N-PX 1 a10-15849_1npx.htm N-PX

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549-

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act File Number :          811-1800

 

Name of Registrant:             U.S. Global Investors Fund

 

Address of Principal Executive Offices:

7900 Callaghan Road

San Antonio, Texas 78229

 

Name and address of agent of service:

The Corporation Trust Company

1209 Orange Street

Wilmington, Deleware 19801

County of New Castle

 

Registrant’s telephone number including area code:

(210) 308-1234

 

Date of fiscal year end:

12/31/2010

 

Date of reporting period:

07/01/2009   -   06/30/2010

 

 

 



 

Registrant : U.S. Global Investors Fund

Fund Name : U.S. Global Investors Funds All American Equity Fund

 

Date of fiscal year end: 06/30/2010

 

In all markets, for all statuses, for

 

Key-

 

Akamai Technologies, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

AKAM

CUSIP 00971T101

05/19/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect F. Thomson Leighton

Mgmt

For

For

For

2

Elect Paul Sagan

Mgmt

For

For

For

3

Elect Naomi Seligman

Mgmt

For

For

For

4

Ratification of Auditor

Mgmt

For

For

For

 

Altisource Portfolio Solutions S.A.

 

Ticker

Security ID:

Meeting Date

Meeting Status

ASPS

CUSIP L0175J104

05/19/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect William Erbey

Mgmt

For

For

For

1.2

Elect Silke Andersen-Kienz

Mgmt

For

For

For

1.3

Elect Roland Muller-Ineichen

Mgmt

For

For

For

1.4

Elect William Shepro

Mgmt

For

For

For

1.5

Elect Timo Vatto

Mgmt

For

For

For

2

Appointment of Auditor

Mgmt

For

For

For

3

Approval of Share Repurchase Program

Mgmt

For

For

For

4

Report of the Board of Directors

Mgmt

For

For

For

5

Accounts and Reports

Mgmt

For

For

For

6

Ratification of Board Acts

Mgmt

For

For

For

7

Transaction of Other Business

Mgmt

For

Against

Against

 

Altria Group, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

MO

CUSIP 02209S103

05/20/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Elizabeth Bailey

Mgmt

For

Against

Against

2

Elect Gerald Baliles

Mgmt

For

For

For

3

Elect John Casteen III

Mgmt

For

Against

Against

4

Elect Dinyar Devitre

Mgmt

For

For

For

5

Elect Thomas Farrell II

Mgmt

For

For

For

6

Elect Robert Huntley

Mgmt

For

For

For

7

Elect Thomas Jones

Mgmt

For

For

For

8

Elect George Munoz

Mgmt

For

For

For

9

Elect Nabil Sakkab

Mgmt

For

For

For

10

Elect Michael Szymanczyk

Mgmt

For

For

For

11

2010 Performance Incentive Plan

Mgmt

For

Against

Against

12

Ratification of Auditor

Mgmt

For

For

For

13

Shareholder Proposal Regarding Food Insecurity and Tobacco Use

ShrHldr

Against

Against

For

14

Shareholder Proposal Regarding Human Rights Protocols

ShrHldr

Against

Against

For

 



 

American Tower Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

AMT

CUSIP 029912201

05/12/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Raymond Dolan

Mgmt

For

For

For

2

Elect Ronald Dykes

Mgmt

For

For

For

3

Elect Carolyn Katz

Mgmt

For

For

For

4

Elect Gustavo Lara Cantu

Mgmt

For

For

For

5

Elect JoAnn Reed

Mgmt

For

For

For

6

Elect Pamela Reeve

Mgmt

For

For

For

7

Elect David Sharbutt

Mgmt

For

For

For

8

Elect James Taiclet, Jr.

Mgmt

For

For

For

9

Elect Samme Thompson

Mgmt

For

For

For

10

Ratification of Auditor

Mgmt

For

For

For

 

AngloGold Ashanti Ltd

 

Ticker

Security ID:

Meeting Date

Meeting Status

AU

035128206

07/30/2009

Voted

Meeting Type

Country of Trade

 

 

Special

South Africa

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Place 15,384,615 Ord. Shares in Auth. But Unissued Share Cap. Under the Control of Directors and Allot Such Shares for Purpose of Conversion of USD 732,500,000 3.5 Percent Convertible Bonds Due 2014 Issued by AngloGold Ashanti Holdings Finance plc

Mgmt

For

For

For

 

Apple Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

AAPL

CUSIP 037833100

02/25/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect William Campbell

Mgmt

For

For

For

1.2

Elect Millard Drexler

Mgmt

For

For

For

1.3

Elect Albert Gore, Jr.

