N-PX 1 dnpx.htm IVY FUNDS Ivy Funds

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 811-6569

IVY FUNDS

(Exact Name as Specified in Charter)

 

6300 Lamar Avenue, Overland Park, Kansas 66202-4200
(Address of Principal Executive Office) (Zip Code)

Kristen A. Richards, 6300 Lamar Avenue, Overland Park, Kansas 66202-4200

(Name and Address of Agent for Service)

Registrant’s Telephone Number, including Area Code (913) 236-2000

Date of fiscal year end: March 31

Date of reporting period: July 1, 2010 to June 30, 2011


IVY ASSET STRATEGY FUND

Proxy Voting Record

 

Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

HDFC Bank Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N/A

   30-Jun-10    India    Y3119P117    Annual    16-Jun-10    521,600    521,600    521,600    0

 

CUSIP:

  Y3119P117    ISIN:   INE040A01018    SEDOL:   6100131    Proxy Level:    N/A    Meeting ID:   576777

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2   

Approve Dividend of INR 12 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Reappoint C.M. Vasudev as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint P. Palande as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Approve BSR & Co. as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
6   

Approve Reappointment and Remuneration of A. Puri as Managing Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    
7   

Approve Reappointment and Remuneration of H. Engineer as Executive Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    
8   

Approve Reappointment and Remuneration of P. Sukthankar as Executive Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    
9   

Approve Employee Stock Option Plan

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 4.3a

                    

 

Page 1 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Accounts and Shares
Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     521,600        521,600   
    Totals:     521,600        521,600   
     

 

 

   

 

 

 

Lenovo Group Limited (formerly Legend Group Limited)

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N/A

   30-Jul-10    Hong Kong    Y5257Y107    Annual    27-Jul-10    142,842,000    142,842,000    142,842,000    0

 

CUSIP:

  Y5257Y107    ISIN:   HK0992009065    SEDOL:   6218089    Proxy Level:    N/A    Meeting ID:   591929

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2   

Approve Final Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3a   

Reelect Nicholas C. Allen as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3b   

Reelect Yang Yuanqing as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3c   

Reelect Zhu Linan as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3d   

Reelect James G. Coulter as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3e   

Reelect Ting Lee Sen as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 2 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3f   

Authorize Board to Fix Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
4   

Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
6   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
7   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     142,842,000        142,842,000   
    Totals:     142,842,000        142,842,000   
     

 

 

   

 

 

 

NetApp, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

NTAP

   31-Aug-10    USA    64110D104    Annual    06-Jul-10    5,958,000    5,958,000    5,958,000    0

 

CUSIP:

  64110D104    ISIN:   US64110D1046    SEDOL:   2630643    Proxy Level:    3    Meeting ID:   593853

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Jeffry R. Allen

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Alan L. Earhart

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 3 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.3   

Elect Director Thomas Georgens

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.4   

Elect Director Gerald Held

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.5   

Elect Director Nicholas G. Moore

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.6   

Elect Director T. Michael Nevens

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.7   

Elect Director George T. Shaheen

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.8   

Elect Director Robert T. Wall

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.9   

Elect Director Daniel J. Warmenhoven

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
2   

Amend Omnibus Stock Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                 
3   

Amend Qualified Employee Stock Purchase Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.3b

                 
4   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                 
  

Research Notes: Item 3.1a

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     5,958,000        5,958,000   
    Totals:     5,958,000        5,958,000   
     

 

 

   

 

 

 

 

Page 4 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Li & Fung Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00494

   13-Sep-10    Hong Kong    G5485F144    Special       47,042,200    47,042,200    47,042,200    0

 

CUSIP:

  G5485F144    ISIN:   BMG5485F1445    SEDOL:   6286257    Proxy Level:    N/A    Meeting ID:   599076

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Scheme of Arrangement

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per Ryan Caldwell

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     47,042,200        47,042,200   
    Totals:     47,042,200        47,042,200   
     

 

 

   

 

 

 

NIKE, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

NKE

   20-Sep-10    USA    654106103    Annual    26-Jul-10    2,435,800    2,435,800    2,435,800    0

 

CUSIP:

  654106103    ISIN:   US6541061031    SEDOL:   2640147    Proxy Level:    3    Meeting ID:   596423

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Jill K. Conway

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Alan B. Graf, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director John C. Lechleiter

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Phyllis M. Wise

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Amend Executive Incentive Bonus Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    

 

Page 5 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Amend Omnibus Stock Plan

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
4   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,435,800        2,435,800   
    Totals:     2,435,800        2,435,800   
     

 

 

   

 

 

 

Industrial and Commercial Bank of China Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01398

   21-Sep-10    Hong Kong    Y3990B112    Special    13-Aug-10    887,273,200    887,273,200    887,273,200    0

 

CUSIP:

  Y3990B112    ISIN:   CNE1000003G1    SEDOL:   B1G1QD8    Proxy Level:    N/A    Meeting ID:   595929

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1a   

Approve Type and Nominal Value of the Rights Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1b   

Approve Proportion and Number of the Rights Shares to be Issued

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1c   

Approve Subscription Price for the Rights Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1d   

Approve Target Subscribers for the Rights Issue

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1e   

Approve Use of Proceeds

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1f   

Approve Effective Period of the Resolution

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1g   

Approve Authorization for the Rights Issue

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
2   

Approve Arrangements for the Accumulated Undistributed Profits Prior to the Completion of the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.18

                    

 

Page 6 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Approve Feasibility Analysis Report on Use of Proceeds from the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.24

                    
4   

Approve Report on Utilization of Proceeds from Previous Issuances

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.24

                    
5   

Authorize Board to Fix Remuneration of Directors and Supervisors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
6   

Elect Xu Shanda as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Elect Li Xiaopeng as Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
8   

Approve Utilization of Proceeds from the Previous Issuance of A Share Convertible Bonds

   SH    Yes    None    For    Refer    For
  

Client Notes: 3.24

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     887,273,200        887,273,200   
    Totals:     887,273,200        887,273,200   
     

 

 

   

 

 

 

Industrial and Commercial Bank of China Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01398

   21-Sep-10    Hong Kong    Y3990B112    Special    13-Aug-10    887,273,200    887,273,200    887,273,200    0

 

CUSIP:

  Y3990B112    ISIN:   CNE1000003G1    SEDOL:   B1G1QD8    Proxy Level:    N/A    Meeting ID:   595930

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1a   

Approve Types and Nominal Value of Securities to be Issued in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1b   

Approve Proportion and Number of Shares to be Issued in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
1c   

Approve Subscription Price and Basis for Price Determination in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    

 

Page 7 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1d   

Approve Target Subscribers in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                 
1e   

Approve Amount and Use of Proceeds in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                 
1f   

Approve Effective Period of the Resolutions in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                 
1g   

Approve Authorization for the Rights Issue in Relation to the Rights Issue of A Shares and H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     887,273,200        887,273,200   
    Totals:     887,273,200        887,273,200   
     

 

 

   

 

 

 

Seadrill Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N/A

   24-Sep-10    Bermuda    G7945E105    Annual    20-Jul-10    13,266,200    13,266,200    13,266,200    0

 

CUSIP:

  N/A    ISIN:   N/A    SEDOL:   B09RMQ1    Proxy Level:    N/A    Meeting ID:   597053

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Reelect John Fredriksen

      Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Reelect Olav Troim as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Reelect Kate Blankenship as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reelect Kjell E. Jacobsen as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 8 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

5   

Reelect Kathrine Fredriksen as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Approve PricewaterhouseCoopers AS as Auditor and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
7   

Approve Remuneration of Directors

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     13,266,200        13,266,200   
    Totals:     13,266,200        13,266,200   
     

 

 

   

 

 

 

China Resources Land Ltd. (frmrly. China Resources Beijing L

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01109

   01-Nov-10    Hong Kong    G2108Y105    Special       64,600,000    64,600,000    64,600,000    0

 

CUSIP:

  G2108Y105    ISIN:   KYG2108Y1052    SEDOL:   6193766    Proxy Level:    N/A    Meeting ID:   605307

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Acquisition of the Entire Equity Interest in Fast Lead Investments Ltd. from Central New Investments Limited and the Alllotment and Issue of 348 Million Consideration Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Mike Avery

                 
2   

Approve Provision of Construction Services, Decoration Services and Furniture Services Framework Agreement and Related Annual Caps

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Mike Avery

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     64,600,000        64,600,000   
    Totals:     64,600,000        64,600,000   
     

 

 

   

 

 

 

 

Page 9 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Ping An Insurance (Group) Co. of China, Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

02318

   01-Nov-10    Hong Kong    Y69790106    Special    29-Sep-10    7,339,500    7,339,500    7,339,500    0

 

CUSIP:

  Y69790106    ISIN:   CNE1000003X6    SEDOL:   B01FLR7    Proxy Level:    N/A    Meeting ID:   601635

 

Voting Policy: Waddell & Reed

  

Ballot Count: 3

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Ordinary Business

      Mgmt    No            
1   

Approve Adjustment of Remuneration Domestic Persons of the Company Acting as Independent Non-Executive Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Special Business

      Mgmt    No            
2a   

Approve Means of Major Asset Restructuring, Object of the Transaction, and Parties to the Transaction

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
2b   

Approve Transaction Price and Basis of Pricing Involved in the Major Asset Restructuring

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
2c   

Approve Vesting of Profit or Loss from the Relevant Assets from the Base Date of Asset Pricing to the Completion Date

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
2d   

Approve Contract Obligations and Default Liabilities under the Transfer of Ownership of Relevant Assets

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
2e   

Approve Validity Period of the Resolution of the Major Asset Restructuring

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
3   

Approve Supplemental Agreement to the Share Subscription Agreement between the Company and SDB

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
4   

Approve Profits Forecast Compensation Agreement between the Company and SDB

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 
5   

Authorize Board to Process Matter Relating to the Major Asset Restructuring of the Company

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per M. Avery

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     7,339,500        7,339,500   
    Totals:     7,339,500        7,339,500   
     

 

 

   

 

 

 

 

Page 10 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

China Resources Land Ltd. (frmrly. China Resources Beijing L

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01109

   23-Dec-10    Hong Kong    G2108Y105    Special       0    0    0    0

 

CUSIP:

  G2108Y105    ISIN:   KYG2108Y1052    SEDOL:   6193766    Proxy Level:    N/A    Meeting ID:   613009

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Master Lending Agreements and the Related Annual Caps

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.5 Per Mike Avery

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     0        0   
    Totals:     0        0   
     

 

 

   

 

 

 

China Railway Construction Corporation Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

601186

   28-Dec-10    Hong Kong    Y1508P102    Special    26-Nov-10    37,787,000    37,787,000    37,787,000    0

 

CUSIP:

  Y1508P102    ISIN:   CNE1000009T1    SEDOL:   B2PPPG4    Proxy Level:    N/A    Meeting ID:   610312

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Meng Fengchao as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Approve Interim Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Approve Changes of the Use of the H Share Proceeds

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     37,787,000        37,787,000   
    Totals:     37,787,000        37,787,000   
     

 

 

   

 

 

 

 

Page 11 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

China Railway Group Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

601390

   27-Jan-11    Hong Kong    Y1509D108    Special    06-Jan-11    70,049,000    70,049,000    70,049,000    0

 

CUSIP:

  Y1509D108    ISIN:   CNE100000866    SEDOL:   B292YZ3    Proxy Level:    N/A    Meeting ID:   613892

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Special Business

      Mgmt    No            
1   

Approve Change on the Use of Part of the Proceeds from the H Share Offering of the Company

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99

                    
2   

Amend Articles of Association of the Company

   SH    Yes    None    For    Refer    For
  

Client Notes: 3.23c

                    
  

Ordinary Business

      Mgmt    No            
3a   

Elect Li Changjin as Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3b   

Elect Bai Zhongren as Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3c   

Elect Yao Guiqing as Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3d   

Elect Han Xiuguo as Non-Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3e   

Elect He Gong as Independent Non-Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3f   

Elect Gong Huazhang as Independent Non-Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3g   

Elect Wang Taiwen as Independent Non-Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3h   

Elect Sun Patrick as Independent Non-Executive Director

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3i   

Elect Wang Qiuming as Shareholder Representative Supervisor

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
3j   

Elect Chen Wenxin as Shareholder Representative Supervisor

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
  

Special Business

      Mgmt    No            

 

Page 12 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

4   

Approve Issuance of Short Term Bonds in the Principal Amount not Exceeding RMB 19 Billion in Single or Multiple Tranches

      SH    Yes    None    For    Refer    For
  

Client Notes: 99

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     70,049,000        70,049,000   
    Totals:     70,049,000        70,049,000   
     

 

 

   

 

 

 

Banco Santander Brasil SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

SANB4

   28-Jan-11    Brazil    P1505Z137    Special       9,646,500    9,646,500    9,646,500    0

 

CUSIP:

  P1505Z137    ISIN:   BRSANBACNPR5    SEDOL:   2835578    Proxy Level:    N/A    Meeting ID:   615253

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Board Chairman

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                 
2   

Elect Board Vice-Chairman

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
3   

Confirm Board Composition

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.1b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     9,646,500        9,646,500   
    Totals:     9,646,500        9,646,500   
     

 

 

   

 

 

 

Banco Santander Brasil SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

SANB4

   28-Jan-11    Brazil    P1505Z137    Special    06-Jan-11    6,878,300    6,878,300    6,878,300    0

 

CUSIP:

  P1505Z137    ISIN:   BRSANBACNPR5    SEDOL:   2835578    Proxy Level:    N/A    Meeting ID:   616376

 

Page 13 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Meeting for ADR Holders

      Mgmt    No            
1   

Elect Board Chairman

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
2   

Elect Board Vice-Chairman

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
3   

Confirm Board Composition

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.1b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     6,878,300        6,878,300   
    Totals:     6,878,300        6,878,300   
     

 

 

   

 

 

 

Apple Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AAPL

   23-Feb-11    USA    037833100    Annual    27-Dec-10    2,132,400    2,132,400    2,132,400    0

 

CUSIP:

  037833100    ISIN:   US0378331005    SEDOL:   2046251    Proxy Level:    3    Meeting ID:   616447

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director William V. Campbell

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Millard S. Drexler

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Albert A. Gore, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Steven P. Jobs

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 14 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.5   

Elect Director Andrea Jung

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Arthur D. Levinson

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Ronald D. Sugar

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 5.1d

                    
4   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
5   

Adopt Policy on Succession Planning

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 99: per Zack Shafran

                    
6   

Require a Majority Vote for the Election of Directors

   SH    Yes    Against    For    For    For
  

Client Notes: 7.6a

                    
   Research Notes: Item 7.6a - We will vote FOR proposals requiring a majority of votes, as long as the proposal has a back-up plan for those cases where no one receives a majority of the votes.      

