutions, and adoption of the general meetings agenda
3 Approval of the agenda Management For For
4 Consideration of the management board report on the activity of Asseco Poland SA in the Management For For
financial year 2012
5 Consideration of the financial statement of Asseco Poland SA for the financial year 2012 Management For For
6 Getting familiar with the certified auditors opinion and report from their audit of the Management For For
financial statement of Asseco Poland SA for the financial year 2012
7 Getting familiar with the report of the supervisory board of Asseco Poland SA on the their Management For For
activity in the financial year 2012 and the assessment of the companys standing as well as
with the supervisory boards assessments of reports on activity of the company and capital
group Asseco Poland SA in financial year 2012 and assessments of financial statements of
the company and capital group Asseco Poland SA in the financial year 2012 and the
proposal of the management board on the distribution of the profit for the financial year
2012
8 Adoption of the resolution on the approval of the report on the activity of Asseco Poland Management For For
SA and approval of the financial statement of the company for financial year 2012
9 Consideration of the report on the activity of the capital group Asseco Poland SA and Management For For
financial statement of capital group Asseco Poland SA for financial year 2012
10 Getting familiar with the certified auditors opinion and report from their audit of the Management For For
financial statement of capital group of Asseco Poland SA for the financial year 2012
11 Adoption of the resolution on the approval of the report on the activity of the capital group Management For For
Asseco Poland SA in the financial year 2012 and the approval of the financial statement of
the capital group Asseco Poland SA for financial year 2012
12 Adoption of resolutions on the approval of the duties performed by the company's Management For For
management board members in the financial year of 2012
13 Adoption of resolutions on the approval of the duties performed by the company's Management For For
supervisory board members in the financial year of 2012
14 Adoption of resolutions on the distribution of the profit generated by Asseco Poland SA for Management For For
the financial year 2012 and payment of the dividend
15 Closing of the meeting Management For For
BAOVIET HOLDINGS, HA NOI
Security Y0704L105 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-Apr-2013
ISIN VN000000BVH3 Agenda 704408233 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 170467 Non-Voting
DUE TO ADDITION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
1 Approval of report of BoD Management For For
2 Approval of report of general director on business result in 2012 and business plan Management For For
for 2013
3 Approval of report on paying remuneration for BoD and BoS in 2012 and expected Management For For
remuneration plan in 2013
4 Statement of method of distributing profit after tax and paying dividends in 2012, Management For For
dividends payment plan in 2013
5 Approval of report of BoS Management For For
6 Approval of statement of amended company charter in accordance with circular Management For For
121 in 2012 of the ministry of finance
7 Election of BoD and BoS members for supplementation and replacement Management For For
8 Any other issues within the jurisdiction of the AGM Management For Against
GRUPO HERDEZ SAB DE CV
Security P4951Q155 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 25-Apr-2013
ISIN MX01HE010008 Agenda 704414630 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
1 Presentation and, if deemed appropriate, approval of the reports that are referred to Management For For
in part iv of article 28 of the securities market law, regarding the progress of the
business of the company during the fiscal year that ran from January 1, 2012, to
December 31, 2012, which reports include i. The financial statements of the
company for the mentioned fiscal year, ii. The annual reports regarding the
activities of the audit committee and of the corporate practices committee of the
company that are referred to in article 43 of the securities market law, iii. The
report from the general director of the company in accordance with the terms of
part xi of article 44 of the securities market law, accompanied by the opinion of the
outside auditor, iv. The opinion of the board of directors regarding the content of
the report CONTD
CONT CONTD from the general director, v. The report that is referred to in article-172, Non-Voting
line b, of the general mercantile companies law, and vi. The report-regarding the
transactions and activities in which it has intervened in-accordance with that which
is provided for in the securities market law
2 Resolutions regarding the allocation of the results of the company for the fiscal year that Management For For
ran from January 1, 2012, to December 31, 2012, proposal and, if deemed appropriate,
approval for the payment of the dividend
3 Designation or, if deemed appropriate, ratification of the members of the board of Management For For
directors, classification of their independence in accordance with article 26 of the securities
market law, as well as the designation or ratification of the secretary who is not a member
of the board of directors of the company
4 Presentation and, if deemed appropriate, approval regarding the determination of Management For For
compensation or remuneration for the members of the board of directors, the secretary who
is not a member of the board of directors, as well as for the members of the audit and
corporate practices committees and other assistants
5 Discussion and, if deemed appropriate, a resolution regarding the maximum amount of Management For For
funds that the company can allocate to the purchase of shares of the company, in
accordance with the terms of part iv of article 56 of the securities market law
6 Designation or, if deemed appropriate, ratification of the persons who will chair the audit Management For For
committee and the corporate practices committee of the company
7 Presentation of the report regarding the fulfillment of the tax obligations that are the Management For For
responsibility of the company in accordance with that which is provided for by part xx of
article 86 of the income tax law
8 Designation of special delegates Management For For
9 Reading and approval of the general meeting minutes Management For For
SOCIEDAD QUIMICA Y MINERA DE CHILE S.A.
Security 833635105 Meeting Type Annual
Ticker Symbol SQM Meeting Date 25-Apr-2013
ISIN US8336351056 Agenda 933796609--Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------- ----------- ---- -----------
1. SQM'S BALANCE SHEET, AUDITED FINANCIAL STATEMENTS, ANNUAL Management For For
REPORT, ACCOUNTING INSPECTORS REPORT, AND EXTERNAL
AUDITORS' REPORT FOR THE BUSINESS YEAR ENDED DECEMBER 31,
2012.
2. APPOINTMENT OF THE EXTERNAL AUDITING COMPANY AND Management For For
ACCOUNTING INSPECTORS FOR THE 2013 BUSINESS YEAR.
3. OPERATIONS REFERRED TO IN TITLE XVI OF LAW 18,046 ("LAW OF Management For For
CORPORATIONS" OF CHILE).
4. INVESTMENT AND FINANCING POLICIES. Management For For
5. NET INCOME FOR THE 2012 BUSINESS YEAR, DISTRIBUTION OF FINAL Management For For
DIVIDEND AND FUTURE DIVIDEND POLICY.
6. BOARD OF DIRECTOR EXPENDITURES FOR THE 2012 BUSINESS YEAR. Management For For
7. ELECTIONS AND COMPENSATION FOR THE MEMBERS OF THE BOARD. Management For For
8. MATTERS RELATED TO THE DIRECTORS, AUDIT AND HEALTH, SAFETY AND Management For For
ENVIRONMENT COMMITTEES.
9. OTHER CORRESPONDING MATTERS IN ACCORDANCE WITH THE LAW. Management For For
ALIANSCE SHOPPING CENTERS SA, RIO DE JANEIRO
Security P0161M109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 26-Apr-2013
ISIN BRALSCACNOR0 Agenda 704413032 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME Non-Voting
AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR
ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU
A To examine, discuss and vote upon the board of directors annual report, the Management For For
financial statements and independent auditors report relating to fiscal year ending
December 31, 2012
B Destination of the year end results of 2012 and the distribution of dividends Management For For
C To elect the members of the board of directors Management For For
ALIANSCE SHOPPING CENTERS SA, RIO DE JANEIRO
Security P0161M109 Meeting Type ExtraOrdinary General Meeting
Ticker Symbol Meeting Date 26-Apr-2013
ISIN BRALSCACNOR0 Agenda 704413082 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME Non-Voting
AGENDA ITEM ARE- NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR
ABSTAIN OR AGAINST AND/ OR ABSTAIN-ARE ALLOWED. THANK YOU
1 To establish the aggregate annual remuneration of the managers of the company for Management For For
the 2013 fiscal year
2 To amend article 5 of the corporate bylaws, with its later restatement, in such a way Management For For
as to reflect the share capital increases approved by the board of directors within
the limit of the authorized capital
PETROVIETNAM DRILLING AND WELL SERVICES JSC
Security Y6825E102 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 26-Apr-2013
ISIN VN000000PVD2 Agenda 704433286 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
1 Report on activities of BoD in 2012 and orientation in 2013 Management For For
2 Report on business result in 2012 and business plan in 2013 Management For For
3 Report on audited financial statements in 2012 Management For For
4 Method of paying dividend in 2012, dividend plan in 2013 and shares issuance plan Management For For
5 Report of BoS on activities in 2012 and plan for 2013 Management For For
6 Remuneration for BoD, BoS in 2013 Management For For
7 List of auditing entities in 2013 Management For For
8 Any other issues within the jurisdiction of the AGM Management For Against
VALE SA, RIO DE JANEIRO
Security P9661Q148 Meeting Type ExtraOrdinary General Meeting
Ticker Symbol Meeting Date 07-May-2013
ISIN BRVALEACNPA3 Agenda 704353882 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 170831 Non-Voting
DUE TO DELETION OF-RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT THE PREFERRED SHAREHOLDERS CAN VOTE ON Non-Voting
ALL ITEMS. THANK YOU.