Mgmt

For

For

For

1.4

Elect Steven Jobs

Mgmt

For

For

For

1.5

Elect Andrea Jung

Mgmt

For

For

For

1.6

Elect Arthur Levinson

Mgmt

For

For

For

1.7

Elect Jerome York

Mgmt

For

For

For

2

Amendment to the 2003 Employee Stock Plan

Mgmt

For

For

For

3

Amendment to the 1997 Director Stock Option Plan

Mgmt

For

For

For

4

Advisory Vote on Executive Compensation

Mgmt

For

For

For

5

Ratification of Auditor

Mgmt

For

For

For

6

Shareholder Proposal Regarding Sustainability Report

ShrHldr

Against

Against

For

7

Shareholder Proposal Regarding Formation of Sustainability Committee

ShrHldr

Against

Against

For

 

ArcSight, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

ARST

CUSIP 039666102

09/24/2009

Voted

Meeting Type

Country of Trade

 

 

Annual

USA

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Director Sandra Bergeron

Mgmt

For

For

For

1.2

Elect Director Craig Ramsey

Mgmt

For

For

For

1.3

Elect Director Ernest Von Simon

Mgmt

For

For

For

2

Ratify Auditors

Mgmt

For

For

For

 



 

AT&T INC.

 

Ticker

Security ID:

Meeting Date

Meeting Status

T

CUSIP 00206R102

04/30/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Randall Stephenson

Mgmt

For

For

For

2

Elect Gilbert Amelio

Mgmt

For

For

For

3

Elect Reuben Anderson

Mgmt

For

For

For

4

Elect James Blanchard

Mgmt

For

For

For

5

Elect Jaime Chico Pardo

Mgmt

For

For

For

6

Elect James Kelly

Mgmt

For

For

For

7

Elect Jon Madonna

Mgmt

For

For

For

8

Elect Lynn Martin

Mgmt

For

For

For

9

Elect John McCoy

Mgmt

For

For

For

10

Elect Joyce Roche

Mgmt

For

For

For

11

Elect Laura Tyson

Mgmt

For

For

For

12

Elect Patricia Upton

Mgmt

For

For

For

13

Ratification of Auditor

Mgmt

For

For

For

14

Shareholder Proposal Regarding Cumulative Voting

ShrHldr

Against

Against

For

15

Shareholder Proposal Regarding Pension Credit Policy

ShrHldr

Against

For

Against

16

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

For

Against

17

Shareholder Proposal Regarding Right to Call a Special Meeting

ShrHldr

Against

Against

For

 

Atlas Energy, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

ATLS

CUSIP 049298102

05/13/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Carlton Arrendell

Mgmt

For

For

For

1.2

Elect Jonathan Cohen

Mgmt

For

For

For

1.3

Elect Donald Delson

Mgmt

For

For

For

 

Bank of America Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

BAC

CUSIP 060505104

02/23/2010

Voted

Meeting Type

Country of Trade

 

 

Special

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Increase of Authorized Common Stock

Mgmt

For

For

For

2

Right to Adjourn Meeting

Mgmt

For

For

For

 



 

Bank of America Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

BAC

CUSIP 060505104

04/28/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Susan Bies

Mgmt

For

For

For

2

Elect William Boardman

Mgmt

For

For

For

3

Elect Frank Bramble, Sr.

Mgmt

For

For

For

4

Elect Virgis Colbert

Mgmt

For

Against

Against

5

Elect Charles Gifford

Mgmt

For

For

For

6

Elect Charles Holliday, Jr.

Mgmt

For

For

For

7

Elect D. Paul Jones, Jr.

Mgmt

For

For

For

8

Elect Monica Lozano

Mgmt

For

For

For

9

Elect Thomas May

Mgmt

For

For

For

10

Elect Brian Moynihan

Mgmt

For

For

For

11

Elect Donald Powell

Mgmt

For

For

For

12

Elect Charles Rossotti

Mgmt

For

Against

Against

13

Elect Robert Scully

Mgmt

For

For

For

14

Ratification of Auditor

Mgmt

For

For

For

15

Increase of Authorized Common Stock

Mgmt

For

For

For

16

Advisory Vote on Executive Compensation

Mgmt

For

For

For

17

Amendment to the 2003 Key Associate Stock Plan

Mgmt

For

For

For

18

Shareholder Proposal Regarding Disclosure of Prior Government Service

ShrHldr

Against

Against

For

19

Shareholder Proposal Regarding Non-Deductible Compensation

ShrHldr

Against

Against

For

20

Shareholder Proposal Regarding Right to Call a Special Meeting

ShrHldr

Against

For

Against

21

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

Against

For

22

Shareholder Proposal Regarding CEO Succession Planning

ShrHldr

Against

Against

For

23

Shareholder Proposal Regarding Report OTC Derivative Trading

ShrHldr

Against

Against

For

24

Shareholder Proposal Regarding Recoupment of Unearned Bonuses (Clawback)