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,132,400        2,132,400   
    Totals:     2,132,400        2,132,400   
     

 

 

   

 

 

 

Shangri-la Asia Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00069

   28-Feb-11    Hong Kong    G8063F106    Special       16,831,000    16,831,000    16,831,000    0

 

CUSIP:

  G8063F106    ISIN:   BMG8063F1068    SEDOL:   6771032    Proxy Level:    N/A    Meeting ID:   619340

 

Page 15 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Reelect Gregory Allan Dogan as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Approve Shenyang SPA, Shenyang JV Agreement and Related Transactions

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Mike Avery

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     16,831,000        16,831,000   
    Totals:     16,831,000        16,831,000   
     

 

 

   

 

 

 

Hyundai Motor Co.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

005380

   11-Mar-11    South Korea    Y38472109    Annual    31-Dec-10    4,685,300    4,685,300    4,685,300    0

 

CUSIP:

  Y38472109    ISIN:   KR7005380001    SEDOL:   6451055    Proxy Level:    N/A    Meeting ID:   618620

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Appropriation of Income and Dividend of KRW 1,500 per Common Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2   

Elect Two Inside Directors and Two Outside Directors (Bundled)

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 2.6a

                    
3   

Elect Oh Se-Bin as Member of Audit Committee

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
4   

Amend Articles of Incorporation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
5   

Approve Total Remuneration of Inside Directors and Outside Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     4,685,300        4,685,300   
    Totals:     4,685,300        4,685,300   
     

 

 

   

 

 

 

 

Page 16 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

LVMH Moet Hennessy Louis Vuitton

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

MC

   31-Mar-11    France    F58485115    Annual/Special    28-Mar-11    3,264,898    3,264,898    3,264,898    0

 

CUSIP:

  F58485115    ISIN:   FR0000121014    SEDOL:   4061412    Proxy Level:    N/A    Meeting ID:   613534

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Ordinary Business

   Mgmt    No            
1   

Approve Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                 
  

Research Notes: Item 3.24

                 
2   

Accept Consolidated Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                 
  

Research Notes: Item 3.24

                 
3   

Approve Auditors’ Special Report on Related-Party Transactions

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 3.5 Lack of disclosure

                 
4   

Approve Allocation of Income and Dividends of EUR 2.10 per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                 
  

Research Notes: Item 3.18

                 
5   

Elect Delphine Arnault as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
6   

Elect Nicolas Bazire as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
7   

Elect Antonio Belloni as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
8   

Elect Charles de Croisset as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 

 

Page 17 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

9   

Elect Diego Della Valle as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Elect Pierre Gode as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Elect Gilles Hennessy as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
12   

Elect Marie-Josee Kravis as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
13   

Appoint Patrick Houel as Censor

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
14   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
15   

Authorize Capitalization of Reserves of Up to EUR 50 Million for Bonus Issue or Increase in Par Value

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.18a

                    
  

Extraordinary Business

      Mgmt    No            
16   

Approve Reduction in Share Capital via Cancellation of Repurchased Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.22a

                    
  

Research Notes: Item 3.22a

                    
17   

Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of EUR 50 Million

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
18   

Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of EUR 50 Million

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per Zack Shafran

                    
19   

Approve Issuance of Shares up to 20 Percent of Issued Capital Per Year for a Private Placement up to EUR 50 Million Reserved for Qualified Investors or Restricted Number of Investors

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per Zack Shafran

                    

 

Page 18 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

20   

Authorize Board to Set Issue Price for 10 Percent Per Year of Issued Capital Pursuant to Issue Authority without Preemptive Rights under Items 18 and 19 Above

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per Zack Shafran

                    
21   

Authorize Board to Increase Capital in the Event of Additional Demand Related to Delegation Submitted to Shareholder Vote Above

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per Zack Shafran

                    
22   

Authorize Capital Increase of Up to EUR 50 Million for Future Exchange Offers

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per Zack Shafran

                    
23   

Authorize Capital Increase of up to 10 Percent of Issued Capital for Future Acquisitions

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b

                    
24   

Approve Employee Stock Purchase Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.3b

                    
25   

Set Total Limit for Capital Increase to Result from All Issuance Requests Above at EUR 50 Million

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
26   

Authorize up to 1 Percent of Issued Capital for Use in Restricted Stock Plan

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     3,264,898        3,264,898   
    Totals:     3,264,898        3,264,898   
     

 

 

   

 

 

 

Schlumberger Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

SLB

   06-Apr-11    NetherlandsAntilles    806857108    Annual    16-Feb-11    6,103,700    6,103,700    6,103,700    0

 

CUSIP:

  806857108    ISIN:   AN8068571086    SEDOL:   2779201    Proxy Level:    N/A    Meeting ID:   622547

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Philippe Camus

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 19 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.2   

Elect Director Peter L.S. Currie

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Andrew Gould

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Tony Isaac

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director K. Vaman Kamath

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Nikolay Kudryavtsev

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Adrian Lajous

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Michael E. Marks

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Elizabeth Moler

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.10   

Elect Director Leo Rafael Reif

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.11   

Elect Director Tore I. Sandvold

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.12   

Elect Director Henri Seydoux

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 20 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.13   

Elect Director Paal Kibsgaard

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.14   

Elect Director Lubna S. Olayan

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 5.1d

                    
3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Two Years    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
4   

Increase Authorized Common Stock

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.6

                    
  

Research Notes: Item 3.6

                    
5   

Adopt Plurality Voting for Contested Election of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 7.6a

                    
6   

Adopt and Approve Financials and Dividends

   Mgmt    Yes    For    For    For    For
  

Client Notes: 1.3a

                    
  

Research Notes: Item 1.3a

                    
7   

Ratify PricewaterhouseCoopers LLP as Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     6,103,700        6,103,700   
    Totals:     6,103,700        6,103,700   
     

 

 

   

 

 

 

Volvo AB

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

VOLVB

   06-Apr-11    Sweden    928856301    Annual    31-Mar-11    22,800,800    22,800,800    22,800,800    0

 

CUSIP:

  928856301    ISIN:   SE0000115446    SEDOL:   B1QH830    Proxy Level:    N/A    Meeting ID:   614565

 

Page 21 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Open Meeting

   Mgmt    No            
2   

Elect Sven Unger as Chairman of Meeting

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.13

                 
  

Research Notes: Item 2.13

                 
3   

Prepare and Approve List of Shareholders

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14a

                 
  

Research Notes: Item 2.14a

                 
4   

Approve Agenda of Meeting

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14a

                 
  

Research Notes: Item 2.14a

                 
5   

Designate Inspector(s) of Minutes of Meeting

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14a

                 
  

Research Notes: Item 2.14a

                 
6   

Acknowledge Proper Convening of Meeting

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14a

                 
  

Research Notes: Item 2.14a

                 
7   

Receive Board and Committee Reports

   Mgmt    No            
8   

Receive Financial Statements and Statutory Reports; Receive Auditor’s Report; Receive CEO’s Review

   Mgmt    No            
9   

Approve Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                 
  

Research Notes: Item 3.24

                 
10   

Approve Allocation of Income and Dividends of SEK 2.50 per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                 
  

Research Notes: Item 3.18

                 
11   

Approve Discharge of Board and President

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.25

                 
  

Research Notes: Item 3.25

                 
12   

Determine Number of Members (9) and Deputy Members (0) of Board

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.1b

                 
13   

Approve Remuneration of Directors in the Amount of SEK 1.8 Million for the Chairman and SEK 600,000 for Other Members; Approve Remuneration for Committee Work

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                 

 

Page 22 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

14   

Reelect Peter Bijur, Jean-Baptiste Duzan, Leif Johansson, Hanne de Mora, Anders Nyren, Louis Schweitzer (Chair), Ravi Venkatesan, Lars Westerberg, and Ying Yeh as Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
15   

Elect Louis Schweitzer, Jean-Baptiste Duzan, Carl-Olof By, Lars Forberg, and Hakan Sandberg as Members of Nominating Committee; Approve Omission of Remuneration of Nominating Committee

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
16   

Approve Remuneration Policy And Other Terms of Employment For Executive Management

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
  

Shareholder Proposals

      Mgmt    No            
17   

Amend Articles Re: Share Classes and Share Limits; Allow Voluntary Conversion of Class-A Shares into Class-B Shares

   SH    Yes    None    For    Refer    For
  

Client Notes: 3.23c

                    
  

Management Proposals

      Mgmt    No            
18a   

Approve 2011-2013 Share Matching Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
18b   

Approve Transfer of Shares to Participants of the 2011-2013 Share Matching Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     22,800,800        22,800,800   
    Totals:     22,800,800        22,800,800   
     

 

 

   

 

 

 

ASML Holding NV

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N/A

   20-Apr-11    Netherlands    N07059178    Annual    23-Mar-11    6,985,600    6,985,600    6,985,600    0

 

CUSIP:

  N07059178    ISIN:   NL0006034001    SEDOL:   5949368    Proxy Level:    N/A    Meeting ID:   612942

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Annual Meeting

      Mgmt    No            
1   

Open Meeting

   Mgmt    No            
2   

Discuss the Company’s Business and Finacial Situation

   Mgmt    No            

 

Page 23 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Approve Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24

                    
4   

Approve Discharge of Management Board

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.25

                    
  

Research Notes: Item 3.25

                    
5   

Approve Discharge of Supervisory Board

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.25

                    
  

Research Notes: Item 3.25

                    
6   

Receive Explanation on Company’s Reserves and Dividend Policy

   Mgmt    No            
7   

Approve Dividends of EUR 0.40 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
8   

Amend Articles Re: Legislative Changes

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.23b

                    
  

Research Notes: Item 3.2a

                    
9   

Approve the Numbers of Stock Options, Respectively Shares for Employees

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
10a   

Reelect W.T. Siegle to Supervisory Board

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10b   

Reelect J.W.B. Westerburgen to Supervisory Board

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Announcement of Retirement of Supervisory Board Members O. Bilous, F.W. Froehlich, A.P.M. van der Poel by Rotation in 2012.

   Mgmt    No            
12   

Approve Remuneration of Supervisory Board

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
13a   

Grant Board Authority to Issue Shares Up to 5 Percent of Issued Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    

 

Page 24 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

13b   

Authorize Board to Exclude Preemptive Rights from Issuance under Item 13a

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
13c   

Grant Board Authority to Issue Additional Shares of up to 5 Percent in Case of Takeover/Merger

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
13d   

Authorize Board to Exclude Preemptive Rights from Issuance under Item 13c

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
14   

Authorize Repurchase Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
15   

Authorize Cancellation of Repurchased Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.22a

                    
  

Research Notes: Item 3.22a

                    
16   

Authorize Additionnal Cancellation of Repurchased Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.22a

                    
  

Research Notes: Item 3.22a

                    
17   

Other Business

   Mgmt    No            
18   

Close Meeting

   Mgmt    No            

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     6,985,600        6,985,600   
    Totals:     6,985,600        6,985,600   
     

 

 

   

 

 

 

Teck Resources Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

TCK.B

   20-Apr-11    Canada    878742204    Annual    01-Mar-11    2,450,400    2,450,400    2,450,400    0

 

CUSIP:

  878742204    ISIN:   CA8787422044    SEDOL:   2879327    Proxy Level:    2    Meeting ID:   619289

 

Page 25 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Meeting for Class A Common Shares and Class B Subordinate Voting Shareholders

   Mgmt    No            
1.1   

Elect I. Abe as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect M.M. Ashar as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect J. B. Aune as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect J. H. Bennett as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect H. J. Bolton as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect F. P. Chee as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect J. L. Cockwell as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect N. B. Keevil as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.9   

Elect N. B. Keevil III as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.10   

Elect T. Kuriyama as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.11   

Elect D. R. Lindsay as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 26 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.12   

Elect J. G. Rennie as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.13   

Elect W.S.R. Seyffert as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.14   

Elect C. M. Thompson as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Advisory Vote on Executive Compensation Approach

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 5.1d

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     2,450,400        2,450,400   
    Totals:     2,450,400        2,450,400   
     

 

 

   

 

 

 

Honeywell International Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

HON

   25-Apr-11    USA    438516106    Annual    25-Feb-11    4,495,900    4,495,900    4,495,900    0

 

CUSIP:

  438516106    ISIN:   US4385161066    SEDOL:   2020459    Proxy Level:    3    Meeting ID:   627647

 

Voting Policy: Waddell & Reed

  

Ballot Count:1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Gordon M. Bethune

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Elect Director Kevin Burke

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 27 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Elect Director Jaime Chico Pardo

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Elect Director David M. Cote

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Director D. Scott Davis

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Elect Director Linnet F. Deily

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Elect Director Judd Gregg

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Elect Director Clive R. Hollick

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Elect Director George Paz

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Elect Director Bradley T. Sheares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
12   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    
13   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5d

                    
  

Research Notes: Item 5.5b

                    

 

Page 28 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

14   

Approve Omnibus Stock Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
15   

Amend Executive Incentive Bonus Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
16   

Provide Right to Act by Written Consent

   SH    Yes    Against    For    For    For
  

Client Notes: 3.3b

                    
  

Research Notes: Item 3.3b

                    
17   

Amend Articles/Bylaws/Charter -- Call Special Meetings

   SH    Yes    Against    For    For    For
  

Client Notes: 3.2b

                    
  

Research Notes: Item 3.2b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     4,495,900        4,495,900   
    Totals:     4,495,900        4,495,900   
     

 

 

   

 

 

 

Mead Johnson Nutrition Company

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

MJN

   26-Apr-11    USA    582839106    Annual    11-Mar-11    3,868,400    3,868,400    3,868,400    0

 

CUSIP:

  582839106    ISIN:   US5828391061    SEDOL:   B4W9F29    Proxy Level:    3    Meeting ID:   631138

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Stephen W. Golsby

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Steven M. Altschuler

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Howard B. Bernick

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Kimberly A. Casiano

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Anna C. Catalano

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    

 

Page 29 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.6   

Elect Director Celeste A. Clark

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director James M. Cornelius

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Peter G. Ratcliffe

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Elliott Sigal

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.10   

Elect Director Robert S. Singer

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
4   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     3,868,400        3,868,400   
    Totals:     3,868,400        3,868,400   
     

 

 

   

 

 

 

Eaton Corporation

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ETN

   27-Apr-11    USA    278058102    Annual    28-Feb-11    1,873,500    1,873,500    1,873,500    0

 

CUSIP:

  278058102    ISIN:   US2780581029    SEDOL:   2300883    Proxy Level:    3    Meeting ID:   630146

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director George S. Barrett

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Elect Director Todd M. Bluedorn

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    

 

Page 30 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Elect Director Ned C. Lautenbach

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
4   

Elect Director Gregory R. Page

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
5   

Declassify the Board of Directors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.4b

                    
6   

Eliminate Cumulative Voting

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.5

                    
7   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
8   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
9   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     1,873,500        1,873,500   
    Totals:     1,873,500        1,873,500   
     

 

 

   

 

 

 

Allergan, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AGN

   03-May-11    USA    018490102    Annual    04-Mar-11    1,236,200    1,236,200    1,236,200    0

 

CUSIP:

  018490102    ISIN:   US0184901025    SEDOL:   2017213    Proxy Level:    3    Meeting ID:   627256

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Deborah Dunsire

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Elect Director Trevor M. Jones

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 31 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Elect Director Louis J. Lavigne, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    
6   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
7   

Approve Executive Incentive Bonus Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
8   

Approve Omnibus Stock Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
9   

Declassify the Board of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.4b

                    
  

Research Notes: Item 2.4b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     1,236,200        1,236,200   
    Totals:     1,236,200        1,236,200   
     

 

 

   

 

 

 

Broadcom Corporation

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRCM

   05-May-11    USA    111320107    Annual    07-Mar-11    6,471,900    6,471,900    6,471,900    0

 

CUSIP:

  111320107    ISIN:   US1113201073    SEDOL:   2235822    Proxy Level:    3    Meeting ID:   630680

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Nancy H. Handel

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    

 

Page 32 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.2   

Elect Director Eddy W. Hartenstein

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Maria Klawe

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director John E. Major

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Scott A. McGregor

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director William T. Morrow

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Henry Samueli

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director John A.C. Swainson

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Robert E. Switz

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
4   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     6,471,900        6,471,900   
    Totals:     6,471,900        6,471,900   
     

 

 

   

 

 

 

Standard Chartered plc

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

STAN

   05-May-11    United Kingdom    G84228157    Annual    03-May-11    18,297,138    18,297,138    18,297,138    0

 

CUSIP:

  G84228157    ISIN:   GB0004082847    SEDOL:   0408284    Proxy Level:    N/A    Meeting ID:   622529

 

Page 33 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve Final Dividend

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3   

Approve Remuneration Report

   Mgmt    Yes    For    Abstain    Refer    For
  

Client Notes: 2.8c

                    
4   

Re-elect Steve Bertamini as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Re-elect Jaspal Bindra as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Re-elect Richard Delbridge as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Re-elect Jamie Dundas as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Re-elect Val Gooding as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Re-elect Dr Han Seung-soo as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Re-elect Simon Lowth as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Re-elect Rudy Markham as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 34 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

12   

Re-elect Ruth Markland as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
13   

Re-elect Richard Meddings as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
14   

Re-elect John Paynter as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
15   

Re-elect John Peace as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
16   

Re-elect Mike Rees as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
17   

Re-elect Peter Sands as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
18   

Re-elect Paul Skinner as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
19   

Re-elect Oliver Stocken as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
20   

Reappoint KPMG Audit plc as Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
21   

Authorise Board to Fix Remuneration of Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
22   

Authorise EU Political Donations and Expenditure

   Mgmt    Yes    For    For    For    For
  

Client Notes: 7.2a

                    
  

Research Notes: Item 7.2a

                    

 

Page 35 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

23   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
24   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
25   

Approve 2011 Share Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
26   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
27   

Authorise Market Purchase

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
28   

Authorise Market Purchase

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
29   

Authorise the Company to Call EGM with Two Weeks’ Notice

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.2c

                    
  

Research Notes: Item 3.2c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     18,297,138        18,297,138   
    Totals:     18,297,138        18,297,138   
     

 

 

   

 

 

 

Starwood Hotels & Resorts Worldwide, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

HOT

   05-May-11    USA    85590A401    Annual    10-Mar-11    10,053,000    10,053,000    10,053,000    0

 

CUSIP:

  85590A401    ISIN:   US85590A4013    SEDOL:   B12GHV2    Proxy Level:    3    Meeting ID:   631118

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Adam M. Aron

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    

 

Page 36 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.2   

Elect Director Charlene Barshefsky

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Thomas E. Clarke

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Clayton C. Daley, Jr.