CMMT PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME Non-Voting
AGENDA ITEM ARE NO-T ALLOWED. ONLY VOTES IN FAVOR AND/OR
ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE A-LLOWED. THANK
YOU
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF AT-TORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING INSTRUCTION-S IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO
BE REJECTED-. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE REPRESENTATIVE
1 1.I. Proposal for the amendment of the corporate bylaws of vale, to achieve the Management For For
following results. to include a sole paragraph in article 1, to amend paragraph 1 of
article 10, to amend paragraph 1 of article 11 and to include a new paragraph 3 in
article 10, and to amend paragraph 6 of article 11, to adapt the corporate bylaws of
vale to the bylaws provisions required, respectively, in items 1.1, 4.6, 4.3 and 4.5 of
the BM and Fbovespa S.A., Bolsa De Valores, Mercadorias E Futuros level 1
corporate governance listing regulations. 1.II. proposal for the amendment of the
corporate bylaws of vale, to achieve the following results, to renumber paragraphs
3 and 4 of article 10, due to that which is provided for in item i above. 1.III.
proposal for the amendment of the corporate bylaws of vale, to achieve the
following results, to exclude from the main part of article 11 the requirement that
the members of the board of directors be shareholders of vale, in light of that which
is provided for in law number 12,431.12. 1.IV. proposal for the amendment of the
corporate bylaws of vale, to achieve the following results, to include in the sole
paragraph of article 12 the possibility of holding meetings of the board of directors
by teleconference, video conference or other means of communication. 1.V.
proposal for the amendment of the corporate bylaws of vale, to achieve the
following results, to amend
line xxv of article 14 to replace the term permanent asset with the term no circulating asset,
in order to harmonize it with the new wording given by law number 11,941.09. 1.VI.
proposal for the amendment of the corporate bylaws of vale, to achieve the following
results, to exclude line iv from article 24 in light of the fact that the fiscal counsel,
operating as an audit committee for the purposes of that which is provided for in the
sarbanes oxley law, from here onwards referred to as sarbox, already analyzes the annual
report from the management and the financial statements of the company. 1.VII. proposal
for the amendment of the corporate bylaws of vale, to achieve the following results, to
include in the main part of article 29, the possibility of the members of the executive
committee participating in the meetings of the executive committee by any means of
communication that can ensure their effective participation and the authenticity of their
vote. 1.VIII. proposal for the amendment of the corporate bylaws of vale, to achieve the
following results, to exclude from paragraph 1 of article 35 the limitation on the term of
validity for ad negotiate powers of attorney to December 31 of each year. 1.IX. proposal
for the amendment of the corporate bylaws of vale, to achieve the following results, to
replace the mention of the tax incentives reserve with the exhaustion reserve in line i of
article 43 since the tax incentive related to that reserve expired in 1996
2 Restatement of the corporate bylaws to reflect the approved amendments Management For For
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO POSTPONEMENT OF Non-Voting
MEETING FROM 17 APR-TO 07 MAY 2013. THANK YOU.
KINGDEE INTERNATIONAL SOFTWARE GROUP CO LTD, GEORG
Security G52568147 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 08-May-2013
ISIN KYG525681477 Agenda 704378682 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST'-ONLY FOR ALL RESOLUTIONS. THANK YOU.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0403/LTN20130403548.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0403/LTN20130403540.pdf
1 To receive and adopt the audited consolidated accounts and the reports of the Management For For
directors and auditors of the Company for the year ended 31 December 2012
2A To re-elect Mr. Xu Shao Chun as an executive director ("Director") of the Company Management For For
2B To re-elect Mr. Chen Deng Kun as an executive Director Management For For
2C To re-elect Mr. Wu Cheng as an independent non-executive Director Management For For
2D To re-elect Mr. Yang Jian as an executive Director Management For For
2E To re-elect Ms. Dong Ming Zhu as a non- executive Director Management For For
3 To authorize the board of Directors (the "Board") to fix the remuneration of the Directors Management For For
4 To re-appoint PricewaterhouseCoopers, the retiring auditors, as the auditors of the Management For For
Company and to authorize the Board to fix their remuneration
5A To give a general mandate to the Directors to issue and allot additional shares not Management For For
exceeding 20% of the existing issued share capital of the Company
5B To give a general mandate to the Directors to repurchase the Company's own shares not Management For For
exceeding 10% of the existing issued share capital of the Company
5C Conditional upon ordinary resolutions 5(A) and 5(B) being passed, to extend the general Management For For
mandate to the Directors to issue and allot additional shares by the number of shares
repurchased by the Company under the mandate referred to in Resolution numbered 5(B)
above
TELEVISION BROADCASTS LTD
Security Y85830126 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 22-May-2013
ISIN HK0000139300 Agenda 704438262 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/SEH K/2013/0418/LTN20130418691.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/SEH K/2013/0418/LTN20130418654.pdf
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
1 To receive the Audited Financial Statements, the Report of the Directors and the Management For For
Independent Auditor's Report for the year ended 31 December 2012
2 To declare a final dividend for the year ended 31 December 2012 Management For For
3.i To elect Director: Mr. Raymond Or Ching Fai Management For For
4.i To re-elect retiring Director: Dr. Norman Leung Nai Pang Management For For
4.ii To re-elect retiring Director: Mr. Mark Lee Po On Management For For
4.iii To re-elect retiring Director: Mr. Edward Cheng Wai Sun Management For For
5 To approve an increase in Director's fee Management For For
6 To re-appoint Auditor and authorise Directors to fix its remuneration Management For For
7 To give a general mandate to Directors to issue additional shares Management For For
8 To give a general mandate to Directors to repurchase issued shares Management For For
9 To extend the authority given to the Directors under Resolution (7) to shares repurchased Management For For
under the authority under Resolution (8)
10 To extend the book close period from 30 days to 60 days Management For For
HISAMITSU PHARMACEUTICAL CO.,INC.
Security J20076121 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 23-May-2013
ISIN JP3784600003 Agenda 704474535 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
1 Approve Appropriation of Surplus Management For For
2 Amend Articles to: Increase Board Size to 12, Appoint an Executive Vice President Management For For
3.1 Appoint a Director Management For For
3.2 Appoint a Director Management For For
3.3 Appoint a Director Management For For
3.4 Appoint a Director Management For For
3.5 Appoint a Director Management For For
3.6 Appoint a Director Management For For
3.7 Appoint a Director Management For For
3.8 Appoint a Director Management For For
3.9 Appoint a Director Management For For
3.10 Appoint a Director Management For For
3.11 Appoint a Director Management For For
4 Approve Provision of Retirement Allowance for Directors Management For For
DONGFANG ELECTRIC CORPORATION LTD
Security Y20958107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 24-May-2013
ISIN CNE100000304 Agenda 704376133 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0402/LTN201304021733.pdf-AND- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0402/LTN201304021717.pdf
1 To consider and approve the report of the board of directors (the "Board") of the Management For For
Company for the year ended 31 December 2012
2 To consider and approve the report of the supervisory committee (the "Supervisory Management For For
Committee") of the Company for the year ended 31 December 2012
3 To consider and approve the proposal for the distribution of profits after tax for the Management For For
year ended 31 December 2012, including the proposal for the declaration and
payment of final dividend for the year ended 31 December 2012
4 To consider and approve the audited consolidated financial statements of the Management For For
Company and its subsidiaries for the year ended 31 December 2012
5 To consider and approve the re-appointment of ShineWing Certified Public Management For For
Accountants (Special General Partnership) as the auditors of the Company auditing
the Company's financial statements for the year 2013 and authorize the Board to
determine its remuneration
S.1 To grant a general mandate to the directors of the Company to allot and issue new Management For For
shares
SHANDONG WEIGAO GROUP MEDICAL POLYMER CO LTD
Security Y76810103 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 31-May-2013
ISIN CNE100000171 Agenda 704424530 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0415/LTN20130415459.pdf,- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0415/LTN20130415421.pdf-
AND- http://www.hkexnews.hk/listedco/listconews/sehk/
2013/0415/LTN20130415405.pdf
CMMT PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN Non-Voting
FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS. THANK YOU.
1 To consider and approve the audited consolidated financial statements of the Group Management For For
(including the Company and its subsidiaries) for the year ended 31 December 2012
2 To consider and approve the report of the board of directors of the Company (the Management For For
"Board") for the year ended 31 December 2012
3 To consider and approve the report of the Supervisory Committee of the Company Management For For
for the year ended 31 December 2012
4 To declare a final dividend of RMB0.033 per share of RMB0.1 each in the Company for Management For For
the year ended 31 December 2012
5 To consider and approve the proposal for the re- appointment of Deloitte Touche Tohmatsu Management For For
as the auditor of the Company for the year ending 31 December 2013, and to authorise the
Board to determine his remuneration
6 To consider and authorise the Board to approve the remuneration of the directors, Management For For
supervisors and senior management of the Company for the year ending 31 December
2013
7 To consider and approve the general mandate to be granted to the Board to issue new Management For For
shares
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE Non-Voting
FROM 30 MAY T-O 30 APRIL 2013. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT RETURN-THIS PROXY FORM UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK Y-OU.
NAM LONG INVESTMENT CORPORATION, HCMC
Security Y618A5109 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 31-May-2013
ISIN VN000000NLG1 Agenda 704481112 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
1 Activities report of BoD in 2012 Management For For
2 Activities report of BoS in 2012 Management For For
3 2012 audited consolidated financial statements, business plan in 2013 and profit Management For For
distribution method in 2013
4 Activity budget for BoD and BoS in 2013 Management For For
5 Selecting auditing entity for 2013 Management For For
6 Amendment in the company charter according to circular 121 Management For For
7 Method of dividend payment in 2012 Management For For
8 Chairman acting concurrently as the CEO Management For For
9 Additional election of BoD members for the term 2011 2016 Management For For
10 Change of the head of BOS Management For For
11 Any other issues within the jurisdiction of the AGM Management For Against
NETAS TELEKOMUNIKASYON A.S., ISTANBUL
Security M7334W107 Meeting Type Ordinary General Meeting
Ticker Symbol Meeting Date 06-Jun-2013
ISIN TRANETAS91H6 Agenda 704545524 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 171125 Non-Voting
DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: POWER OF Non-Voting
ATTORNEY (POA) REQUIREMENTS-VARY BY CUSTODIAN. GLOBAL
CUSTODIANS MAY HAVE A POA IN PLACE WHICH WOULD ELIMI-
NATE THE NEED FOR THE INDIVIDUAL BENEFICIAL OWNER POA. IN
THE ABSENCE OF THIS-ARRANGEMENT, AN INDIVIDUAL BENEFICIAL
OWNER POA MAY BE REQUIRED. IF YOU HAVE A-NY QUESTIONS
PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK
YOU.