ShrHldr

Against

Against

For

 

Bemis Company, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

BMS

CUSIP 081437105

05/06/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Jeffrey Curler

Mgmt

For

For

For

1.2

Elect Roger O’Shaughnessy

Mgmt

For

For

For

1.3

Elect David Haffner

Mgmt

For

For

For

1.4

Elect Holly Van Deursen

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

3

Shareholder Proposal Regarding Report on Ratio Between CEO and Employee Pay

ShrHldr

Against

Against

For

 

Biogen Idec Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

BIIB

CUSIP 09062X103

06/09/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Nancy Leaming

Mgmt

For

For

For

2

Elect Brian Posner

Mgmt

For

For

For

3

Elect Eric Rowinsky

Mgmt

For

For

For

4

Elect Stephen Sherwin

Mgmt

For

For

For

5

Ratification of Auditor

Mgmt

For

For

For

6

Amendment to the 2006 Non-Employee Directors Equity Plan

Mgmt

For

For

For

 



 

Bristol-Myers Squibb Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

BMY

CUSIP 110122108

05/04/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Lamberto Andreotti

Mgmt

For

For

For

2

Elect Lewis Campbell

Mgmt

For

For

For

3

Elect James Cornelius

Mgmt

For

For

For

4

Elect Louis Freeh

Mgmt

For

Against

Against

5

Elect Laurie Glimcher

Mgmt

For

For

For

6

Elect Michael Grobstein

Mgmt

For

For

For

7

Elect Leif Johansson

Mgmt

For

For

For

8

Elect Alan Lacy

Mgmt

For

For

For

9

Elect Vicki Sato

Mgmt

For

For

For

10

Elect Togo West, Jr.

Mgmt

For

For

For

11

Elect R. Sanders Williams

Mgmt

For

For

For

12

Ratification of Auditor

Mgmt

For

For

For

13

Amendment to Certificate of Incorporation Regarding the Right to Call a Special Meeting

Mgmt

For

For

For

14

Elimination of Supermajority Requirement Applicable to Common Shareholders

Mgmt

For

For

For

15

Elimination of Supermajority Requirement Applicable to Preferred Shareholders

Mgmt

For

For

For

16

Shareholder Proposal Regarding Disclosure of Executive Compensation

ShrHldr

Against

Against

For

17

Shareholder Proposal Regarding Right to Act by Written Consent

ShrHldr

Against

For

Against

18

Shareholder Proposal Regarding Animal Welfare

ShrHldr

Against

Against

For

 

CenturyTel, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

CTL

CUSIP 156700106

05/20/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect W. Bruce Hanks

Mgmt

For

Withhold

Against

1.2

Elect C. G. Melville, Jr.

Mgmt

For

For

For

1.3

Elect William Owens

Mgmt

For

For

For

1.4

Elect Glen Post III

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

Against

Against

3

Company Name Change

Mgmt

For

For

For

4

2010 Executive Officer Short Term Incentive Plan

Mgmt

For

For

For

5

Shareholder Proposal Regarding Network Management Practices

ShrHldr

Against

Against

For

6

Shareholder Proposal Regarding Limitations on Executive Compensation

ShrHldr

Against

Against

For

7

Shareholder Proposal Regarding Retention of Shares After Retirement

ShrHldr

Against

Against

For

8

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

For

Against

 

Cerner Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

CERN

CUSIP 156782104

05/28/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Gerald Bisbee, Jr.

Mgmt

For

For

For

1.2

Elect Linda Dillman

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

3

Amendment to the Performance-Based Compensation Plan

Mgmt

For

For

For

 



 

Cincinnati Financial Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

CINF

CUSIP 172062101

05/01/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Gregory Bier

Mgmt

For

For

For

1.2

Elect Linda Clement-Holmes

Mgmt

For

For

For

1.3

Elect Douglas Skidmore

Mgmt

For

For

For

1.4

Elect Larry Webb

Mgmt

For

Withhold

Against

2

Repeal of Classified Board

Mgmt

For

For

For

3

Adoption of Advance Notice Requirement

Mgmt

For

Against

Against

4

Ratification of Auditor

Mgmt

For

For

For

 

Concho Resources Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

CXO

CUSIP 20605P101

06/09/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Ray Poage

Mgmt

For

For

For

1.2

Elect A. Wellford Tabor

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

 

Conocophillips

 

Ticker

Security ID:

Meeting Date

Meeting Status

COP

CUSIP 20825C104

05/12/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Richard Armitage

Mgmt

For

For

For

2

Elect Richard Auchinleck

Mgmt

For

For

For

3

Elect James Copeland, Jr.