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Bruce W. Duncan

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Lizanne Galbreath

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Eric Hippeau

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Stephen R. Quazzo

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Thomas O. Ryder

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.10   

Elect Director Frits van Paasschen

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.11   

Elect Director Kneeland C. Youngblood

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                 
3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
4   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     10,053,000        10,053,000   
    Totals:     10,053,000        10,053,000   
     

 

 

   

 

 

 

 

Page 37 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

The Goldman Sachs Group, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

GS

   06-May-11    USA    38141G104    Annual    07-Mar-11    2,324,300    2,324,300    2,324,300    0

 

CUSIP:

  38141G104    ISIN:   US38141G1040    SEDOL:   2407966    Proxy Level:    3    Meeting ID:   636407

 

Voting Policy: Waddell & Reed

  

Ballot Count:1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Lloyd C. Blankfein

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Elect Director John H. Bryan

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Elect Director Gary D. Cohn

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Elect Director Claes Dahlback

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Director Stephen Friedman

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Elect Director William W. George

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Elect Director James A. Johnson

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Elect Director Lois D. Juliber

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Elect Director Lakshmi N. Mittal

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 38 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

10   

Elect Director James J. Schiro

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 5.1d per Zack Shafran

                    
12   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
13   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
14   

Provide for Cumulative Voting

   SH    Yes    Against    For    Against    Against
  

Client Notes: 2.5

                    
  

Research Notes: Item 2.5

                    
15   

Amend Bylaws-- Call Special Meetings

   SH    Yes    Against    For    For    For
  

Client Notes: 3.2b

                    
  

Research Notes: Item 3.2b

                    
16   

Stock Retention/Holding Period

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 4.4

                    
17   

Review Executive Compensation

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 5.5a

                    
18   

Report on Climate Change Business Risks

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 5.4

                    
  

Research Notes: Item 6.2

                    
19   

Report on Political Contributions

   SH    Yes    Against    Against    Against    Against
  

Client Notes: 7.2b

                    
  

Research Notes: Item 7.2b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,324,300        2,324,300   
    Totals:     2,324,300        2,324,300   
     

 

 

   

 

 

 

 

Page 39 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Cummins Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CMI

   10-May-11    USA    231021106    Annual    14-Mar-11    2,953,300    2,953,300    2,953,300    0

 

CUSIP:

  231021106    ISIN:   US2310211063    SEDOL:   2240202    Proxy Level:    3    Meeting ID:   631993

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Theodore M. Solso

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Elect Director N. Thomas Linebarger

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3   

Elect Director William I. Miller

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
4   

Elect Director Alexis M. Herman

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
5   

Elect Director Georgia R. Nelson

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6   

Elect Director Carl Ware

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
7   

Elect Director Robert K. Herdman

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
8   

Elect Director Robert J. Bernhard

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
9   

Elect Director Franklin R. Chang-Diaz

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
10   

Elect Director Stephen B. Dobbs

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
11   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
12   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
13   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Page 40 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,953,300        2,953,300   
    Totals:     2,953,300        2,953,300   
     

 

 

   

 

 

 

ConocoPhillips

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

COP

   11-May-11    USA    20825C104    Annual    14-Mar-11    10,358,100    10,358,100    10,358,100    0

 

CUSIP:

  20825C104    ISIN:   US20825C1045    SEDOL:   2685717    Proxy Level:    3    Meeting ID:   634412

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Richard L. Armitage

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Elect Director Richard H. Auchinleck

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Elect Director James E. Copeland, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Elect Director Kenneth M. Duberstein

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Director Ruth R. Harkin

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Elect Director Harold W. McGraw III

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Elect Director James J. Mulva

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 41 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

8   

Elect Director Robert A. Niblock

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Elect Director Harald J. Norvik

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Elect Director William K. Reilly

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Elect Director Victoria J. Tschinkel

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
12   

Elect Director Kathryn C. Turner

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
13   

Elect Director William E. Wade, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
14   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
15   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 5.1d Per ZHS

                    
16   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    None    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
17   

Approve Omnibus Stock Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
18   

Amend EEO Policy to Prohibit Discrimination based on Gender Identity

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 6.1

                    
19   

Report on Political Contributions

   SH    Yes    Against    For    Against    Against
  

Client Notes: 7.2b

                    
  

Research Notes: Item 7.2b

                    

 

Page 42 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

20   

Report on Lobbying Expenses

   SH    Yes    Against    For    Against    Against
  

Client Notes: 7.2b

                    
  

Research Notes: Item 7.2b

                    
21   

Report on Accident Risk Reduction Efforts

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 6.2

                    
22   

Adopt Policy to Address Coastal Louisiana Environmental Impacts

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    
23   

Adopt Quantitative GHG Goals for Products and Operations

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    
24   

Report on Financial Risks of Climate Change

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    
25   

Report on Environmental Impact of Oil Sands Operations in Canada

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     10,358,100        10,358,100   
    Totals:     10,358,100        10,358,100   
     

 

 

   

 

 

 

Philip Morris International Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

PM

   11-May-11    USA    718172109    Annual    15-Mar-11    5,530,000    5,530,000    5,530,000    0

 

CUSIP:

  718172109    ISIN:   US7181721090    SEDOL:   B2PKRQ3    Proxy Level:    3    Meeting ID:   632784

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Harold Brown

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 43 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

2   

Elect Director Mathis Cabiallavetta

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Elect Director Louis C. Camilleri

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Elect Director J. Dudley Fishburn

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Director Jennifer Li

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Elect Director Graham Mackay

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Elect Director Sergio Marchionne

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Elect Director Lucio A. Noto

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Elect Director Carlos Slim Helu

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Elect Director Stephen M. Wolf

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
12   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    

 

Page 44 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

13   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
14   

Report on Effect of Marketing Practices on the Poor

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 5.4

                    
15   

Require Independent Board Chairman

   SH    Yes    Against    Against    Refer    For
  

Client Notes: 2.12

                    
  

Research Notes: Item 2.12

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     5,530,000        5,530,000   
    Totals:     5,530,000        5,530,000   
     

 

 

   

 

 

 

Tencent Holdings Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00700

   11-May-11    Hong Kong    G87572148    Annual    04-May-11    15,061,700    15,061,700    15,061,700    0

 

CUSIP:

  G87572148    ISIN:   KYG875721485    SEDOL:   B01CT30    Proxy Level:    N/A    Meeting ID:   633407

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Declare Final Dividend

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3a1   

Reelect Lau Chi Ping Martin as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3a2   

Reelect Antonie Andries Roux as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 45 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3b   

Authorize Board to Fixa the Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    
4   

Reappoint Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per ZHS

                    
6   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
7   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9b Per ZHS

                    
8   

Authorize Board to Establish Further Employee Incentive Schemes

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1 Lack of Information

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     15,061,700        15,061,700   
    Totals:     15,061,700        15,061,700   
     

 

 

   

 

 

 

ARM Holdings plc

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ARM

   12-May-11    United Kingdom    G0483X122    Annual    04-Apr-11    2,717,700    2,717,700    2,717,700    0

 

CUSIP:

  G0483X122    ISIN:   GB0000595859    SEDOL:   0059585    Proxy Level:    N/A    Meeting ID:   639978

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Meeting for ADR Holders

   Mgmt    No            
1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    

 

Page 46 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

2   

Approve Final Dividend

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3   

Approve Remuneration Report

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
4   

Elect Larry Hirst as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Janice Roberts as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Elect Andy Green as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Re-elect Doug Dunn as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Re-elect Warren East as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Re-elect Tudor Brown as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Re-elect Mike Inglis as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Re-elect Mike Muller as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
12   

Re-elect Kathleen O’Donovan as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
13   

Re-elect Philip Rowley as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 47 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

14   

Re-elect Tim Score as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
15   

Re-elect Simon Segars as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
16   

Re-elect Young Sohn as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
17   

Reappoint PricewaterhouseCoopers LLP as Auditors of the Company

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
18   

Authorise Board to Fix Remuneration of Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
19   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
20   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
21   

Authorise Market Purchase

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
22   

Authorise the Company to Call EGM with Two Weeks’ Notice

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.2c

                    
  

Research Notes: Item 3.2c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,717,700        2,717,700   
    Totals:     2,717,700        2,717,700   
     

 

 

   

 

 

 

 

Page 48 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Wynn Macau Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01128

   17-May-11    Hong Kong    G98149100    Annual       151,133,200    151,133,200    151,133,200    0

 

CUSIP:

  G98149100    ISIN:   KYG981491007    SEDOL:   B4JSTL6    Proxy Level:    N/A    Meeting ID:   638967

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2a   

Reelect Linda Chen as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2b   

Reelect Allan Zeman as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2c   

Reelect Bruce Rockowitz as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2d   

Authorize Board to Fix Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    
3   

Reappoint Ernst & Young as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
4   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without

   Mgmt    Yes    For    Against    Refer    For
  

Preemptive Rights

                    
  

Client Notes: 3.9c

                    
6   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c

                    

 

Page 49 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     151,133,200        151,133,200   
    Totals:     151 133 200        151 133 200   
     

 

 

   

 

 

 

Wynn Resorts, Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

WYNN

   17-May-11    USA    983134107    Annual    25-Mar-11    12,058,239    12,058,239    12,058,239    0

 

CUSIP:

  983134107    ISIN:   US9831341071    SEDOL:   2963811    Proxy Level:    3    Meeting ID:   637780

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Russell Goldsmith

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Robert J. Miller

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Kazuo Okada

   Mgmt    Yes    For    Withhold    Refer    For
  

Client Notes: 2.6a

                    
1.4   

Elect Director Allan Zeman

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 5.1d per Zack Shafran

                    
3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    None    One Year    One Year    Three Years
  

Client Notes: 5.5b per Ryan Caldwell

                    
  

Research Notes: Item 5.5b

                    
4   

Amend Omnibus Stock Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
5   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Page 50 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

6   

Require a Majority Vote for the Election of Directors

   SH    Yes    Against    For    For    Against
  

Client Notes: 7.6b per Zack Shafran

                    
  

Research Notes: Item 7.6a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     12,058,239        12,058,239   
    Totals:     12,058,239        12,058,239   
     

 

 

   

 

 

 

Cathay Pacific Airways Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00293

   18-May-11    Hong Kong    Y11757104    Annual    12-May-11    57,248,000    57,248,000    57,248,000    0

 

CUSIP:

  Y11757104    ISIN:   HK0293001514    SEDOL:   6179755    Proxy Level:    N/A    Meeting ID:   635550

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Declare Final Dividend

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
2a   

Reelect James Wyndham John Hughes-Hallett as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2b   

Reelect John Robert Slosar as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2c   

Elect William Edward James Barrington as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2d   

Elect Chu Kwok Leung Ivan as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2e   

Elect Merlin Bingham Swire as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 51 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Reappoint KPMG as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
4   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Ryan Caldwell

                    
6   

Approve Directors’ Fees

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     57,248,000        57,248,000   
    Totals:     57,248,000        57,248,000   
     

 

 

   

 

 

 

China Pacific Insurance (Group) Co., Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

601601

   18-May-11    China    Y1505R119    Annual    15-Apr-11    152,707,300    152,707,300    152,707,300    0

 

CUSIP:

  Y1505R119    ISIN:   CNE1000008M8    SEDOL:   B29WFR2    Proxy Level:    N/A    Meeting ID:   635510

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

MEETING FOR HOLDERS OF H SHARES

   Mgmt    No            
1   

Approve 2010 Directors’ Report

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve 2010 Supervisors’ Report

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    

 

Page 52 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Approve 2010 Annual Report and Annual Report Summary of A Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
4   

Approve 2010 Annual Report of H Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
5   

Approve 2010 Financial Statements Report

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
6   

Approve 2010 Allocation of Income and Dividends

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
7   

Approve to Appoint Company’s 2011 Audit Firm

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
8   

Approve Remuneration Management System of Directors and Supervisors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    
9   

Approve 2010 Directors’ Due Diligence Report

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
10   

Approve 2010 Report on Performance of Independent Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
11   

Amend Articles of Association

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.23b

                    
  

Research Notes: Item 3.23b

                    
12   

Approve to Amend Rules and Procedures Regarding

   Mgmt    Yes    For    For    Refer    For
  

Shareholder’s Meeting

                    
  

Client Notes: 3.23b

                    
13   

Approve Authorization to the Board With the General Mandate on the Issue of New Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23b

                    

 

Page 53 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

14   

Approve Amendments to the Company’s Connected Transaction Management Measures For H Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     152,707,300        152,707,300   
    Totals:     152,707,300        152,707,300   
     

 

 

   

 

 

 

Juniper Networks, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

JNPR

   18-May-11    USA    48203R104    Annual    24-Mar-11    7,163,100    7,163,100    7,163,100    0

 

CUSIP:

  48203R104    ISIN:   US48203R1041    SEDOL:   2431846    Proxy Level:    3    Meeting ID:   638270

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Mary B. Cranston

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Kevin R. Johnson

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director J. Michael Lawrie

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director David Schlotterbeck

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Approve Executive Incentive Bonus Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
4   

Amend Omnibus Stock Plan

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 4.1

                    

 

Page 54 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

5   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    
6   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
7   

Declassify the Board of Directors

   SH    Yes    None    For    For    For
  

Client Notes: 2.4b

                    
  

Research Notes: Item 2.4b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     7,163,100        7,163,100   
    Totals:     7,163,100        7,163,100   
     

 

 

   

 

 

 

Li & Fung Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00494

   18-May-11    Hong Kong    G5485F144    Annual    09-May-11    30,954,200    30,954,200    30,954,200    0

 

CUSIP:

  G5485F144    ISIN:   BMG5485F1445    SEDOL:   6286257    Proxy Level:    N/A    Meeting ID:   632702

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Declare Final Dividend of HK$0.52 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3a   

Reelect William Fung Kwok Lun as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3b   

Reelect Allan Wong Chi Yun as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 55 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3c   

Reelect Benedict Chang Yew Teck as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Approve Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    
5   

Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
6   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
7   

Approve Issuance of Equity or Equity-Linked Securities without

   Mgmt    Yes    For    Against    Refer    For
  

Preemptive Rights

                    
  

Client Notes: 3.9b per Mike Avery

                    
8   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Against    For
  

Client Notes: 3.6 per Mike Avery

                    
9   

Approve Subdivision of Every Issued and Unissued Share of HK$0.025 Each in the Share Capital of the Company into Two Shares of HK$0.0125 Each

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6 per Mike Avery

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     30,954,200        30,954,200   
    Totals:     30,954,200        30,954,200   
     

 

 

   

 

 

 

Halliburton Company

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

HAL

   19-May-11    USA    406216101    Annual    21-Mar-11    11,192,400    11,192,400    11,192,400    0

 

CUSIP:

  406216101    ISIN:   US4062161017    SEDOL:   2405302    Proxy Level:    3    Meeting ID:   635633

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Alan M. Bennett

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    

 

Page 56 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

2   

Elect Director James R. Boyd

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3   

Elect Director Milton Carroll

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
4   

Elect Director Nance K. Dicciani

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
5   

Elect Director S. Malcolm Gillis

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6   

Elect Director Abdallah S. Jum’ah

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
7   

Elect Director David J. Lesar

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
8   

Elect Director Robert A. Malone

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
9   

Elect Director J Landis Martin

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
10   

Elect Director Debra L. Reed

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
11   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
12   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
13   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
14   

Review and Assess Human Rights Policies

   SH    Yes    Against    For    Against    Against
  

Research Notes: Item 6.6

                    
15   

Report on Political Contributions

   SH    Yes    Against    For    Against    Against
  

Research Notes: Item 7.2b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     11,192,400        11,192,400   
    Totals:     11,192,400        11,192,400   
     

 

 

   

 

 

 

 

Page 57 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

National Oilwell Varco, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

NOV

   19-May-11    USA    637071101    Annual    28-Mar-11    3,111,000    3,111,000    3,111,000    0

 

CUSIP:

  637071101    ISIN:   US6370711011    SEDOL:   2624486    Proxy Level:    3    Meeting ID:   637926

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Robert E. Beauchamp

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Elect Director Jeffery A. Smisek

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
4   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
5   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
6   

Declassify the Board of Directors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.4b

                    
7   

Increase Authorized Common Stock

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.6

                    
8   

Report on Political Contributions

   SH    Yes    Against    For    Against    Against
  

Research Notes: Item 7.2b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     3,111,000        3,111,000   
    Totals:     3,111,000        3,111,000   
     

 

 

   

 

 

 

Hutchison Whampoa Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00013

   20-May-11    Hong Kong    Y38024108    Annual    12-May-11    36,222,000    36,222,000    36,222,000    0

 

CUSIP:

  Y38024108    ISIN:   HK0013000119    SEDOL:   6448068    Proxy Level:    N/A    Meeting ID:   639072

 

Page 58 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Declare Final Dividend

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3a   

Reelect Fok Kin-ning, Canning as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3b   

Reelect Kam Hing Lam as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3c   

Reelect Holger Kluge as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3d   

Reelect William Shurniak as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3e   

Reelect Wong Chung Hin as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Appoint Auditor and Authorize Board to Fix Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5a   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Zack Shafran

                    
5b   

Authorize Repurchase of Up to 10 Percent of Issued Share

   Mgmt    Yes    For    For    For    For
  

Capital

                    
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
5c   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Zack Shafran

                    
6   

Approve Amendments to the Articles of Association

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
  

Research Notes: Item 3.23c

                    

 

Page 59 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     36,222,000        36,222,000   
    Totals:     36,222,000        36,222,000   
     

 

 

   

 

 

 

BOC Hong Kong (Holdings) Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

02388

   25-May-11    Hong Kong    Y0920U103    Annual    19-May-11    91,916,500    91,916,500    91,916,500    0

 

CUSIP:

  Y0920U103    ISIN:   HK2388011192    SEDOL:   6536112    Proxy Level:    N/A    Meeting ID:   639547

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Declare Final Dividend of HK$0.572 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3a   

Reelect He Guangbei as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3b   

Reelect Li Zaohang as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3c   

Reelect Fung Victor Kwok King as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3d   

Reelect Shan Weijian as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 60 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

4   

Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Mike Avery

                    
6   

Authorize Repurchase of Up to 10 Percent of Issued Share

   Mgmt    Yes    For    For    For    For
  

Capital

                    
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
7   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Mike Avery