1 Opening and formation of presidency board Management For For
2 Reading and discussion of reports of board members Management For For
3 Reading reports of auditors and independent audit firm Management For For
4 Reading, discussion and approval of balance sheet and income statement Management For For
5 Release of board members and auditors Management For For
6 Informing shareholders about profit distribution policy of company, decision and Management For For
approval on previous year's profit distribution and proposal on distribution date
7 Informing shareholders about collaterals, pledges and guarantees given to third Management For For
parties
8 Informing shareholders about donations made in 2012, deciding an upper limit for Management For For
the donations to be made on 2013
9 Informing shareholders about transactions made within related parties Management For For
10 Informing shareholders about information policy of company Management For For
11 Informing shareholders about waging policy for board members and top executives Management For For
of company
12 Approval of independent audit firm Management For For
13 Discussion and approval of internal policy of company Management For For
14 Approval of the selected board Management For For
15 Election of the board whose term of office have expired Management For For
16 Determination of wage of board Management For For
17 Approval of proposal on amendments of articles of association of company Management For For
18 Permitting board members as per items 395 and 396 of TCC Management For For
19 Wishes Management For For
TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD, HSINCHU
Security Y84629107 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 11-Jun-2013
ISIN TW0002330008 Agenda 704561251 - Management
For/Against
Item Proposal Type Vote Management
---- --------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 159010 Non-Voting
DUE TO DELETION OF-RESOLUTIONS. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT PLEASE NOTE THAT IN CASES WHERE THE CLIENT INSTRUCTS US TO Non-Voting
VOTE AGAINST ANY PROPOSAL TO BE DISCUSSED AT A
SHAREHOLDERS MEETING AND THE VOTING WITH RESPECT TO SUCH
PROPOSAL IS DONE BY BALLOT, WE OR OUR DESIGNEE WILL FILL
OUT THE BALLOT-IN RESPECT OF SUCH PROPOSAL IN ACCORDANCE
WITH THE CLIENTS INSTRUCTIONS. HOWEVER, IF THE VOTING AT THE
SHAREHOLDERS MEETING IS DONE BY ACCLAMATION, WE/OUR-
DESIGNEE WILL NOT TAKE ANY ACTION IN RESPECT OF THE
RELEVANT PROPOSAL. THANK YOU
A.1 The 2012 business operations Non-Voting
A.2 The 2012 audited reports Non-Voting
A.3 The status of the local corporate bonds Non-Voting
B.1 The 2012 business reports and financial statements Management For For
B.2 The 2012 profit distribution. proposed cash dividend: TWD3 per share Management For For
B.3 The revision to the procedures of asset acquisition or disposal, monetary loans, Management For For
endorsement and guarantee
BANK POLSKA KASA OPIEKI -GRUPA PEKAO S.A., WARSZAW
Security X0641X106 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 12-Jun-2013
ISIN PLPEKAO00016 Agenda 704531385 - Management
For/Against
Item Proposal Type Vote Management
---- ---------------------------------------------------------- ----------- ---- -----------
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING-INSTRUCTIONS IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-
BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE- REPRESENTATIVE
1 Open Meeting Non-Voting
2 Elect Meeting Chairman Management For For
3 Acknowledge Proper Convening of Meeting Non-Voting
4 Elect Members of Vote Counting Commission Management For For
5 Approve Agenda of Meeting Management For For
6 Receive Management Board Report on Company's Operations in Fiscal 2012 Non-Voting
7 Receive Financial Statements Non-Voting
8 Receive Management Board Report on Group's Operations in Fiscal 2012 Non-Voting
9 Approve Consolidated Financial Statements Non-Voting
10 Receive Management Board Proposal on Allocation of Income Non-Voting
11 Receive Supervisory Board Report Non-Voting
12.1 Approve Management Board Report on Company's Operations in Fiscal 2012 Management For For
12.2 Approve Financial Statements Management For For
12.3 Approve Management Board Report on Group's Operations in Fiscal 2012 Management For For
12.4 Approve Consolidated Financial Statements Management For For
12.5 Approve Allocation of Income Management For For
12.6 Approve Supervisory Board Report on Board's Activities in Fiscal 2012 Management For For
12.7a Approve Discharge of Alicja Kornasiewicz (Supervisory Board Member) Management For For
12.7b Approve Discharge of Krzysztof Pawlowski (Supervisory Board Member) Management For For
12.7c Approve Discharge of Oliver Greene (Supervisory Board Member) Management For For
12.7d Approve Discharge of Jerzy Woznicki (Supervisory Board Member) Management For For
12.7e Approve Discharge of Roberto Nicastro (Supervisory Board Member) Management For For
12.7f Approve Discharge of Alessandro Decio (Supervisory Board Member) Management For For
12.7g Approve Discharge of Leszek Pawlowicz (Supervisory Board Member) Management For For
12.7h Approve Discharge of Pawel Dangel (Supervisory Board Member) Management For For
12.7i Approve Discharge of Laura Penna (Supervisory Board Member) Management For For
12.7j Approve Discharge of Wioletta Rosolowska (Supervisory Board Member) Management For For
12.7k Approve Discharge of Doris Tomanek (Supervisory Board Member) Management For For
12.7l Approve Discharge of Enrico Pavoni (Supervisory Board Member) Management For For
12.8a Approve Discharge of Luigi Lovaglio (CEO) Management For For
12.8b Approve Discharge of Diego Biondo (Deputy CEO) Management For For
12.8c Approve Discharge of Marco Iannaccone (Deputy CEO) Management For For
12.8d Approve Discharge of Andrzej Kopyrski (Deputy CEO) Management For For
12.8e Approve Discharge of Grzegorz Piwowar (Deputy CEO) Management For For
12.8f Approve Discharge of Marian Wazynski (Deputy CEO) Management For For
13 Elect Supervisory Board Member Management For For
14 Ratify Auditor Management For For
15 Amend Statute Management For For
16 Authorize Supervisory Board to Approve Consolidated Text of Statute Management For For
17 Receive Report of Polish Financial Supervision Authority Concerning-Guidelines of Non-Voting
European Banking Authority on Assessment of Suitability of-Management Board
Members and Key Governing Bodies
18 Close Meeting Non-Voting
CMMT PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING. IF Non-Voting
YOU HAVE AL-READY SENT IN YOUR VOTES, PLEASE DO NOT RETURN THIS
PROXY FORM UNLESS YOU DECI-DE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU.
INFOSYS TECHNOLOGIES LIMITED
Security 456788108 Meeting Type Annual
Ticker Symbol INFY Meeting Date 15-Jun-2013
ISIN US4567881085 Agenda 933827149 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------- ----------- ---- -----------
O1. TO RECEIVE, CONSIDER AND ADOPT THE BALANCE SHEET AS AT Management For
MARCH 31, 2013, THE STATEMENT OF THE PROFIT AND LOSS ACCOUNT
FOR THE YEAR ENDED ON THAT DATE AND THE REPORT OF THE
DIRECTORS AND AUDITORS THEREON.
O2. TO DECLARE THE FINAL DIVIDEND FOR THE FINANCIAL YEAR ENDED Management For
MARCH 31, 2013.
O3. TO APPOINT A DIRECTOR IN PLACE OF S.D. SHIBULAL, WHO RETIRES Management For
BY ROTATION AND, BEING ELIGIBLE, SEEKS RE- APPOINTMENT.
O4. TO APPOINT A DIRECTOR IN PLACE OF SRINATH BATNI, WHO RETIRES Management For
BY ROTATION AND, BEING ELIGIBLE, SEEKS RE- APPOINTMENT.
O5. TO APPOINT A DIRECTOR IN PLACE OF DEEPAK M. SATWALEKAR, Management For
WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, SEEKS RE-
APPOINTMENT.
O6. TO APPOINT A DIRECTOR IN PLACE OF DR. OMKAR GOSWAMI, WHO Management For
RETIRES BY ROTATION AND, BEING ELIGIBLE, SEEKS RE-
APPOINTMENT.
O7. TO APPOINT A DIRECTOR IN PLACE OF R. SESHASAYEE, WHO RETIRES Management For
BY ROTATION AND, BEING ELIGIBLE, SEEKS RE- APPOINTMENT.
O8. TO APPOINT AUDITORS TO HOLD OFFICE FROM THE CONCLUSION OF Management For
THIS AGM UNTIL THE CONCLUSION OF THE NEXT AGM AND TO FIX
THEIR REMUNERATION AND TO PASS THE FOLLOWING RESOLUTION
THEREOF.
S9. TO APPOINT LEO PURI AS DIRECTOR, LIABLE TO RETIRE BY Management For
ROTATION .
BEIJING ENTERPRISES HOLDINGS LTD
Security Y07702122 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 19-Jun-2013
ISIN HK0392044647 Agenda 704510177 - Management
For/Against
Item Proposal Type Vote Management
---- -------------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF Non-Voting
"ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION"
VOTE.
CMMT PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE Non-Voting
AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www.hkexnews.hk/
listedco/listconews/sehk/ 2013/0516/LTN20130516011.pdf- http://
www.hkexnews.hk/listedco/listconews/sehk/ 2013/0516/LTN20130516009.pdf
1 To receive the Audited Consolidated Financial Statements and Reports of the Management For For
Directors and of the Auditors for the year ended 31 December 2012
2 To declare a final dividend Management For For
3.1 To re-elect Mr. Wang Dong as Director Management For For
3.2 To re-elect Mr. Lei Zhengang as Director Management For For
3.3 To re-elect Mr. Jiang Xinhao as Director Management For For
3.4 To re-elect Mr. Wu Jiesi as Director Management For For
3.5 To re-elect Mr. Lam Hoi Ham as Director Management For For
3.6 To re-elect Mr. Sze Chi Ching as Director Management For For
3.7 To re-elect Mr. Shi Hanmin as Director Management For For
3.8 To authorise the Board of Directors to fix Director's remuneration Management For For
4 To re-appoint Messrs. Ernst & Young as Auditors and to authorise the Board of Management For For
Directors to fix their remuneration
5 To give a general mandate to the Directors to purchase shares not exceeding 10% Management For For
of the existing issued share capital of the Company on the date of this Resolution
6 To give a general mandate to the Directors to issue, allot and deal with additional Management For For
shares not exceeding 20% of the existing issued share capital of the Company on
the date of this Resolution
7 To extend the general mandate granted to the Directors to issue shares in the capital Management For For
of the Company by the number of shares repurchased
TAIWAN HON CHUAN ENTERPRISE CO LTD
Security Y8421M108 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 19-Jun-2013
ISIN TW0009939009 Agenda 704534280 - Management
For/Against
Item Proposal Type Vote Management
---- ----------------------------------------------------------------------------------- ----------- ---- -----------
CMMT PLEASE NOTE THAT IN CASES WHERE THE CLIENT INSTRUCTS US TO Non-Voting
VOTE AGAINST ANY-PROPOSAL TO BE DISCUSSED AT A
SHAREHOLDERS MEETING AND THE VOTING WITH-RESPECT TO SUCH
PROPOSAL IS DONE BY BALLOT, WE OR OUR DESIGNEE WILL FILL
OUT-THE BALLOT IN RESPECT OF SUCH PROPOSAL IN ACCORDANCE
WITH THE CLIENTS-INSTRUCTIONS. HOWEVER, IF THE VOTING AT THE
SHAREHOLDERS MEETING IS DONE BY-ACCLAMATION, WE/OUR
DESIGNEE WILL NOT TAKE ANY ACTION IN RESPECT OF THE-
RELEVANT PROPOSAL. THANK YOU
A1 The 2012 business operations Non-Voting
A2 The 2012 audited reports Non-Voting
A3 The status of local unsecured convertible corporate bonds Non-Voting
A4 The adoption of IFRS for the adjustment of profit distribution and special-reserve Non-Voting
B1 The 2012 business reports and financial statements Management For For
B2 The 2012 profit distribution. proposed cash dividend: TWD3 per share Management For For
B3 The revision to the articles of incorporation Management For For
B4 The revision to the rules of shareholder meeting Management For For
B5 The revision to the procedures of monetary loans Management For For
B6 The revision to the procedures of endorsement and guarantee Management For For
B7 The status of cash injection via new shares or Global Depository Receipt Management For For
B8 Extraordinary motions Management For Against
AJINOMOTO CO.,INC.