Mgmt

For

For

For

4

Elect Kenneth Duberstein

Mgmt

For

For

For

5

Elect Ruth Harkin

Mgmt

For

For

For

6

Elect Harold McGraw III

Mgmt

For

For

For

7

Elect James Mulva

Mgmt

For

For

For

8

Elect Robert Niblock

Mgmt

For

For

For

9

Elect Harald Norvik

Mgmt

For

For

For

10

Elect William Reilly

Mgmt

For

For

For

11

Elect Bobby Shackouls

Mgmt

For

For

For

12

Elect Victoria Tschinkel

Mgmt

For

For

For

13

Elect Kathryn Turner

Mgmt

For

For

For

14

Elect William Wade, Jr.

Mgmt

For

For

For

15

Ratification of Auditor

Mgmt

For

Against

Against

16

Shareholder Proposal Regarding Risk Management Report

ShrHldr

Against

Against

For

17

Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions

ShrHldr

Against

Against

For

18

Shareholder Proposal Regarding Report on Oil Sands Operations

ShrHldr

Against

Against

For

19

Shareholder Proposal Regarding Louisiana Wetlands

ShrHldr

Against

Against

For

20

Shareholder Proposal Regarding the Financial Risks of Climate Change

ShrHldr

Against

Against

For

21

Shareholder Proposal Regarding TRI Chemicals

ShrHldr

Against

Against

For

22

Shareholder Proposal Regarding Adopting Sexual Orientation and Gender Identity Anti-Bias Policy

ShrHldr

Against

Against

For

23

Shareholder Proposal Regarding Political Contributions and Expenditure Report

ShrHldr

Against

Against

For

 



 

Copart, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

CPRT

CUSIP 217204106

12/03/2009

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Willis Johnson

Mgmt

For

For

For

1.2

Elect A. Jayson Adair

Mgmt

For

For

For

1.3

Elect James Meeks

Mgmt

For

Withhold

Against

1.4

Elect Steven Cohan

Mgmt

For

For

For

1.5

Elect Daniel Englander

Mgmt

For

Withhold

Against

1.6

Elect Matt Blunt

Mgmt

For

For

For

1.7

Elect Thomas Smith

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

 

Cree, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

CREE

CUSIP 225447101

10/29/2009

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Charles Swoboda

Mgmt

For

For

For

1.2

Elect John Palmour

Mgmt

For

For

For

1.3

Elect Dolph von Arx

Mgmt

For

For

For

1.4

Elect Clyde Hosein

Mgmt

For

For

For

1.5

Elect Robert Ingram

Mgmt

For

For

For

1.6

Elect Franco Plastina

Mgmt

For

For

For

1.7

Elect Harvey Wagner

Mgmt

For

For

For

1.8

Elect Thomas Werner

Mgmt

For

For

For

2

Amendment to the 2004 Long-Term Incentive Compensation Plan

Mgmt

For

For

For

3

Ratification of Auditor

Mgmt

For

For

For

 

Diamond Offshore Drilling, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

DO

CUSIP 25271C102

05/24/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect James Tisch

Mgmt

For

For

For

1.2

Elect Lawrence Dickerson

Mgmt

For

For

For

1.3

Elect John Bolton

Mgmt

For

For

For

1.4

Elect Charles Fabrikant

Mgmt

For

For

For

1.5

Elect Paul Gaffney II

Mgmt

For

For

For

1.6

Elect Edward Grebow

Mgmt

For

For

For

1.7

Elect Herbert Hofmann

Mgmt

For

For

For

1.8

Elect Arthur Rebell

Mgmt

For

For

For

1.9

Elect Raymond Troubh

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

3

Transaction of Other Business

Mgmt

For

Against

Against

 



 

Diebold, Incorporated

 

Ticker

Security ID:

Meeting Date

Meeting Status

DBD

CUSIP 253651103

04/29/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Bruce Byrnes

Mgmt

For

For

For

1.2

Elect Mei-Wei Cheng

Mgmt

For

For

For

1.3

Elect Phillip Cox

Mgmt

For

For

For

1.4

Elect Richard Crandall

Mgmt

For

Withhold

Against

1.5

Elect Gale Fitzgerald

Mgmt

For

For

For

1.6

Elect Phillip Lassiter

Mgmt

For

For

For

1.7

Elect John Lauer

Mgmt

For

For

For

1.8

Elect Thomas Swidarski

Mgmt

For

For

For

1.9

Elect Henry Wallace

Mgmt

For

Withhold

Against

1.10

Elect Alan Weber

Mgmt

For

Withhold

Against

2

Ratification of Auditor

Mgmt

For

For

For

3

Annual Cash Bonus Plan

Mgmt

For

For

For

 

Duke Energy Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

DUK

CUSIP 26441C105

05/06/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect William Barnet, III

Mgmt

For

For

For

1.2

Elect G. Alex Bernhardt, Sr.