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     91,916,500        91,916,500   
    Totals:     91,916,500        91,916,500   
     

 

 

   

 

 

 

BOC Hong Kong (Holdings) Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

02388

   25-May-11    Hong Kong    Y0920U103    Special    19-May-11    91,916,500    91,916,500    91,916,500    0

 

CUSIP:

  Y0920U103    ISIN:   HK2388011192    SEDOL:   6536112    Proxy Level:    N/A    Meeting ID:   639555

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Connected Transaction with a Related Party

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     91,916,500        91,916,500   
    Totals:     91,916,500        91,916,500   
     

 

 

   

 

 

 

Exxon Mobil Corporation

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

XOM

   25-May-11    USA    30231G102    Annual    06-Apr-11    2,961,600    2,961,600    2,961,600    0

 

Page 61 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

CUSIP:

  30231G102    ISIN:   US30231G1022    SEDOL:   2326618    Proxy Level:    3    Meeting ID:   639738

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director M.J. Boskin

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director P. Brabeck-Letmathe

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director L.R. Faulkner

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director J.S. Fishman

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director K.C. Frazier

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director W.W. George

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director M.C. Nelson

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director S.J. Palmisano

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director S.S. Reinemund

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.10   

Elect Director R.W. Tillerson

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 62 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.11   

Elect Director E.E. Whitacre, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 5.1d per Zack Shafran

                    
4   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
5   

Require Independent Board Chairman

   SH    Yes    Against    For    Refer    For
  

Client Notes: 2.12

                    
  

Research Notes: Item 2.12

                    
6   

Report on Political Contributions

   SH    Yes    Against    For    Against    Against
  

Client Notes: 7.2b

                    
  

Research Notes: Item 7.2b

                    
7   

Amend EEO Policy to Prohibit Discrimination based on Sexual

   SH    Yes    Against    Against    Against    Against
  

Orientation and Gender Identity

                    
  

Client Notes: 6.1

                    
  

Research Notes: Item 6.1

                    
8   

Adopt Policy on Human Right to Water

   SH    Yes    Against    Against    Against    Against
  

Client Notes: 6.6

                    
  

Research Notes: Item 6.6

                    
9   

Report on Environmental Impact of Oil Sands Operations in Canada

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    
10   

Report on Environmental Impacts of Natural Gas Fracturing

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    
11   

Report on Energy Technologies Development

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    
12   

Adopt Quantitative GHG Goals for Products and Operations

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 6.2

                    
  

Research Notes: Item 6.2

                    

 

Page 63 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,961,600        2,961,600   
    Totals:     2,961,600        2,961,600   
     

 

 

   

 

 

 

First Solar, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

FSLR

   25-May-11    USA    336433107    Annual    07-Apr-11    1,590,800    1,590,800    1,590,800    0

 

CUSIP:

  336433107    ISIN:   US3364331070    SEDOL:   B1HMF22    Proxy Level:    3    Meeting ID:   640340

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Michael J. Ahearn

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Robert J. Gillette

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Craig Kennedy

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director James F. Nolan

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director William J. Post

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director J. Thomas Presby

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Paul H. Stebbins

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Michael Sweeney

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Jose H. Villarreal

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    

 

Page 64 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
4   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
5   

Report on Potential Risks Related to Arizona Immigration

   SH    Yes    Against    Against    Against    Against
  

Legislation and Public Reaction

                    
  

Research Notes: Item 6.6

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     1,590,800        1,590,800   
    Totals:     1,590,800        1,590,800   
     

 

 

   

 

 

 

AIA Group Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01299

   26-May-11    Hong Kong    Y002A1105    Annual    20-May-11    124,837,400    124,837,400    124,837,400    0

 

CUSIP:

  N/A    ISIN:   HK0000069689    SEDOL:   B4TX8S1    Proxy Level:    N/A    Meeting ID:   632749

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Reelect Edmund Sze Wing Tse as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Reelect Mark Edward Tucker as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Page 65 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

5a   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Zack Shafran

                    
5b   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
5c   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Zack Shafran

                    
5d   

Approve Allotment and Issue of Additional Shares Under the Restricted Share Unit Scheme

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.3a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     124,837,400        124,837,400   
   

Totals:

    124,837,400        124,837,400   
     

 

 

   

 

 

 

Bank of China Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

03988

   27-May-11    Hong Kong    Y0698A107    Annual    26-Apr-11    337,724,000    337,724,000    337,724,000    0

 

CUSIP:

  Y0698A107    ISIN:   CNE1000001Z5    SEDOL:   B154564    Proxy Level:    N/A    Meeting ID:   639503

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Report of Board of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Report of Board of Supervisors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                 
  

Research Notes: Item 3.24a

                 
3   

Approve the Annual Financial Statements

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                 
  

Research Notes: Item 3.24a

                 
4   

Approve Profit Distribution Plan

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                 
  

Research Notes: Item 3.18a

                 

 

Page 66 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

5   

Approve the Annual Budget Report

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24b

                    
  

Research Notes: Item 3.24b

                    
6   

Reappoint PricewaterhouseCoopers Zhong Tian CPAs Limited Company and PricewaterhouseCoopers Hong Kong as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
7a   

Elect Zhang Xiangdong as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7b   

Elect Zhang Qi as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8a   

Elect Mei Xingbao as External Supervisor

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
8b   

Elect Bao Guoming as External Supervisor

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
9   

Approve Issuance of Ordinary Financial Bonds

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     337,724,000        337,724,000   
    Totals:     337,724,000        337,724,000   
     

 

 

   

 

 

 

Industrial and Commercial Bank of China Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01398

   31-May-11    Hong Kong    Y3990B112    Annual    29-Apr-11    158,504,000    158,504,000    158,504,000    0

 

CUSIP:

  Y3990B112    ISIN:   CNE1000003G1    SEDOL:   B1G1QD8    Proxy Level:    N/A    Meeting ID:   639831

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve 2010 Work Report of Board of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    

 

Page 67 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

2   

Approve 2010 Work Report of Board of Supervisors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24a

                    
3   

Approve 2010 Audited Accounts

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
4   

Approve 2010 Profit Distribution Plan

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
5   

Approve Purchase of Office Premises by Shanghai Branch

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5

                    
6   

Approve 2011 Fixed Assets Investment Budget

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24b

                    
  

Research Notes: Item 3.24b

                    
7   

Reappoint Ernst & Young and Ernst & Young Hua Ming as External Auditors and Fix Aggregate Audit Fees for 2011 at RMB 159.6 Million

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
8   

Elect Zhao Lin as Shareholder Supervisor

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.6a

                    
9   

Approve Payment of Remuneration to Directors and Supervisors

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     158,504,000        158,504,000   
    Totals:     158,504,000        158,504,000   
     

 

 

   

 

 

 

Cognizant Technology Solutions Corporation

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CTSH

   02-Jun-11    USA    192446102    Annual    08-Apr-11    8,603,100    8,603,100    8,603,100    0

 

CUSIP:

  192446102    ISIN:   US1924461023    SEDOL:   2257019    Proxy Level:    3    Meeting ID:   640772

 

Page 68 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Robert W. Howe

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Elect Director Robert E. Weissman

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
4   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
5   

Increase Authorized Common Stock

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.6

                    
6   

Reduce Supermajority Vote Requirement

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.4b

                    
7   

Reduce Supermajority Vote Requirement

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.4b

                    
8   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     8,603,100        8,603,100   
    Totals:     8,603,100        8,603,100   
     

 

 

   

 

 

 

Google Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

GOOG

   02-Jun-11    USA    38259P508    Annual    04-Apr-11    772,300    772,300    772,300    0

 

CUSIP:

  38259P508    ISIN:   US38259P5089    SEDOL:   B020QX2    Proxy Level:    3    Meeting ID:   641211

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Larry Page

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 69 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.2   

Elect Director Sergey Brin

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Eric E. Schmidt

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director L. John Doerr

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director John L. Hennessy

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Ann Mather

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Paul S. Otellini

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director K. Ram Shriram

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Shirley M. Tilghman

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Amend Omnibus Stock Plan

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1 Repricing allowed

                    
4   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    

 

Page 70 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

5   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
6   

Amend Bylaws to Establish a Board Committee on Environmental Sustainability

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 6.2

                    
7   

Reduce Supermajority Vote Requirement

   SH    Yes    Against    Against    For    For
  

Client Notes: 3.4b

                    
  

Research Notes: Item 3.4b

                    
8   

Report on Code of Conduct Compliance

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 5.4

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     772,300        772,300   
    Totals:     772,300        772,300   
     

 

 

   

 

 

 

Sands China Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

01928

   07-Jun-11    Hong Kong    G7800X107    Annual    26-May-11    412,993,217    412,993,217    412,993,217    0

 

CUSIP:

  G7800X107    ISIN:   KYG7800X1079    SEDOL:   B5B23W2    Proxy Level:    N/A    Meeting ID:   642642

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2a   

Reelect Michael Alan Leven as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2b   

Reelect Toh Hup Hock as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 71 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

2c   

Reelect Jeffrey Howard Schwartz as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2d   

Reelect David Muir Turnbull as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2e   

Reelect Iain Ferguson Bruce as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2f   

Authorize Board to Fix Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    
3   

Reappoint PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
4   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Zack Shafran

                    
6   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.9c per Zack Shafran

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     412,993,217        412,993,217   
    Totals:     412,993,217        412,993,217   
     

 

 

   

 

 

 

Agricultural Bank of China

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

601288

   08-Jun-11    Hong Kong    Y00289101    Annual    06-May-11    46,975,000    46,975,000    46,975,000    0

 

CUSIP:

  N/A    ISIN:   CNE100000RJ0    SEDOL:   B620Y41    Proxy Level:    N/A    Meeting ID:   643385

 

Page 72 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve 2010 Work Report of Board of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve 2010 Work Report of Board of Supervisors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
3   

Approve Financial Accounts for the Year 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
4   

Approve Profit Distribution Plan for the Second Half of 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
5   

Approve Fixed Assets Investment Budget for the Year 2011

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24b

                    
  

Research Notes: Item 3.24b

                    
6   

Appoint Deloitte Touche Tohmatsu CPA Ltd. and Deloitte Touche Tohmatsu as External Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
7   

Appoint Li Yelin as Non-Executive Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Approve 2010 Final Emoluments Plan for Directors and Supervisors

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     46,975,000        46,975,000   
    Totals:     46,975,000        46,975,000   
     

 

 

   

 

 

 

 

Page 73 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Caterpillar Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CAT

   08-Jun-11    USA    149123101    Annual    11-Apr-11    2,589,500    2,589,500    2,589,500    0

 

CUSIP:

  149123101    ISIN:   US1491231015    SEDOL:   2180201    Proxy Level:    3    Meeting ID:   641495

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director David L. Calhoun

   Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Daniel M. Dickinson

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Eugene V. Fife

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Juan Gallardo

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director David R. Goode

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Jesse J. Greene, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Peter A. Magowan

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Dennis A. Muilenburg

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Douglas R. Oberhelman

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 74 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

1.10   

Elect Director William A. Osborn

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.11   

Elect Director Charles D. Powell

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.12   

Elect Director Edward B. Rust, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.13   

Elect Director Susan C. Schwab

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.14   

Elect Director Joshua I. Smith

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.15   

Elect Director Miles D. White

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Amend Executive Incentive Bonus Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
4   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    
5   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
6   

Report on Political Contributions

   SH    Yes    Against    For    Against    Against
  

Client Notes: 7.2b

                    
  

Research Notes: Item 7.2b

                    
7   

Stock Retention/Holding Period

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 4.4

                    

 

Page 75 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

8   

Require a Majority Vote for the Election of Directors

   SH    Yes    Against    For    For    For
  

Client Notes: 7.6a

                    
  

Research Notes: Item 7.6a

                    
9   

Amend Articles/Bylaws/Charter — Call Special Meetings

   SH    Yes    Against    For    For    For
  

Client Notes: 3.2b

                    
  

Research Notes: Item 3.2b

                    
10   

Require Independent Board Chairman

   SH    Yes    Against    Against    Refer    For
  

Client Notes: 2.12

                    
  

Research Notes: Item 2.12

                    
11   

Review and Assess Human Rights Policies

   SH    Yes    Against    For    Against    Against
  

Client Notes: 6.6

                    
  

Research Notes: Item 6.6

                    
12   

Adopt a Policy in which the Company will not Make or Promise to Make Any Death Benefit Payments to Senior Executives

   SH    Yes    Against    Against    Refer    Against
  

Client Notes: 4.7

                    
  

Research Notes: Item 4.7

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  115973.1   Confirmed     2,589,500        2,589,500   
    Totals:     2,589,500        2,589,500   
     

 

 

   

 

 

 

China Construction Bank Corporation

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00939

   09-Jun-11    Hong Kong    Y1397N101    Annual    09-May-11    169,607,000    169,607,000    169,607,000    0

 

CUSIP:

  Y1397N101    ISIN:   CNE1000002H1    SEDOL:   B0LMTQ3    Proxy Level:    N/A    Meeting ID:   644183

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Report of Board of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve Report of Board of Supervisors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    

 

Page 76 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

3   

Approve Final Financial Accounts

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
4   

Approve Fixed Assets Investment Budget for the Year 2011

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24b

                    
  

Research Notes: Item 3.24b

                    
5   

Approve Profit Distribution Plan for 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
6   

Appoint Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
7   

Elect Dong Shi as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Approve Purchase of Head Office Business Processing Centre

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5

                    
9   

Approve 2010 Final Emolument Distribution Plan for Directors and Supervisors

   SH    Yes    None    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     169,607,000        169,607,000   
    Totals:     169,607,000        169,607,000   
     

 

 

   

 

 

 

Ping An Insurance (Group) Co. of China, Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

02318

   16-Jun-11    Hong Kong    Y69790106    Annual    16-May-11    11,256,471    11,256,471    11,256,471    0

 

CUSIP:

  Y69790106    ISIN:   CNE1000003X6    SEDOL:   B01FLR7    Proxy Level:    N/A    Meeting ID:   637660

 

Page 77 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 3

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Report of the Board of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Accept Report of Supervisory Committee

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
3   

Approve Annual Report and its Summary for the Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
4   

Accept Financial Statements and Auditors’ Report

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
5   

Approve Profit Distribution Plan and Final Dividend

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
6   

Reappoint Ernst & Young Hua Ming as PRC Auditors and Ernst & Young as International Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
7   

Approve Redesignation of Cheung Chi Yan, Louis as Non-Executive Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.10b

                    
8   

Elect Woo Ka Biu, Jackson as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Amend Articles of Association

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     6,886,971        6,886,971   

6 Ivy Asset Strategy, 6

  610591653   Confirmed     4,369,500        4,369,500   
    Totals:     11,256,471        11,256,471   
     

 

 

   

 

 

 

 

Page 78 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

ICICI Bank Limited

 

Ticker

   Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

532174

   27-Jun-11    India    Y38575109    Annual       6,125,688    6,125,688    6,125,688    0

 

CUSIP:

  Y38575109    ISIN:   INE090A01013    SEDOL:   6100368    Proxy Level:    N/A    Meeting ID:   645034

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve Dividend on Preference Shares of INR 100 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3   

Approve Dividend on Equity Share of INR 14 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
4   

Reappoint M.S. Ramachandran as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Reappoint K. Ramkumar as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Approve S.R. Batliboi & Co. as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
7   

Appoint Branch Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
8   

Approve Vacancy on the Board of Directors Resulting from Retirement of V.P. Watsa

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.10b

                    
9   

Approve Revision in Remuneration of C. Kochhar, Managing Director & CEO

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8c

                    
10   

Approve Revision in Remuneration of N.S. Kannan, Executive Director & CFO

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8c

                    

 

Page 79 of 80


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 6 Ivy Asset Strategy

  LOGO

 

11   

Approve Revision in Remuneration of K. Ramkumar, Executive Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8c

                    
12   

Approve Revision in Remuneration of R. Sabharwal, Executive Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

6 Ivy Asset Strategy, 6

  610591653   Confirmed     6,125,688        6,125,688   
    Totals:     6,125,688        6,125,688   
     

 

 

   

 

 

 

 

Page 80 of 80


IVY ASSET STRATEGY NEW OPPORTUNITIES FUND

Proxy Voting Record

 

Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

SINA Corporation

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

SINA

   02-Aug-10    Cayman Islands    G81477104    Annual    14-Jun-10    19,800    19,800    19,800    0

 

CUSIP:

  G81477104    ISIN:   KYG814771047    SEDOL:   2579230    Proxy Level:    N/A    Meeting ID:   592538

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Ter Fung Tsao

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Yichen Zhang

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Ratify the Appointment of Pricewaterhousecoopers Zhong Tian CPAs Limited as Independent Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
3   

Approve the Amendment and Restatement of the Company’s 2007 Share Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     19,800        19,800   
    Totals:     19,800        19,800   
     

 

 

   

 

 

 

Naspers Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

NPN

   27-Aug-10    South Africa    S53435103    Annual       41,800    41,800    41,800    0

 

CUSIP:

  S53435103    ISIN:   ZAE000015889    SEDOL:   6622691    Proxy Level:    N/A    Meeting ID:   592023

 

Page 1 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

Ordinary Resolutions

      Mgmt    No            

 