Security J00882126 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 27-Jun-2013
ISIN JP3119600009 Agenda 704573434 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------ ----------- ---- -----------
Please reference meeting materials. Non-Voting
1 Approve Appropriation of Surplus Management For For
2.1 Appoint a Director Management For For
2.2 Appoint a Director Management For For
2.3 Appoint a Director Management For For
2.4 Appoint a Director Management For For
2.5 Appoint a Director Management For For
2.6 Appoint a Director Management For For
2.7 Appoint a Director Management For For
2.8 Appoint a Director Management For For
2.9 Appoint a Director Management For For
2.10 Appoint a Director Management For For
2.11 Appoint a Director Management For For
2.12 Appoint a Director Management For For
2.13 Appoint a Director Management For For
2.14 Appoint a Director Management For For
2.15 Appoint a Director Management For For
PGE POLSKA GRUPA ENERGETYCZNA S.A., WARSZAWA
Security X6447Z104 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 27-Jun-2013
ISIN PLPGER000010 Agenda 704606308 - Management
For/Against
Item Proposal Type Vote Management
---- ------------------------------------------------------------------------------------ ----------- ---- -----------
CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 206380 Non-Voting
DUE TO ADDITION OF-RESOLUTION. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED AND-YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL Non-Voting
OWNER SIGNED POWER OF AT-TORNEY (POA) IS REQUIRED IN ORDER
TO LODGE AND EXECUTE YOUR VOTING INSTRUCTION-S IN THIS
MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO
BE REJECTED-. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT
YOUR CLIENT SERVICE REPRESENTATIVE
1 Opening of the meeting Management For For
2 Election of the chairman Management For For
3 The ascertainment of the correctness of convening the meeting and its capability of Management For For
adopting binding resolutions
4 Adoption of the agenda Management For For
5 Adoption of a decision not to elect the returning committee Management For For
6 The announcement of the results of recruitment procedure related to the selection Management For For
of a member of management board of PGE Polska Grupa Energetyczna SA
7 Consideration of IFRS consistent standalone financial statements for the year 2012 Management For For
and adoption of a resolution concerning its approval
8 Consideration of management board report on the activities of the company for Management For For
2012 and adoption of a resolution concerning its approval
9 Consideration of the IFRS consistent consolidated financial statements of the capital group Management For For
of PGE Polska Grupa Energetyczna for 2012 and the adoption of resolution concerning its
approval
10 Consideration of management boar d report on the activities of capital group for 2012 and Management For For
adoption of a resolution concerning its approval
11 Adoption of a resolution concerning the distribution of net profit for 2012 and the Management For For
allocation of a part of a supplementary capital for dividend payment as well as the
determination of dividend record date and dividend payment date
12 Adoption of resolutions concerning the granting of discharge to the members of Management For For
management board and supervisory board
13 Adoption of a resolution concerning the determination of number of supervisory board Management For For
members
14 Adoption of resolutions concerning changes in the supervisory board Management For For
15 Adoption of resolution on changes to the company's statute text Management For For
16 Adoption of resolutions concerning the merger PGE Polska Grupa Energetyczna and PGE Management For For
Energia Jadrowa giving consent to the merger plan and giving consent to the changes in the
company statutes of Pge Polska Grupa Energetyczna as well as the authorisation of
supervisory board to determine the consolidated text of statutes of PGE Polska Grupa
Energetyczna
17 The closing of the meeting Management For For
VULCAN VALUE PARTNERS FUND
Vote Summary
INTERCONTINENTAL HOTELS GROUP PLC
Security 45857P301 Meeting Type Annual
Ticker Symbol IHG Meeting Date 08-Oct-2012
ISIN US45857P3010 Agenda 933689765 - Management
Record Date 14-Sep-2012 Holding Recon Date 14-Sep-2012
City / Country / United States Vote Deadline Date 03-Oct-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- -------------------------------------------- ----------- ---- ----------- ------------------
1 Amend Articles/Charter to Reflect Changes in Management For For For
Capital
2 Stock Repurchase Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ----------- ------------
000358610 VULCAN 358610 BNY MELLON 507,074 0 21-Sep-2012 21-Sep-2012
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 1 of 25 19-Jul-2013
Vote Summary
PARKER-HANNIFIN CORPORATION
Security 701094104 Meeting Type Annual
Ticker Symbol PH Meeting Date 24-Oct-2012
ISIN US7010941042 Agenda 933691683 - Management
Record Date 31-Aug-2012 Holding Recon Date 31-Aug-2012
City/ Country / United States Vote Deadline Date 23-Oct-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 ROBERT G. BOHN For For For
2 LINDA S. HARTY For For For
3 WILLIAM E. KASSLING For For For
4 ROBERT J. KOHLHEPP For For For
5 KLAUS-PETERMULLER For For For
6 CANDY M. OBOURN For For For
7 JOSEPH M. SCAMINACE For For For
8 WOLFGANG R. SCHMITT For For For
9 AKE SVENSSON For For For
10 JAMES L. WAINSCOTT For For For
11 DONALD E. WASHKEWICZ For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Adopt Omnibus Stock Option Plan Management For For Against
5. S/H Proposal - Establish Independent Chairman Shareholder Against For For
Account Account Internal Unavailable Vote Date
Number Name Account Custodian Ballot Shares Shares Date Confirmed
------- --------- -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 136,180 0 10-Oct-2012 10-Oct-2012
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 2 of 25 19-Jul-2013
Vote Summary
ORACLE CORPORATION
Security 68389X105 Meeting Type Annual
Ticker Symbol ORCL Meeting Date 07-Nov-2012
ISIN US68389X1054 Agenda 933690302 - Management
Record Date 10-Sep-2012 Holding Recon Date 10-Sep-2012
City/ Country / United States Vote Deadline Date 06-Nov-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- --------------------------------------------- ------------ -------- ----------- ------------------
1 Election of Directors Management
1 JEFFREY S. BERG For For For
2 H. RAYMOND BINGHAM For For For
3 MICHAEL J. BOSKIN For For For
4 SAFRA A. CATZ For For For
5 BRUCE R. CHIZEN For For For
6 GEORGE H. CONRADES For For For
7 LAWRENCE J. ELLISON For For For
8 HECTOR GARCIA-MOLINA For For For
9 JEFFREY O. HENLEY For For For
10 MARK V. HURD For For For
11 DONALD L. LUCAS For For For
12 NAOMI O. SELIGMAN For For For
2 14 A Executive Compensation Management For For Against
3 Amend Stock Compensation Plan Management For For For
4 Ratify Appointment of Independent Auditors Management For For For
5 S/H Proposal - Corporate Governance Shareholder Against For For
6 S/H Proposal - Establish Independent Chairman Shareholder Against For For
7 S/H Proposal - Corporate Governance Shareholder Against For Against
8 S/H Proposal - Corporate Governance Shareholder Against For For
Account Internal Unavailable Date
Number Account Name Account Custodian Ballot Shares Shares Vote Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ----------- -----------
000358610 VULCAN 358610 BNY MELLON 355,091 0 30-Oct-2012 30-Oct-2012
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 3 of 25 19-Jul-2013
Vote Summary
CISCO SYSTEMS, INC.
Security 17275R102 Meeting Type Annual
Ticker Symbol CSCO Meeting Date 15-Nov-2012
ISIN US17275R1023 Agenda 933691708 - Management
Record Date 17-Sep-2012 Holding Recon Date 17-Sep-2012
City/ Country / United States Vote Deadline Date 14-Nov-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
1M. Election of Directors (Majority Voting) Management For For For
2. Amend Stock Compensation Plan Management For For For
3. 14A Executive Compensation Management For For For
4. Ratify Appointment of Independent Auditors Management For For For
5. S/H Proposal - Establish Independent Chairman Shareholder Against For For
6. S/H Proposal - Environmental Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 677,931 0 31-Oct-2012 31-Oct-2012
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 4 of 25 19-Jul-2013
Vote Summary
MICROSOFT CORPORATION
Security 594918104 Meeting Type Annual
Ticker Symbol MSFT Meeting Date 28-Nov-2012
ISIN US5949181045 Agenda 933691784 - Management
Record Date 14-Sep-2012 Holding Recon Date 14-Sep-2012
City/ Country / United States Vote Deadline Date 27-Nov-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors (Majority Voting) Management For For For
2. Election of Directors (Majority Voting) Management For For For
3. Election of Directors (Majority Voting) Management For For For
4. Election of Directors (Majority Voting) Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. 14A Executive Compensation Management For For For
11. Adopt Employee Stock Purchase Plan Management For For For
12. Ratify Appointment of independent Auditors Management For For For
13. S/H Proposal - Adopt Cumulative Voting Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 423,131 0 05-Nov-2012 05-Nov-2012
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 5 of 25 19-Jul-2013
Vote Summary
VISA INC.