Mgmt

For

For

For

1.3

Elect Michael Browning

Mgmt

For

For

For

1.4

Elect Daniel DiMicco

Mgmt

For

For

For

1.5

Elect John Forsgren

Mgmt

For

For

For

1.6

Elect Ann Maynard Gray

Mgmt

For

For

For

1.7

Elect James Hance, Jr.

Mgmt

For

For

For

1.8

Elect E. James Reinsch

Mgmt

For

For

For

1.9

Elect James Rhodes

Mgmt

For

For

For

1.10

Elect James Rogers

Mgmt

For

For

For

1.11

Elect Philip Sharp

Mgmt

For

For

For

2

2010 Long-Term Incentive Plan

Mgmt

For

For

For

3

Ratification of Auditor

Mgmt

For

For

For

4

Shareholder Proposal Regarding Lobbying Report

ShrHldr

Against

Against

For

5

Shareholder Proposal Regarding Majority Vote for Election of Directors

ShrHldr

Against

For

Against

6

Shareholder Proposal Regarding Retention of Shares After Retirement

ShrHldr

Against

Against

For

 



 

E. I. du Pont de Nemours and Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

DD

CUSIP 263534109

04/28/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Samuel Bodman

Mgmt

For

For

For

2

Elect Richard Brown

Mgmt

For

For

For

3

Elect Robert Brown

Mgmt

For

For

For

4

Elect Bertrand Collomb

Mgmt

For

For

For

5

Elect Curtis Crawford

Mgmt

For

For

For

6

Elect Alexander Cutler

Mgmt

For

For

For

7

Elect John Dillon

Mgmt

For

For

For

8

Elect Eleuthere Du Pont

Mgmt

For

For

For

9

Elect Marillyn Hewson

Mgmt

For

For

For

10

Elect Lois Juliber

Mgmt

For

For

For

11

Elect Ellen Kullman

Mgmt

For

For

For

12

Elect William Reilly

Mgmt

For

For

For

13

Ratification of Auditor

Mgmt

For

For

For

14

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

For

Against

15

Shareholder Proposal Regarding Amendment to Human Rights Policy Regarding Seed Saving Rights

ShrHldr

Against

Against

For

 

Eastman Chemical Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

EMN

CUSIP 277432100

05/06/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Gary Anderson

Mgmt

For

For

For

2

Elect Renee Hornbaker

Mgmt

For

For

For

3

Elect Thomas McLain

Mgmt

For

For

For

4

Ratification of Auditor

Mgmt

For

For

For

5

Amendment to the Certificate of Incorporation Regarding the Right to Call a Special Meeting

Mgmt

For

For

For

6

Shareholder Proposal Regarding Declassification of the Board

ShrHldr

Against

For

Against

 

Electronic Arts Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

ERTS

CUSIP 285512109

07/29/2009

Voted

Meeting Type

Country of Trade

 

 

Annual

USA

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Director Leonard S. Coleman

Mgmt

For

For

For

2

Elect Director Jeffrey T. Huber

Mgmt

For

For

For

3

Elect Director Gary M. Kusin

Mgmt

For

For

For

4

Elect Director Geraldine B. Laybourne

Mgmt

For

For

For

5

Elect Director Gregory B. Maffei

Mgmt

For

For

For

6

Elect Director Vivek Paul

Mgmt

For

For

For

7

Elect Director Lawrence F. Probst III

Mgmt

For

For

For

8

Elect Director John S. Riccitiello

Mgmt

For

For

For

9

Elect Director Richard A. Simonson

Mgmt

For

For

For

10

Elect Director Linda J. Srere

Mgmt

For

For

For

11

Approve Stock Option Exchange Program

Mgmt

For

For

For

12

Amend Omnibus Stock Plan

Mgmt

For

For

For

13

Amend Qualified Employee Stock Purchase Plan

Mgmt

For

For

For

14

Ratify Auditors

Mgmt

For

For

For

 



 