1   

Accept Financial Statements and Statutory Reports for the Year Ended 31 March 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2   

Approve Dividends for N Ordinary and A Ordinary Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Approve Remuneration of Non-executive Directors for the Year Ended 31 March 2010 and for the Year Ending 31 March 2011

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
4   

Reappoint PricewaterhouseCoopers Inc as Auditors of the Company and Anton Wentzel as the Individual Registered Auditor

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Elect Debra Meyer as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6.1   

Re-elect Ton Vosloo as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6.2   

Re-elect Neil van Heerden as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6.3   

Re-elect Hein Willemse as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6.4   

Re-elect Lourens Jonker as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Place Authorised but Unissued Shares under Control of Directors

   Mgmt    Yes    For    Against    Against    Against
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    

 

Page 2 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

8   

Authorise Board to Issue Shares for Cash up to a Maximum of Five Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
9   

Amend the Trust Deed of the Naspers Share Incentive Scheme

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23b

                    
10   

Authorise Board to Allot, Issue and Make Application to the JSE for the Listing of up to 40,588,541 Naspers N Ordinary Shares to the Naspers Group Share-Based Incentive Schemes

   Mgmt    Yes    For    Against    Against    Against
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
  

Special Resolutions

      Mgmt    No            
1   

Authorise Repurchase of Up to 20 Percent of N Ordinary Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
2   

Authorise Repurchase of A Ordinary Issued Shares

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
  

Continuation of Ordinary Resolutions

   Mgmt    No            
11   

Authorise Board to Ratify and Execute Approved Resolutions

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.14b

                    
  

Research Notes: Item 2.14b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     41,800        41,800   
    Totals:     41,800        41,800   
     

 

 

   

 

 

 

Neptune Orient Lines

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N03

   30-Aug-10    Singapore    V67005120    Special       401,000    401,000    401,000    0

 

CUSIP:

  V67005120    ISIN:   SG1F90001388    SEDOL:   6628859    Proxy Level:    N/A    Meeting ID:   597286

 

Page 3 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Issuance of Shares and Grant Awards Pursuant to the NOL Performance Share Plan 2010

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1

                    
2   

Approve Issuance of Shares and Grant Awards Pursuant to the NOL Restricted Share Plan 2010

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     401,000        401,000   
    Totals:     401,000        401,000   
     

 

 

   

 

 

 

Dabur India Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

500096

   31-Aug-10    India    Y1855D140    Annual       90,623    90,623    90,623    0

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2   

Confirm Interim Dividend of INR 0.75 Per Share and Approve Final Dividend of INR 1.25 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Reappoint P. Burman as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint Amit Burman as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Reappoint Anand Burman as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 4 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

6   

Reappoint P.D. Narang as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Approve G. Basu & Co. as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 3.1a

                    
8   

Appoint A. Dua as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Approve Reappointment and Revision in Remuneration of S. Duggal as Executive Director and CEO

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    
10   

Approve Revision in Remuneration of P.D. Narang, Executive Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
11   

Approve Pledging of Assets for Debt

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 99 Per Jonas Krumplys

                 
12   

Approve Increase in Borrowing Powers to INR 20 Billion

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 99 Per Jonas Krumply

                    
13   

Authorize Capitalization of Reserves for Bonus Issue of up to 870 Million Equity Shares on the Basis of One Bonus Share for Every One Equity Share Held

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
14   

Approve Increase in Authorized Share Capital from INR 1.45 Billion to INR 2 Billion by the Creation of 550 Million New Equity Shares of INR 1.00 Each and Amend Clause V of the Memorandum of Association to Reflect Increase in Authorized Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.6

                    
  

Research Notes: Item 3.6

                    
15   

Amend Article 4 of the Articles of Association to Reflect Increase in Authorized Share Capital

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     90,623        90,623   
    Totals:     90,623        90,623   
     

 

 

   

 

 

 

 

Page 5 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

ANHANGUERA EDUCACIONAL PARTICIPACOES SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AEDU11

   06-Sep-10    Brazil    P0355L123    Special       57,000    57,000    57,000    0

 

CUSIP:

  P0355L123    ISIN:   BRAEDUCDAM18    SEDOL:   B1SY486    Proxy Level:    N/A    Meeting ID:   598566

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Amend Articles

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
2   

Consolidate Articles

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     57,000        57,000   
    Totals:     57,000        57,000   
     

 

 

   

 

 

 

Cairn India Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

532792

   15-Sep-10    India    Y1081B108    Annual       90,990    90,990    90,990    0

 

CUSIP:

  Y1081B108    ISIN:   INE910H01017    SEDOL:   B1G2NN0    Proxy Level:    N/A    Meeting ID:   579810

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.24

                    
2   

Reappoint I. Banerjee as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3   

Reappoint R. Dhir as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
4   

Approve S.R. Batliboi & Co as Auditors in Place of Retiring Auditors, S.R. Batliboi & Associates, and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Page 6 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     90,990        90,990   
    Totals:     90,990        90,990   
     

 

 

   

 

 

 

Amil Participacoes S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AMIL3

   16-Sep-10    Brazil    P0R997100    Special       96,100    96,100    96,100    0

 

CUSIP:

  P0R997100    ISIN:   BRAMILACNOR0    SEDOL:   B28T2K6    Proxy Level:    N/A    Meeting ID:   599931

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Reduction of Share Capital Shares and Amend Article 5 Accordingly

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.22a

                    
  

Research Notes: Item 3.22a

                 
2   

Amend Article 33 of Bylaws Re: Remove Antitakeover Provisions

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
3   

Consolidate Bylaws

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     96,100        96,100   
    Totals:     96,100        96,100   
     

 

 

   

 

 

 

Cox & Kings Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

533144

   18-Sep-10    India    Y17730105    Annual       18,685    18,685    18,685    0

 

CUSIP:

  Y17730105    ISIN:   INE008I01018    SEDOL:   B42PBH4    Proxy Level:    N/A    Meeting ID:   598258

 

Page 7 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2   

Approve Dividend of INR 1.00 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Reappoint U. Kerkar as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint S.C. Bhargava as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Approve Chaturvedi & Shah as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
6   

Approve Commission Remuneration for Nin-Executive Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     18,685        18,685   
    Totals:     18,685        18,685   
     

 

 

   

 

 

 

Jaiprakash Associates Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

532532

   21-Sep-10    India    Y42539117    Annual       226,691    226,691    226,691    0

 

CUSIP:

  Y42539117    ISIN:   INE455F01025    SEDOL:   B01GVY7    Proxy Level:    N/A    Meeting ID:   599284

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    

 

Page 8 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

2   

Confirm Interim Dividend of INR 0.54 Per Share and Approve Final Dividend of INR 0.54 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Reappoint R.N. Bhardwaj as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint M.S. Srivastava as Director

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b meeting attendance <75%

                 
5   

Reappoint B.K. Taparia as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Reappoint S.C. Bhargava as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Reappoint P. Gaur as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Approve M.P. Singh & Associates as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
9   

Appoint V.K. Chopra as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Appoint B. Samal as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     226,691        226,691   
    Totals:     226,691        226,691   
     

 

 

   

 

 

 

 

Page 9 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

BR Malls Participacoes S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRML3

   23-Sep-10    Brazil    P1908S102    Special       53,800    53,800    53,800    0

 

CUSIP:

  P1908S102    ISIN:   BRBRMLACNOR9    SEDOL:   B1RYG58    Proxy Level:    N/A    Meeting ID:   599526

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Three Alternate Board Members

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Approve 2:1 Stock Split

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
3   

Authorize Capitalization of Reserves without Issuance of Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.18

                    
4   

Amend Article 5 to Reflect Changes in Capital Due to Capitalization of Reserves and Stock Split

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
5   

Approve Increase in Authorized Capital and Amend Article 6 Accordingly

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
6   

Authorize Creation of Statutory Reserve for Investment Purposes; Amend Article 31 Accordingly

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     53,800        53,800   
    Totals:     53,800        53,800   
     

 

 

   

 

 

 

Jain Irrigation Systems Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N/A

   29-Sep-10    India    INE145801010    Annual       39,920    39,920    39,920    0

 

CUSIP:

  N/A    ISIN:   INE145801010    SEDOL:   6312345    Proxy Level:    N/A    Meeting ID:   596969

 

Page 10 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2a   

Approve Dividend on Preference Shares

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2b   

Approve Dividend on Equity Shares of INR 4.50 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Reappoint A.R. Barwe as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint R. Swaminathan as Director

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b Less than 75% meeting attendance with no explanation.

           
5   

Approve Haribhakti and Co as Auditors, in place of the Retiring Auditors, Dalal & Shah, and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
6   

Approve Pledging of Assets for Debt

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99 per F. Jiang

                    
7   

Approve Reappointment and Remuneration of Anil B. Jain, Managing Director and Chief Executive Officer

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
8   

Approve Reappointment and Remuneration of Ajit B. Jain, Joint Managing Director and Chief Operations Officer

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
9   

Approve Reappointment and Remuneration of Ashok B. Jain, Vice Chairman

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b per F. Jiang

                    
10   

Approve Reappointment and Remuneration of Atul B. Jain, Director - Marketing

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
11   

Approve Reappointment and Remuneration of R. Swaminathan, Director - Technical

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b per F. Jiang

                    
12   

Amend Clause V of the Memorandum of Association and Article 4 of the Articles of Association to Reflect Changes in Authorized Share Capital; and Amend Articles of Association Re: Common Seal

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Page 11 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     39,920        39,920   
    Totals:     39,920        39,920   
     

 

 

   

 

 

 

ANHANGUERA EDUCACIONAL PARTICIPACOES SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AEDU11

   30-Sep-10    Brazil    P0355L123    Special       68,400    68,400    68,400    0

 

CUSIP:

  P0355L123    ISIN:   BRAEDUCDAM18    SEDOL:   B1SY486    Proxy Level:    N/A    Meeting ID:   601714

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Merger Agreement between the Company and LFG Business, Edicoes e Participacoes Ltda.

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per Jonas Krumplys

                 
2   

Appoint Independent Firm to Appraise Proposed Merger

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per Jonas Krumplys

                 
3   

Approve Appraisal of Proposed Merger

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per Jonas Krumplys

                 
4   

Approve Merger between the Company and LFG Business, Edicoes e Participacoes Ltda.

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per Jonas Krumplys

                 
5   

Amend Article 3 to Reflect New Lines of Business Resulting from Merger

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c per Jonas Krumplys

                 
6   

Authorize Board to Ratify and Execute Approved Resolutions

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.14b per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     68,400        68,400   
    Totals:     68,400        68,400   
     

 

 

   

 

 

 

 

Page 12 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Cairn Energy plc

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CNE

   07-Oct-10    United Kingdom    G17528251    Special    05-Oct-10    306,197    306,197    306,197    0

 

CUSIP:

  G17528251    ISIN:   GB00B59MW615    SEDOL:   B59MW61    Proxy Level:    N/A    Meeting ID:   602253

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Sale by Cairn UK Holdings Limited of 51 Percent of the Fully Diluted Share Capital of Cairn India Limited

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 per J. Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     306,197        306,197   
    Totals:     306,197        306,197   
     

 

 

   

 

 

 

Dongfeng Motor Group Company Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00489

   11-Oct-10    Hong Kong    Y21042109    Special    10-Sep-10    506,000    506,000    506,000    0

 

CUSIP:

  Y21042109    ISIN:   CNE100000312    SEDOL:   B0PH5N3    Proxy Level:    N/A    Meeting ID:   599477

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Amend Share Appreciation Rights Scheme

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
2a1   

Elect Xu Ping as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2a2   

Elect Li Shaozhu as Executive Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2a3   

Elect Fan Zhong as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 94 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

2a4   

Elect Zhou Wenjie as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2a5   

Elect Zhu Fushou as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2b1   

Elect Tong Dongcheng as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2b2   

Elect Ouyang Jie as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2b3   

Elect Liu Weidong as Non-Executive Director

   Mgmt    Yes    For    For    Refer    Against
  

Client Notes: 2.6b meeting attendance <75%

                 
2b4   

Elect Zhou Qiang as Non-Executive Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2c1   

Elect Sun Shuyi as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2c2   

Elect Ng Lin-fung as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2c3   

Elect Yang Xianzu as Independent Non-Executive Director

   Mgmt    Yes    For    For    Refer    Against
  

Client Notes: 2.6b meeting attendance <75%

                 
2d1   

Elect Wen Shiyang as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
2d2   

Elect Deng Mingran as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
2d3   

Elect Ma Liangjie as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
2d4   

Elect Ren Yong as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
2d5   

Elect Li Chunrong as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    

 

Page 14 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

2d6   

Elect Chen Binbo as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
2d7   

Elect Huang Gang as Supervisor

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     506,000        506,000   
    Totals:     506,000        506,000   
     

 

 

   

 

 

 

Sun TV Network Ltd (Formerly SUN TV LTD)

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

532733

   23-Oct-10    India    Y8295N133    Special       38,219    38,219    38,219    0

 

CUSIP:

  Y8295N133    ISIN:   INE424H01027    SEDOL:   B128WL3    Proxy Level:    N/A    Meeting ID:   602917

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Postal Ballot

      Mgmt    No            
1   

Approve Reappointment and Remuneration of K. Maran as Chairman and Managing Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    
2   

Approve Reappointment and Remuneration of K. Kalanithi as Executive Director and Joint Managing Director

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     38,219        38,219   
    Totals:     38,219        38,219   
     

 

 

   

 

 

 

Cree, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CREE

   26-Oct-10    USA    225447101    Annual    30-Aug-10    9,169    9,169    9,169    0

 

CUSIP:

  225447101    ISIN:   US2254471012    SEDOL:   2232351    Proxy Level:    3    Meeting ID:   600808

 

Page 15 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Charles M. Swoboda

   Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
1.2   

Elect Director Dolph W. Von Arx

   Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Clyde R. Hosein

      Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Robert A. Ingram

      Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Franco Plastina

      Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Robert L. Tillman

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Harvey A. Wagner

      Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Thomas H. Werner

      Mgmt    Yes    For    Withhold    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Amend Omnibus Stock Plan

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
3   

Establish Range For Board Size

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.1b

                    
4   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Page 16 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     9,169        9,169   
    Totals:     9,169        9,169   
     

 

 

   

 

 

 

ANHANGUERA EDUCACIONAL PARTICIPACOES SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AEDU11

   29-Oct-10    Brazil    P0355L123    Special       97,900    97,900    97,900    0

 

CUSIP:

  P0355L123    ISIN:   BRAEDUCDAM18    SEDOL:   B1SY486    Proxy Level:    N/A    Meeting ID:   605752

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Company’s Entry into the Novo Mercado Listing Segment of the Sao Paulo Stock Exchange

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99

                    
2   

Convert Preferred Shares into Ordinary Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
3   

Approve 7:1 Reverse Stock Split

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99

                    
4   

Amend Articles

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
5   

Ratify Current Board and Extend Term until 2012

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     97,900        97,900   
    Totals:     97,900        97,900   
     

 

 

   

 

 

 

ANHANGUERA EDUCACIONAL PARTICIPACOES SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AEDU11

   29-Oct-10    Brazil    P0355L123    Special       97,900    97,900    97,900    0

 

CUSIP:

  P0355L123    ISIN:   BRAEDUCDAM18    SEDOL:   B1SY486    Proxy Level:    N/A    Meeting ID:   605754

 

Page 98 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Meeting for Preferred Shareholders

   Mgmt    No            
1   

Convert Preferred Shares into Common Shares

   Mgmt    Yes    For    For    Refer    For

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     97,900        97,900   
    Totals:     97,900        97,900   
     

 

 

   

 

 

 

Cairn India Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

532792

   31-Oct-10    India    Y1081B108    Special    15-Sep-10    90,990    90,990    90,990    0

 

CUSIP:

  Y1081B108    ISIN:   INE910H01017    SEDOL:   B1G2NN0    Proxy Level:    N/A    Meeting ID:   603358

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Postal Ballot

      Mgmt    No            
1   

Approve Issuance of up to 6.2 Million New Shares Pursuant to the Cairn India Employee Stock Option Plan 2006 and Cairn India Performance Option Plan 2006

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1 Per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     90,990        90,990   
    Totals:     90,990        90,990   
     

 

 

   

 

 

 

Centamin Egypt Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

N/A

   09-Nov-10    United Kingdom       Annual    07-Nov-10    1,288,277    1,288,277    1,288,277    0

 

CUSIP:

  Q2159B110    ISIN:   AU000000CNT2    SEDOL:   3113217    Proxy Level:    N/A    Meeting ID:   604116

 

Page 18 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2.1   

Elect Harry Michael as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2.2   

Re-elect Robert Bowker as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2.3   

Re-elect Colin Cowden as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2.4   

Re-elect Josef El-Raghy as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
4   

Approve Loan Funded Share Plan 2010

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1 per J. Krumplys

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,288,277        1,288,277   
    Totals:     1,288,277        1,288,277   
     

 

 

   

 

 

 

 

Page 100 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

VanceInfo Technologies Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting 
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

VIT

   11-Nov-10    Cayman Islands    921564100    Annual    04-Oct-10    60,700    60,700    60,700    0

 

CUSIP:

  921564100    ISIN:   US9215641005    SEDOL:   B29T539    Proxy Level:    N/A    Meeting ID:   603321

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Meeting for ADR Holders

         No            
1   

Re-elect Daniel Mingdong Wu as Director

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b Poor meeting attendance with poor disclosure.