Security 92826C839 Meeting Type Annual
Ticker Symbol V Meeting Date 30-Jan-2013
ISIN US92826C8394 Agenda 933718895 - Management
Record Date 04-Dec-2012 Holding Recon Date 04-Dec-2012
City/ Country / United States Vote Deadline Date 29-Jan-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of independent Auditors Management For For For
4. S/H Proposal - Political/Government Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 65,601 0 15-Jan-2013 15-Jan-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 6 of 25 19-Jul-2013
Vote Summary
APPLE INC.
Security 037833100 Meeting Type Annual
Ticker Symbol AAPL Meeting Date 27-Feb-2013
ISIN US0378331005 Agenda 933725042 - Management
Record Date 02-Jan-2013 Holding Recon Date 02-Jan-2013
City/ Country / United States Vote Deadline Date 26-Feb-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 WILLIAM CAMPBELL For For For
2 TIMOTHY COOK For For For
3 MILLARD DREXLER For For For
4 AL GORE For For For
5 ROBERT IGER For For For
6 ANDREA JUNG For For For
7 ARTHUR LEVINSON For For For
8 RONALD SUGAR For For For
2. Approve Charter Amendment Management For For For
3. Ratify Appointment of independent Auditors Management For For For
4. 14A Executive Compensation Management For For For
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Comments-The Company has share ownership and compensation guidelines that sufficiently encourage long-term
focus and help align executive and shareholder inter
6. S/H Proposal - Human Rights Related Shareholder Against For Against
Coments-This is a binding resolution and its terms may be overly prescriptive; While we would prefer to see
board oversight of this issue, we do not believe t
Account Account Internal Unavailable Vote
Number Name Account Custodian Ballot Shares Shares Date Date Confirmed
------- --------- -------- ----------- ------------- ----------- ------------ --------------
000358610 VULCAN 358610 BNY MELLON 41,616 0 13-Feb-2013 13-Feb-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 7 of 25 19-Jul-2013
Vote Summary
THE WALT DISNEY COMPANY
Security 254687106 Meeting Type Annual
Ticker Symbol DIS Meeting Date 06-Mar-2013
ISIN US2546871060 Agenda 933727109 - Management
Record Date 07-Jan-2013 Holding Recon Date 07-Jan-2013
City/ Country / United States Vote Deadline Date 05-Mar-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. Approve Stock Compensation Plan Management For For Against
4. 14A Executive Compensation Management For For Against
5. S/H Proposal - Access To Proxy Shareholder Against For For
6. S/H Proposal - Separate Chairman/Coe Shareholder Against For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 322,138 0 04-Mar-2013 04-Mar-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 8 of 25 19-Jul-2013
Vote Summary
FRANKLIN RESOURCES, INC.
Security 354813101 Meeting Type Annual
Ticker Symbol BEN Meeting Date 13-Mar-2013
ISIN US3546131018 Agenda 933728947 - Management
Record Date 16-Jan-2013 Holding Recon Date 16-Jan-2013
City/ Country / United States Vote Deadline Date 12-Mar-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. S/H Proposal - Corporate Governance Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 137,389 0 26-Feb-2013 26-Feb-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 9 of 25 19-Jul-2013
Vote Summary
THE BANK OF NEW YORK MELLON CORPORATION
Security 064058100 Meeting Type Annual
Ticker Symbol BK Meeting Date 09-Apr-2013
ISIN US0640581007 Agenda 933746262 - Management
Record Date 11-Feb-2013 Holding Recon Date 11-Feb-2013
City/ Country / United States Vote Deadline Date 08-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 726,147 0 25-Mar-2013 25-Mar-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 10 of 25 19-Jul-2013
Vote Summary
THE COCA-COLA COMPANY
Security 191216100 Meeting Type Annual
Ticker Symbol KO Meeting Date 24-Apr-2013
ISIN US1912161007 Agenda 933739596 - Management
Record Date 25-Feb-2013 Holding Recon Date 25-Feb-2013
City/ Country / United States Vote Deadline Date 23-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
1M. Election of Directors (Majority Voting) Management For For For
1N. Election of Directors (Majority Voting) Management For For For
1O. Election of Directors (Majority Voting) Management For For For
1P. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Charter Amendment Management For For For
5. S/H Proposal - Human Rights Related Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 419,920 0 04-Apr-2013 04-Apr-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 11 of 25 19-Jul-2013
Vote Summary
UNITED TECHNOLOGIES CORPORATION
Security 913017109 Meeting Type Annual
Ticker Symbol UTX Meeting Date 29-Apr-2013
ISIN US9130171096 Agenda 933743684 - Management
Record Date 01-Mar-2013 Holding Recon Date 01-Mar-2013
City/ Country / United States Vote Deadline Date 26-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 170,414 0 24-Apr-2013 24-Apr-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 12 of 25 19-Jul-2013
Vote Summary
THE CHUBB CORPORATION
Security 171232101 Meeting Type Annual
Ticker Symbol CB Meeting Date 30-Apr-2013
ISIN US1712321017 Agenda 933747430 - Management
Record Date 04-Mar-2013 Holding Recon Date 04-Mar-2013
City/ Country / United States Vote Deadline Date 29-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A) Election of Directors (Majority Voting) Management For For For
1B) Election of Directors (Majority Voting) Management For For For
1C) Election of Directors (Majority Voting) Management For For For
1D) Election of Directors (Majority Voting) Management For For For
1E) Election of Directors (Majority Voting) Management For For For
1F) Election of Directors (Majority Voting) Management For For For
1G) Election of Directors (Majority Voting) Management For For For
1H) Election of Directors (Majority Voting) Management For For For
1I) Election of Directors (Majority Voting) Management For For For
1J) Election of Directors (Majority Voting) Management For For For
1K) Election of Directors (Majority Voting) Management For For For
1L) Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. S/H Proposal - Political/Government Shareholder Against For Against
5. S/H Proposal - Corporate Governance Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 151,392 0 25-Apr-2013 25-Apr-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 13 of 25 19-Jul-2013
Vote Summary
DOVER CORPORATION
Security 260003108 Meeting Type Annual
Ticker Symbol DOV Meeting Date 02-May-2013
ISIN US2600031080 Agenda 933749131 - Management
Record Date 06-Mar-2013 Holding Recon 06-Mar-2013
Date
City/ Country / United States Vote Deadline 01-May-2013
Date
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
1M. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. S/H Proposal - Simple Majority Voting Shareholder Against For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 272,251 0 01-May-2013 01-May-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 14 of 25 19-Jul-2013
Vote Summary
UNILEVER N.V.
Security 904784709 Meeting Type Annual
Ticker Symbol UN Meeting Date 15-May-2013
ISIN US9047847093 Agenda 933776253 - Management
Record Date 25-Mar-2013 Holding Recon 25-Mar-2013
Date
City/ Country / United States Vote Deadline 07-May-2013
Date
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
2. Receive Consolidated Financial Statements Management For For For
3. Approve Charter Amendment Management For For For
4. Approve Charter Amendment Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. Election of Directors (Majority Voting) Management For For For
11. Election of Directors (Majority Voting) Management For For For
12. Election of Directors (Majority Voting) Management For For For
13. Election of Directors (Majority Voting) Management For For For
14. Election of Directors (Majority Voting) Management For For For
15. Election of Directors (Majority Voting) Management For For For
16. Election of Directors (Majority Voting) Management For For For
17. Election of Directors (Majority Voting) Management For For For
18. Election of Directors (Majority Voting) Management For For For
19. Ratify Appointment of Independent Auditors Management For For For
20. Authorize Common Stock Increase Management For For For
21. Authorize Common Stock Increase Management For For For
22. Authorize Common Stock Increase Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 114,985 0 24-Apr-2013 24-Apr-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 15 of 25 19-Jul-2013
Vote Summary
EVEREST RE GROUP, LTD.
Security G3223R108 Meeting Type Annual
Ticker Symbol RE Meeting Date 15-May-2013
ISIN BMG3223R1088 Agenda 933781886 - Management
Record Date 20-Mar-2013 Holding Recon 20-Mar-2013
Date
City/ Country / United States Vote Deadline 14-May-2013
Date
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 DOMINIC J. ADDESSO For For For
2 JOHN J. AMORE For For For
3 JOHN R. DUNNE For For For
4 JOSEPH V. TARANTO For For For
5 JOHN A. WEBER For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 163,520 0 14-May-2013 14-May-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 16 of 25 19-Jul-2013
Vote Summary
UNILEVER N.V.
Security 904784709 Meeting Type Annual
Ticker Symbol UN Meeting Date 15-May-2013
ISIN US9047847093 Agenda 933802729 - Management
Record Date 17-Apr-2013 Holding Recon Date 17-Apr-2013
City/ Country / United States Vote Deadline Date 07-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
2. Receive Consolidated Financial Statements Management For For For
3. Approve Charter Amendment Management For For For
4. Approve Charter Amendment Management For For For
5. Election of Directors (Majority Voting) Management For For For
6. Election of Directors (Majority Voting) Management For For For
7. Election of Directors (Majority Voting) Management For For For
8. Election of Directors (Majority Voting) Management For For For
9. Election of Directors (Majority Voting) Management For For For
10. Election of Directors (Majority Voting) Management For For For
11. Election of Directors (Majority Voting) Management For For For
12. Election of Directors (Majority Voting) Management For For For
13. Election of Directors (Majority Voting) Management For For For
14. Election of Directors (Majority Voting) Management For For For
15. Election of Directors (Majority Voting) Management For For For
16. Election of Directors (Majority Voting) Management For For For
17. Election of Directors (Majority Voting) Management For For For
18. Election of Directors (Majority Voting) Management For For For
19. Ratify Appointment of Independent Auditors Management For For For
20. Authorize Common Stock Increase Management For For For
21. Authorize Common Stock Increase Management For For For
22. Authorize Common Stock Increase Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 114,985 0 07-May-2013 08-May-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 17 of 25 19-Jul-2013
Vote Summary
THE NASDAQ OMX GROUP, INC.