Eli Lilly and Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

LLY

CUSIP 532457108

04/19/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Ralph Alvarez

Mgmt

For

For

For

2

Elect Winfried Bischoff

Mgmt

For

Against

Against

3

Elect R. David Hoover

Mgmt

For

Against

Against

4

Elect Franklyn Prendergast

Mgmt

For

For

For

5

Elect Kathi Seifert

Mgmt

For

For

For

6

Ratification of Auditor

Mgmt

For

For

For

7

Repeal of Classified Board

Mgmt

For

For

For

8

Elimination of Supermajority Requirement

Mgmt

For

For

For

9

Shareholder Proposal Regarding Right to Call a Special Meeting

ShrHldr

Against

For

Against

10

Shareholder Proposal Regarding Exclusion of CEOs from Compensation Committee

ShrHldr

Against

Against

For

11

Shareholder Proposal Regarding Advisory Vote on Executive Compensation (Say on Pay)

ShrHldr

Against

For

Against

12

Shareholder Proposal Regarding Retention of Shares After Retirement

ShrHldr

Against

Against

For

 

Exxon Mobil Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

XOM

CUSIP 30231G102

05/26/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Michael Boskin

Mgmt

For

For

For

1.2

Elect Peter Brabeck-Letmathe

Mgmt

For

For

For

1.3

Elect Larry Faulkner

Mgmt

For

For

For

1.4

Elect Jay Fishman

Mgmt

For

For

For

1.5

Elect Kenneth Frazier

Mgmt

For

For

For

1.6

Elect William George

Mgmt

For

Withhold

Against

1.7

Elect Marilyn Nelson

Mgmt

For

For

For

1.8

Elect Samuel Palmisano

Mgmt

For

Withhold

Against

1.9

Elect Steven Reinemund

Mgmt

For

For

For

1.10

Elect Rex Tillerson

Mgmt

For

For

For

1.11

Elect Edward Whitacre, Jr.

Mgmt

For

Withhold

Against

2

Ratification of Auditor

Mgmt

For

For

For

3

Shareholder Proposal Regarding Right to Call a Special Meeting

ShrHldr

Against

For

Against

4

Shareholder Proposal Regarding Reincorporation

ShrHldr

Against

Against

For

5

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

For

Against

6

Shareholder Proposal Regarding Adopting Sexual Orientation and Gender Identity Anti-Bias Policy

ShrHldr

Against

For

Against

7

Shareholder Proposal Regarding Human Right to Water

ShrHldr

Against

Against

For

8

Shareholder Proposal Regarding Louisiana Wetlands

ShrHldr

Against

Against

For

9

Shareholder Proposal Regarding Report on Oil Sands Operations

ShrHldr

Against

Against

For

10

Shareholder Proposal Regarding Report on Hydraulic Fracturing

ShrHldr

Against

Against

For

11

Shareholder Proposal Regarding an Energy Technology Report

ShrHldr

Against

Against

For

12

Shareholder Proposal Regarding Greenhouse Gas Emissions Goals

ShrHldr

Against

Against

For

13

Shareholder Proposal Regarding Report on Future Energy Trends

ShrHldr

Against

Against

For

 



 

Ford Motor Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

F

CUSIP 345370860

05/13/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Stephen Butler

Mgmt

For

For

For

1.2

Elect Kimberly Casiano

Mgmt

For

For

For

1.3

Elect Anthony Earley, Jr.

Mgmt

For

Withhold

Against

1.4

Elect Edsel Ford II

Mgmt

For

Withhold

Against

1.5

Elect William Ford, Jr.

Mgmt

For

For

For

1.6

Elect Richard Gephardt

Mgmt

For

For

For

1.7

Elect Irvine Hockaday, Jr.

Mgmt

For

For

For

1.8

Elect Richard Manoogian

Mgmt

For

Withhold

Against

1.9

Elect Ellen Marram

Mgmt

For

For

For

1.10

Elect Alan Mulally

Mgmt

For

For

For

1.11

Elect Homer Neal

Mgmt

For

For

For

1.12

Elect Gerald Shaheen

Mgmt

For

For

For

1.13

Elect John Thornton

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

3

Tax Benefit Preservation Plan

Mgmt

For

For

For

4

Shareholder Proposal Regarding Disclosure of Prior Government Service

ShrHldr

Against

Against

For

5

Shareholder Proposal Regarding Recapitalization Plan

ShrHldr

Against

For

Against

6

Shareholder Proposal Regarding Political Contributions and Expenditure Report

ShrHldr

Against

For

Against

7

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

For

Against

8

Shareholder Proposal Regarding Carbon Dioxide Reduction

ShrHldr

Against

Against

For

 