                 
2   

Re-elect Samuelson S.M. Young as Director

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b Poor meeting attendance with poor disclosure.

                 
3   

Approve Auditors and Authorize Board to Fix Their Remuneration for FY 2009

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
4   

Approve Auditors and Authorize Board to Fix Their Remuneration for FY 2010

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
5   

Accept Financial Statements and Statutory Reports (Voting)

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.24

                    
6   

Authorize Board to Ratify and Execute Approved Resolutions

   Mgmt    Yes    For    Against    For    For
  

Research Notes: Item 2.14b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     60,700        60,700   
    Totals:     60,700        60,700   
     

 

 

   

 

 

 

MRV ENGENHARIA PARTICIPACOES SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

MRVE3

   16-Nov-10    Brazil    P6986W107    Special       434,300    434,300    434,300    0

 

CUSIP:

  P6986W107    ISIN:   BRMRVEACNOR2    SEDOL:   B235JN1    Proxy Level:    N/A    Meeting ID:   608447

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Authorize Issuance of Non-Convertible Debentures

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99 Per Jonas Krumplys

                 
2   

Authorize Board to Ratify and Execute Approved Resolutions

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99 Per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     434,300        434,300   
    Totals:     434,300        434,300   
     

 

 

   

 

 

 

 

Page 20 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

PT Bank Rakyat Indonesia (Persero) Tbk

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BBRI

   24-Nov-10    Indonesia    Y0697U104    Special    08-Nov-10    579,000    579,000    579,000    0

 

CUSIP:

  Y0697U104    ISIN:   ID1000096001    SEDOL:   6709099    Proxy Level:    N/A    Meeting ID:   607152

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Acquisition of Shares Owned by Plantation Pension Fund (Dapenbun) of at Least 76 Percent in PT Bank Agroniaga Tbk

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Mike Avery

                 
2   

Approve Stock Split and Amend Article 4 of the Articles of Association in Relation to the Stock Split

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     579,000        579,000   
    Totals:     579,000        579,000   
     

 

 

   

 

 

 

Asian Citrus Holdings Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ACHL

   26-Nov-10    Bermuda    G0620W201    Special    23-Nov-10    1,725,000    1,725,000    1,725,000    0

 

CUSIP:

  G0620W201    ISIN:   BMG0620W2019    SEDOL:   B0C8JN7    Proxy Level:    N/A    Meeting ID:   608768

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Acquisition of BPG Food & Beverage Holding Ltd by A-One Success Limited

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Jonas Krumplys

                 
2   

Approve Issuance of Consideration Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6 Per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,725,000        1,725,000   
    Totals:     1,725,000        1,725,000   
     

 

 

   

 

 

 

 

Page 21 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Focus Media Holding Limited

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

FMCN

   26-Nov-10    Cayman Islands    34415V109    Annual    15-Oct-10    81,500    81,500    81,500    0

 

CUSIP:

  34415V109    ISIN:   US34415V1098    SEDOL:   B0CRR96    Proxy Level:    N/A    Meeting ID:   607426

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Meeting for ADR Holders

   Mgmt    No            
1a   

Reelect Jason Nanchun Jiang as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1b   

Reelect Neil Nanpeng Shen as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1c   

Reelect David Ying Zhang as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1d   

Reelect Fumin Zhuo as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
2   

Ratify Deloitte Touche Tohmatsu CPA Ltd. as Auditors

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     81,500        81,500   
    Totals:     81,500        81,500   
     

 

 

   

 

 

 

Asian Citrus Holdings Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ACHL

   03-Dec-10    Bermuda    G0620W201    Annual    30-Nov-10    1,852,000    1,852,000    1,852,000    0

 

CUSIP:

  G0620W201    ISIN:   BMG0620W2019    SEDOL:   B0C8JN7    Proxy Level:    N/A    Meeting ID:   605346

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.24

                 

 

Page 22 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

2   

Approve Dividends

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.18

                 
3a   

Reelect Pang Yi as Executive Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
3b   

Reelect Yang Zhen as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3c   

Reelect Ma Chiu Cheung, Andrew as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3d   

Reelect Nicholas Smith as Independent Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
4   

Approve Baker Tilly Hong Kong Limited as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    For    For
  

Research Notes: Item 3.9b

                    
6   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    For    For
  

Research Notes: Item 3.9b

                    
7   

Authorize Share Repurchase Program

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.21a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,852,000        1,852,000   
    Totals:     1,852,000        1,852,000   
     

 

 

   

 

 

 

BR Malls Participacoes S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRML3

   09-Dec-10    Brazil    P1908S102    Special       293,100    293,100    293,100    0

 

CUSIP:

  P1908S102    ISIN:   BRBRMLACNOR9    SEDOL:   B1RYG58    Proxy Level:    N/A    Meeting ID:   611893

 

Page 23 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Acquisition of 50.01 Percent of Share Capital of Cima Empreendimentos do Brasil SA by Ecisa Engenharia, Comercio e Industria Ltd, a Company Subsidiary

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Jonas Krumplys

                 
2   

Authorize Board to Ratify and Execute Approved Resolutions.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14b

                    
  

Research Notes: Item 2.14b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     293,100        293,100   
    Totals:     293,100        293,100   
     

 

 

   

 

 

 

Aruba Networks, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ARUN

   10-Dec-10    USA    043176106    Annual    14-Oct-10    25,400    25,400    25,400    0

 

CUSIP:

  043176106    ISIN:   US0431761065    SEDOL:   B1VRPM3    Proxy Level:    1    Meeting ID:   606897

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Dominic P. Orr

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1.2   

Elect Director Keerti G. Melkote

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1.3   

Elect Director Bernard Guidon

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1.4   

Elect Director Emmanuel Hernandez

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1.5   

Elect Director Michael R. Kourey

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1.6   

Elect Director Douglas Leone

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 
1.7   

Elect Director Willem P. Roelandts

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                 

 

Page 24 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

1.8   

Elect Director Daniel Warmenhoven

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     25,400        25,400   
    Totals:     25,400        25,400   
     

 

 

   

 

 

 

Fushan International Energy Group Ltd (formerly Fushan Holdi

 

Ticker

  

Meeting
Date

  

Country

  

Security ID

  

Meeting
Type

  

Record Date

  

Shares
Voted

  

Shares
Instructed

  

Shares
Available

  

Shares on
Loan

00639

   17-Dec-10    Hong Kong    Y2677L104    Special       2,078,000    2,078,000    2,078,000    0

 

CUSIP:

  Y2677L104    ISIN:   HK0639031506    SEDOL:   6354671    Proxy Level:    N/A    Meeting ID:   612526

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Master Agreement with Xing Libin and Related Annual Caps

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     2,078,000        2,078,000   
    Totals:     2,078,000        2,078,000   
     

 

 

   

 

 

 

PT Holcim Indonesia Tbk

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

SMCB

   17-Dec-10    Indonesia    Y7125T104    Special    01-Dec-10    5,068,500    5,068,500    5,068,500    0

 

CUSIP:

  Y7125T104    ISIN:   ID1000072309    SEDOL:   6016614    Proxy Level:    N/A    Meeting ID:   611252

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Quasi Reorganization of the Company

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 3.5 Per Jonas Krumplys

                 

 

Page 25 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     5,068,500        5,068,500   
    Totals:     5,068,500        5,068,500   
     

 

 

   

 

 

 

UEM Land Holdings Bhd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

DEMLAND

   22-Dec-10    Malaysia    Y9033U108    Special       4,438,100    4,438,100    4,438,100    0

 

CUSIP:

  Y9033U108    ISIN:   MYL5148OO001    SEDOL:   B3FKMY3    Proxy Level:    N/A    Meeting ID:   612360

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Ordinary Business

      Mgmt    No            
1   

Approve Conditional Take-Over Offer by UEM Land Holdings Bhd (ULHB) to Acquire All the Ordinary Shares in Sunrise Bhd Not Already Owned by ULHB at an Offer Price of MYR 2.80 Per Offer Share

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Jonas Krumplys

                 
  

Special Business

      Mgmt    No            
1   

Approve Increase in Authorized Share Capital from MYR 2.5 Billion to MYR 3.52 Billion; and Amend Memorandum and Articles of Association to Reflect Increase in Authorized Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.6

                    
  

Research Notes: Item 3.6

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     4,438,100        4,438,100   
    Totals:     4,438,100        4,438,100   
     

 

 

   

 

 

 

Asian Citrus Holdings Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ACHL

   28-Dec-10    Bermuda    G0620W201    Special    22-Dec-10    2,273,000    2,273,000    2,273,000    0

 

CUSIP:

  G0620W201    ISIN:   BMG0620W2019    SEDOL:   B0C8JN7    Proxy Level:    N/A    Meeting ID:   612995

 

Page 26 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Issuance of Shares Pursuant to the Placing

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6 Per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     2,273,000        2,273,000   
    Totals:     2,273,000        2,273,000   
     

 

 

   

 

 

 

African Bank Investments Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ABL

   25-Jan-11    South Africa    S01035112    Annual       1,692,500    1,692,500    1,692,500    0

 

CUSIP:

  S01035112    ISIN:   ZAE000030060    SEDOL:   6040776    Proxy Level:    N/A    Meeting ID:   614618

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Ordinary Resolutions

      Mgmt    No            
1.1   

Re-elect Mutle Mogase as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Re-elect Gordon Schachat as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Re-elect Thamsanqa Sokutu as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Re-elect Antonio Fourie as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Reappoint Deloitte & Touche as Auditors and Mgcinisihlalo Jordan as the Designated Auditor and Authorise the Board to Determine Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
3   

Approve Remuneration Policy (Non-binding Advisory Vote)

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Page 27 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

  

Special Resolution

      Mgmt    No            
1   

Approve Remuneration Payable to Non-executive Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Continuation of Ordinary Resolution

   Mgmt    No            
4   

Place Unissued Non-redeemable, Non-cumulative, Non-participating Preference Shares under Control of Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
  

Continuation of Special Resolution

      Mgmt    No            
2   

Authorise Repurchase of Shares

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,692,500        1,692,500   
    Totals:     1,692,500        1,692,500   
     

 

 

   

 

 

 

PT Bank Mandiri (Persero) Tbk

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BMRI

   28-Jan-11    Indonesia    Y7123S108    Special    12-Jan-11    1,737,000    1,737,000    1,737,000    0

 

CUSIP:

  Y7123S108    ISIN:   ID1000095003    SEDOL:   6651048    Proxy Level:    N/A    Meeting ID:   615317

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Increase in Issued and Paid-Up Capital Through a Rights Issue

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.6

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,737,000        1,737,000   
    Totals:     1,737,000        1,737,000   
     

 

 

   

 

 

 

 

Page 28 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Centamin Egypt Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CEY

   15-Feb-11    United Kingdom    Q2159B110    Special    13-Feb-11    3,179,077    3,179,077    3,179,077    0

 

CUSIP:

  Q2159B110    ISIN:   AU000000CNT2    SEDOL:   3113217    Proxy Level:    N/A    Meeting ID:   615312

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve the Executive Director Loan Funded Share Plan 2011

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
2   

Approve the Employee Loan Funded Share Plan 2011

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     3,179,077        3,179,077   
    Totals:     3,179,077        3,179,077   
     

 

 

   

 

 

 

Jaiprakash Associates Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

532532

   16-Feb-11    India    Y42539117    Special    10-Dec-10    574,491    574,491    574,491    0

 

CUSIP:

  Y42539117    ISIN:   INE455F01025    SEDOL:   B01GVY7    Proxy Level:    N/A    Meeting ID:   617756

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Postal Ballot

      Mgmt    No            
1   

Approve Appointment and Remuneration of R. Kumar, Executive Director and CFO

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    
2   

Approve Pledging of Assets for Debt in Favor of Debenture Holders and Debenture Trustees to Secure the Redeemable Non-Convertible Debentures Aggregating to INR10 Billion Issued to Life Insurance Corp of India and Axis Bank Ltd

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99 Per Jonas Krumplys

                 
3   

Approve Investment of up to INR 2.5 Billion for Acquiring the Entire Share Capital of Zawar Cement Pvt Ltd

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5 Per Jonas Krumplys

                 

 

Page 29 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     574,491        574,491   
    Totals:     574,491        574,491   
     

 

 

   

 

 

 

Jain Irrigation Systems Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

500219

   09-Mar-11    India    Y42531148    Special       0    0    0    0

 

CUSIP:

  N/A    ISIN:   INE145801010    SEDOL:   6312345    Proxy Level:    N/A    Meeting ID:   620912

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Issuance of up to 33.1 Million Ordinary Shares without Preemptive Rights through Qualified Institutional Placement

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
2   

Approve Issuance of up to 6.1 Million Warrants to Jain Brothers Industries Pvt Ltd, Anil Bhavarlal Jain, and Atul Bhavarlal Jain, Members of the Promoters Group

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     0        0   
    Totals:     0        0   
     

 

 

   

 

 

 

Glovis Co.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

086280

   11-Mar-11    South Korea    Y27294100    Annual    31-Dec-10    55,651    55,651    55,651    0

 

CUSIP:

  Y27294100    ISIN:   KR7086280005    SEDOL:   B0V3XR5    Proxy Level:    N/A    Meeting ID:   620765

 

Page 30 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Appropriation of Income and Dividend of KRW 700 per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2   

Amend Articles of Incorporation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
3   

Reelect Three Inside Directors (Bundled)

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Reappoint Steinar Forberg as Internal Auditor

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.1a

                    
5   

Approve Total Remuneration of Inside Directors and Outside Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
6   

Authorize Board to Fix Remuneration of Internal Auditor

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     55,651        55,651   
    Totals:     55,651        55,651   
     

 

 

   

 

 

 

LG Display Co.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

034220

   11-Mar-11    South Korea    Y5255T100    Annual    31-Dec-10    133,240    133,240    133,240    0

 

CUSIP:

  Y5255T100    ISIN:   KR7034220004    SEDOL:   B01VZN9    Proxy Level:    N/A    Meeting ID:   618038

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Appropriation of Income and Dividend of KRW 500 per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2   

Amend Articles of Incorporation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23b

                    
  

Research Notes: Item 3.23b

                 

 

Page 31 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

3   

Elect Two Inside Directors and Three Outside Directors (Bundled)

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Elect Two Outside Directors as Members of Audit Committee (Bundled)

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.1

                    
5   

Approve Total Remuneration of Inside Directors and Outside Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     133,240        133,240   
    Totals:     133,240        133,240   
     

 

 

   

 

 

 

F5 Networks, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

FFIV

   14-Mar-11    USA    315616102    Annual    07-Jan-11    8,200    8,200    8,200    0

 

CUSIP:

  315616102    ISIN:   US3156161024    SEDOL:   2427599    Proxy Level:    3    Meeting ID:   618480

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director John Chapple

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Elect Director A. Gary Ames

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Elect Director Scott Thompson

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Page 32 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

5   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 5.1d

                    
6   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     8,200        8,200   
    Totals:     8,200        8,200   
     

 

 

   

 

 

 

Jain Irrigation Systems Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

500219

   14-Mar-11    India    Y42531148    Special       583,300    583,300    583,300    0

 

CUSIP:

  N/A    ISIN:   INE145801010    SEDOL:   6312345    Proxy Level:    N/A    Meeting ID:   620720

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Postal Ballot

      Mgmt    No            
1   

Amend Memorandum and Articles of Association to Reflect Changes in Authorized Share Capital

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
2   

Authorize Capitalization of Reserves for Bonus Issue in the Ratio of One Equity Share - Differential Voting Rights for Every 20

   Mgmt    Yes    For    For    Refer    For
  

Existing Ordinary Equity Shares Held

                 
  

Client Notes: 3.6

                    
3   

Approve Transfer of the Solar Business to a Newly Incorporated Wholly Owned Subsidiary

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5

                    
4   

Amend Other Objects Clause of the Memorandum of Association

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.19

                    
  

Research Notes: Item 3.19

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     583,300        583,300   
    Totals:     583,300        583,300   
     

 

 

   

 

 

 

 

Page 33 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Kia Motors

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

000270

   18-Mar-11    South Korea    Y47601102    Annual    31-Dec-10    200,270    200,270    200,270    0

 

CUSIP:

  Y47601102    ISIN:   KR7000270009    SEDOL:   6490928    Proxy Level:    N/A    Meeting ID:   623944

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Appropriation of Income and Dividend of KRW 500 per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2   

Elect Two Inside Directors and Three Outside Directors (Bundled)

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3   

Reelect Two Outside Directors as Members of Audit Committee (Bundled)

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.1a

                    
4   

Approve Total Remuneration of Inside Directors and Outside Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares
Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     200,270        200,270   
    Totals:     200,270        200,270   
     

 

 

   

 

 

 

Samsung C&T Corp.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

000830

   18-Mar-11    South Korea    Y7470R109    Annual    31-Dec-10    49,400    49,400    49,400    0

 

CUSIP:

  Y7470R109    ISIN:   KR7000830000    SEDOL:   6771601    Proxy Level:    N/A    Meeting ID:   622682