Security 631103108 Meeting Type Annual
Ticker Symbol NDAQ Meeting Date 22-May-2013
ISIN US6311031081 Agenda 933781595 - Management
Record Date 02-Apr-2013 Holding Recon Date 02-Apr-2013
City/ Country / United States Vote Deadline Date 21-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Adopt Supermajority Requirements Management For For For
5. Approve Charter Amendment Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 519,405 0 20-May-2013 20-May-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 18 of 25 19-Jul-2013
Vote Summary
CME GROUP INC.
Security 12572Q105 Meeting Type Annual
Ticker Symbol CME Meeting Date 22-May-2013
ISIN US12572Q1058 Agenda 933784781 - Management
Record Date 27-Mar-2013 Holding Recon Date 27-Mar-2013
City/ Country / United States Vote Deadline Date 21-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 TERRENCE A. DUFFY For For For
2 CHARLES P. CAREY For For For
3 MARK E. CERMAK For For For
4 MARTIN J. GEPSMAN For For For
5 LEO MELAMED For For For
6 JOSEPH NICIFORO For For For
7 C.C. ODOM II For For For
8 JOHN F. SANDNER For For For
9 DENNIS A. SUSKIND For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. S/H Proposal - Corporate Governance Shareholder Against For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 367,895 0 20-May-2013 20-May-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 19 of 25 19-Jul-2013
Vote Summary
TIME WARNER INC.
Security 887317303 Meeting Type Annual
Ticker Symbol TWX Meeting Date 23-May-2013
ISIN US8873173038 Agenda 933774956 - Management
Record Date 25-Mar-2013 Holding Recon Date 25-Mar-2013
City/ Country / United States Vote Deadline Date 22-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 252,735 0 21-May-2013 21-May-2013
VALUE
PARTNERS
FUND
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Page 20 of 25 19-Jul-2013
Vote Summary
INTERCONTINENTAL HOTELS GROUP PLC
Security 45857P400 Meeting Type Annual
Ticker Symbol IHG Meeting Date 24-May-2013
ISIN US45857P4000 Agenda 933776265 - Management
Record Date 28-Mar-2013 Holding Recon Date 28-Mar-2013
City/ Country / United States Vote Deadline Date 16-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ---------------------------------------------------------- ----------- ---- ----------- ------------------
1. Receive Consolidated Financial Statements Management For For For
2. Approve Remuneration of Directors and Auditors Management For For For
3. Approve Allocation of Dividends on Shares Held By Company Management For For For
4A. Election of Directors (Majority Voting) Management For For For
4B. Election of Directors (Majority Voting) Management For For For
4C. Election of Directors (Majority Voting) Management For For For
4D. Election of Directors (Majority Voting) Management For For For
4E. Election of Directors (Majority Voting) Management For For For
4F. Election of Directors (Majority Voting) Management For For For
4G. Election of Directors (Majority Voting) Management For For For
4H. Election of Directors (Majority Voting) Management For For For
4I. Election of Directors (Majority Voting) Management For For For
4J. Election of Directors (Majority Voting) Management For For For
4K. Election of Directors (Majority Voting) Management For For For
5. Ratify Appointment of Independent Auditors Management For For For
6. Approve Remuneration of Directors and Auditors Management For For For
7. Miscellaneous Corporate Actions Management For For For
8. Allot Securities Management For For For
9. Eliminate Pre-Emptive Rights Management For For For
10. Stock Repurchase Plan Management For For For
11. Miscellaneous Corporate Actions Management For For Against
Comments-Shortened notice period could disenfranchise shareholders
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 723,502 0 14-May-2013 14-May-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 21 of 25 19-Jul-2013
Vote Summary
GOOGLE INC.
Security 38259P508 Meeting Type Annual
Ticker Symbol GOOG Meeting Date 06-Jun-2013
ISIN US38259P5089 Agenda 933801905 - Management
Record Date 08-Apr-2013 Holding Recon Date 08-Apr-2013
City/ Country / United States Vote Deadline Date 05-Jun-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1. Election of Directors Management
1 LARRY PAGE For For For
2 SERGEY BRIN For For For
3 ERIC E. SCHMIDT For For For
4 L. JOHN DOERR For For For
5 DIANE B. GREENE For For For
6 JOHN L. HENNESSY For For For
7 ANN MATHER For For For
8 PAUL S. OTELLINI For For For
9 K. RAM SHRIRAM For For For
10 SHIRLEY M. TILGHMAN For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. S/H Proposal - Environmental Shareholder Against For Against
4. S/H Proposal - Corporate Governance Shareholder Against For For
5. S/H Proposal - Executive Compensation Shareholder Against For Against
6. S/H Proposal - Board Compensation Shareholder Against For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 22,014 0 05-Jun-2013 05-Jun-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 22 of 25 19-Jul-2013
Vote Summary
MASTERCARD INCORPORATED
Security 57636Q104 Meeting Type Annual
Ticker Symbol MA Meeting Date 18-Jun-2013
ISIN US57636Q1040 Agenda 933809761 - Management
Record Date 19-Apr-2013 Holding Recon Date 19-Apr-2013
City/ Country / United States Vote Deadline Date 17-Jun-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 36,505 0 17-Jun-2013 17-Jun-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 23 of 25 19-Jul-2013
Vote Summary
CHECK POINT SOFTWARE TECHNOLOGIES LTD.
Security M22465104 Meeting Type Annual
Ticker Symbol CHKP Meeting Date 25-Jun-2013
ISIN IL0010824113 Agenda 933837695 - Management
Record Date 17-May-2013 Holding Recon Date 17-May-2013
City/ Country / United States Vote Deadline Date 24-Jun-2013
SEDOL(s) Quick Code
Preferred
For/Against Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---------- ----------- --------------
1. Election of Directors (Full Slate) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. 14A Executive Compensation Management For For For
5A. Miscellaneous Corporate Actions Management No Action Case By Case
5B. Miscellaneous Corporate Actions Management No Action Case By Case
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358610 VULCAN 358610 BNY MELLON 391,900 0 24-Jun-2013 24-Jun-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 24 of 25 19-Jul-2013
Vote Summary
TESCO PLC, CHESHUNT
Security G87621101 Meeting Type Annual General Meeting
Ticker Symbol Meeting Date 28-Jun-2013
ISIN GB0008847096 Agenda 704532767 - Management
Record Date Holding Recon Date 26-Jun-2013
City/ Country LONDON / United Vote Deadline Date 20-Jun-2013
Kingdom
SEDOL(s) 0884709 - 5469491 - Quick Code
5474860 - B02S3J1
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- -------------------- ----------- ---- ----------- ------------------
1 Management Proposal Management For For For
2 Management Proposal Management For For For
3 Management Proposal Management For For For
4 Management Proposal Management For For For
5 Management Proposal Management For For For
6 Management Proposal Management For For For
7 Management Proposal Management For For For
8 Management Proposal Management For For For
9 Management Proposal Management For For For
10 Management Proposal Management For For For
11 Management Proposal Management For For For
12 Management Proposal Management For For For
13 Management Proposal Management For For For
14 Management Proposal Management For For For
15 Management Proposal Management For For For
16 Management Proposal Management For For For
17 Management Proposal Management For For For
18 Management Proposal Management For For For
19 Management Proposal Management For For For
20 Management Proposal Management For For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
358610 VULCAN 358610 BNY MELLON 4,348,683 0 19-Jun-2013 26-Jun-2013
VALUE
PARTNERS
FUND
------------------------------------------------------------------------------
Page 25 of 25 19-Jul-2013
VULCAN VALUE PARTNERS SMALL CAP FUND
Vote Summary
TOWERS WATSON & CO
Security 891894107 Meeting Type Annual
Ticker Symbol TW Meeting Date 16-Nov-2012
ISIN US8918941076 Agenda 933692332 - Management
Record Date 18-Sep-2012 Holding Recon 18-Sep-2012
Date
City/ Country / United States Vote Deadline 15-Nov-2012
Date
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 77,031 0 31-Oct-2012 31-Oct-2012
VALUE
PARTNERS
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Page 1 of 25 19-Jul-2013
Vote Summary
DONALDSON COMPANY, INC.
Security 257651109 Meeting Type Annual
Ticker Symbol DCI Meeting Date 16-Nov-2012
ISIN US2576511099 Agenda 933692750 - Management
Record Date 19-Sep-2012 Holding Recon Date 19-Sep-2012
City/ Country / United States Vote Deadline Date 15-Nov-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 WILLIAM M. COOK For For For
2 PAUL DAVID MILLER For For For
2. Ratify Appointment of independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 72,128 0 01-Nov-2012 01-Nov-2012
VALUE
PARTNERS
SMALL
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FUND
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Page 2 of 25 19-Jul-2013
Vote Summary
KMG CHEMICALS, INC.
Security 482564101 Meeting Type Annual
Ticker Symbol KMG Meeting Date 04-Dec-2012
ISIN US4825641016 Agenda 933704721 - Management
Record Date 26-Oct-2012 Holding Recon Date 26-Oct-2012
City/ Country / United States Vote Deadline Date 03-Dec-2012
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 J. NEAL BUTLER For For For
2 GERALD G. ERMENTROUT For For For
3 CHRISTOPHER T. FRASER For For For
4 GEORGE W. GILMAN For For For
5 JOHN C. HUNTER, III For For For
6 FRED C. LEONARD, III For For For
7 STEPHEN A. THORINGTON For For For
8 KAREN A. TWITCHELL For For For
9 RICHARD L. URBANOWSKI For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 318,854 0 13-Nov-2012 13-Nov-2012
VALUE
PARTNERS
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Page 3 of 25 19-Jul-2013
Vote Summary
ITURAN LOCATION AND CONTROL LTD.
Security M6158M104 Meeting Type Annual
Ticker Symbol ITRN Meeting Date 06-Dec-2012
ISIN IL0010818685 Agenda 933706927 - Management
Record Date 01-Nov-2012 Holding 01-Nov-2012
Recon Date
City/ Country / Iran (Islamic Vote Deadline Date 05-Dec-2012
Republic of)
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Ratify Appointment of Independent Auditors Management For For For
2. Election of Directors (Majority Voting) Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 337,142 0 17-Nov-2012 17-Nov-2012
VALUE
PARTNERS
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FUND
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Page 4 of 25 19-Jul-2013
Vote Summary
SONIC CORP.