Fossil, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

FOSL

CUSIP 349882100

05/19/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Repeal of Classified Board

Mgmt

For

For

For

2.1

Elect Elaine Agather

Mgmt

For

For

For

2.2

Elect Michael Barnes

Mgmt

For

For

For

2.3

Elect Jeffrey Boyer

Mgmt

For

For

For

2.4

Elect Kosta Kartsotis

Mgmt

For

For

For

2.5

Elect Elysia Ragusa

Mgmt

For

For

For

2.6

Elect Jal Shroff

Mgmt

For

For

For

2.7

Elect James Skinner

Mgmt

For

For

For

2.8

Elect Michael Steinberg

Mgmt

For

For

For

2.9

Elect Donald Stone

Mgmt

For

For

For

2.10

Elect James Zimmerman

Mgmt

For

For

For

2.11

Elect Elaine Agather

Mgmt

For

For

For

2.12

Elect Jal Shroff

Mgmt

For

For

For

2.13

Elect Donald Stone

Mgmt

For

For

For

3

2010 Cash Incentive Plan

Mgmt

For

For

For

4

Ratification of Auditor

Mgmt

For

For

For

 



 

Freeport-McMoRan Copper & Gold Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

FCX

CUSIP 35671D857

06/09/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Richard Adkerson

Mgmt

For

For

For

1.2

Elect Robert Allison, Jr.

Mgmt

For

Withhold

Against

1.3

Elect Robert Day

Mgmt

For

For

For

1.4

Elect Gerald Ford

Mgmt

For

For

For

1.5

Elect H. Devon Graham, Jr.

Mgmt

For

For

For

1.6

Elect Charles Krulak

Mgmt

For

For

For

1.7

Elect Bobby Lackey

Mgmt

For

For

For

1.8

Elect Jon Madonna

Mgmt

For

For

For

1.9

Elect Dustan McCoy

Mgmt

For

For

For

1.10

Elect James Moffett

Mgmt

For

For

For

1.11

Elect B. M. Rankin, Jr.

Mgmt

For

Withhold

Against

1.12

Elect Stephen Siegele

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

3

Amendment to the 2006 Stock Incentive Plan

Mgmt

For

Against

Against

4

Shareholder Proposal Regarding Environmental Expertise on Board

ShrHldr

Against

Against

For

5

Shareholder Proposal Regarding Retention of Shares After Retirement

ShrHldr

Against

Against

For

 

Frontier Communications Corporation

 

Ticker

Security ID:

Meeting Date

Meeting Status

FTR

CUSIP 35906A108

05/13/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Leroy Barnes, Jr.

Mgmt

For

For

For

1.2

Elect Peter Bynoe

Mgmt

For

For

For

1.3

Elect Jeri Finard

Mgmt

For

For

For

1.4

Elect Lawton Whele Fitt

Mgmt

For

For

For

1.5

Elect William Kraus

Mgmt

For

For

For

1.6

Elect Howard Schrott

Mgmt

For

For

For

1.7

Elect Larraine Segil

Mgmt

For

For

For

1.8

Elect David Ward

Mgmt

For

For

For

1.9

Elect Myron Wick III

Mgmt

For

For

For

1.10

Elect Mary Agnes Wilderotter

Mgmt

For

For

For

2

Advisory Vote on Executive Compensation

Mgmt

For

For

For

3

Shareholder Proposal Regarding Retention of Shares After Retirement

ShrHldr

Against

Against

For

4

Ratification of Auditor

Mgmt

For

For

For

 



 

General Electric Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

GE

CUSIP 369604103

04/28/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect W. Geoffrey Beattie

Mgmt

For

For

For

2

Elect James Cash, Jr.

Mgmt

For

For

For

3

Elect Sir William Castell

Mgmt

For

For

For

4

Elect Ann Fudge

Mgmt

For

For

For

5

Elect Susan Hockfield

Mgmt

For

For

For

6

Elect Jeffrey Immelt

Mgmt

For

For

For

7

Elect Andrea Jung

Mgmt

For

For

For

8

Elect Alan Lafley

Mgmt

For

For

For

9

Elect Robert Lane

Mgmt

For

For

For

10

Elect Ralph Larsen

Mgmt

For

For

For

11

Elect Rochelle Lazarus

Mgmt

For

For

For

12

Elect James Mulva

Mgmt

For

For

For

13

Elect Sam Nunn

Mgmt

For

For

For

14

Elect Roger Penske

Mgmt

For

Against

Against

15

Elect Robert Swieringa

Mgmt

For

For

For

16

Elect Douglas Warner III

Mgmt

For

For

For

17

Ratification of Auditor

Mgmt

For

For

For

18

Shareholder Proposal Regarding Cumulative Voting

ShrHldr

Against

Against

For

19

Shareholder Proposal Regarding Right to Call a Special Meeting

ShrHldr

Against

For

Against

20

Shareholder Proposal Regarding Independent Board Chairman

ShrHldr

Against

For

Against

21

Shareholder Proposal Regarding Regarding Report on Ratio Between Executive and Employee Pay