 

Page 34 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Appropriation of Income and Dividends of KRW 500 per Common Share and KRW 550 per Preferred Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2   

Amend Articles of Incorporation

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
3   

Elect Kim Shin as Inside Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Approve Total Remuneration of Inside Directors and Outside Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     49,400        49,400   
    Totals:     49,400        49,400   
     

 

 

   

 

 

 

Fleury S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

FLRY3

   25-Mar-11    Brazil    P418BW104    Annual       282,200    282,200    282,200    0

 

CUSIP:

  P418BW104    ISIN:   BRFLRYACNOR5    SEDOL:   B4X4D29    Proxy Level:    N/A    Meeting ID:   622794

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24

                    
  

Research Notes: Item 3.24

                    
2   

Approve Allocation of Income and Dividends and Approve Capital Budget

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
3   

Elect Directors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
   Research Notes: Item 2.6a                     

 

Page 35 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

4   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     282,200        282,200   
    Totals:     282,200        282,200   
     

 

 

   

 

 

 

African Bank Investments Ltd

 

Ticker

  

Meeting
Date

  

Country

  

Security ID

  

Meeting
Type

  

Record Date

  

Shares
Voted

  

Shares
Instructed

  

Shares
Available

  

Shares on
Loan

ABL

   30-Mar-11    South Africa    S01035112    Special       1,692,500    1,692,500    1,692,500    0

 

CUSIP:

  S01035112    ISIN:   ZAE000030060    SEDOL:   6040776    Proxy Level:    N/A    Meeting ID:   627623

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Ordinary Resolution

      Mgmt    No            
1   

Authorise Issue of up to 15,000,000 Preference shares for Cash to Selected Investors By Way of Private Placements

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.7

                    
  

Special Resolutions

      Mgmt    No            
1   

Authorise Issue of up to 15,000,000 Preference shares for Cash to Selected Investors By Way of Private Placements in Anticipation of the New Companies Act

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.7

                    
2   

Amend Articles of Association Re: Preference Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23b

                    
  

Ordinary Resolution

      Mgmt    No            
2   

Authorise Board to Ratify and Execute Approved Resolutions

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14b

                    
  

Research Notes: Item 2.14b

                 

 

Accounts and Shares
Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,692,500        1,692,500   
    Totals:     1,692,500        1,692,500   
     

 

 

   

 

 

 

 

Page 117 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Hyundai Engineering & Construction Co Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

000720

   31-Mar-11    South Korea    Y38382100    Annual    31-Dec-10    44,695    44,695    44,695    0

 

CUSIP:

  Y38382100    ISIN:   KR7000720003    SEDOL:   6450988    Proxy Level:    N/A    Meeting ID:   628144

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Appropriation of Income and Dividends of KRW 700 per Common Share and KRW 750 per Preferred Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18

                    
  

Research Notes: Item 3.18

                    
2   

Amend Articles of Incorporation

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
3   

Dismiss Inside Director: Lee Seung-Ryul

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.10b

                    
4   

Elect Two Inside Directors and Four Outside Directors (Bundled)

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Four Members of Audit Committee

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.1a

                    
6   

Approve Total Remuneration of Inside Directors and Outside Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     44,695        44,695   
    Totals:     44,695        44,695   
     

 

 

   

 

 

 

Natura Cosmeticos S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

NATU3

   08-Apr-11    Brazil    P7088C106    Annual       151,800    151,800    151,800    0

 

CUSIP:

  P7088C106    ISIN:   BRNATUACNOR6    SEDOL:   B014K55    Proxy Level:    N/A    Meeting ID:   619629

 

Page 118 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                 
  

Research Notes: Item 3.24

                 
2   

Approve Allocation of Income and Dividends and the Capital Budget for Fiscal 2011

   Mgmt    Yes    For    For    For    For
  

Client Notes: 1.3a

                 
  

Research Notes: Item 1.3a

                 
3   

Elect Directors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
4   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     151,800        151,800   
    Totals:     151,800        151,800   
     

 

 

   

 

 

 

Natura Cosmeticos S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

NATU3

   08-Apr-11    Brazil    P7088C106    Special       151,800    151,800    151,800    0

 

CUSIP:

  P7088C106    ISIN:   BRNATUACNOR6    SEDOL:   B014K55    Proxy Level:    N/A    Meeting ID:   628826

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Amend Articles to Reflect Changes in Capital

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares
Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     151,800        151,800   
    Totals:     151,800        151,800   
     

 

 

   

 

 

 

 

Page 119 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Bangkok Bank Public Co. Ltd

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BBL

   12-Apr-11    Thailand    Y0606R101    Annual    11-Mar-11    198,000    198,000    198,000    0

 

CUSIP:

  Y0606R101    ISIN:   TH0001010006    SEDOL:   6077008    Proxy Level:    N/A    Meeting ID:   623661

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Minutes of Previous AGM

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.14a

                 
2   

Acknowledge 2010 Operating Results

   Mgmt    No            
3   

Acknowledge 2010 Audit Committee’s Report

   Mgmt    No            
4   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.24a

                 
5   

Approve Allocation of Income and Payment of Dividend of THB 5.00 Per Share

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.18

                    
6.1   

Elect Prachet Siridej as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6.2   

Elect Kovit Poshyananda as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6.3   

Elect Singh Tangtatswas as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6.4   

Elect Charn Sophonpanich as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6.5   

Elect Kanung Luchai as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6.6   

Elect Thaweelap Rittapirom as Director

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
7   

Acknowledge Remuneration of Directors

   Mgmt    No            
8   

Approve Deloitte Touche Tohmatsu Jaiyos Audit Co., Ltd. as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
9   

Other Business

      Mgmt    Yes    For    Against    Against    Against
  

Research Notes: Item 7.7a

                    

 

Page 120 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     198,000        198,000   
    Totals:     198,000        198,000   
     

 

 

   

 

 

 

Walter Energy, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

WLT

   20-Apr-11    USA    93317Q105    Annual    02-Mar-11    65,900    65,900    65,900    0

 

CUSIP:

  93317Q105    ISIN:   US93317Q1058    SEDOL:   2951805    Proxy Level:    3    Meeting ID:   630242

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Howard L. Clark, Jr.

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Jerry W. Kolb

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Patrick A. Kriegshauser

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Joseph B. Leonard

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Bernard G. Rethore

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Michael T. Tokarz

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director A.J. Wagner

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director David R. Beatty

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Keith Calder

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.10   

Elect Director Graham Mascall

   Mgmt    Yes    For    Withhold    For    For
  

Research Notes: Item 2.6a

                    

 

Page 121 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                 
3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    
4   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     65,900        65,900   
    Totals:     65,900        65,900   
     

 

 

   

 

 

 

African Barrick Gold plc

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

ABG

   21-Apr-11    United Kingdom    G0128R100    Annual    19-Apr-11    195,613    195,613    195,613    0

 

CUSIP:

  N/A    ISIN:   GB00B61D2N63    SEDOL:   B61D2N6    Proxy Level:    N/A    Meeting ID:   619180

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Remuneration Report

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 2.8a

                    
3   

Approve Final Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
4   

Elect Aaron Regent as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Gregory Hawkins as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 41 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

6   

Elect Kevin Jennings as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
7   

Elect James Cross as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
8   

Elect Andre Falzon as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
9   

Elect Stephen Galbraith as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
10   

Elect Robert Godsell as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
11   

Elect Michael Kenyon as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
12   

Elect Derek Pannell as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
13   

Appoint PricewaterhouseCoopers LLP as Auditors of the Company

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                 
  

Research Notes: Item 3.1a

                 
14   

Authorise the Audit Committee to Fix Remuneration of Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                 
  

Research Notes: Item 3.1a

                 
15   

Authorise the Company to Use Electronic Communications

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 5.4

                 
16   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                 
  

Research Notes: Item 3.9a

                 

 

Page 123 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

17   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9b

                    
18   

Authorise Market Purchase

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
19   

Authorise the Company to Call EGM with Two Weeks’ Notice

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.2c

                    
  

Research Notes: Item 3.2c

                    
20   

Adopt New Articles of Association

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.23b

                    
  

Research Notes: Item 3.23b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     195,613        195,613   
    Totals:     195,613        195,613   
     

 

 

   

 

 

 

CP All PCL

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CPALL

   22-Apr-11    Thailand    Y1772K151    Annual    11-Mar-11    1,251,100    1,251,100    1,251,100    0

 

CUSIP:

  Y1772K151    ISIN:   TH0737010Y08    SEDOL:   B08YDG0    Proxy Level:    N/A    Meeting ID:   622821

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Minutes of Previous EGM

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14a

                    
  

Research Notes: Item 2.14a

                 
2   

Accept Directors’ Report

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
3   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 

 

Page 124 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

4   

Approve Allocation of Income and Payment of Dividend of THB1.40 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                 
  

Research Notes: Item 3.18a

                 
5.1   

Elect Prasert Jarupanich as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
5.2   

Elect Narong Chearavanont as Director

   Mgmt    Yes    For    Against    For    Against
  

Client Notes: 2.6b < 75% attendance

                 
  

Research Notes: Item 2.6a

                 
5.3   

Elect Pittaya Jearavisitkul as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
5.4   

Elect Piyawat Titasattavorakul as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
5.5   

Elect Umroong Sanphasitvong as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                 
  

Research Notes: Item 2.6a

                 
6   

Approve Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                 
7   

Approve KPMG Phoomchai Audit Ltd. as Auditors and Authorize

   Mgmt    Yes    For    For    For    For
  

Board to Fix Their Remuneration

                 
  

Client Notes: 3.1a

                 
  

Research Notes: Item 3.1a

                 
8   

Other Business

   Mgmt    Yes    For    Against    Against    Against
  

Client Notes: 7.7a

                 
  

Research Notes: Item 7.7a

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,251,100        1,251,100   
    Totals:     1,251,100        1,251,100   
     

 

 

   

 

 

 

 

Page 44 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

BR PROPERTIES SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRPR3

   25-Apr-11    Brazil    P59656101    Annual/Special       1,391,400    1,391,400    1,391,400    0

 

CUSIP:

  N/A    ISIN:   BRBRPRACNOR9    SEDOL:   B1FLW42    Proxy Level:    N/A    Meeting ID:   630027

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Annual Meeting Agenda

      Mgmt    No            
1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income and Dividends

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
  

Special Meeting Agenda

      Mgmt    No            
3a   

Amend Articles to Reflect Changes in Capital and Consolidate Bylaws

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
3b   

Amend Articles To Fix Typographical Error and Consolidate Bylaws

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
4   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.8c per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     695,700        695,700   

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     695,700        695,700   
    Totals:     1,391,400        1,391,400   
     

 

 

   

 

 

 

Aggreko plc

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AGK

   27-Apr-11    United Kingdom    G0116S102    Annual    25-Apr-11    314,090    314,090    314,090    0

 

CUSIP:

  G0116S102    ISIN:   GB0001478998    SEDOL:   0147899    Proxy Level:    N/A    Meeting ID:   614597

 

Page 45 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve Remuneration Report

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
3   

Approve Final Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
4   

Re-elect Philip Rogerson as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Re-elect Rupert Soames as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Re-elect Angus Cockburn as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Re-elect George Walker as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Re-elect Bill Caplan as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Re-elect Kash Pandya as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Re-elect David Hamill as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Re-elect Robert MacLeod as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
12   

Re-elect Russell King as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 46 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

13   

Elect Ken Hanna as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
14   

Reappoint PricewaterhouseCoopers as Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 3.1a

                    
15   

Authorise Audit Committee to Fix Remuneration of Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
16   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
17   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
18   

Authorise Market Purchase

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
19   

Authorise the Company to Call EGM with Two Weeks’ Notice

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.2c

                    
  

Research Notes: Item 3.2c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     314,090        314,090   
    Totals:     314,090        314,090   
     

 

 

   

 

 

 

Amil Participacoes S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AMIL3

   28-Apr-11    Brazil    P0R997100    Annual       247,000    247,000    247,000    0

 

CUSIP:

  P0R997100    ISIN:   BRAMILACNOR0    SEDOL:   B28T2K6    Proxy Level:    N/A    Meeting ID:   617837

 

Page 47 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve Allocation of Income and Dividends

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3   

Elect Directors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     247,000        247,000   
    Totals:     247,000        247,000   
     

 

 

   

 

 

 

Technip

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

TEC

   28-Apr-11    France    F90676101    Annual/Special    21-Apr-11    64,200    64,200    64,200    0

 

CUSIP:

  F90676101    ISIN:   FR0000131708    SEDOL:   4874160    Proxy Level:    N/A    Meeting ID:   613571

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

  

Ordinary Business

      Mgmt    No            
1   

Approve Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income and Dividends of EUR 1.45 per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 

 

Page 48 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

3   

Accept Consolidated Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
4   

Acknowledge Auditors’ Special Report Regarding Related-Party Transactions and Absence of New Related-Party Transaction

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.5

                    
5   

Ratify Appointment of Marie-Ange Debon as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Reelect Thierry Pilenko as Director

      Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Reelect Olivier Appert as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Reelect Pascal Colombani as Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Reelect John O’Leary as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Elect Maury Devine as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Elect Leticia Costa as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
12   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
  

Extraordinary Business

      Mgmt    No            

 

Page 49 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

13   

Authorize Issuance of Equity or Equity-Linked Securities with Preemptive Rights up to Aggregate Nominal Amount of EUR 40 Million

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
14   

Authorize Issuance of Equity or Equity-Linked Securities without Preemptive Rights up to Aggregate Nominal Amount of EUR 8 Million

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
15   

Approve Issuance of Shares for a Private Placement, up to EUR 8 Million

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.9c

                    
16   

Authorize up to 0.4 Percent of Issued Capital for Use in Restricted Stock Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
17   

Authorize Restricted Stock Plan Reserved for Chairman and/or CEO, Subject to Approval of Item 16

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
18   

Authorize up to 0.4 Percent of Issued Capital for Use in Stock Option Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
19   

Authorize Stock Option Plan Reserved for Chairman and/or CEO, Subject to Approval of Item 18

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
20   

Approve Employee Stock Purchase Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.3b

                    
21   

Authorize Filing of Required Documents/Other Formalities

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14b

                    
  

Research Notes: Item 2.14b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     64,200        64,200   
    Totals:     64,200        64,200   
     

 

 

   

 

 

 

Anhanguera Educacional Participacoes S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AEDU3

   29-Apr-11    Brazil    P0355L115    Annual       241,300    241,300    241,300    0

 

CUSIP:

  P0355L123    ISIN:   BRAEDUACNOR9    SEDOL:   2796084    Proxy Level:    N/A    Meeting ID:   620259

 

Page 50 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income and Dividends

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
3   

Elect Directors

      Mgmt    Yes    For    Against    Against    Against
  

Client Notes: 2.6b

                    
  

Research Notes: Item 2.6b(e)

                 
4   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.8c Per Jonas Krumplys

                 
5   

Elect Fiscal Council Members and Approve their Remuneration

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 1.3a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     241,300        241,300   
    Totals:     241,300        241,300   
     

 

 

   

 

 

 

BR Malls Participacoes S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRML3

   29-Apr-11    Brazil    P1908S102    Annual       744,900    744,900    744,900    0

 

CUSIP:

  P1908S102    ISIN:   BRBRMLACNOR9    SEDOL:   B1RYG58    Proxy Level:    N/A    Meeting ID:   617853

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income and Dividends

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.18a

                 

 

Page 51 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     744,900        744,900   
    Totals:     744,900        744,900   
     

 

 

   

 

 

 

BR Malls Participacoes S.A.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRML3

   29-Apr-11    Brazil    P1908S102    Special       744,900    744,900    744,900    0

 

CUSIP:

  P1908S102    ISIN:   BRBRMLACNOR9    SEDOL:   B1RYG58    Proxy Level:    N/A    Meeting ID:   634167

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Authorize Capitalization of Reserves without Issuance of Shares

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.6

                    
2   

Amend Article 5 to Reflect Changes in Capital

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23b

                    
3   

Approve Remuneration of Executive Officers, Non-Executive Directors

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     744,900        744,900   
    Totals:     744,900        744,900   
     

 

 

   

 

 

 

BRF - Brasil Foods SA

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

BRFS3

   29-Apr-11    Brazil    P1905C100    Annual/Special       1,292,800    1,292,800    1,292,800    0

 

CUSIP:

  P1905C100    ISIN:   BRBRFSACNOR8    SEDOL:   2036995    Proxy Level:    N/A    Meeting ID:   620693

 

Page 52 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Approve Dividends

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3   

Elect Directors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Elect Fiscal Council Members and Audit Committee

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.1a

                    
5   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     646,400        646,400   

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     646,400        646,400   
    Totals:     1,292,800        1,292,800   
     

 

 

   

 

 

 

Rossi Residencial S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

RSID3

   29-Apr-11    Brazil    P8172J106    Annual       1,447,500    1,447,500    1,447,500    0

 

CUSIP:

  P8172J106    ISIN:   BRRSIDACNOR8    SEDOL:   B0WPDR0    Proxy Level:    N/A    Meeting ID:   619778

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income and Dividends

   Mgmt    Yes    For    Against    Against    Against
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18b

                 

 