Security 835451105 Meeting Type Annual
Ticker Symbol SONC Meeting Date 17-Jan-2013
ISIN US8354511052 Agenda 933715041 - Management
Record Date 19-Nov-2012 Holding Recon Date 19-Nov-2012
City/ Country / United States Vote Deadline Date 16-Jan-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 CLIFFORD HUDSON For For For
2 FEDERICO F. PENA For For For
3 ROBERT M. ROSENBERG For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 367,963 0 17-Dec-2012 18-Dec-2012
VALUE
PARTNERS
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Page 5 of 25 19-Jul-2013
Vote Summary
FAIR ISAAC CORPORATION
Security 303250104 Meeting Type Annual
Ticker Symbol FICO Meeting Date 12-Feb-2013
ISIN US3032501047 Agenda 933722717 - Management
Record Date 17-Dec-2012 Holding Recon Date 17-Dec-2012
City/ Country / United States Vote Deadline Date 11-Feb-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 151,024 0 23-Jan-2013 23-Jan-2013
VALUE
PARTNERS
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Page 6 of 25 19-Jul-2013
Vote Summary
UNIVERSAL TECHNICAL INSTITUTE, INC.
Security 913915104 Meeting Type Annual
Ticker Symbol UTI Meeting Date 20-Feb-2012
ISIN US9139151040 Agenda 933724343 - Management
Record Date 27-Dec-2012 Holding Recon Date 27-Dec-2012
City/ Country / United States Vote Deadline Date 19-Feb-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 1,004,452 0 31-Jan-2013 31-Jan-2013
VALUE
PARTNERS
SMALL
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FUND
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Page 7 of 25 19-Jul-2013
Vote Summary
IDEX CORPORATION
Security 45167R104 Meeting Type Annual
Ticker Symbol IEX Meeting Date 09-Apr-2013
ISIN US45167R1041 Agenda 933741957 - Management
Record Date 15-Feb-2013 Holding Recon Date 15-Feb-2013
City/ Country / United States Vote Deadline Date 08-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 ERNEST J. MROZEK For For For
2 DAVID C. PARRY For For For
3 L.L. SATTERTHWAITE For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 124,764 0 16-Mar-2013 16-Mar-2013
VALUE
PARTNERS
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Page 8 of 25 19-Jul-2013
Vote Summary
JANUS CAPITAL GROUP INC.
Security 47102X105 Meeting Type Annual
Ticker Symbol JNS Meeting Date 25-Apr-2013
ISIN US47102X1054 Agenda 933746642 - Management
Record Date 01-Mar-2013 Holding Recon Date 01-Mar-2013
City/ Country / United States Vote Deadline Date 24-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For Against
4. Approve Stock Compensation Plan Management For For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 1,256,387 0 24-Apr-2013 24-Apr-2013
VALUE
PARTNERS
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Page 9 of 25 19-Jul-2013
Vote Summary
LINCOLN ELECTRIC HOLDINGS, INC.
Security 533900106 Meeting Type Annual
Ticker Symbol LECO Meeting Date 25-Apr-2013
ISIN US5339001068 Agenda 933756720 - Management
Record Date 04-Mar-2013 Holding Recon Date 04-Mar-2013
City/ Country / United States Vote Deadline Date 24-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 STEPHEN G. HANKS For For For
2 KATHRYN JO LINCOLN For For For
3 W.E. MACDONALD, III For For For
4 GEORGE H. WALLS, JR. For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 101,324 0 01-Apr-2013 01-Apr-2013
VALUE
PARTNERS
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FUND
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Page 10 of 25 19-Jul-2013
Vote Summary
ALTRA HOLDINGS, INC.
Security 02208R106 Meeting Type Annual
Ticker Symbol AIMC Meeting Date 25-Apr-2013
ISIN US02208R1068 Agenda 933757520 - Management
Record Date 12-Mar-2013 Holding Recon Date 12-Mar-2013
City/ Country / United States Vote Deadline Date 24-Apr-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 EDMUND M. CARPENTER For For For
2 CARL R. CHRISTENSON For For For
3 LYLE G. GANSKE For For For
4 MICHAEL L. HURT For For For
5 MICHAEL S. LIPSCOMB For For For
6 LARRY MCPHERSON For For For
7 JAMES H. WOODWARD JR. For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 188,026 0 31-Mar-2013 31-Mar-2013
VALUE
PARTNERS
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FUND
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Page 11 of 25 19-Jul-2013
Vote Summary
VALUECLICK, INC.
Security 92046N102 Meeting Type Annual
Ticker Symbol VCLK Meeting Date 07-May-2013
ISIN US92046N1028 Agenda 933756100 - Management
Record Date 11-Mar-2013 Holding Recon Date 11-Mar-2013
City/ Country / United States Vote Deadline Date 06-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- --------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 JAMES R. ZARLEY For For For
2 DAVID S. BUZBY For For For
3 MARTIN T. HART For For For
4 JEFFREY F. RAYPORT For For For
5 JAMES R. PETERS For For For
6 JAMES A. CROUTHAMEL For For For
7 JOHN GIULIANI For For For
2. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 557,580 0 02-May-2013 02-May-2013
VALUE
PARTNERS
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Page 12 of 25 19-Jul-2013
Vote Summary
THE DUN & BRADSTREET CORPORATION
Security 26483E100 Meeting Type Annual
Ticker Symbol DNB Meeting Date 08-May-2013
ISIN US26483E1001 Agenda 933754904 - Management
Record Date 12-Mar-2013 Holding Recon Date 12-Mar-2013
City/ Country / United States Vote Deadline Date 07-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Limit/Eliminate Written Consent Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 187,828 0 02-May-2013 02-May-2013
VALUE
PARTNERS
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Page 13 of 25 19-Jul-2013
Vote Summary
ENDURANCE SPECIALTY HOLDINGS LTD.
Security G30397106 Meeting Type Annual
Ticker Symbol ENH Meeting Date 08-May-2013
ISIN BMG303971060 Agenda 933761466 - Management
Record Date 07-Mar-2013 Holding Recon Date 07-Mar-2013
City/ Country / Bermuda Vote Deadline Date 07-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
1L. Election of Directors (Majority Voting) Management For For For
1M. Election of Directors (Majority Voting) Management For For For
1N. Election of Directors (Majority Voting) Management For For For
1O. Election of Directors (Majority Voting) Management For For For
1P. Election of Directors (Majority Voting) Management For For For
1Q. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Charter Amendment Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 300,202 0 07-May-2013 08-May-2013
VALUE
PARTNERS
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Page 14 of 25 19-Jul-2013
Vote Summary
HEARTLAND PAYMENT SYSTEMS, INC.
Security 42235N108 Meeting Type Annual
Ticker Symbol HPY Meeting Date 08-May-2013
ISIN US42235N1081 Agenda 933796267 - Management
Record Date 10-Apr-2013 Holding Recon Date 10-Apr-2013
City/ Country / United States Vote Deadline Date 07-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 ROBERT O. CARR For For For
2 MAUREEN BREAKIRON-EVANS For For For
3 MITCHELL L. HOLLIN For For For
4 ROBERT H. NIEHAUS For For For
5 MARC J. OSTRO, PH.D. For For Withheld
6 JONATHAN J. PALMER For For For
7 RICHARD W. VAGUE For For Withheld
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Date
Number Account Name Account Custodian Ballot Shares Shares Vote Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 552,297 0 07-May-2013 08-May-2013
VALUE
PARTNERS
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Page 15 of 25 19-Jul-2013
Vote Summary
CURTISS-WRIGHT CORPORATION
Security 231561101 Meeting Type Annual
Ticker Symbol CW Meeting Date 10-May-2013
ISIN US2315611010 Agenda 933759257 - Management
Record Date 15-Mar-2013 Holding Recon Date 15-Mar-2013
City/ Country / United States Vote Deadline Date 09-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 MARTIN R. BENANTE For For For
2 DEAN M. FLATT For For For
3 S. MARCE FULLER For For For
4 ALLEN A. KOZINSKI For For For
5 JOHN R. MYERS For For For
6 JOHN B. NATHMAN For For For
7 ROBERT J. RIVET For For For
8 WILLIAM W. SIHLER For For For
9 ALBERT E. SMITH For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 275,828 0 08-May-2013 08-May-2013
VALUE
PARTNERS
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Page 16 of 25 19-Jul-2013
Vote Summary
EVEREST RE GROUP, LTD.
Security G3223R108 Meeting Type Annual
Ticker Symbol RE Meeting Date 15-May-2013
ISIN BMG3223R1088 Agenda 933781886 - Management
Record Date 20-Mar-2013 Holding Recon Date 20-Mar-2013
City/ Country / United States Vote Deadline Date 14-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 DOMINIC J. ADDESSO For For For
2 JOHN J. AMORE For For For
3 JOHN R. DUNNE For For For
4 JOSEPH V. TARANTO For For For
5 JOHN A. WEBER For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 101,757 0 14-May-2013 14-May-2013
VALUE
PARTNERS
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Page 17 of 25 19-Jul-2013
Vote Summary
INTERVAL LEISURE GROUP INC
Security 46113M108 Meeting Type Annual
Ticker Symbol IILG Meeting Date 21-May-2013
ISIN US46113M1080 Agenda 933780620 - Management
Record Date 28-Mar-2013 Holding Recon Date 28-Mar-2013
City/ Country / United States Vote Deadline Date 20-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 CRAIG M. NASH For For For
2 DAVID FLOWERS For For For
3 VICTORIA L. FREED For For For
4 GARY S. HOWARD For For For
5 LEWIS J. KORMAN For For For
6 THOMAS J. KUHN For For For
7 THOMAS J. MCINERNEY For For For
8 THOMAS P. MURPHY, JR. For For For
9 AVY H. STEIN For For For
2. Approve Stock Compensation Plan Management For For For
3. Ratify Appointment of independent Auditors Management For For For
4. Transact Other Business Management For For Against
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 155,742 0 17-May-2013 17-May-2013
VALUE
PARTNERS
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Page 18 of 25 19-Jul-2013
Vote Summary
PROASSURANCE CORPORATION
Security 74267C106 Meeting Type Annual
Ticker Symbol PRA Meeting Date 22-May-2013
ISIN US74267C1062 Agenda 933764652 - Management
Record Date 22-Mar-2013 Holding Recon Date 22-Mar-2013
City/ Country / United States Vote Deadline Date 21-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1. Election of Directors Management
1 WILLIAM J. LISTWAN For For For
2 JOHN J. MCMAHON, JR. For For For
3 W. STANCIL STARNES For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. Approve Stock Compensation Plan Management For For For
4. Approve Stock Compensation Plan Management For For For
5. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 131,934 0 20-May-2013 21-May-2013
VALUE
PARTNERS
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Page 19 of 25 19-Jul-2013
Vote Summary
THE NASDAQ OMX GROUP, INC.