ShrHldr

Against

Against

For

22

Shareholder Proposal Regarding Requiring Key Committee Directors To Receive Less Than 20% Against Votes

ShrHldr

Against

Against

For

23

Shareholder Proposal Regarding Advisory Vote on Compensation (Say on Pay)

ShrHldr

Against

For

Against

 

General Mills, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

GIS

CUSIP 370334104

09/21/2009

Voted

Meeting Type

Country of Trade

 

 

Annual

USA

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Director Bradbury H. Anderson

Mgmt

For

For

For

2

Elect Director R. Kerry Clark

Mgmt

For

For

For

3

Elect Director Paul Danos

Mgmt

For

For

For

4

Elect Director William T. Esrey

Mgmt

For

For

For

5

Elect Director Raymond V. Gilmartin

Mgmt

For

For

For

6

Elect Director Judith Richards Hope

Mgmt

For

For

For

7

Elect Director Heidi G. Miller

Mgmt

For

For

For

8

Elect Director Hilda Ochoa-Brillembourg

Mgmt

For

For

For

9

Elect Director Steve Odland

Mgmt

For

For

For

10

Elect Director Kendall J. Powell

Mgmt

For

For

For

11

Elect Director Lois E. Quam

Mgmt

For

For

For

12

Elect Director Michael D. Rose

Mgmt

For

For

For

13

Elect Director Robert L. Ryan

Mgmt

For

For

For

14

Elect Director Dorothy A. Terrell

Mgmt

For

For

For

15

Approve Omnibus Stock Plan

Mgmt

For

For

For

16

Ratify Auditors

Mgmt

For

For

For

17

Advisory Vote to Ratify Named Executive Officers’ Compensation

ShrHldr

Against

For

Against

 



 

Genuine Parts Company

 

Ticker

Security ID:

Meeting Date

Meeting Status

GPC

CUSIP 372460105

04/19/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect Mary Bullock

Mgmt

For

For

For

1.2

Elect Jean Douville

Mgmt

For

For

For

1.3

Elect Thomas Gallagher

Mgmt

For

For

For

1.4

Elect George Guynn

Mgmt

For

For

For

1.5

Elect John Johns

Mgmt

For

For

For

1.6

Elect Michael Johns

Mgmt

For

For

For

1.7

Elect J. Hicks Lanier

Mgmt

For

For

For

1.8

Elect Wendy Needham

Mgmt

For

For

For

1.9

Elect Jerry Nix

Mgmt

For

Withhold

Against

1.10

Elect Larry Prince

Mgmt

For

For

For

1.11

Elect Gary Rollins

Mgmt

For

Withhold

Against

2

Ratification of Auditor

Mgmt

For

For

For

 

HCP, INC.

 

Ticker

Security ID:

Meeting Date

Meeting Status

HCP

CUSIP 40414L109

04/22/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1.1

Elect James Flaherty III

Mgmt

For

For

For

1.2

Elect Christine Garvey

Mgmt

For

For

For

1.3

Elect David Henry

Mgmt

For

For

For

1.4

Elect Lauralee Martin

Mgmt

For

For

For

1.5

Elect Michael McKee

Mgmt

For

For

For

1.6

Elect Harold Messmer, Jr.

Mgmt

For

For

For

1.7

Elect Peter Rhein

Mgmt

For

For

For

1.8

Elect Kenneth Roath

Mgmt

For

For

For

1.9

Elect Richard Rosenberg

Mgmt

For

For

For

1.10

Elect Joseph Sullivan

Mgmt

For

For

For

2

Ratification of Auditor

Mgmt

For

For

For

3

Shareholder Proposal Regarding Majority Vote for Election of Directors

ShrHldr

Against

For

Against

 

Hudson City Bancorp, Inc.

 

Ticker

Security ID:

Meeting Date

Meeting Status

HCBK

CUSIP 443683107

04/21/2010

Voted

Meeting Type

Country of Trade

 

 

Annual

United States

 

 

 

Issue No.

Description

Proponent

Mgmt Rec

Vote Cast

For/Agnst
Mgmt

1

Elect Donald Quest

Mgmt

For

For

For

2