Page 53 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

3   

Approve Profit-Sharing Remuneration to Administrators for Fiscal 2010

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    
4   

Elect Directors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect as Fiscal Council Members

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.6a

                    
6   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.8c Per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,447,500        1,447,500   
    Totals:     1,447,500        1,447,500   
     

 

 

   

 

 

 

Rossi Residencial S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

RSID3

   29-Apr-11    Brazil    P8172J106    Special       1,447,500    1,447,500    1,447,500    0

 

CUSIP:

  P8172J106    ISIN:   BRRSIDACNOR8    SEDOL:   B0WPDR0    Proxy Level:    N/A    Meeting ID:   635269

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Authorize Issuance of Non-Convertible Debentures

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 99

                    
2   

Amend Articles to Reflect Increase in Capital Approved by the Board on March 8, 2011

   Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.23c

                    
3   

Amend Article 6

      Mgmt    Yes    For    Against    Refer    For
  

Client Notes: 3.23c

                    
4   

Amend Restricted Stock Plan

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1 lack of info

                 
5   

Amend Stock Option Plan

      Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 4.1 lack of info

                 

 

Page 54 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,447,500        1,447,500   
    Totals:     1,447,500        1,447,500   
     

 

 

   

 

 

 

SJM Holdings Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00880

   29-Apr-11    Hong Kong    Y8076V106    Annual    26-Apr-11    7,332,000    7,332,000    7,332,000    0

 

CUSIP:

  Y8076V106    ISIN:   HK0880043028    SEDOL:   B2NR3Y6    Proxy Level:    N/A    Meeting ID:   632413

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Final Dividend of HK$0.3 Per Share

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
3a   

Reelect So Shu Fai as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3b   

Reelect Rui Jose da Cunha as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3c   

Reelect Leong On Kei, Angela as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3d   

Reelect Cheng Yu Tung as Non-Executive Director

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b meeting attendance < 75%

                 
3e   

Reelect Fok Tsun Ting, Timothy as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Authorize Board to Fix the Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    

 

Page 55 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

5   

Reappoint Deloitte Touche Tohmatsu, Certified Public Accountants and H.C. Watt & Company Limited as Joint Auditorsand Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

6

  

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     7,332,000        7,332,000   
    Totals:     7,332,000        7,332,000   
     

 

 

   

 

 

 

MRV Engenharia Participacoes S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

MRVE3

   30-Apr-11    Brazil    P6986W107    Annual/Special       2,566,800    2,566,800    2,566,800    0

 

CUSIP:

  P6986W107    ISIN:   BRMRVEACNOR2    SEDOL:   B235JN1    Proxy Level:    N/A    Meeting ID:   619621

 

Voting Policy: Waddell & Reed

  

Ballot Count: 2

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports for Fiscal Year Ended Dec. 31, 2010

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income and Dividends

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
3   

Approve Reserves

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
4   

Approve Dividend Payment Date

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
5   

Amend Articles to Reflect Changes in Capital

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Page 56 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

6   

Amend Article 24

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
7   

Amend Article 29

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
8   

Consolidate Bylaws

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
9   

Approve Remuneration of Executive Officers, Non-Executive Directors, and Fiscal Council Members

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
10   

Elect Directors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,283,400        1,283,400   

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,283,400        1,283,400   
    Totals:     2,566,800        2,566,800   
     

 

 

   

 

 

 

PT United Tractors Tbk

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

UNTR

   02-May-11    Indonesia    Y7146Y140    Annual    14-Apr-11    694,500    694,500    694,500    0

 

CUSIP:

  Y7146Y140    ISIN:   ID1000058407    SEDOL:   6230845    Proxy Level:    N/A    Meeting ID:   634817

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Approve Annual Report and Financial Statements

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Allocation of Income

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
3   

Elect Directors and Commissioners and Approve Their Remuneration

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b

                    
  

Research Notes: Item 1.3b

                    

 

Page 57 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

4   

Appoint Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Authorize Issuance of Equity Shares with Preemptive Rights
(Rights Issue IV)

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
6   

Authorize Directors to Execute All Matters Pertaining to the Rights Issue IV

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.14b

                    
  

Research Notes: Item 2.14b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     694,500        694,500   
    Totals:     694,500        694,500   
     

 

 

   

 

 

 

Acme Packet, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

APKT

   05-May-11    USA    004764106    Annual    15-Mar-11    128,900    128,900    128,900    0

 

CUSIP:

  004764106    ISIN:   US0047641065    SEDOL:   B17WCB0    Proxy Level:    3    Meeting ID:   631899

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Gary J. Bowen

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Robert C. Hower

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    

 

Page 139 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
4   

Approve Qualified Employee Stock Purchase Plan

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.3a

                    
5   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     128,900        128,900   
    Totals:     128,900        128,900   
     

 

 

   

 

 

 

Dresser-Rand Group Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

DRC

   10-May-11    USA    261608103    Annual    16-Mar-11    68,700    68,700    68,700    0

 

CUSIP:

  261608103    ISIN:   US2616081038    SEDOL:   B0G0V77    Proxy Level:    3    Meeting ID:   624554

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director William E. Macaulary

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Vincent R. Volpe, Jr

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Rita V. Foley

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director Louis A. Raspino

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Philip R. Roth

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director Stephen A. Snider

      Mgmt    Yes    For    For    For    For
   Research Notes: Item 2.6a                     

 

Page 59 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

1.7   

Elect Director Michael L. Underwood

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director Joseph C. Winkler, III

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
3   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
4   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     68,700        68,700   
    Totals:     68,700        68,700   
     

 

 

   

 

 

 

Anhanguera Educacional Participacoes S.A

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

AEDU3

   11-May-11    Brazil    P0355L115    Special       241,300    241,300    241,300    0

 

CUSIP:

  P0355L123    ISIN:   BRAEDUACNOR9    SEDOL:   2796084    Proxy Level:    N/A    Meeting ID:   640850

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Amend Article 5 to Reflect Changes in Capital

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     241,300        241,300   
    Totals:     241,300        241,300   
     

 

 

   

 

 

 

United Rentals, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

URI

   11-May-11    USA    911363109    Annual    15-Mar-11    151,900    151,900    151,900    0

 

CUSIP:

  911363109    ISIN:   US9113631090    SEDOL:   2134781    Proxy Level:    3    Meeting ID:   634411

 

Page 60 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Elect Director Jenne K. Britell

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
2   

Elect Director Jose B. Alvarez

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
3   

Elect Director Howard L. Clark, Jr.

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
4   

Elect Director Bobby J. Griffin

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
5   

Elect Director Michael J. Kneeland

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
6   

Elect Director Singleton B. McAllister

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
7   

Elect Director Brian D. McAuley

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
8   

Elect Director John S. McKinney

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
9   

Elect Director Jason D. Papastavrou

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
10   

Elect Director Filippo Passerini

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
11   

Elect Director Keith Wimbush

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 2.6a

                    
12   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Research Notes: Item 3.1a

                    
13   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Research Notes: Item 5.1d

                    
14   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    One Year    One Year    One Year    One Year
  

Research Notes: Item 5.5b

                    

 

Page 61 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     151,900        151,900   
    Totals:     151,900        151,900   
     

 

 

   

 

 

 

Gentex Corporation

 

Ticker    Meeting Date    Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

GNTX

   12-May-11    USA    371901109    Annual    18-Mar-11    349,700    349,700    349,700    0

 

CUSIP:

  371901109    ISIN:   US3719011096    SEDOL:   2366799    Proxy Level:    3    Meeting ID:   636603

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt Rec

  

ISS Rec

  

Policy Rec

  

Vote
Instruction

1.1   

Elect Director Arlyn Lanting

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director Mark Newton

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Richard Schaum

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Prepare Sustainability Report

   SH    Yes    Against    For    Refer    Against
  

Client Notes: 5.4

                    
3   

Declassify the Board of Directors

   SH    Yes    Against    For    For    For
  

Client Notes: 2.4b

                    
  

Research Notes: Item 2.4b

                    
4   

Require a Majority Vote for the Election of Directors

   SH    Yes    None    For    For    For
  

Client Notes: 7.6a

                    
  

Research Notes: Item 7.6a

                    
5   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Page 62 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

6  

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
 

Client Notes: 5.1d

                 
 

Research Notes: Item 5.1d

                 
7  

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Two Years    One Year    One Year    One Year
 

Client Notes: 5.5b

                 
 

Research Notes: Item 5.5b

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     349,700        349,700   
    Totals:     349,700        349,700   
     

 

 

   

 

 

 

Petrofac Ltd

 

Ticker

   Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

PFC

   13-May-11    Jersey    G7052T101    Annual    11-May-11    273,605    273,605    273,605    0

 

CUSIP:

  G7052T101    ISIN:   GB00B0H2K534    SEDOL:   B0H2K53    Proxy Level:    N/A    Meeting ID:   624320

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt Rec

  

ISS Rec

  

Policy Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Final Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                 
3   

Approve Remuneration Report

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8c

                    
  

Research Notes: Item 2.8c

                    
4   

Elect Roxanne Decyk as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Elect Norman Murray as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 63 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

6   

Elect Andy Inglis as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Re-elect Thomas Thune Andersen as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Re-elect Stefano Cao as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
9   

Re-elect Rijnhard van Tets as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
10   

Re-elect Ayman Asfari as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
11   

Re-elect Maroun Semaan as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
12   

Re-elect Keith Roberts as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
13   

Reappoint Ernst & Young LLP as Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
14   

Authorise Board to Fix Remuneration of Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
15   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
16   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    

 

Page 64 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

17   

Authorise Market Purchase

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
18   

Authorise the Company to Call EGM with Two Weeks’ Notice

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.2c

                    
  

Research Notes: Item 3.2c

                    
19   

Amend Articles of Association

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 3.23c

                    
  

Research Notes: Item 3.23c

                    
20   

Amend Deferred Bonus Share Plan

      Mgmt    Yes    For    For    Refer    For
  

Client Notes: 4.1

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     273,605        273,605   
    Totals:     273,605        273,605   
     

 

 

   

 

 

 

Minth Group Ltd.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00425

   18-May-11    Hong Kong    G6145U109    Annual    12-May-11    1,710,000    1,710,000    1,710,000    0

 

CUSIP:

  G6145U109    ISIN:   KYG6145U1094    SEDOL:   B0RJCG9    Proxy Level:    N/A    Meeting ID:   642105

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt

Rec

  

ISS Rec

  

Policy

Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Declare Final Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3   

Reelect Zhao Feng as Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    

 

Page 65 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

4   

Reelect Mikio Natsume as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
5   

Reelect Yu Zheng as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
6   

Elect Kawaguchi Kiyoshi as Executive Director

   Mgmt    Yes    For    Against    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Elect He Dong Han as Non-Executive Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Authorize Board to Fix Remuneration of Directors

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8a

                    
9   

Reappoint Deloitte Touche Tohmatsu as Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
10   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 3.9c per Jonas Krumplys

                 
11   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
12   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 3.9c per Jonas Krumplys

                 

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,710,000        1,710,000   
    Totals:     1,710,000        1,710,000   
     

 

 

   

 

 

 

Alpha Natural Resources, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares
on Loan

ANR

   19-May-11    USA    02076X102    Annual    29-Mar-11    147,800    147,800    147,800    0

 

Page 66 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

CUSIP:

  02076X102    ISIN:   US02076X1028    SEDOL:   B066NX5    Proxy Level:    3    Meeting ID:   636109

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1.1   

Elect Director Michael J. Quillen

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.2   

Elect Director William J. Crowley, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.3   

Elect Director Kevin S. Crutchfield

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.4   

Elect Director E. Linn Draper, Jr.

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.5   

Elect Director Glenn A. Eisenberg

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.6   

Elect Director P. Michael Giftos

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.7   

Elect Director Joel Richards, III

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.8   

Elect Director James F. Roberts

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
1.9   

Elect Director Ted G. Wood

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
2   

Advisory Vote to Ratify Named Executive Officers’ Compensation

   Mgmt    Yes    For    For    For    For
  

Client Notes: 5.1d

                    
  

Research Notes: Item 5.1d

                    

 

Page 67 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

3   

Advisory Vote on Say on Pay Frequency

   Mgmt    Yes    Three Years    One Year    One Year    One Year
  

Client Notes: 5.5b

                    
  

Research Notes: Item 5.5b

                    
4   

Ratify Auditors

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Report on Efforts to Reduce Pollution From Products and Operations

   SH    Yes    Against    For    Refer    For
  

Client Notes: 6.2 per Jonas Krumplys

                    
  

Research Notes: Item 6.2

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  135969.1   Confirmed     147,800        147,800   
    Totals:     147,800        147,800   
     

 

 

   

 

 

 

Cairn Energy plc

 

Ticker   

Meeting

Date

   Country    Security ID    Meeting
Type
  

Record

Date

   Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

CNE

   19-May-11    United Kingdom    G17528251    Annual    17-May-11    1,595,097    1,595,097    1,595,097    0

 

CUSIP:

  G17528251    ISIN:   GB00B59MW615    SEDOL:   B59MW61    Proxy Level:    N/A    Meeting ID:   615398

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                 
2   

Approve Remuneration Report

   Mgmt    Yes    For    For    Refer    For
  

Client Notes: 2.8a

                    
  

Research Notes: Item 2.8c

                    
3   

Reappoint Ernst & Young LLP as Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
4   

Authorise Board to Fix Remuneration of Auditors

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    

 

Page 68 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

5   

Elect Alexander Berger as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: tem 2.6a

                    
6   

Elect Jacqueline Sheppard as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
7   

Re-elect Sir Bill Gammell as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
8   

Authorise Issue of Equity with Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9a

                    
  

Research Notes: Item 3.9a

                    
9   

Authorise Issue of Equity without Pre-emptive Rights

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.9b

                    
  

Research Notes: Item 3.9b

                    
10   

Authorise Market Purchase

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
11   

Authorise the Company to Call EGM with Two Weeks’ Notice

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.2c

                    
  

Research Notes: Item 3.2c

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     1,595,097        1,595,097   
    Totals:     1,595,097        1,595,097   
     

 

 

   

 

 

 

Fushan International Energy Group Ltd (formerly Fushan Holdi

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

00639

   19-May-11    Hong Kong    Y2677L104    Annual    17-May-11    2,638,000    2,638,000    2,638,000    0

 

CUSIP:

  Y2677L104    ISIN:   HK0639031506    SEDOL:   6354671    Proxy Level:    N/A    Meeting ID:   640263

 

Page 69 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

Voting Policy: Waddell & Reed

  

Ballot Count: 1

  

Proponent

  

Votable
Proposal

  

Mgmt
Rec

  

ISS Rec

  

Policy
Rec

  

Vote
Instruction

1   

Accept Financial Statements and Statutory Reports

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.24a

                    
  

Research Notes: Item 3.24a

                    
2   

Declare Final Dividend

      Mgmt    Yes    For    For    For    For
  

Client Notes: 3.18a

                    
  

Research Notes: Item 3.18a

                    
3a   

Reelect Xue Kang as Director

      Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 2.6b meeting attendance < 75%

                 
  

Research Notes: Item 2.6b(d)

                    
3b   

Reelect Leung Shun Sang, Tony as Director

   Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3c   

Reelect Kee Wah Sze as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3d   

Reelect Choi Wai Yin as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
3e   

Reelect Chan Pat Lam as Director

      Mgmt    Yes    For    For    For    For
  

Client Notes: 2.6a

                    
  

Research Notes: Item 2.6a

                    
4   

Appoint Auditors and Authorize Board to Fix Their Remuneration

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.1a

                    
  

Research Notes: Item 3.1a

                    
5   

Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 3.9c per Frederick Jiang

                 
6   

Authorize Repurchase of Up to 10 Percent of Issued Share Capital

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.21a

                    
  

Research Notes: Item 3.21a

                    
7   

Authorize Reissuance of Repurchased Shares

   Mgmt    Yes    For    Against    Refer    Against
  

Client Notes: 3.9c per Frederick Jiang

                 

 

Page 70 of 87


Vote Summary Report

 

Report was run from: 6/30/10 to 7/1/11

 

Location(s): Ivy Investment Management Company

 

Institution Account(s): 58 Ivy Asset Strategy New Opportunities Fund, Ivy Asset Strategy New Opportunities Fund

   LOGO

 

8   

Change Company Name from Fushan International Energy Group Limited to Shougang Fushan Resources Group Limited

   Mgmt    Yes    For    For    For    For
  

Client Notes: 3.17

                    
  

Research Notes: Item 3.17

                    

 

Accounts and Shares

Institutional Account Detail (IA Name, IA Number)

 

Custodian
Account

 

Ballot
Status

  Available     Voted  

58 Ivy Asset Strategy New Opportunities Fund, 58

  612558513   Confirmed     2,638,000        2,638,000   
    Totals:     2,638,000        2,638,000   
     

 

 

   

 

 

 

DexCom, Inc.

 

Ticker    Meeting
Date
   Country    Security ID    Meeting
Type
   Record Date    Shares
Voted
   Shares
Instructed
   Shares
Available
   Shares on
Loan

DXCM

   25-May-11    USA    252131107    Annual    31-Mar-11    433,300    433,300    433,300    0

 

CUSIP:

  252131107    ISIN:   US2521311074    SEDOL:   B0796X4