Security 631103108 Meeting Type Annual
Ticker Symbol NDAQ Meeting Date 22-May-2013
ISIN US6311031081 Agenda 933781595 - Management
Record Date 02-Apr-2013 Holding Recon Date 02-Apr-2013
City/ Country / United States Vote Deadline Date 21-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
1J. Election of Directors (Majority Voting) Management For For For
1K. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Adopt Supermajority Requirements Management For For For
5. Approve Charter Amendment Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 359,700 0 20-May-2013 20-May-2013
VALUE
PARTNERS
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Page 20 of 25 19-Jul-2013
Vote Summary
THE NAVIGATORS GROUP, INC.
Security 638904102 Meeting Type Annual
Ticker Symbol NAVG Meeting Date 23-May-2013
ISIN US6389041020 Agenda 933779160 - Management
Record Date 27-Mar-2013 Holding Recon Date 27-Mar-2013
City/ Country / United States Vote Deadline Date 22-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1 Election of Directors Management
1 SAUL L. BASCH For For For
2 H.J. MERVYN BLAKENEY For For For
3 TERENCE N. DEEKS For For For
4 STANLEY A. GALANSKI For For For
5 GEOFFREY E. JOHNSON For For For
6 JOHN F. KIRBY For For For
7 ROBERT V. MENDELSOHN For For For
8 DAVID M. PLATTER For For For
9 JANICE C. TOMLINSON For For For
10 MARC M. TRACT For For For
2 14A Executive Compensation Management For For For
3 Amend Stock Compensation Plan Management For For For
4 Amend Employee Stock Purchase Plan Management For For For
5 Ratify Appointment of Independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 258,427 0 20-May-2013 21-May-2013
VALUE
PARTNERS
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Page 21 of 25 19-Jul-2013
Vote Summary
TUPPERWARE BRANDS CORPORATION
Security 899896104 Meeting Type Annual
Ticker Symbol TUP Meeting Date 24-May-2013
ISIN US8998961044 Agenda 933775023 - Management
Record Date 18-Mar-2013 Holding Recon Date 18-Mar-2013
City/ Country / United States Vote Deadline Date 23-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
1C Election of Directors (Majority Voting) Management For For For
1D Election of Directors (Majority Voting) Management For For For
1E Election of Directors (Majority Voting) Management For For For
1F Election of Directors (Majority Voting) Management For For For
1G Election of Directors (Majority Voting) Management For For For
1H Election of Directors (Majority Voting) Management For For For
1I Election of Directors (Majority Voting) Management For For For
1J Election of Directors (Majority Voting) Management For For For
1K Election of Directors (Majority Voting) Management For For For
2 Ratify Appointment of independent Auditors Management For For For
3 Ratify Appointment of independent Auditors Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 120,411 0 21-May-2013 21-May-2013
VALUE
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Page 22 of 25 19-Jul-2013
Vote Summary
JARDEN CORPORATION
Security 471109108 Meeting Type Annual
Ticker Symbol JAH Meeting Date 30-May-2013
ISIN US4711091086 Agenda 933789692 - Management
Record Date 05-Apr-2013 Holding Recon Date 05-Apr-2013
City/ Country / United States Vote Deadline Date 29-May-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ------------ -------- ----------- ------------------
1 Election of Directors Management
1 IAN G. H. ASHKEN For For For
2 WILLIAM P. LAUDER For For For
3 ROBERT L. WOOD For For For
2 Approve Stock Compensation Plan Management For For For
3 Adopt Employee Stock Purchase Plan Management For For For
4 Ratify Appointment of independent Auditors Management For For For
5 14A Executive Compensation Management Against Against Against
Comments-Pay and performance disconnect; Poor compensation structure/performance conditions; insufficient
overall disclosure
6 S/H Proposal - Declassify Board Shareholder For Against For
Comments-The annual election of directors provides maximum accountability of directors to shareholders
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 164,127 0 10-May-2013 10-May-2013
VALUE
PARTNERS
SMALL
CAP
FUND
------------------------------------------------------------------------------
Page 23 of 25 19-Jul-2013
Vote Summary
NEUSTAR, INC.
Security 64126X201 Meeting Type Annual
Ticker Symbol NSR Meeting Date 18-Jun-2013
ISIN US64126X2018 Agenda 933815411 - Management
Record Date 22-Apr-2013 Holding Recon Date 22-Apr-2013
City/ Country / United States Vote Deadline Date 17-Jun-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 356,473 0 06-Jun-2013 06-Jun-2013
VALUE
PARTNERS
SMALL
CAP
FUND
------------------------------------------------------------------------------
Page 24 of 25 19-Jul-2013
Vote Summary
JOS. A. BANK CLOTHIERS, INC.
Security 480838101 Meeting Type Annual
Ticker Symbol JOSB Meeting Date 21-Jun-2013
ISIN US4808381010 Agenda 933829321 - Management
Record Date 08-May-2013 Holding Recon Date 08-May-2013
City/ Country / United States Vote Deadline Date 20-Jun-2013
SEDOL(s) Quick Code
For/Against Preferred Provider
Item Proposal Type Vote Management Recommendation
---- ------------------------------------------- ----------- ---- ----------- ------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Amend Stock Compensation Plan Management For For For
Account Internal Unavailable Vote Date
Number Account Name Account Custodian Ballot Shares Shares Date Confirmed
------- ------------ -------- ----------- ------------- ----------- ------------ ------------
000358611 VULCAN 358611 BNY MELLON 352,377 0 18-Jun-2013 18-Jun-2013
VALUE
PARTNERS
SMALL
CAP
FUND
------------------------------------------------------------------------------
Page 25 of 25 19-Jul-2013
ALPS/ALERIAN MLP INFRASTRUCTURE INDEX FUND
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-08194
Reporting Period: 07/01/2012 - 06/30/2013
Financial Investors Trust
================== ALPS Alerian MLP Infrastructure Index Fund ==================
BUCKEYE PARTNERS, L.P.
Ticker: BPL Security ID: 118230101
Meeting Date: JUN 04, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Oliver G. Richard, III For For Management
1.2 Elect Director Clark C. Smith For For Management
1.3 Elect Director Frank S. Sowinski For For Management
2 Approve Omnibus Stock Plan For For Management
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
COPANO ENERGY, L.L.C.
Ticker: CPNO Security ID: 217202100
Meeting Date: APR 30, 2013 Meeting Type: Special
Record Date: MAR 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Adjourn Meeting For For Management
3 Advisory Vote on Golden Parachutes For For Management
--------------------------------------------------------------------------------
MAGELLAN MIDSTREAM PARTNERS, L.P.
Ticker: MMP Security ID: 559080106
Meeting Date: APR 25, 2013 Meeting Type: Annual
Record Date: FEB 25, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Walter R. Arnheim For For Management
1.2 Elect Director Patrick C. Eilers For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
--------------------------------------------------------------------------------
MARKWEST ENERGY PARTNERS, L.P.
Ticker: MWE Security ID: 570759100
Meeting Date: MAY 29, 2013 Meeting Type: Annual
Record Date: APR 03, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Frank M. Semple For For Management
1.2 Elect Director Donald D. Wolf For For Management
1.3 Elect Director Keith E. Bailey For For Management
1.4 Elect Director Michael L. Beatty For Withhold Management
1.5 Elect Director Charles K. Dempster For For Management
1.6 Elect Director Donald C. Heppermann For For Management
1.7 Elect Director Randall J. Larson For For Management
1.8 Elect Director Anne E. Fox Mounsey For For Management
1.9 Elect Director William P. Nicoletti For For Management
2 Ratify Auditors For For Management
--------------------------------------------------------------------------------
PVR PARTNERS, L.P.
Ticker: PVR Security ID: 693665101
Meeting Date: JUN 05, 2013 Meeting Type: Annual
Record Date: APR 08, 2013
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert J. Hall For For Management
1.2 Elect Director Marsha R. Perelman For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Auditors For For Management
========== END NPX REPORT
PATHWAY ADVISORS AGGRESSIVE GROWTH FUND
With or
A brief identification Against
Company Ticker CUSIP Meeting Date of the matter voted on Proposed by Voted Vote Cast Management
------- ------ ----- ------------ ---------------------- ----------- ----- --------- ----------
N/A
PATHWAY ADVISORS CONSERVATIVE FUND
A brief With or
identification of the Against
Company Ticker CUSIP Meeting Date matter voted on Proposed by Voted Vote Cast Management
------- ------ --------- ------------ --------------------- ----------- ---------- --------- ----------
Loomis Sayles Bond LSBDX 543495840 3/18/2013 Renewing Board of The Fund 2/19/2013 Yes For
Directors
Metropolitan West MWTIX 592905509 11/28/2012 Investment The Fund 10/24/2012 Yes For
Total Return Bond Management
Agreement
Renewal
PATHWAY ADVISORS GROWTH AND INCOME FUND
With or
A brief identification Against
Company Ticker CUSIP Meeting Date of the matter voted on Proposed by Voted Vote Cast Management
------- ------ --------- ------------ ---------------------- ----------- ---------- --------- ----------
Metropolitan West MWTIX 592905509 11/28/2012 Investment The Fund 10/24/2012 Yes For
Total Return Bond Management
Agreement
Renewal
SIGNATURE
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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Financial Investors Trust
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|
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By:
|
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/s/ Edmund J. Burke
|
|
|
|
Edmund J. Burke
|
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President
|
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|
|
Date:
|
|
August 29, 2013
|
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